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Although the interplay between these two areas is certainly not new, the impact and +mutual cross-fertilization has certainly grown enormously with time, and quantum Field Theory +has become a central conceptual tool in Condensed Matter Physics. In this chapter I cover how +these ideas and tools have influenced our understanding of phase transitions, both classical and +quantum, as well as topological phases of matter, and dualities. +Keywords: +Contents +1 +Introduction +3 +2 +Early Years: Feynman Diagrams and Correlation Functions +3 +3 +Critical Phenomena +4 +3.1 +Classical Critical Phenomena . . . . . . . . . . . . . . . . . . . . . . . . . . . . +4 +3.2 +Landau-Ginzburg Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +4 +3.3 +The Renormalization Group +. . . . . . . . . . . . . . . . . . . . . . . . . . . . +5 +3.3.1 +Scaling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +5 +3.3.2 +The Operator Product Expansion . . . . . . . . . . . . . . . . . . . . . . +6 +3.3.3 +Fixed Points +. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +6 +3.3.4 +Universality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +7 +3.3.5 +RG flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +8 +3.3.6 +Asymptotic Freedom . . . . . . . . . . . . . . . . . . . . . . . . . . . . +9 +4 +Quantum Criticality +11 +4.1 +Dynamic Scaling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +12 +4.2 +The Ising Model in a Transverse Field . . . . . . . . . . . . . . . . . . . . . . . +12 +4.3 +Quantum Antiferromagnets and Non-Linear Sigma Models . . . . . . . . . . . . +14 +4.3.1 +Spin coherent states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +14 +4.3.2 +Path integral for a spin-S degree of freedom . . . . . . . . . . . . . . . . +15 +4.3.3 +Quantum Ferromagnet . . . . . . . . . . . . . . . . . . . . . . . . . . . +16 +4.3.4 +Quantum Antiferromagnet . . . . . . . . . . . . . . . . . . . . . . . . . +16 +5 +Topological Excitations +17 +5.1 +Topological Excitations: Vortices and Magnetic Monopoles . . . . . . . . . . . . +18 +5.1.1 +Vortices in two dimensions . . . . . . . . . . . . . . . . . . . . . . . . . +18 +5.1.2 +Magnetic monopoles in compact electrodynamics . . . . . . . . . . . . . +22 +5.2 +Non-Linear Sigma Models and Antiferromagnetic Quantum Spin Chains . . . . . +25 +5.3 +Topology and open integer-spin chains . . . . . . . . . . . . . . . . . . . . . . . +26 +⋆Work was supported in part by the US National Science Foundation through grant No. DMR 1725401 at the Uni- +versity of Illinois. +Preprint submitted to Encyclopedia of Condensed Matter Physics 2e +February 1, 2023 + +6 +Duality in Ising Models +27 +6.1 +Duality in the 2D Ising Model +. . . . . . . . . . . . . . . . . . . . . . . . . . . +27 +6.2 +The 3D duality: Z2 gauge theory . . . . . . . . . . . . . . . . . . . . . . . . . . +28 +7 +Bosonization +31 +7.1 +Dirac fermions in one space dimensions . . . . . . . . . . . . . . . . . . . . . . +31 +7.2 +Chiral symmetry and chiral symmetry breaking . . . . . . . . . . . . . . . . . . +34 +7.3 +The chiral anomaly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +36 +7.4 +Bosonization, anomalies and duality . . . . . . . . . . . . . . . . . . . . . . . . +38 +8 +Fractional Charge +42 +8.1 +Solitons in one dimensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +42 +8.2 +Polyacetylene . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +43 +8.3 +Fractionally charged solitons . . . . . . . . . . . . . . . . . . . . . . . . . . . . +43 +9 +Fractional Statistics +45 +9.1 +Basics of fractional statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . +46 +9.2 +What is a topological field theory . . . . . . . . . . . . . . . . . . . . . . . . . . +46 +9.3 +Chern-Simons Gauge Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . +47 +9.4 +BF gauge theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +48 +9.5 +Quantization of Abelian Chern-Simons Gauge Theory . . . . . . . . . . . . . . . +48 +9.6 +Vacuum degeneracy a torus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +50 +9.7 +Fractional Statistics and Braids . . . . . . . . . . . . . . . . . . . . . . . . . . . +51 +10 Topological Phases of Matter +54 +10.1 Topological Insulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +54 +10.1.1 Dirac fermions in 2+1 dimensions . . . . . . . . . . . . . . . . . . . . . +54 +10.1.2 Dirac Fermions and Topological Insulators +. . . . . . . . . . . . . . . . +55 +10.1.3 Chern invariants +. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +56 +10.1.4 The quantum Hall effect on a lattice . . . . . . . . . . . . . . . . . . . . +58 +10.1.5 The Anomalous Quantum Hall Effect . . . . . . . . . . . . . . . . . . . +61 +10.1.6 The Parity Anomaly +. . . . . . . . . . . . . . . . . . . . . . . . . . . . +62 +10.2 Three-dimensional Z2 topological insulators . . . . . . . . . . . . . . . . . . . . +67 +10.2.1 Z2 Topological Invariants +. . . . . . . . . . . . . . . . . . . . . . . . . +67 +10.2.2 The Axial Anomaly and the Effective Action +. . . . . . . . . . . . . . . +68 +10.2.3 Theta terms, and Domain walls: Anomaly and the Callan-Harvey Effect . +71 +10.3 Chern-Simons Gauge Theory and The Fractional Quantum Hall Effect . . . . . . +73 +10.3.1 Landau levels and the Integer Hall effect . . . . . . . . . . . . . . . . . . +73 +10.3.2 The Laughlin Wave Function . . . . . . . . . . . . . . . . . . . . . . . . +77 +10.3.3 Quasiholes have fractional charge . . . . . . . . . . . . . . . . . . . . . +78 +10.3.4 The Jain States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . +79 +10.3.5 Quasiholes have fractional statistics . . . . . . . . . . . . . . . . . . . . +80 +10.3.6 Hydrodynamic Effective Field Theory . . . . . . . . . . . . . . . . . . . +80 +10.3.7 Composite Boson Field Theory +. . . . . . . . . . . . . . . . . . . . . . +82 +10.3.8 Composite Fermion Field Theory +. . . . . . . . . . . . . . . . . . . . . +85 +10.3.9 The Compressible States . . . . . . . . . . . . . . . . . . . . . . . . . . +90 +10.3.10 Fractional Quantum Hall Wave Functions and Conformal Field Theory +. +91 +10.3.11 Edge States and Chiral Conformal Field Theory . . . . . . . . . . . . . . +99 +11 Particle-Vortex Dualities in 2+1 dimensions +105 +11.1 Electromagnetic Duality +. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 +11.2 Particle-Vortex Duality in 2+1 dimensions . . . . . . . . . . . . . . . . . . . . . 105 +11.2.1 The 3D XY Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 +11.2.2 Scalar QED in 3D +. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 +11.2.3 The duality mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 +11.3 Bosonization in 2+1 dimensions . . . . . . . . . . . . . . . . . . . . . . . . . . 109 +11.3.1 Bosonization of the Dirac theory in 2+1 dimensions +. . . . . . . . . . . 110 +11.3.2 Bosonization of the Fermi Surface . . . . . . . . . . . . . . . . . . . . . 114 +12 Conclusions +116 +2 + +1. Introduction +Many (if not most) puzzling problems in Condensed Matter Physics involve systems with +a macroscopically large number of degrees of freedom often in regimes of large fluctuations, +thermal and/or quantum mechanical. The description of the physics of systems of this type +requires the framework provided by Quantum Field Theory. Although quantum field theory has +its origins in high-energy physics, notably in the development of Quantum Electrodynamics, it +has found a nurturing home in Condensed Matter Physics. +There is a long history of of cross-fertilization between both fields. Since the 1950’s in many +of the most significant developments in Condensed Matter Physics, Quantum Field Theory has +played a key role if not in the original development but certainly in the eventual understanding the +meaning and the further development of the discoveries. As a result, many of the discoveries and +concepts developed in Condensed Matter have had a reciprocal impact in Quantum Field theory. +One can already see this interplay in the development of the Bardeen-Cooper-Schrieffer theory +of superconductivity [1] and its implications in the theory of dynamical symmetry breaking in +particle physics by Nambu [2]. +The close and vibrant relationship between both fields has continued to these days, and it +is even stronger today than before. Many textbooks have been devoted to teaching these ideas +and concepts to new generations of condensed matter physicists (and field theorists as well). +The earlier texts focused on Green functions which are computed in perturbation theory using +Feynman diagrams [3] [4] [5], while the more modern ones have a broader scope, use path +integrals and attack non-perturbative problems [6, 7] [8] [9, 10] [11]. In two recent books I have +discussed many aspects of the interrelation between condensed matter physics and quantum field +theory in more depth than I can do in this chapter [9, 10]. +2. Early Years: Feynman Diagrams and Correlation Functions +Quantum field theory played a key role in the development of the Theory of the Fermi Liquid +[12, 13]. The theory of the Fermi liquid was first formulated by Landau using the framework of +hydrodynamics and the quantum Boltzmann equation. Landau’s ideas were later given a micro- +scopic basis using Green functions and Feynman diagrams [3], including the effects of quantum +fluctuations at finite temperature and non-equilibrium behavior [14, 15]. Linear response theory +was developed which allowed the computation of response functions (such as electrical conduc- +tivities and magnetic susceptibilities) from the computation of correlation functions for a given +microscopic theory [16]. In turn, correlation functions can be computed in terms of a set of Feyn- +man diagrams. These concepts and tools borrowed many concepts from field theory including +the study of the analytic structure of the generalized susceptibilities and the associated spectral +functions (together with the use of dispersion relations). These developments led to the deriva- +tion of the fluctuation-dissipation theorem. These ideas were widely applied to metals [13] and +superconductors [1], as well as to quantum magnets [17]. +The spectrum of an interacting system has low energy excitations characterized by a set of +quantum numbers associated with the symmetries of the theory. These low energy excitations are +known as quasiparticles. In the case of the Landau theory of the Fermi liquid the quasiparticle is +a “dressed” electron: it is a low energy excitation with the same quantum numbers (charge and +spin) and an electron but with a renormalized effective mass. There are many such quasiparticles +in condensed matter physics. The correlation functions (the propagators) of a physical system +has a specific analytic structure. In momentum (and frequency) space, the quasiparticle spectrum +is given by the poles of the correlators. +The role of symmetries and, in particular of gauge invariance, in the structure of correlation +functions was investigated extensively. A direct consequence of symmetries is the existence of +Ward identities which must be satisfied by all the correlation functions of the theory. Ward iden- +tities are exact relations that relate different correlation functions. Such identities contain a host +of important results. For example, in a theory with a globally conserved charge, the Hamiltonian +(and the action) have a global U(1) symmetry associated with the transformation of the local field +operator φ(x) (which can be fermionic or bosonic) to a new field φ′(x) = eiθφ(x) (where θ is a +constant phase). Theories with a global continuous symmetry have a locally conserved current +(and satisfy a continuity equation). The Ward identity requires the correlators of these currents +(and densities) to be be transverse (i.e. they should have vanishing divergence). In the absence +of so-called quantum anomalies (which we will discuss below) global symmetries can be made +local and become gauge symmetries. +3 + +In many circumstances a global symmetry can be spontaneously broken. If the global sym- +metry is continuous, then the Ward identities imply the existence of gapless excitations known +as Goldstone bosons. For example in the case of a superfluid, which has a spontaneously broken +U(1) symmetry the Goldstone boson is the gapless phase mode. Instead, a the N´eel phase of a +quantum antiferromagnet has two gapless Goldstone bosons, the magnons of the spontaneously +broken SO(3) global symmetry of this state of matter. Another example is the Ward identity of +quantum electrodynamics, which relates the electron self-energy to the electron-photon vertex +function, which also holds in non-relativistic electron fluids. In addition, these identities implied +the existence of sum rules that the spectral functions must satisfy. All of these results became part +of the standard toolkit of condensed matter experimentalists in analyzing their data and for the- +orists to make predictions. Ward identities and sum rules also imply restrictions on the allowed +approximations which are often needed to obtain predictions from a microscopic model. +3. Critical Phenomena +3.1. Classical Critical Phenomena +The late 1960s and particularly 1970s brought about an intense back and forth between con- +densed matter physics and field theory in the context of the problem of classical critical phenom- +ena and phase transitions. This was going to become a profound revolution on the description of +macroscopic physical systems with large-scale fluctuations. The problem of continuous (“sec- +ond order”) phase transitions has a long history going back to the work of Landau [18, 19] who +introduced the concept of an order parameter field. This turned out to be a powerful concept of +broad applicability in many physical systems sometimes quite different from each other at the +microscopic level. +A simple example is that of a ferromagnet with uniaxial anisotropy in which the spins of the +atoms in a crystal are strongly favored to be aligned (or anti-aligned) along certain directions of +the crystal. The simplest microscopic model for this problem is the Ising model, a spin system in +which the individual spins are allowed to take only two values, σ = ±1. The partition function +of the Ising model (in any dimension) is +Z = +� +[σ] +exp +− J +T +� +⟨r,r′⟩ +σ(r)σ(r′) + +(1) +where J is the exchange coupling constant and T is the temperature (measured in energy units); +here [σ] denotes the sume over the 2N spin configurations (for a lattice with N sites), and ⟨r, r′⟩ +are nearest neighbor sites of the lattice. The order parameter of the Ising model is the local mag- +netization ⟨σ(r)⟨ which, in the case of a ferromagnet, is uniform. The partition function of the +Ising model can be computed trivially in one dimension. The solution of the two-dimensional +Ising model by Onsager constituted a tour-de-force in theoretical physics [20]. Its actual meaning +remained obscure for some time. The work of Schultz, Mattis and Lieb [21] evinced a deep con- +nection between Onsager’s solution and the problem if the spectrum of one-dimensional quantum +spin chains [22] (specifically the one-dimensional Ising model in a transverse field [23]). One +important result was that the Ising model was in fact a theory of (free) fermions which, crudely +speaking, represented the configurations of domain walls of the magnet. However, even this sim- +ple model cannot be solved exactly in general dimension, and approximate mean field theories +of various sorts were devised over time to understand its physics. +3.2. Landau-Ginzburg Theory +Landau’s approach assumed that close enough to a phase transition, the important spin con- +figurations are those for which the local magnetization varies slowly on lattice scales. In this +picture the local magnetization, on long enough length scales, becomes an order parameter field +that takes values on the real numbers, and can be positive of negative. Thus, the order parameter +field is effectively the average of local magnetizations on some scale large compared to the lattice +scale, which we will denote by a real field φ(x). The thermodynamics properties of a system of +this type in d dimensions can be described in terms of a free energy +F[φ] = +� +ddx +�κ +2 (▽φ(x))2 + a(T − Tc)φ2(x) + uφ4(x) + . . . +� +(2) +4 + +which is known as the Ginzburg-Landaufree energy. Here κ is the stiffness of the order parameter +field, Tc is the (mean-field) critical temperature; a and u are two (positive) constants. This +expression make sense if the transition is continuous and hence that the order parameter is small +near the transition. The energy of the Ising model is invariant under the global symmetry [σ] �→ +[−σ]. This is the symmetry of the group Z2. Likewise, the Ginzburg-Landau free energy has the +global (discrete) symmetry [φ(x)] �→ [−φ(x)], and also has a Z2 global symmetry. +In Landau’s approach, which was a mean field theory, the equilibrium state is the global +minimum of this free energy. The nature of the equilibrium state depends on whether T > Tc +or T < Tc: for T > Tc the global minimum is the trivial configuration, ¯φ(x) = 0 (this is the +paramagnetic state), whereas for T < Tc the equilibrium state is two fold degenerate, ¯φ(x) = +±(a(Tc − T)/2)β, with the two degenerate states being related by the Z2 symmetry (this is the +ferromagnetic state). In the Landau theory the critical exponent of the magnetization is β = 1/2 +and the critical exponent of the correlation length is ν = 1/2. However, in the case of the 2D Ising +model the order parameter exponent is β = 1/8 [24] and the correlation length exponent is ν = 1. +These (and other) apparent discrepancies led many theorists for much of the 1960s believe that +each model was different and that these behaviors reflected microscopic differences. In addition, +Landau’s theory was regarded as phenomenological and believed to be of questionable validity. +3.3. The Renormalization Group +This situation was to change with the development of the Renormalization Group, due pri- +marily to the work of Leo P. Kadanoff [25, 26, 27] and Kenneth G. Wilson [28, 29, 30, 31, 32, 33]. +The renormalization Group was going to have (and still has) a profound effect both in Condensed +Matter Physics and in Quantum Field Theory (and beyond). +3.3.1. Scaling +Several phenomenological theories were proposed in the 1960s to describe the singular be- +havior of physical observables near a continuous phase transition [34, 35, 36]. These early works +argued that in order to explain the singular behavior of the observables the free energy density +had to have a singular part which should be a homogeneous function of the temperature, mag- +netic field, etc. A function f(x) is homogeneous if it satisfies the property that it transforms +irreducibly under dilations, i.e. f(λx) = λk f(x), there λ is a real positive number (a scale) and +k is called the degree. These heuristic ideas then implied that the critical exponents should obey +several identities. In 1966 Kadanoff wrote and insightful paper in which he showed that the ho- +mogeneity hypothesis implied that in that regime these systems should obey scaling. He showed +that this can be justified by performing a sequence of block-spin transformations in which the +configurations that vary rapidly at the lattice scale a become averaged at the scale of a larger sized +block of length scale ba > a which resulted in a renormalization of the coupling constants from +{K} at scale a to {K′} at the new scale ba [25, 27]. In other words, the block spin transformation +amounts to a scale transformation and a renormalization of the couplings (and operators). From +this condensed matter/statistical physics perspective the important physics is in the long distance +(“infrared”) behavior. +A significant consequence of these ideas was that close enough to a critical point, if the +distance |x − y| between two local observables O(x) and O(y) is large compared to the lattice +spacing a but small compared to the correlation length ξ, their correlation function takes the +form of a power law +⟨O(x)O(y)⟩ ∼ +const. +|x − y|2∆O +(3) +where ∆O is a positive real number known as the scaling dimension of the operator O [34, 25, 37]. +These conjectures were known to be satisfied in the non-trivial case of the 2D Ising model [26], +as well as in the Landau-Ginzburg theory once the effects of Gaussian fluctuations were included +[37]. For example, in the 2D Ising model, the scaling dimensions of the local magnetization σ is +∆σ = 1/8 and of the energy density ε is ∆ε = 1, which were sufficient to explain all the singular +behaviors known at that time. +The concept of renormalization actually originated earlier in quantum field theory as part +of the development of Quantum Electrodynamics (QED). In QED the notion of renormaliza- +tion was used to “hide” the short distance (“ultraviolet”) divergencies of the Feynman diagrams +needed to compute physical processes involving electrons (and positrons) and photons, i.e. their +strong, divergent, dependence of an artificially introduced short-distance cutoff or regulator. In +particular the sum of the leading diagrams that enter in the electron-photon vertex amounted to +5 + +a redefinition (renormalization) of the coupling constant. It was observed by Murray Gell-Mann +and Francis Low that this renormalization was equivalent to the solution of a first order differ- +ential equation that governed the infinitesimal change of the coupling, the fine structure constant +α = e2/4π, under an infinitesimal change of the UV cutoff Λ [38] +Λ dα +dΛ ≡ β(α) = 2 +3πα2 + O(α3) +(4) +where β(α) is the Gell-Mann-Low beta function. Except for the work by Nikolai Bogoliubov +and coworkers [39], this reinterpretation by Gell-Mann and Low was not actively pursued, partly +because it predicted that the renormalized coupling became very large at short distances, α → ∞, +and, conversely, it vanished in the deep long distance regime, α → 0 (if the electron bare mass is +zero). In other terms, QED is strongly coupled in the UV and trivial in the IR. The same behavior +was found in the case of the theory of a scalar field φ(x) with an φ4 interaction which is relevant +in the theory of phase transitions. In addition to these puzzles, the1960s saw the experimental +development of the physics of hadrons which involve strong interactions. For these reasons, for +much of that decade most high-energy theorists had largely abandoned the use of quantum field +theory, and explored other, phenomenologically motivated, approaches (which led to an early +version of string theory.) At any rate the notion that the physics may depend on the scale was +present as was the notion that in some regimes field theories may exhibit scale-invariance at least +in an approximate form. +3.3.2. The Operator Product Expansion +The next stage of the development of these ideas was the concept of the operator product +expansion (OPE). If we denote by {O j(x)} the set of all possible local operators in a theory (a field +theory or a statistical mechanical system near criticality), then the product of two observables on +this list closer to each other than to any other observable (and to the correlation length ξ) obeys +the expansion +lim +x→y O j(x)Ok(y) = lim +x→y +� +l +C jkl +|x − y|∆j+∆k−∆l Ol +� x + y +2 +� +(5) +where this equation should be understood as a weak identity, valid inside an expectation value. +Remarkably, this concept was derived independently and simultaneously by Leo Kadanoff [40] +(who was working in critical phenomena), by Kenneth Wilson [41] (who was interested in the +short distance singularities arising in Feynman diagrams), and by Alexander Polyakov [42, 43] +(also working in critical phenomena). In Eq.(5) {∆j} are the scaling dimensions of the operators +{O j}. The coefficients C jkl are (like the dimensions) universal numbers. In a follow up paper +Polyakov showed that if the theory has conformal invariance, i.e. scale invariance augmented by +conformal transformations which preserve angles, then, provided the operators O j are suitably +normalized, the coefficients C jkl of the OPE are determined by a three point correlator +⟨O j(x)Ok(y)Ol(z)⟩ = +C jkl +|x − y|∆jk|y − z|∆kl|z − x|∆l j +(6) +where ∆jk = ∆j + ∆k − ∆l. These results constitute the beginnings of Conformal Field Theory. +In a nontrivial check, Kadanoff and Ceva showed that the OPE holds for the local observables of +the 2D Ising model [44]. +3.3.3. Fixed Points +The next and crucial step in the development of the renormalization Group was made by +Kenneth Wilson. Wilson was a high-energy theorist who wanted to know how to properly define +a quantum field theory and the physical meaning of renormalization. +In a Lorentz invariant quantum field theory one is interested in the computation of the ex- +pectation value of time-ordered operators. In the case of a self-interacting scalar field φ(x) in +D-dimensional Euclidean space-time, obtained by analytic continuation from Minkowski space- +time to imaginary time, the observables are computed from the functional (or path) integral by +functional differentiation of the partition function +Z = +� +Dφ exp +� +−S (φ, ∂µφ) + +� +dDx J(x)φ(x) +� +(7) +6 + +with respect to the local sources J(x). For a scalar field the Euclidean action is +S = +� +dDx +�1 +2(∂µφ(x))2 + m2 +2 φ2(x) + λ +4!φ4(x) +� +(8) +which has the same form as the free energy of the Landau-Ginzburg theory of phase transitions +shown in Eq.(2). It is apparent that the Landau-Ginzburg theory is the classical limit of the theory +of the scalar field whose partition function is a sum over all histories of the field. It is easy to +see that en expansion of the partition function (or of a correlator) in powers of the the coupling +constant λ can be cast in the form of a sum of Feynman diagrams. To lowest order in λ a typical +Feynman diagram involves a one-loop integral in momentum space of the form +I(p) = +� +dDq +(2π)D +1 +(q2 + m2)((q − p)2 + m2) +(9) +As noted by Wilson in his Nobel Lecture [33], this integral has large contributions from the IR +region of small momenta q ∼ 0, but for any dimension D ≥ 4 has a much larger contribution +form large the UV region of large momenta, which requires the introduction of a UV cutoff Λ +in momentum space (or a lattice spacing a in real space by defining the theory on a hypercubic +lattice). In quantum field theory one then has to require that somehow one takes the limit a → 0 +(or Λ → ∞). To take this limit in the field theory is very much analogous to the definition of +a conventional integral in terms of a limit of a Riemann sum. The difference is that this is a +functional integral. While for a function of bounded variation in a finite interval (a, b) the limit +of a partition of the interval into N steps each of length ∆x, such that N∆x = b − a, exists and +defines the integral of the function +lim +∆x→0 lim +N→∞ +N +� +j=1 +f(x j)∆x j = +� b +a +dx f(x), +(10) +the analogous statement does not obviously exists in general for a functional integral, i.e. an +integral over a space of functions which is what is required. In fact, although thousands of +integrals of a function are known to exist, there are extremely few examples for a functional +integral. Moreover, in order to take the continuum limit the lattice spacing must approach zero, +a → 0. This means that physical scales, such as the correlation length ξ, must diverge in lattice +units so that they can be fixed in physical units. But to do that one has to be asymptotically +close to a continuous phase transition! Hence, the problem of defining a quantum field theory is +equivalent to the problem of critical phenomena at a continuous phase transition! +Wilson gave a systematic formulation to the Renormalization Group by generalizing the ear- +lier ideas introduced by Kadanoff and the earlier work by Gell-Mann and Low. Wilson’s key +contribution was the introduction of the concept of a fixed point of the Renormalization Group +transformation [28, 29, 30, 31]. As we saw, the block-spin transformation is a procedure for +coarse graining the degrees of freedom of a physical system resulting in a renormalization of the +coupling constants. Upon the repeated action of the RG transformation its effect can be pictured +as a flow in the space of coupling constants. However, in addition of integrating-out short dis- +tance degrees of freedom one needs to restore the units of length which have changed under that +process. This requires a rescaling of lengths. Once this is done, Wilson showed that the resulting +RG flows necessarily have fixed points, special values of the couplings which are invariant (fixed) +under the action of the RG transformation. He then deduced that at a fixed point the theory has +no scales, aside from the linear size L of the system and the microscopic UV cutoff (the lattice +spacing a in a spin system). +This analysis means that for length scales long compared to a → 0 but short compared to +L → ∞ the theory acquired a new, emergent, symmetry: scale invariance. Therefore, at a fixed +point the correlators of all local observables must be homogeneous functions (hence, must scale). +3.3.4. Universality +A crucial consequence of the concept if the fixed point is that phase transitions can be clas- +sified into universality classes. Universality means that a large class of physical systems with +different microscopic properties have fixed points with the same properties, i.e. the same scaling +dimensions, operator product expansions and correlation functions at long distances independent +on how they are defined microscopically. Although the renormalization group transformation is +a transformation scheme that we define and, because of that the location in coupling constant +7 + +space of the fixed point itself does depends on the scheme we choose, its universal properties are +the same. Thus, universality classes depend only on features such as the space (and spacetime) +dimension and the global symmetries of the system. But the systems themselves may be quite +different. This we speak if the Ising universality class in 2D, on the superfluid (or XY) transi- +tion class in 3D, etc. This concept, which originated in the theory of phase transition, has been +adopted and generalized in the development of conformal field theory. +3.3.5. RG flows +Combined with the condition that the correlators decay at long separations, homogeneity +implies that the correlators must have the form of Eq.(3). In addition, this equation also implies +that at a fixed point the operators (the local observables) have certain scaling dimensions. Let +us consider a theory close to a fixed point whose action we will denote by S ∗. Let {O j(x)} be +a complete set of local observables whose scaling dimensions are {∆j}. The total action of the +theory close to the fixed point then can be expanded as a linear combination of the operators with +dimensionless coupling constants {g j} +S = S ∗ + +� +dDx +� +j +g ja∆j−DO j(x) +(11) +Under a change of length scale x → x′ = bx, with b > 1, the operators (which must transform +homogeneously)change as O j(bx) = b−∆jO j(x). Since the phase space changes as dDx′ = bDddx, +we can keep the form of the action provided the coupling constants also change to compensate +for these changes as g′ +j = bD−∆jg j. Let b = |x′|/|x| = 1+da/a, where da is an infinitesimal change +of the UV cutoff a. Then, if we integrate-out the degrees of freedom in the range a < |x| < a+da, +the rate of change of the coupling constants {g j} under this rescaling is +adg j +da ≡ β(g j) = (D − ∆j)g j + . . . +(12) +which we recognize as a Gell-Mann Low beta function for each coupling constant. +This result says that if the scaling dimension ∆j < D, then the renormalized coupling will +increase as we increase the length scale, g′ +j > g j, and along this direction in coupling constant +space the RG flows away from the fixed point. Conversely, if ∆j > D the renormalized coupling +flows to smaller values, g′ +j < g j and the RG flows into the fixed point. We then say that an +operator is relevant if its scaling dimension satisfies ∆j < D, and that it is irrelevant if ∆j > D. +If ∆j = D then we say that operator is marginal. +To go beyond this simple dimensional analysis one has to include the effects of fluctuations. +To lowest orders in the couplings one finds [45] +adg j +da = (D − ∆j)g j + +� +k,l +C jkl gkgl + . . . +(13) +where {C jkl} are the coefficients of the OPE shown in Eq.(6). This expression is the general form +of a perturbative renormalization group and it is valid close enough to a fixed point. +Wilson and Fisher [30] used a similar approach to analyze how fluctuations alter the results +of the Landau-Ginzburg theory. They considered the partition function of Eq.(7) with the action +of Eq.(8). Instead of working in real space they considered the problem in momentum space and +partitioned the field configurations into slow and fast modes +φ(x) = φ<(x) + φ>(x) +(14) +where φ>(x) are configurations whose Fourier components have momenta in the range bΛ < |p| < +Λ, where Λ is a UV momentum cutoff and b < 1. Hence, if we choose b → 1, the fast modes φ > +(x) have components in a thin momentum shell near the UV cutoff Λ. Conversely, the slow modes +φ<(x) have momenta in the range 0 ≤ |p| < bΛ. One can then use Feynman diagrams to integrate +out the fast modes and derive an effective low-energy action with renormalized couplings. In the +case of a free field theory (with λ = 0) the scaling dimension of the φ4 operator is ∆4 = 2(D − 2) +whereas the φ2 operator has dimension ∆2 = D − 2. Upon defining a dimensionless mass and +coupling constant by m2 = tΛ2 and λ = gΛ4−D, the beta functions are found to be [10] +β(t) = − Λ dt +dΛ = 2t + g +2 − gt +2 + . . . +(15) +β(g) = − Λ dg +dΛ = (4 − D)g − 3 +2g2 + . . . +(16) +8 + +(where we absorbed an uninteresting factor if the definition of the coupling constant). +The RG flows of Eq.(16) show that the free-field (Gaussian) fixed point at g = 0 is stable for +D > 4 and the asymptotic IR behavior is the same as predicted by the Landau-Ginzburg theory. +However, for D < 4, the free-field fixed point becomes unstable and a new fixed point arises at +g∗ = 2 +3ǫ + O(ǫ2), where we have set ǫ = 4 − D. This is the Wilson-Fisher fixed point. At this +fixed point the correlation length diverges with an exponent ν = 1 +2 + ǫ +12 + O(ǫ2), which deviates +from the predictions of the Landau-Ginzburg theory. The small parameter of this expansion is ǫ, +and this is known as the ǫ expansion. +The Wilson-Fisher (WF) fixed point is an example of a non-trivial fixed point at which the +correlation length is divergent. It has only one relevant operator, the mass term, which in the IR +flows into the symmetric phase for t > 0 and flows to the broken symmetry for t < 0. Conversely, +in the UV it flows into the WF fixed point. For these reasons condensed matter physicists say +that this is an IR unstable (or critical) fixed point while high-energy physicists say that it is the +UV fixed point. At this fixed point a non-trivial field theory can be defined with non-trivial +interactions. UV fixed points also define examples of what in high-energy physics are called +renormalizable field theories and can be used to define a continuum field theory. +The D = 4-dimensional theory is special in that the φ4 operator is marginal. As can be seen +in Eq.(16), at D = 4 the beta function for the dimensionless coupling constant g does not have +a linear term and is quadratic in g. In this case the operator is marginally irrelevant, and its +beta function has the same behavior as the beta function of Gell-Mann and Low for QED. Such +theories are said to have a “triviality problem” since, up to logarithmic corrections to scaling, +there are no interactions in the IR and, conversely, become large in the UV. +There are also fixed points at which the correlation length ξ → 0. These fixed points are +IR stable (and in a sense trivial). These stable fixed points are sinks of the IR RG flows. Such +fixed points define stable phases of matter, e.g. the broken symmetry state, the symmetric (or +unbroken state), etc. However in the UV they are unstable and in high-energy physics such fixed +points correspond to non-renormalizable field theories. +More sophisticated methods are needed to go beyond the lowest order beta functions of +Eq.(13), and the computation of critical exponents beyond the leading non-trivial order. Pos- +sibly the record high-precision calculations have been done for φ4 theory for which the beta +function is know to O(ǫ5). This has been achieved using the method of dimensional regulariza- +tion [46, 47, 48] (with minimal subtraction). Special resummation methods (Borel-Pad´e) have +been used to do these calculations in D = 3 dimensions [49]. Remarkably, these results are +so precise that in the case of the superfluid transition, which is well described by a φ4 theory +with a complex field, the results could only be tested in the microgravity environment of the +International Space Station! +3.3.6. Asymptotic Freedom +There are several physical systems systems of great interest whose beta function has the form +β(g) = Ag2 + . . . +(17) +The coupling constant has a different interpretation in each theory and the constant A > 0, +opposite to the sign of the beta function found in QED and φ4 theory in D = 4 dimensions. +This beta function means that while the associated operator is marginal, with this sign is actually +marginally relevant. This also means that the fixed point is unstable in the IR but the departure +from the fixed point is logarithmically small. Conversely, the in the UV the RG flows into the +fixed point and the effective constant is weak at short distances. This is the origin of the term +asymptotic freedom [50]. The paradigmatic examples of theories with a beta function of this +form are the Kondo problem, the 2D non-linear sigma model, and the D = 4 dimensional Yang- +Mills non-abelian gauge theory. +The Kondo problem is the theory of a localized spin-1/2 degree of freedom in a metal. the +electrons of the metal couple to this quantum impurity through an exchange interaction of the +impurity and the magnetic moment density of the mobile electrons in the metal with coupling +constant J. This problem is actually one dimensional since only the s wave channel of the +mobile (conduction band) electrons actually couple to the localized impurity. In 1970 Philip +Anderson developed a theory of the Kondo problem in terms of the renormalization of the Kondo +coupling constant g as a function of the energy scale [51]. Anderson used perturbation theory +in J to progressively integrated out the modes of the conduction electrons close to an effective +9 + +bandwidth Ec and found that the beta function has the form of Eq.(17) +Ec +dJ +dEc += −ρJ2 + . . . +(18) +where ρ is the density of states at the Fermi energy of the conduction electrons. This work +implied that the free-impurity fixed point is IR unstable and that the effective coupling constant +J increases as the energy cutoff Ec is lowered. He argued that at some energy scale, the Kondo +scale, perturbation theory breaks down and that there is a crossover to a strong coupling regime +which is not accessible in perturbation theory. +Shortly thereafter, in 1973 Wilson developed a numerical renormalization group approach +which showed that the Kondo problem is indeed a crossover from the free impurity fixed point +to the “renormalized” Fermi liquid [32]. In addition, Wilson use the numerical renormalization +group to examine the approach to the strong coupling fixed point and showed that it is charac- +terized by a Wilson ratio, a universal number obtained from the low temperature specific heat +and the impurity magnetic susceptibility (in suitable units). Wilson’s numerical RG predicted +a number close to 2π for the this ratio. In 1980 N. Andrei and P. Wiegmann showed (indepen- +dently) that the Kondo problem is an example of an integrable field theory that can be solved +by the Bethe ansatz [52, 53]. Their exact result was consistent with Wilson’s RG, including the +numerical value of the Wilson ratio. +In 1972 Gerard ’t Hooft and Martinus Veltman showed that Yang-Mills gauge theory is renor- +malizable [46]. This groundbreaking result opened the door to use quantum field theory to de- +velop the theory of strong interactions in particle physics known as Quantum Chromodynamics +(QCD). In 1973 David Gross and Frank Wilczek [50] and, independently, David Politzer [54] +computed the renormalization group beta function of Yang-Mills theory with gauge group G and +found it to be of the same form as Eq.(17), +Λ dg +dΛ = − g3 +16π2 +11 +3 C2(G) + . . . +(19) +where g is the Yang-Mills coupling constant and Λ is a UV momentum scale. Here C2(G) is the +quadratic Casimir for a gauge group G. For S U(3), the case of physical interest, C2(S U(3)) = 3. +This result implies that under the RG at large momenta (short distances) the Yang-Mills coupling +constant flows to zero (up to logarithmic corrections). This result holds in the presence of quarks +provided the number of quark flavors is less than a critical value. Hence at short distances the +effective coupling is weak. Gross and Wilczek called this phenomenon asymptotic freedom. +This behavior was consistent with the observation of weakly coupled quarks in deep inelastic +scattering experiments. However, the flip side of asymptotic freedom is that at low energies +(long distances) the coupling constant grows without limit, which implies that at low energies +perturbation theory is not applicable. This strong infrared behavior suggested that in QCD quarks +are permanently confined in color neutral bound states (hadrons). However, unlike the Kondo +problem we just discussed, QCD is not an integrable theory (so far as we know) and to show that +it confines has required the development of Lattice Gauge Theory [55, 56]. To this date the best +evidence for quark confinement has been obtained using large-scale Monte Carlo simulations in +Lattice Gauge Theory [57]. +We close this subsection with a discussion of an important case: the non-linear sigma models. +The O(N) non-linear sigma model is the continuum limit of the classical Heisenberg model for a +spin with N components. Historically, the non-linear sigma model is the effective field theory for +pions in particle physics. We will discuss its role in the theory of quantum antiferromagnets in +subsection 4.3 and especially in the case of quantum antiferromagnetic spin chains in subsection +5.2. +The simplest non-linear sigma model is a theory of an N-component scalar field n(x) which +satisfies the unite length local constraint, n2(x) = 1. The Euclidean Lagrangian is +L = 1 +2g(∂µn(x))2 +(20) +where g is the coupling constant (the temperature in the classical Heisenberg model). At the +classical level, i.e. in the broken symmetry phase, where ⟨n⟩ � 0, this model describes the N − 1 +massless modes (Goldstone bosons) of the spontaneously broken O(N) symmetry. Dimensional +analysis shows that the coupling constant has units of ℓD−2. Hence, we expect to find marginal +behavior at D = 2. In 1975 Alexander Polyakov used a momentum shell renormalization group +10 + +in D = 2 dimensions and showed that the beta function of this model is (here a is the short- +distance cutoff) [58] +β(g) = adg +da = N − 2 +2π g2 + O(g3) +(21) +Hence, in D = 2 dimensions also this theory is asymptotically free. As in the other examples we +just discussed, asymptotic freedom here also implies that the coupling constant g grows to large +values in the low-energy (long-distance) regime. In close analogy with Yang-Mills theory in +D = 4 dimensions, Polyakov conjectured that the O(N) non-linera sigma model also undergoes +dynamical dimensional transmutation [50], that the global O(N) symmetry is restored and that +for all values of the coupling constant g the theory is in a massive with a finite correlation length +ξ ∼ exp((N − 2)/2πg). Extensive numerical simulations, used to construct a renormalization +group using Monte Carlo simulations [59], showed that there is indeed a smooth crossover from +the weak coupling (low temperature) regime to the high temperature regime where the correlation +length is finite. The non-linear sigma model is a renormalizable field theory in D = 2 dimensions +[60]. For D > 2 dimensions it can be studied using the 2 + ǫ expansion [60, 49], which predicts +the existence of a nontrivial UV fixed point and a phase transition from a Goldstone phase to a +symmetric phase. +It turns out that there is a significant number of asymptotically free non-linear sigma models +in D = 2 dimensions, many of physical interest [61], in particular non-linear sigma models +whose target manifold is a coset space, a quotient of a group G and a subgroup H. The O(N) non +linear sigma model is an example since the broken symmetry space leaves the O(N −1) subgroup +unbroken (the manifold of the Goldstone bosons). In that case the quotient is O(N)/O(N − 1) +which is isomorphic to the N −1 dimensional sphere S N−1. In later sections we will discuss other +examples in which more general non-linear sigma models play an important role. +Models on coset spaces arise in the theory of Anderson localization in D = 2 dimensions. +Anderson localization is the problem of a fermion (an electron) in a disordered system in which +the electron experiences a random electrostatic potential. In the limit of strong disorder Philip +Anderson showed that all one-particle states are exponentially localized and the diffusion con- +stant (and the conductivity) vanishes[62]. There was still the question of when it is possible +for the electron to have a finite diffusion constant (and conductivity). In D = 2 dimensions +the conductivity is a dimensionless number which suggests that this may be the critical dimen- +sion for diffusion. Abrahams, Anderson, Licciardello and Ramakrishnan used a weak disorder +calculation to construct a scaling theory that implied that in D = 2 dimensions the RG flow +of the conductivity at long distances (large samples) flows to zero and all states are localized +[63]. Shortly thereafter Wegner gave strong arguments that showed that the existence of diffu- +sion implied that there are low-energy “diffusson” modes which behaved as Goldstone modes of +a non-linear sigma model on the quotient manifold O(N+ + N−)/O(N+) × O(N−) in the “replica +limit” N± → 0 [64]. A field theory approach to this non-linear sigma model was developed by +McKane and Stone [65] and by Hikami [66]. +4. Quantum Criticality +Quantum criticality is the theory of a phase transition of a system (e.g. a magnetic system) +at zero temperature that occurs as a coupling constant (or parameter) is varied continuously. +Although not necessarily under that name, this question has existed as a conceptual problem for +a long time, In particular, already in 1973 Wilson considered the problem of the behavior of +quantum filed theories blow four spacetime dimensions and their phase transitions [67]. +The modern interest in condensed matter physics stems from discoveries made since the late +1980s. Since that time he behavior of condensed matter systems at a quantum critical point has +emerged as a major focus in the field. There were several motivations for this problem. One +was (and still is) to understand the behavior of quantum antiferromagnets in the presence of +frustrating interactions. Frustrating interactions are interactions which favor incompatible types +of antiferromagnetic orders. The result is the presence of intermediate non-magnetic “valence +bond” phases that favor the formation of spin singlets between nearby spins. these phases typ- +ically either break the point group symmetry of the lattice or are spin liquids (which will be +discussed below). Another motivation is that doped quantum antiferromagnets typically harbor +superconducting phases (among others) whose high-temperature behavior is a “strange” metal +that violates the basic assumptions (and behaviors) of Fermi liquids. The most studied version +of this problem is the case of the copper oxide high temperature superconductors. It was con- +jectured that there is a quantum critical point inside the superconducting phase at which the +11 + +antiferromagnetic order (or other orders) disappears and which may be the reason for the strange +metal behavior above the superconducting critical temperature. Many of these questions are +discussed in depth by Sondhi and coworkers [68] and in the textbook by Sachdev [69]. +4.1. Dynamic Scaling +We will consider a general quantum phase transition and assume that it is scale invariance. +However, except for the case of relativistic quantum field theories, in condensed matter systems +space and time do not need to scale in the same way. Let us assume that the system of interest has +just one coupling constant g and that the system of interest has a quantum phase transition (at zero +temperature) at some critical value gc between two phases, for instance one with a spontaneously +broken symmetry and a symmetric phase. If the quantum phase transition is continuous then the +correlation length ξ will diverge at gc and so will the correlation time ξt. However these two +scales are in general different and do not necessarily diverge at the same rate. So, in general, +if some physical quantity is measured at the quantum critical point at some momentum p and +frequency ω, the length scale of the measurement is 2π/|p| and at a frequency is ω ∼ |p|z, where +z is the dynamic critical exponent. Let us say that we measure the observable O at momentum p +and frequency ω at gc. Scale invariance in both space and time means that at gc the observable +O(p, ω) at momentum p and frequency ω must scale as +O(p, ω) = |p|−∆O ˜O(|p|z/ω) +(22) +where ∆O is the scaling dimension of the observable O. +The situation changes at finite temperature T. A quantum field theory at temperature T is +described by a path integral on a manifold which along the imaginary time direction τ is finite +of length 2π/T and periodic for a theory bosonic fields and anti-periodic for fermionic fields +[10]. Since the imaginary time direction is finite, the behavior for correlation times ξτ < 2π/T +and ξτ > 2π/T must be different. Indeed, in the first regime the behavior is essentially the same +as at T = 0, while in the second it should be given by the classical theory in the same space +dimension.At the quantum critical point gc there is only one time scale ξτ ∼ 2π/T and only one +length scale ξ ∼ (2π/T)1/z. +4.2. The Ising Model in a Transverse Field +The prototype of the quantum phase transition is the Ising model in a transverse field. This +model describes a system of spin-1/2 degrees of freedom with ferromagnetic interactions with +uniaxial anisotropy in the presence of a transverse uniform magnetic field. The Hamiltonian is +H = −J +� +⟨r,r′⟩ +σ3(r)σ3(r′) − h +� +r +σ1(r) +(23) +where J and h are the exchange coupling constant and the strength of the transverse field, re- +spectively. Here σ1 and σ3 are the two Pauli matrices defined on the sites {r} of a lattice with +ferromagnetic interactions between spins on nearest neighboring sites. The Hilbert space is the +tensor product of the states of the spins at each site of the lattice. At each site there are two nat- +ural bases of states: the eigenstates of σ3, which we denote by | ↑⟩ and | ↓⟩ (whose eigenvalues +are ±1), and the eigenstates of σ1, which we denote by |±⟩ (whose eigenvalues are also ±1). +It is well known that the Ising Model in a Transverse Field on a hypercubic lattice in D +dimensions is equivalent to a classical Ising model in D + 1 dimensions [70, 71]. These two +models are related through the transfer matrix. Indeed, a classical Ising model can be regarded +as a path integral representation of the quantum model in one dimension less. For simplicity +we will see how this work for the 2D the classical ferromagnetic Ising model of Eq.(1), but the +construction is general. We will regard the configuration of spins on a row of the 2D lattice as +a state of a quantum system, and the set of states on all rows as the evolution of the state along +the perpendicular direction that we will regard as a discretized imaginary time. The contribution +from two adjacent rows to the partition function defines the matrix element of a matrix between +two arbitrary configurations. In Statistical Physics this matrix is known as the Transfer Matrix ˆT +and the full partition function (with periodic boundary conditions) is +Z = tr ˆT Nτ +(24) +where Nτ is the number of rows. For the case of the ferromagnetic Ising model (actually, for any +unfrustrated model) the transfer matrix can always be constructed to be hermitian. This property +12 + +holds in fact for any theory that satisfies a property known as reflection positivity which requires +that all (suitably defined) correlation functions be positive. For theories of this type, and the Ising +model is an example, the matrix elements of the transfer matrix can be identified with the matrix +element of the evolution operator of a quantum theory for a small imaginary time step [70]. Also, +the positivity of the correlators is equivalent to the condition of positivity of the norm of states in +the quantum theory. +For the classical models that satisfy these properties, all directions of the lattice are equiv- +alent. Moreover, asymptotically close to the critical point, the behavior of all the correlators +becomes isotropic, i.e. invariant under the symmetries of Euclidean space. This means that +the arbitrary choice of the direction for the transfer matrix is irrelevant. Consequently, tin the +quantum model its equal-time correlators behave the same way as its correlation functions in +imaginary time. In other words space and time behave in the same way and the quantum the- +ory is relativistically invariant. This implies at the quantum critical point the energy ε(p) of its +massless excitations should behave as ε(p) = v |p|. In a relativistic theory the dynamical critical +exponent must be z = 1 and the coefficient v is the speed of the excitations (the “speed of light”). +We should note that this is not necessarily always the case. There are in fact classical systems, +e.g. liquid crystals [72], which are spatially anisotropic and map onto quantum mechanical theo- +ries in one less dimension for which the dynamical critical exponent z � 1. One such example are +the Lifshitz transitions of nematic liquid crystals in three dimensions and the associated quantum +Lifshitz model in D = 2 dimensions, for which the dynamical exponent is z = 2 [73]. +Just as in the classical counterpart in D + 1 dimensions, the quantum model in D ≥ 1 has +two phases: a broken symmetry ferromagnetic phase for J ≫ h and a symmetric paramagnetic +phase for h ≫ J. In the symmetric phase the ground state is unique (asymptotically is the +eigenstate of σ1 with eigenvalue +1), while in the broken symmetry phase the ground state +is doubly degenerate (and asymptotically is an eigenstate of σ3) and there is a non-vanishing +expectation value of the local order parameter ⟨σ3(r)⟩ � 0. In the symmetric phase the correlation +function of the local order parameter decays exponentially with distance with a correlation length +ξ, as does the connected correlation function in the broken symmetry phase. The model has +a continuous quantum phase transition at a critical value of the ratio h/J. For general space +dimensions D > 1 this model is not exactly solvable and much of what we know about it is due +to large-scale numerical simulations. +This problem was solved exactly in one-dimension [23] using the Jordan-Wigner transfor- +mation that maps a one dimensional quantum spin system to a theory of free fermions [22]. The +fermion operators at site j are +χ1(j) = K(j − 1)σ3(j), +χ2(j) = i ˆK(j)σ3(j) +(25) +where K(j) is the kink creation operator (i.e. the operator that creates a domain wall between +sites j and j + 1 [70], and is given by +K(j) = +� +n≤ j +σ1(n) +(26) +The operators χ1(j) and χ2(j) are hermitian, χ† +j(n) = χ j(n), and obey the anticommutation algebra +{χ j(n), χ j′(n′)} = 2δ j j′δnn′ +(27) +Hence, they are fermionic operators are hermitian, anti-commute with each other and square to +the identity. Operators of this type are called Majorana fermions. +Alternatively, we can use the more conventional (Dirac) fermion operators c(n) and its adjoint +c†(n) which are related to the Majorana fermions as +c(n) = χ1(n) + iχ2(n), +c†(n) = χ1(n) − iχ2(n) +(28) +which obey the standard anticommutation algebra +{c(n), c(n′)} = {c†(n), c†)n′)} = 0, +{c(n), c†(n′)} = δ − nn′ +(29) +In this sense, a Majorana fermion is half of a Dirac fermion. +In terms of the Majorana operators the Hamiltonian of Eq.(23) becomes +H = i +� +j +χ1(j)χ2(j) + ig +� +j +χ2(j)χ1(j + 1) +(30) +13 + +where we have rescaled the Hamiltonian by a factor of h and the coupling constant is g = J/h. +Here we have not specified the boundary conditions (which depend on the fermion parity). Qual- +itatively, the Majorana fermions can be identified with the domain walls of the classical models. +In the Ising model the number of domain walls on each row is not conserved but their parity is. +Likewise, the number of Majorana fermions NF is not conserved either but the fermion parity, +(−1)NF, is conserved. +It is an elementary excercise to show that the spectrum of this theory has a gap G(g) which +vanishes at gc = 1 as G(g) ∼ |g − gc|ν, with an exponent ν = 1. Since the Hamiltonian of +Eq.(30) is quadratic in the Majorana operators, these operators obey linear equations of motion. +In the scaling regime we take the limit of the lattice spacing a → 0 and the coupling constant +g → gc = 1, while keeping the quantity m = (g − gc)/a fixed. In this regime, the two-component +hermitian spinor field χ = (χ1, χ1), and χ† = χ, satisfies a Dirac equation +(i/∂ − m)χ = 0 +(31) +where we set the speed � = 1, and where defined the 2 × 2 Dirac gamma-matrices γ0 = σ2, +γ1 = iσ3, and γ5 = σ1. Upon defining ¯χ = χTγ0, we find that the Lagrangian of this field theory +is +L = ¯χi/∂χ − 1 +2m ¯χχ +(32) +which indeed becomes massless at the quantum phase transition of the Ising spin chain. For these +considerations, we say that the phase transition of the Ising model (2D classical or 1D quantum) +is in the universality class of massless Majorana fermions where m → 0. In Eq.(32) we have +used the standard Feynman slash notation, /a = γµaµ, where aµ is a vector. +4.3. Quantum Antiferromagnets and Non-Linear Sigma Models +As we noted above, the discovery of high temperature superconductors in the copper ox- +ide compounds prompted the study of the behavior of these strongly correlated materials at low +temperatures and of possible quantum phase transitions which they may host. The prototypical +cuprate material La2CuO4 is a quasi two-dimensional Mott insulator which exhibits long-range +antiferromagnetic order below a critical temperature Tc. A simple microscopic model is a spin-S +quantum Heisenberg antiferromagnet on the 2D square lattice of the Cu atoms, whose Hamilto- +nian is +H = 1 +2 +� +r,r′ +J(|r − r′|) S(r) · S(r′) +(33) +where S are the spin-S angular momentum operators. We will consider the case where the ex- +change interaction for nearest neighbors J is dominant and a weaker J′ ≪ J for next nearest +neighbors. In this section we do not consider the regime J′ ≃ J in which the interactions com- +pete for incompatible ground states due to frustration effects. +4.3.1. Spin coherent states +The simplest way to see the physics of this antiferromagnet is to construct a path-integral +representation for a spin-S system using spin coherent states [74, 75, 76]. For details see Ref.[9] +which we follow here. A coherent state of the (2S + 1-dimensional) spin-S representation of +SU(2) is the state |n⟩, labeled by the spin polarization unit vector n +|n⟩ = eiθ(n0×n)·S |S, S ⟩ +(34) +where n2 = 1. The states of the spin-S representation are spanned by the eigenstates of S 3 and +S2, +S 3 |S, M⟩ = M|S, M⟩, +S2|S, M⟩ = S (S + 1)|S, M⟩ +(35) +and |S, S ⟩ is the highest weight state with eigenvalues S and S (S + 1). In Eq.(34) n0 is a unit +vector along the axis of quantization (the direction e3), and θ is the colatitude, such that n · n0 = +cos θ. Two spin coherent states, |n1⟩ and |n2⟩, are not orthonormal, +⟨n1|n2⟩ = eiΦ(n1,n2,n0) S +�1 + n1 · n2) +2 +�S +(36) +where Φ(n1, n2, n0) is the area of the spherical triangle of the unit sphere spanned by the unit +vectors n1, n2 and n0. However, there is an ambiguity in the definition of the area of the spherical +14 + +triangle since the sphere is a 2-manifold without boundaries: if the “inside” triangle has spherical +area Φ, the complement (“outside”) triangle has area 4π − Φ. Thus, the ambiguity of the phase +prefactor of Eq.(36) is +ei4πS = 1 +(37) +since S is an integer or a half-integer. So, the quantization of the representations of SU(2) makes +the ambiguity unobservable. In addition, the spin coherent states |n⟩ satisfy the resolution of the +identity +I = +� +|n⟩⟨n| +�2S + 1 +4π +� +δ(n2 − 1) d3n +(38) +and +⟨n|S|n⟩ = S n +(39) +4.3.2. Path integral for a spin-S degree of freedom +As an example consider problem of a spin-S degree of freedom coupled to an external mag- +netic field B(t) that varies slowly in time. The (time-dependent) Hamiltonian is given by the +Zeeman coupling +H(t) = B(t) · S +(40) +As usual, the path-integral is obtained by inserting the (over-complete) set of coherent states at +a large number of intermediate times. The resulting path integral is a sum of the histories of the +spin polarization vector n(t) +Z = tr exp +� +i +� T +0 +dt H(t) +� += +� +Dn exp (iS[n]) +� +t +δ(n2(t) − 1) +(41) +where the action is +S = S SWZ[n] − S +� T +0 +dt B(t) · n(t) +(42) +where SWZ[n] is the Wess-Zumino action +SWZ[n] = +� T +0 +dt A[n] · ∂tn +(43) += +� 1 +0 +dτ +� T +0 +dt n(t, τ) · ∂tn(t, τ) × ∂τn(t, τ) +(44) +where A[n] is the vector potential of a Dirac magnetic monopole (of unit magnetic charge) at +the center of the unit sphere. The vector potential A[n] has a singularity associated with the +Dirac string of the monopole. We can write an equivalent expression which is singularity-free +using Stokes Theorem. We did this in the second line of Eq.(44) which required to extend the +circulation of A on the closed path described by n(t) to the flux of the vector potential through +the submanifold Σ of the unit sphere S 2 whose boundary is the history n(t), i.e. the area of Σ. +The smooth (and arbitrary) extension of configuration n(t) to the interior of Σ is done by defining +n(t, τ) such that n(t, 1) = n0, n(t, 0) = n(t), and n(0, τ) = n(T, τ). Since SWZ is the area of the +submanifold Σ of the unit sphere S 2, just as in Eq.(37), here too there is an ambiguity of 4π in +the definition of the area. Here too, this ambiguity is invisible since the spin S is an integer or a +half-integer. +The path integral of Eq.(41) was derived first by Michael Berry [77] (and extended by Barry +Simon [78]). The first term (which we called Wess-Zumino by analogy with its field theoretic +versions) is called the Berry Phase. The role of this term, which is first order in time derivatives, +is to govern the quantum dynamics of the spin which, in presence of a uniform magnetic field, +executes a precessional motion of the (Bloch) sphere. It is also apparent from this expression that +in the large-S limit, the path integral can be evaluated by means of a semiclassical approximation. +The coherent-state construction shows that this problem is equivalent to the path integral +of a formally massless non-relativistic particle of unit electric charge on the surface of the unit +sphere with a magnetic monopole of magnetic charge S in its interior! This is not surprising +since the Hilbert space of a non-relativistic particle moving on the surface of a sphere with and +radial magnetic field (the field of a magnetic monopole) has a Landau level type spectrum with +a degeneracy given by the flux. The condition of a massless particle means that only the lowest +Landau level survives and all other levels have an infinite energy gap. +The coherent state approach has been used to derive a path integral formulation for ferromag- +nets and antiferromagnets. A detailed derivation can be found in Ref. [9]. +15 + +4.3.3. Quantum Ferromagnet +We will consider first the simpler case of a quantum ferromagnet and in Eq.(33) we will set +J = −|J| < 0 for nearest neighbors and zero otherwise. The action for the path-integral for the +spin-S quantum Heisenberg ferromagnet on a hypercubic lattice is +S = S +� +r +SWZ[n(r, t)] − |J|S 2 +2 +� +⟨r,r′⟩ +� T +0 +dt �n(r, t) − n(r′, t)�2 +(45) +where we have subtracted the classical ground state energy. The oder parameter for this theory +is the expectation value of the local magnetization, n = ⟨n(r)⟩, which is constant in space but +points in an arbitrary direction in spin space. +In the low energy regime the important configurations are slowly varying in space and we +can simply approximate the action of Eq.(45) by its continuum version in d space dimensions +S = S +ad +0 +� +ddx SWZ[n(x, t)] − |J|S 2 +2ad +0 +� +ddx +� T +0 +dt (▽n(x, t))2 +(46) +where a0 is the lattice spacing. As before, the path integral; is done for a field which satisfies ev- +erywhere in space-time the constraint n2(x, t) = 1. This action can be regarded as non-relativistic +non-linear sigma model. +It is straightforward to show that the classical equations of motion for this theory are the +Landau-Lifshitz equations +∂tn = |J|S a2 +0 n × ▽2n +(47) +subject to the constraint n2 = 1. Due to the constraint, the Landau-Lifshitz equation is non-linear. +We will a decomposition of the field into a longitudinal and two transverse components, σ and +π, respectively +n = +�σ +π +� +(48) +subject to the constraint σ2 +π2 = 1. The linearized Landau-Lifshitz equations become (to linear +order in π) +∂tπ1 ≃ −|J|S a2 +0 ▽2 π2, +∂tπ2 ≃ +|J|S a2 +0 ▽2 π1 +(49) +The solution to these equations are ferromagnetic spin waves (magnons or Bloch waves) which +satisfy the dispersion relation +ω(p) ≃ |J|S a2 +0p2 + O(p4) +(50) +which shows that the dynamic exponent for a ferromagnet is z = 2. Notice that in this case the +two transverse components are not independent (they are effectively a dynamical pair). These +are the Goldstone bosons of a ferromagnet. +4.3.4. Quantum Antiferromagnet +Formally, the quantum antiferromagnet has a coherent state path integral whose action is +S = S +� +r +SWZ[n(r, t)] − JS 2 +2 +� +⟨r,r′⟩ +� T +0 +dt n(r, t) · n(r′, t) +(51) +with J > 0. For a bipartite lattice, e.g. the 1D chain, and the square and cubic lattices, the classi- +cal ground state is an antiferromagnet with a N´eel order parameter, the staggered magnetization. +Let m(r) be the expectation value of the local magnetization. A bipartite lattice is the union of +two interpenetrating sublattices, and the local magnetization is staggered, i.e. it takes values with +opposite signs (with equal values) on the two sublattices. Thus, we make the change of variables, +n(r, t) → (−1)rn(r, t) in Eq.(51) and find +S = S +� +r +(−1)rSWZ[n(r, t)] − JS 2 +2 +� +⟨r,r′⟩ +� T +0 +dt (n(r, t) − n(r′, t))2 +(52) +We want to obtain the low energy effective action for the field n(r, t). To this end, we decompose +this field into a slowly varying part, that we will call m(r, t), and a small rapidly varying part +l(r, t) (which represents ferromagnetic fluctuations) +n(r, t) = m(r, t) + (−1)ra0l(r, t) +(53) +16 + +Since n2(r, t) = 1, we will demand that the slowly varying part also obeys the constraint, +m2(r, t) = 1, and require that the two components be orthogonal to each other, m · l = 0. +Due to the behavior of the staggered Wess-Zumino terms of Eq.(52), the resulting continuum +field theory turns out to have subtle but important differences between one dimension and higher +dimensions. Here we will state the results for two and higher dimensions. We will discuss in +detail the one-dimensional below when we discuss the role of topology. +It turns out that if the dimension d > 1, the contribution of the staggered Wess-Zumino terms +for smooth field configurations is [75, 79, 80] +lim +a0→0 S +� +r +(−1)rSWZ[n(r, t)] = S +� +d3x l(x, t) · m(x, t) × ∂tm(x, t) +(54) +The continuum limit of the second term of Eq.(52) in the case of a two-dimensional system is +lim +a0→0 +JS 2 +2 +� +⟨r,r′⟩ +� T +0 +dt �n(r, t) − n(r′, t)�2 = a0 +JS 2 +2 +� +d3x +� +(▽m(x, t))2 + 4l2(x, t) +� +(55) +The massive field l[x, t] represents ferromagnetic fluctuations. Since this is a massive field it can +be integrated-out leading to an effective field theory for the antiferromagnetic fluctuations m(x, t) +whose Lagrangian is that of a non-linear sigma model +L = 1 +2g +� 1 +vs +(∂tm(x, t) − vs(▽m(x, t))2 +� +(56) +where the coupling constant is g = 2/S and the spin-wave velocity is vs = 4a0JS . If we to allow +for a weak next-nearest-neighbor interaction J′ > 0, the coupling constant g and the spin wave +velocity vs become renormalized to g′ ≃ g/ √1 − 2J′/J and v′ +s ≃ vs +√1 − 2J′/J. +We conclude that that the quantum fluctuations about a N´eel state are well described by a non- +linear sigma model. Provided the frustration effects of the next-nearest-neighbor interactions are +weak enough, the long-range antiferromagnetic N´eel order should extend up to a critical value +of the coupling constant gc where the RG beta function has a non-trivial zero, which signals a +quantum phase transition to a strong coupling phase without long-range antiferromagnetic order. +Motivated by the discovery of high temperature superconductivity in the strongly correlated +quantum antiferromagnet La2CuO4 (at finite hole doping) in 1988 Chakravarty, Halperin and +Nelson [81] utilized a quantum non-linear sigma model to analyze this system and its quantum +phase transition. La2CuO4 is a quasi-two-dimensional material and so it exhibits strong quantum +and thermal fluctuations. The upshot of this analysis is that while at T = 0 the non-linear sigma +model has a quantum phase transition, at T > 0 the long range order is absent in a strictly 2D +system but present in the actual material due to the weak-three-dimensional interaction. So, in +the strict 2D case there is no phase transition but two different crossover regimes: a renormal- +ized classical regime (without long range order), a quantum disordered regime and a quantum +critical regime. La2CuO4 has long range N´eel (antiferromagnetic) order at T = 0 and is in the +renormalized classical regime (with long range order due to the weak 3D interaction). +The non-linear sigma model does not describe the nature of the ground state for g > gc +beyond saying that there is no long range order. The problem is that, unlike the Ising model in a +transverse field, the microscopic tuning parameter is the next nearest neighbor antiferromagnetic +coupling J′, and to reach the regime g ≃ gc one has to make J′ ≃ J. This is the regime in which +frustration effects become strong. In this regime the assumption that the important configurations +are smooth and close to the classical N´eel state is incorrect. The nature of the ground state turns +out to depend on the value of S . +5. Topological Excitations +Topology has come to play a crucial role both in Condensed Matter Physics and in Quan- +tum Field Theory. Topological concepts have been used to classify topological excitations such +as vortices and dislocations and to provide a mechanism for phase transitions, quantum num- +ber fractionalization, tunneling processes in field theories, and nonperturbative construction of +vacuum states. Here we will discuss a few representative cases of what has become a very vast +subject. +17 + +5.1. Topological Excitations: Vortices and Magnetic Monopoles +In Condensed Matter Physics topological excitations play a central role in the description of +topological defects and on their role in phase transitions. Here topology integers in the classifi- +cation of the configuration space into equivalence classes characterized by topological invariants +[82]. The most studied example are vortices. Vortices play a key role in the mixed phase of type +II superconductors in a uniform magnetic field [83]. Vortices also play a key role in the Statistical +Mechanics of 2D superfluids and the the 2D classical XY model [84, 85] [86, 87] [88]. Disloca- +tions and disclinations play an analogous role in the theory of classical melting [84, 89, 90], and +2D and 3D classical liquid crystals [91, 92, 72]. +A similar problem occurs in Quantum Field Theory. Theories with global symmetries, such +as the two-dimensional O(3) non-linear sigma model discussed above, when formulated in Eu- +clidean space-time have instantons. Typically instantons are finite Euclidean action configu- +rations, which are also classified into equivalence classes (associated with homotopy groups) +labeled by topological invariants [93, 94]. Instantons play a central role in understanding the +non-perturbative structure of gauge theories. Gauge theories with a compact gauge group cou- +pled to matter fields have non-trivial vortex [95] and monopole [96, 97, 98] configurations, as +do non-abelian Yang-Mills gauge theories [99]. Instantons have also played a central role in +Condensed Matter Physics as well, notably in Haldane’s work on 1D quantum antiferromag- +nets (discussed below), and in the problem of macroscopic quantum tunneling and coherence +[100, 101]. +5.1.1. Vortices in two dimensions +In this section I will focus on the the problem of the superfluid transition in 2D and the +closely related problem of the phase transition of a magnet with an easy-plane anisotropy, the +classical XY model. A superfluid is described by an order parameter that is a one-component +complex field φ(x). If electromagnetic fluctuations are ignored, this description also applies +to a superconductor. The complex field can be written in terms of an amplitude |φ(x)|, whose +square represents the local superfluid density, and a phase θ(x) = arg(φ(x)). +Deep in the +superfluid phase the amplitude is essentially constant, that we will set to be a real positive +number φ0, while the phase field θ(x) is periodic with period 2π and can fluctuate. +Simi- +larly, an easy-plane ferromagnet is described by a two-component real order parameter field +M(x) = (M1(x), M2(x)) = |M(x)|(cosθ(x), sin θ(x)). Deep in the ferromagnetic phase the ampli- +tude |M| is essentially constant but the phase field θ(x) can fluctuate. +We will assume that we are in a regime where the local superfluid density |φ0|2 is well formed +(or, equivalently that |M| is locally well formed) but that the phase field is fluctuating. In this +regime the problem at hand is an O(2) ≃ U(1) non-linear sigma model, and its partition function +takes the form +Z = +� +Dθ exp +� +− +� +d2x 1 +2g +� +∂µθ(x) +�2� +(57) +where we defined the coupling constant g = T/J|φ0|2, where T is the temperature, J is an in- +teraction strength, and |φ0|2 is the magnitude (squared) of the amplitude of the order parameter, +which we will take to be constant; κ = J|φ0|2 is the phase stiffness. +Except for the requirement that the phase field be locally periodic, θ ≃ θ + 2π, superficially +this seems to be a trivial free (Gaussian) field theory. We will see that the periodicity (or, com- +pactification) condition makes this theory non-trivial. Indeed, configurations of the phase field +that are weak enough that that do not see the periodicity condition, for all practical purposes, can +regarded as being non-compact and ranging from −∞ to +∞. However there are many configu- +rations for which the periodicity condition is essential. Such configurations are called vortices. +Even in the absence of vortices, the periodic (compact) nature of the phase field is essential +to the physics of this problem. In fact the only allowed observables must be invariant under +local periodic shifts of the phase field. This implies that the phase field θ itself is not a physical +observable but that exponentials of the phase of the form exp(inθ(x)) are physical. This operator +is just the order parameter field of the XY model. In Conformal Field theory operators of this +type are called vertex operators [102, 103]. We will see below that this theory has a dual field ϑ, +associated with vortices, and that there are vertex operators of the dual field. In String Theory the +model of a compactified scalar is known as the compactified boson and represents the coordinate +of a string on a compactified space, in this case a circle S 1 [104]. +To picture a vortex consider a large closed curve C on the 2D plane. Hence, topologically +a closed curve is isomorphic to a circle, C ≃ S 1. The phase field θ(x) is equivalent to a unit +18 + +circle S 1. Therefore the configuration space are maps of S 1 (the large circle) onto S 1 (the unit +circle of the order parameter space). The configurations can be classified by the number of times +the phase winds on the large circle C. The winding number is an integer called the topological +charge of the configuration, the vorticity. Thus, a vortex is a configuration of the phase field θ(x) +that winds by 2πm (where m is an integer): +(∆θ)C +2π += 1 +2π +� +C +dx · ▽θ(x) ≡ i +� 2π +0 +dϕ +2π eiθ(ϕ)∂ϕe−iθ(ϕ) = m +(58) +where ϕ ∈ (0, 2π] is the azimuthal angle for a vector at the center of the large circle C. Here +n is the vorticity or winding number of the configuration; m > 0 is a vortex and m < 0 is an +anti-vortex. The vorticity is a topological invariant of the field the configuration θ(x) which does +not change under smooth changes. +The winding number of a vortex is a topological invariant that classifies the configurations +of the phase field as continuous maps of a large circle S 1 onto the unit circle S 1 defined by the +phase field. In Topology such continuous maps are called homotopies. The winding number +classifies these maps into a discrete set of equivalence classes, which form a homotopy group +under the composition of two configurations. In this case the homotopy group is called Π1(S 1). +Since the equivalence classes are classified by a topological invariant that takes integer values, +the homotopy group Π1(S 1) is isomorphic to the group of integers, Z [82]. +The field jµ(x) = ∂µθ(x) is the superfluid current, and the vorticity ω(x) is the curl of the +current, i.e. +ω(x) = ǫµν∂µ jν(x) = ǫµν∂µ∂νθ(x) +(59) +which vanishes unless θ(x) has a branch-cut singularity across which the phase field jumps by +2πn. Let ω(x) be the vorticity field with singularities at the locations {x j} of vortices with topo- +logical charge m j +ω(x) = 2π +� +j +m jδ2(x − x j) +(60) +which is satisfied by the phase field configuration +θ(x) = +� +j +2πm jIm ln(z − zj) +(61) +where we have used the complex coordinates z = x1 + ix2. Away from the singularities {x j}, +this configuration obeys the Laplace equation. Hence, it has a Cauchy-Riemann dual field ϑ(x) +which satisfies the Cauchy-Riemnann equation +∂µϑ = ǫµν∂νθ +(62) +which satisfies the Poisson equation +− ▽2ϑ(x) = ω(x) +(63) +whose solution is +ϑ(x) = +� +d2y G(|x − y|) ω(y) +(64) +where G(|x − y|) is the Green function of the 2D Laplacian +− ▽2G(|x − y|) = δ2(x − y) +(65) +In 2D this Green function is +G(|x − y|) = 1 +2π ln +� +a +|x − y| +� +(66) +where a is a short distance cutoff (a lattice spacing). In what follows we will assume that the +Green function of Eq.(66) has been cutoff so that G(|x − y|) = 0 for |x − y| ≤ a. +The energy of a configuration of vortices {n j} with vanishing total vorticity, � +j m j = 0, is +E[θ] = Jφ2 +0 +2 +� +d2x +� +∂µθ +�2 += Jφ2 +0 +2 +� +d2x +� +d2y ω(x) G(|x − y|) ω(y) = 2πJφ2 +0 +� +j>k +m jmk ln +� +a +|x j − xk +� +(67) +19 + +where we used that configurations with non-vanishing vorticity do not contribute to the partition +function since they have infinite energy in the thermodynamic limit. We conclude that, up to an +unimportant prefactor, that the partition function of Eq.(57) is the same as the partition function +a gas of charges {m j} (the vortices) with total vanishing vorticity, � +j m j = 0, +Z2DCG = +� +[{mj}] +exp +−2π Jφ2 +0 +T +� +j 2, relevant for ∆ < 2 +and marginal for ∆ = 2. Hence, vortices are marginal if ∆vortex = 2 which happens if g = π/2. +This is the same as to say that the system is at the Kosterlitz-Thouless critical temperature T = +TKT. Hence, vortices are irrelevant if T < TKT and relevant for T > TKT. +This RG analysis tells us that T > TKT, when vortices proliferate, the coupling constant ν +flows to strong coupling to a regime where ϑ is pinned to an integer value and the theory is in a +massive phase. In this phase the connected vortex correlator decays exponentially with distance +which is the same as to say that the vortex charge is screened. This is why in this phase the +vortices proliferate. It can be shown that in this phase the correlator of the spins of the XY +model, i.e. the correlator of the vertex operator exp(iθ(x)), decays exponentially with distance +and the systems is in its disordered phase. +There is still the question of the nature of the phase with T < TKT. The Mermin-Wagner The- +orem [107] (and its generalizations by Hohenberg [108] and Coleman [109]) states that classical +21 + +statistical mechanical systems with a global continuous symmetry group cannot undergo spon- +taneous symmetry breaking in space dimensions D ≤ 2 (and quantum systems with space-time +dimensions D ≤ 2). Does this theory violate this the Mermin-Wagner Theorem? The answer is +no. It is easy to see that in the phase in which the vortices are irrelevant, i.e. for T < TKT, the +correlator of the order parameter operator is always a power law of the distance |x − y|, +⟨exp(iθ(x)) exp(−iθ(y))⟩ = +const. +|x − y|g/2π +(81) +with an exponent that depends on temperature and satisfies +g +2π = +T +2πJφ2 +0 +≤ 1 +4 +(82) +In other words, the entire low temperature phase is not an ordered phase of matter since the cor- +relator is not constant at long distance. On the other hand, the correlators of the order parameter +exp(iθ) and of the vortices exp(iϑ) have a power la behavior for T < TKT, we conclude that in +this temperature range the system is scale invariant and that it has a line of critical points. +In summary, we succeeded in expressing the partition function as a sum over configurations +of the topological excitations, the vortices. We succeeded in doing that because vortices are +labeled by their coordinates on the plane. In addition, we found a non-trivial phase transition +since the entropy and the energy both scale logarithmically with the linear size of the system +or, equivalently, that vortices became marginally relevant at a critical temperature. This is the +mechanism behind the Kosterlitz-Thouless transition. +One may ask if this construction is generic and the answer is no. As an example consider the +Abelian Higgs model in D = 2. This model has a complex scalar field minimally coupled to a +Maxwell gauge field and, hence, its gauge group is U(1). In the classical spontaneously broken +phase, the gauge field becomes massive. In this phase the long range coherence of the phase field +of the vortices of the scalar field is screened at the scale of the penetration depth. As a result +the Euclidean action of the vortices is now finite. Furthermore, on longer scales the interaction +energy between vortices becomes short ranged. Hence, instead of a 2D Coulomb gas now one +has a gas of particles (vortices and anti-vortices) with short range interactions. In this case the +entropy always dominates and the vortices proliferate [110]. This behavior is quite analogous to +the restoration of symmetry by proliferation of domain walls in one-dimensional classical spin +chains [19] and to the analogous problem of tunneling in the path integral formulation of quantum +mechanical double-well potentials [93]. As a caveat, we should note that, in spite of the obvious +similarities, the 2D Abelian Higgs model does not describe correctly a 2D superconductor (i.e. a +superconducting film) since the electromagnetic field is not confined to the film and this renders +the electromagnetic action nonlocal. +5.1.2. Magnetic monopoles in compact electrodynamics +Instantons are of great interest in Quantum Field Theory since they provide for a mechanism +to understand the non-perturbative structure of these theories. For this reasons they have been +used to understand the mechanisms of quark confinement and the role of quantum anomalies +in non-Abelian gauge theories [99, 97, 98, 96, 111]. Instantons in non-Abelian gauge theories +are magnetic monopoles and the condensation of monopoles have long been argued to be the +mechanism behind quark confinement. +The simplest non-Abelian gauge theory that has magnetic monopoles is the Georgi-Glashow +[112]. This model has a three-component real field φ and an SU(2) Yang-Mills gauge field Aµ. In +its Higgs phase the scalar field φ acquires an expectation value which breaks the gauge symmetry +group SU(2) down to its diagonal U(1) subgroup. Since U(1) ⊂ SU(2), this Abelian gauge group +is compact, meaning that its magnetic fluxes are quantized. Polyakov [113] and ’t Hooft [111] +showed that in 2+1 Euclidean dimensions have non-singular instanton solutions which at long +distances resemble the magnetic monopole originally proposed by Dirac in 1931 [114] +Bi(x) = q +2 +xi +|x|2 − 2πqδi,3δ(x1)δ(x2)θ(−x3) +(83) +The first term in Eq.(83) is the magnetic radial field of a monopole of magnetic charge q. The +second term represents an infinitely long infinitesimally thin solenoid ending at the location of +the monopole, x = 0, that supplies the quantized magnetic flux 2πq. This singular term is +known as the Dirac string. The string itself (and its orientation) is physically unobservable to any +22 + +electrically charged particle that obeys the Dirac quantization condition, qe = 2π (in units where +ℏ = c = 1). +In the language of a lattice gauge theory [32], a theory with a compact (i.e. periodic) U(1) +gauge fields on a D = 3 cubic lattice, describing a compact gauge field in 2 + 1 dimensions. +This theory should have instantons that resemble magnetic monopoles much in the same way as +a theory with a compact global U(1) symmetry has vortices. The simplest example is Polyakov’s +compact electrodynamics [97] whose partition function is +Z = +� +x,µ +� 2π +0 +dAµ(x) +2π +exp + +1 +4e2 +� +x,µ,ν +cos(Fµν(x)) + +(84) +where Fµν(x) = ∆µAν(x)−∆νAµ(x) ≡ � +µ Aµ is the magnetic flux through the elementary plaquette +labeled by a site x and a pair of directions, µ and ν, with µ = 1, 2, 3. This theory is invariant under +local gauge transformations Aµ(x) → Aµ(x) + ∆µΦ(x) and it is also invariant under local periodic +shifts of the gauge fields Aµ(x) → Aµ(x) + 2πℓµ(x), where ℓµ(x) ∈ Z. The plaquette flux operator +satisfies the lattice version of the Bianchi identity that the product of exponentials of the flux on +the faces of every elementary cube of the lattice is +� +cubefaces +eiFµν(x) = 1 +(85) +which says that the theory can have magnetic monopoles of integer magnetic charge. +We will analyze this theory following an approach analogous to what we used for vortices in +section 5.1.1.To this end we will consider the partition function +Z[Bµν] = +� +DAµ exp +� +− 1 +4e2 +� +d3x +� +Fµν(x) − Bµν(x) +�2� +(86) +where Fµν(x) = ∂µAν − ∂νAµ is the field strength of the abelian U(1) Maxwell gauge field Aµ. +Here Bµν(x) is an (anti-symmetric) two-form background gauge field. The coupling constant of +this theory is e2. Since Aµ is a connection it has units of length−1, and F2 +µν is a dimension 4 field. +Then, in D = 3 dimensions, e2 has units of length−1. +The theory is invariant under two local transformations, namely the usual invariance under +gauge transformations +Aµ(x) → Aµ(x) + ∂µΦ(x), +Bµν(x) → Bµν(x) +(87) +where Φ(x) is an arbitrary smooth function of x. The presence of the background two-form field +Bµν now requires invariance under one-form gauge transformations +Aµ(x) → Aµ(x) + aµ(x), +Bµν(x) → Bµν(x) + ∂µaν − ∂νaµ +(88) +The two-form gauge field Bµν essentially represents the magnetic monopoles. Let {m j} be a +configuration of monopoles of charges m j with coordinates {x j}, with total vanishing monopole +charge, � +j m j = 0. Let M(x) be the magnetic monopole density at x, +M(x) = 2π +� +j +m j δ3(x − x j) +(89) +which can be expressed as the curl of the two-form gauge field Bµν, +M(x) = 1 +2ǫµνλ∂µBνλ(x) +(90) +We will proceed next much in the same way as in Eq.(72) and rewrite the partition function +of Eq.(86) in terms of a two-form Hubbard-Stratonovich field bµν(x) such that +Z[B] = +� +DAµ +� +Dbµν exp +� +−e2 +4 +� +d3x b2 +µν(x) + i +� +d3x 1 +2bµν(x) +� +Fµν(x) − Bµν(x) +�� += +� +DAµ +� +Dbµν exp +� +−e2 +4 +� +d3x b2 +µν(x) + i +� +d3x +� +Aµ(x)∂νbµν(x) − 1 +2bµν(x)Bµν(x) +�� +(91) +23 + +Thus, the gauge field Aµ plays the role of a Lagrange multiplier field the enforces the constraint +∂νbµν(x) = 0 +(92) +which is solved in terms of a compact scalar field ϑ(x) +bµν(x) = ǫµνλ∂λϑ(x) +(93) +Using this identity and the definition of the monopole density M(x) we find that the partition +function Z[Bµν] of Eq.(86) becomes +Z[B] = +� +Dϑ exp +� +− +� +d3x +�e2 +2 (∂µϑ(x))2 + iM(x)ϑ(x) +�� += +� +Dϑ exp +−e2 +2 +� +d3x(∂µϑ(x))2 + 2πi +� +j +m jϑ(x j) + +(94) +which requires that the field ϑ obeys the compactification condition ϑ → ϑ + n, where n is an +arbitrary integer. Eq.(94) says that the magnetic monopole instantons of the compact U(1) gauge +theory are dual to charges of the dual phase field ϑ, which has a compact U(1) global symmetry. +The full partition function is obtained by summing over all monopole configurations satis- +fying the total neutrality condition, � +j m j = 0. As in section section 5.1.1, we will weigh the +configurations with a coupling u and find +Z = +� +{mj} +Z{m j} +� +Dϑ exp +−e2 +2 +� +d3x (∂µϑ)2 + +� +j +2πim jϑ(x j) − u +� +j +m2 +j + +(95) +which is the same theory we found in Eq.(77) except that now we are in 3D. Moreover, summing +only over dilute configurations of monopoles and anti-monopoles we find, once again the sine- +Gordon theory but now in D = 3 dimensions: +Z = +� +Dϑ exp +� +− +� +d3x +�e2 +2 (∂µϑ)2 − � cos(2πϑ) +�� +(96) +with � = 2 exp(−u)/a3. +In spite of the similarities between Eq.(96) and the sine-Gordon theory in 2D, Eq.(78), the +physics is very different. It is straightforward to see that, in the limit v = 0, the monopole operator +correlator is +⟨exp �2πiϑ(x)) exp(−2πiϑ(y)� = exp +�4π2 +e2 [G(|x − y|) − G(0)] +� +≃ exp +� π +2e2 +� 1 +R − 1 +a +�� +(97) +where a is the short-distance cutoff. Unlike the behavior of the correlator of the vortex operators +in 2D found in Eq.(79), Eq.(97) does not show a power-law behavior. The reason is that at � = 0 +the compactified field ϑ should be regarded as the Goldstone boson of a spontaneously broken +U(1) symmetry. However, the cosine operator is now always relevant and the field ϑ is pinned +and its fluctuations are actually massive. +Looking back at the partition function of Eq.(95), we could integrate out the field ϑ and +obtain an expression with the same form as the Coulomb gas of Eq.(68) except that now this is +the three-dimensional neutral Coulomb gas [97] +Z3DCG = +� +[{mj}] +exp +− π +2e2 +� +j 0, one can always +rescale the time and space coordinates without affecting the form of the Lagrangian, including +the coupling constant or, as we will see, the value of the θ angle. In what follows we will assume +that we have done the rescaling in such a way that we set vs = 1 and, that time and space scale as +lengths. Thus we will use a relativistic notation and, after an analytic continuation to imaginary +time, we label the time coordinate by x2 and the space direction by x1. The partition function +now takes the form +Z = +� +Dmexp +� +− 1 +2g +� +Ω +d2x +� +∂µn +�2 + iθ Q[m] +� +(102) +where Ω is the spacetime manifold. In this notation the first term of the exponent is called the +Euclidean action of the non-linear sigma model. In Eq.(102) we denoted by Q[m] the quantity +Q[m] = 1 +8π +� +Ω +d2x ǫµνm · ∂µm × ∂νm +(103) +Here we will consider the case in which the spacetime manifold Ω is closed. In particular +we will assume that it is a two-sphere S 2. The quantity Q[m] is the integral of a total derivative +which counts the number of times the field configuration m(x1, x2) wraps around the sphere S 2. +In other words, it yields a non-vanishing result only for “large” configurations which wind (or +wrap) around the sphere S 2. Since Q[n] is an integer, it has the same for all smooth the field +configuration m that can be smoothly deformed into each other and are homotopically equiva- +lent. If we demand that the field configurations m have finite Euclidean action, which requires +that at infinity the configurations take the same (but arbitrary) value of m, we have effectively +compactified the x1 − x2 plane into a two sphere S 2. On the other hand the field m is restricted +by the constraint m2 = 1 to take values on a two-sphere S 2. Therefore, the field configurations +m(x1, x2) are smooth maps of the S 2 of the coordinate space to the S 2 of the target space of the +field m. Hence, the integer Q[m] classifies the smooth field configurations into a set of equiva- +lence classes each labeled by the integer Q. Under composition homotopies form groups, and the +equivalence classes themselves also form a group which, in this case, is isomorphic to the group +of integers, Z. In Topology, these statements are summarized by the notation Π2(S 2) ≃ Z. The +25 + +configurations with non-zero values of Q are called instantons which, in the quantum problem, +represent tunneling processes of the non-linear sigma model. +Another consequence of Q being an integer is that the contribution of its term to the weight of +the path integral of Eq.(103) is a periodic function of θ angle. On the other hand, since the only +allowed values of the θ are θ = 0 (mod 2π) for S integer, or θ = π (mod 2π) for S a half-integer, +the contribution of the topological invariant Q to the weight of the path integral is +exp(iθ Q[m]) = (−1)2S Q +(104) +Therefore, for spin chains with S integer, the weight is 1 and the topological invariant does not +contribute to the path integral. But, if S is a half-integer, the weight is (−1)Q[m], and it does +contribute. Moreover, its contribution is the same for all half-integer values of S . +These results have important consequences for the physics of spin chains which led Haldane +to some startling conclusions [115]. In the weak coupling regime, g ≪ 1 (equivalently, for +large S ), we can use the perturbative renormalization group and derive the beta function for all +these O(3) non-linear sigma models (with or without topological terms) and find that their beta +functions are the same as in Eq.(21) with N = 3. Hence, for all S , the effective coupling flows +to large values. We can make this inference since the topological term yields no contribution for +all configurations which are related by smooth deformations. Thus, we infer that all spin chains +with S integer are in a massive phase with an exponentially small energy gap ∼ exp(−2πS ). This +result is nowadays known as the Haldane gap. +On the other hand, these results also imply that all spin chain with half-integer spin S are +also the same and, in particular, th same as spin-1/2 chains. However, the Hamiltonian of the +quantum spin chain with spin-1/2 degrees of freedom is an example of an integrable system and +its spectrum is known to be gapless from its Bethe Ansatz solution [116, 117]. However, the +spin-1/2 chain is not only gapless but its low energy states are gapless solitons with a relativistic +spectrum. The low energy description of a theory of this type must be described by a conformal +field theory. Haldane concluded that the RG flow for spin-1/2 chains must have an IR stable fixed +point at some finite (and large) value of the coupling constant. This conjecture was confirmed by +Affleck and Haldane [118] who showed that the spin-1/2 Heisenberg chains are in the universality +class of the SU(2)1 Wess-Zumino-Witten model [119] whose CFT was solved by Knizhnik and +Zamolodchikov [120]. +5.3. Topology and open integer-spin chains +In the preceding section we showed that integer spin chains have a Haldane gap. We did that +by showing that in that case the topological term is absent. However, the derivation is correct +provided the spacetime manifold is closed, e.g. a sphere, a torus, etc. What happens if the system +has a boundary? Let us denote the boundary of Ω by Γ = ∂Ω. For example we will take Γ to be +along the imaginary time direction and hence that it is a circle of circumference 1/T, where T +is the temperature. The topological term has the same form as the Berry phase term of the path +integral for spin, the “Wess-Zumino” term of Eq.(44), but its prefactor is 1/2 as big. Thus, for +a system with an open boundary the topological term yields a net contribution equal to a Berry +phase with a net prefactor of S/2. +In other words, the boundary of the integer spin chain behaves as a localized degree of free- +dom whose spin is 1/2 (mod an integer). Form the periodicity requirement we also see that if +the spin chain is made of odd-integer degrees of freedom, there should be a spin 1/2 degree of +freedom localized at the open boundary!. Conversely, if the chain is made of even-integer spins, +there is no boundary degree of freedom! This line of argument implies that an antiferromagnetic +chain with odd-integer spins must have a spin-1/2 degree of freedom at the boundary whereas +a chain of even-integer spins should not. Notice that the “bulk” behavior is the same for both +odd and even integer spin chains. The difference is whether or not they have a non-trivial “zero- +mode” state at the boundary. In particular, the existence of this state is robust, i,.e. it cannot +be removed by making smooth changes to the quantum Hamiltonian or, what is the same, the +boundary state is topologically protected. +A simple system that displays a protected spin-1/2 zero mode at the boundary is a generalized +S = 1 spin chain with Hamiltonian +H = α +N +� +j=1 +S(j) · S(j + 1) + β +N +� +j=1 +(S(j) · S(j + 1))2 +(105) +26 + +where S(j) = (S x(j), S y(j), S z(j) are the spin 1 matrices at each lattice site j. This problem was +examined in great detail by Affleck, Kennedy, Lieb and Tasaki [121] who showed that at the +special value of the parameters α = 1/2 and β = 1/6 this Hamiltonian takes the form of a sum of +projection operators +H = +� +j +P2(S(j) + S(j + 1)) +(106) +where P2 is an operator that projects out the spin 2 states. These authors constructed the exact +ground state, known as the AKLT state, of this Hamiltonian by writing each spin 1 degree of +freedom of two spin-1/2 degrees of freedom at each site. They showed that the ground state is a +projected product state in which the “constituent’ spin-1/2 degrees of freedom (each labeled by ++ and − respectively) on nearby sites j and j + 1 are in a valence bond singlet state of the form +1√ +2(| ↑j,+, ↓j+1,−⟩− ↓j,+, ↑j+1,−⟩ (and symmetrizing at each site to project onto a spin 1 state). +This state of the spin-1 chain is translation invariant and gapped and hence agrees with Haldane’s +result. Moreover, it has a spin-1/2 degree of freedom at each open boundary [122]. +The arguments discussed above show that the AKLT state is a gapped topological state. The +gapless spin-1/2 boundary states are an example of spin fractionalization. The spin-1/2 boundary +degrees of freedom are an example of an edge state which are present in many, thought not all, +topological phases of matter. One may ask what symmetry protects the gaplessness of these edge +degrees of freedom. The only perturbation that would give a finite energy gap to the spin-1/2 +edge states is an external magnetic field. However, this perturbation would break the global +SU(2) symmetry of the Hamiltonian as well as time reversal invariance. +6. Duality in Ising Models +Duality plays a significant role of our understanding of statistical physics and of quantum +field theory. Many seemingly unrelated correspondences between different theories have come +to be called dualities. +6.1. Duality in the 2D Ising Model +One of the earliest versions of duality transformations was used to relate the high-temperature +expansion of the 2D classical Ising model and its low-temperature expansion [123]. In all dimen- +sions, for concreteness we will think of a hypercubic lattice, the high temperature expansion is a +representation of the partition function as a sum of contributions of closed loops on the lattice. At +temperature T, a configuration of loops γ contributes with a weight which in the Ising model has +the form C(γ) tanhL(γ)(β), where β = 1/T and L(γ) is the length of the loop γ, i.e. the number +of links on the loop, and C(γ) is an entropic factor that counts the number of allowed loops with +fixed perimeter L(γ). However not all loop configurations are allowed as in the Ising model they +satisfy constraints such as being non-overlapping, etc. +In section 4.2 we noted that the partition function of the classical Ising model (in any dimen- +sion) can be interpreted as the path-integral of a quantum spin model in one dimension less on a +lattice with a discretized imaginary time. In this picture, the loops γ can be regarded as processes +in which pairs of particles are created at some initial (imaginary) time, evolve and eventually are +annihilated at a later (imaginary) time. In other words, the high temperature phase is a theory of +a massive scalar field. The restrictions on the allowed loop configurations represents interactions +among these particles. In the temperature range in which the expansion in loops is convergent +the particles are massive as the loops are small. As the radius of convergence of the expansion is +approached, longer and increasingly fractal-like loops begin to dominate the partition function, +and concomitantly the mass of the particles decreases. This process is the signal of the approach +to a continuous phase transition where the particles become massless. In fact, right at the critical +point the particle interpretation is lost as the associated fields acquire anomalous dimensions. +Returning to the 2D classical Ising model, Kramers and Wannier also considered the low +temperature expansion. This is an expansion around one of the broken symmetry state, e.g. +the state with all spins up. In this low temperature regime the partition function is a sum of +configurations of flipped spins. A typical configuration is a set of clusters of flipped spins. In the +absence of a uniform field, a configuration of flipped spins has a energy cost only on links of the +lattice with oppositely aligned spins (“broken bonds”). Thus a cluster of flipped spins costs an +energy equal to 2 (I assumed that I set J = 1) for each broken bond at the boundary of the cluster. +This boundary is domain wall which is a closed loop on the dual lattice. In 2D the dual of the +square lattice is the square lattice of the dual sites (the centers of the elementary plaquettes of the +27 + +2D lattice). In 2D the links of the direct lattice pierce the links of the dual lattice. We can see +that this analogous to the the geometric duality of forms: sites (“0-forms”) are dual to plaquettes +(“2-forms”) and links (“1-forms”) are dual to links (also “1-forms”). +Thus, in 2D the low temperature expansion is an expansion in the loops γ∗ of the dual lattice +that represent the domain walls. We can also regard the domain walls (the dual loops) as the +histories of of pairs of particles on he dual lattice. However, the weight of each dual loop is +exp(−2β) per link of γ∗. Except for that, the counting and restrictions on the dual loops γ∗ +are the same as those of γ. This means that there is a one-to-one correspondence between the +two expansions with the replacement tanh β ↔ exp(−2β∗). This mapping means that the dual +of the 2D classical Ising model (with global Z2 symmetry) at inverse temperature β is a dual +Ising model (also with global Z2 symmetry) on the dual lattice at inverse temperature β∗. This +correspondence is in close analogy with what we discussed in section 5.1.1. +In particular if one assumes that there is a transition at βc = 1/Tc then there should also be a +transition at β∗ +c = −1/2 lntanh βc. Moreover, if one further assumes (as Kramers and Wannier did +[123]) that there is a unique transition (correct in the Ising model but not in other cases), then the +critical point must be such that exp(−2βc) = tanh βc, which yields the value Tc = 2/ ln( +√ +2 + 1), +which agrees with the Onsager result [20]. +In section 4.2 we showed that the classical 2D Ising model is equivalent to the one-dimensional +Ising model in a transverse field whose Hamiltonian is given in Eq.(23). The 1D Ising model on +a transverse field has spin degrees of freedom defined on the sites of a one-dimensional chain +labeled by an integer-valued variable n. The 1D Hamiltonian is expressed in terms of local op- +erators, the Pauli matrices σ3(n) and σ1(n). The 1D chain has a dual lattice whose sites are the +midpoints of the chain. Thus in 1D sites (“0-forms”) are dual to links (“1-forms”) and viceversa. +We will now see that there is a Hamiltonian version of the Kramers-Wannier duality [70]. +In Eq.(26) we introduced the kink creation operator which flips are σ3 operators to the left and +including site j. For clarity we will denote the kink creation operator operator as τ3(˜n), where +˜n is the site of the dual lattice between the sites n and n + 1 of the original lattice. We will now +define an operator τ1(˜n) = σ3(n)σ3(n+1). The operators τ1(˜n) and τ3(˜n) satisfy the same algebra +os the Pauli operators σ1(n) and σ3(n). Furthermore, we readily find the Hamiltonian of the dual +theory is the same (up to boundary conditions) as the original Hamiltonian of Eq.(23) except +that the dual coupling constant is λ∗ = 1/λ. So, once again, if we assume that there is a single +(quantum) phase transition we require λ∗ +c = λc which is only satisfied by λc = 1. In this language +the kink creation operator plays the role of a disorder operator [70]. +6.2. The 3D duality: Z2 gauge theory +We will now discuss the role of duality in the 3D Ising model on a cubic lattice. This case, +and its generalizations to higher dimensions, was considered first by Franz Wegner [124]. +In section 6.1 we discussed the loop representation of the high temperature expansion and +showed that it has the form form in all dimensions. Hence, in 3D the high temperature expansion +is an expansion in closed loops γ with weight of tanh β per unit link of loop. Hence, in 3D as +well, the high temperature phase can be regarded as field theory of a massive scalar field. As in +the 2D case, the weight of a loop configuration is tanh β for each link of the loop γ. +However, the low temperature expansion has a radically different form and physical inter- +pretation. Much as in 2D, the low temperature expansion is an expansion in clusters of flipped +spins. Here too, in the absence of an external field, the only energy cost resides at the boundary +of the clusters of overturned spins, the domain walls. But in 3D the clusters occupy volumes +whose boundaries are closed surfaces Σ∗. In 3D a link (bond) is dual to a plaquette (expressing +the fact that in 3D a 1-form is dual to a 2-form). Hence the closed domain walls of overturned +spins is dual to a closed surface Σ∗ on the dual lattice. The weight of each configuration of closed +surfaces is exp(−2β) for each plaquette of the surface Σ∗. +These facts mean that the dual of the 3D Ising model is a theory on the dual lattice with +coupling constant β∗, with exp(−2β∗) = tanh β, such that its expansion for small β∗ is a sum over +configurations of closed surfaces σ∗, and for large β∗ is a sum of configurations of closed loops +γ∗ on the dual lattice. The dual theory is the naturally defined on (dual) plaquettes, not on links. +To this end, let us define a set of Ising-like degrees of freedom σµ(x) = ±1 located on the links +(x, µ) of the dual lattice. These degrees of freedom are coupled on each plaquette of the lattice. +Since each plaquette has four links, the coupling involves the degrees of freedom on all four links +28 + +of each plaquette. The partition function of the dual theory is +Z = +� +{σµ(x)} +exp +β∗ +� +plaquettes +σµ(x)σν(x + eµ)σµ(x + eµ + eν)σν(x) + +(107) +where the sum in th exponent (the negative of the “action”) runs on all the plaquettes of the dual +lattice. +The action of the theory of Eq.(107) is invariant under the reversal of all six Ising degrees of +freedom on links sharing a given site x. This is a local symmetry. Unlike the 3D Ising model, +which has a global Z2 symmetry of flipping all spins simultaneously, this theory has local (or +gauge) Z2 symmetry. This is the simplest example of a lattice gauge theory in which the degrees +of freedom are gauge fields that take values on the Z2 gauge group [124, 32, 71]. +We saw that in the spin model the high temperature expansion (i.e. the expansion in powers of +tanh β) is a sum over loop configurations which can be interpreted in terms of processes in which +pairs of particles are created, evolve (in imaginary time) and then are destroyed (also in pairs). +The analogous interpretation of the expansion of the Z2 gauge theory in powers of tanh β∗ = +exp(−2β) as a sum over the configurations of closed surfaces is not in terms of the histories of +particles but in terms of the histories of closed strings which, as they evolve, sweep the closed +surfaces. The physics is, however, more complex as the sum over surfaces runs over all surfaces +of arbitrary topology with arbitrary number of handles (or genus). Thus, over (imaginary) time a +closed strong is created, evolves, splits into two closed strings, etc. +Therefore, the 3D Ising model, which has a Z2 global symmetry is dual to a Z2 gauge theory +which has a Z2 local symmetry. The duality maps the high temperature (disordered) phase of +the Ising model to the strong coupling (small β∗) phase of the gauge theory. In the gauge theory +language this is the confining phase. This can be seen by computing the expectation value of the +Wilson loop operator on the closed loop Γ, which here reads ⟨� +(x,µ)∈Γ σµ(x)⟩. In the small β∗ +phase this expectation value decays exponentially with the size of the minimal surface bounded +by the loop Γ. This behavior of the area law of the Wilson loop. Under duality the insertion of +this operator is equivalent to an Ising model with a domain wall terminating on the loop Γ, and +the area law of the Wilson loop is the consequence of the fact that if the Ising model has long +range order, the free energy cost of the domain wall scales with its area. Moreover, in this phase +of the gauge theory the closed strings are small meaning that the string tension (the energy per +unit length of string) is finite. In the Ising model language, the string tension becomes surface +tension of the domain wall. +In the preceding subsection we discussed a Hamiltonian version of the duality. We will briefly +do the same in the case of the 2+1 dimensional Ising model. The hamiltonian of the Ising model +in a transverse field on a square lattice is +H2D−TFIM = − +� +r +σ1(r) − λ +� +r, j=1,2 +σ3(r)σ3(r + e j) +(108) +where r labels the sites of the square lattice and e j (with j = 1, 2) are the two (orthonormal) +primitive unit vectors of the lattice. Here too, at each site we have a two-level system (the spins), +σ1 and σ3 are Pauli matrices acting on these states at each site and λ is the coupling constant. +Just as in the 1D case, this system has two phases: an ordered phase for λ > λc and a disordered +phase for λ < λc, where λc is a critical coupling. This Hamiltonian is invariant under the global +Z2 symmetry generated by the global spin flip operator Q = � +r σ1(r) which commutes with the +Hamiltonian, [Q, H2D−TFIM] = 0. +Let is consider now a Z2 gauge theory on the dual of the square lattice. We will now define +a two-dimensional Hilbert space on each link, denoted by (˜r, j) (with j = 1, 2) of the dual lattice +with sites labelled by ˜r. We will further define at each link (˜r, j) the Pauli operators σ1 +j(˜r) and +σ3 +j(˜r). The Hamiltonian of the Z2 gauge theory is +HZ2gauge = − +� +˜r, j +σ1 +j(˜r) − g +� +˜r +σ3 +1(˜r)σ3 +2(˜r + ˜e1)σ3 +1(˜r + ˜e1 + ˜e2)σ3 +2(˜r) +(109) +where ˜e j = ǫjkek (with j, k = 1, 2). +Unlike the Hamiltonian of Eq.(108), the Hamiltonian of Eq.(109) has a local symmetry. Let +˜Q(˜r) be the operator that flips the Z2 gauge degrees of freedom on the four links that share the +site ˜r, +˜Q(˜r) = +� +j=1,2 +σ1 +j(˜r)σ1 +j(˜r − ˜e j) +(110) +29 + +These operators commute with each other, [ ˜Q(˜r), ˜Q(˜r′)] = 0, and commute with the Hamiltonian, +[HZ2gauge, ˜Q(˜r)] = 0. The Hilbert space of gauge-invariant states are eigenstates of ˜Q(r) with unit +eigenvalue, +˜Q(r)|Phys⟩ = |Phys⟩ +(111) +(for all r). This constraint is the the Z2 Gauss Law. The Hamiltonian HZ2gauge has two phases: a +confining phase for g < gc, and a deconfined phase for g > gc (where gc is a critical coupling). +The duality transformation is defined so that +σ1(r) = +� +plaquette(r) +σ3 +j(˜r) +(112) +is the product of the σ3 +j operators of the gauge theory on a dual plaquette centered at the site r, +and +σ1 +1(˜r) = σ3(r)σ3(r + e2), +σ1 +2(˜r) = σ3(r)σ3(r + e1) +(113) +These identities imply that the gauge theory constraint of the Z2 Gauss Law, Eq.(111), is satisfied. +This also means that duality is a mapping of the gauge-invariant sector of the Z2 gauge theory +to the Hilbert space of the Ising model in a transverse field. +Eq.(112) and Eq.(113) imply that the Hamiltonians H2D−TFIM and HZ2gauge are equal to each +other with the identification of the coupling constants g = 1/λ. Hence, the ordered phase of the +Ising model, λ > λc, maps onto the confining phase of the Z2 gauge theory and, conversely, the +disordered phase of the Ising model maps onto the deconfined phase of the gauge theory. +Eq.(113) also implies that the operator σ3(r) of the Ising model can be identified with the +operator +σ3(r) = +� +γ(r) +σ1 +j(˜r) +(114) +where the product is on the links of the dual lattice pierced by the path γ(r) on the direct lattice +ending at the site r. +While σ3(r) is of course just the order parameter of the Ising model, the dual operator defined +by Eq.(114) anti-commutes with the plaquette term of the Hamiltonian of Eq.(109) and creates an +Z2 flux excitation at the plaquette. With some abuse of language, this operator can be regarded as +creating a Z2 “magnetic monopole”. Since in the confining phase this operator has an expectation +value, we can regard this phase as a magnetic condensate. +We will now discuss the role of boundary conditions which is different in both theories. Let +us examine the behavior of the Z2 gauge theory with periodic boundary conditions. Periodic +boundary conditions means that the 2D space is topologically a 2-torus. It is straightforward to +show that the ground state in the confining phase is unique and insensitive to boundary condi- +tions. The physics of the deconfined phase is more subtle. We will now see that on a 2-torus +it has a four-fold degenerate ground state and that the degeneracy is not due to the spontaneous +breaking of a global symmetry. +Let γ1 and γ2 be two non-contractible loops on the torus along the directions 1 and 2 re- +spectively. Let us consider the (“electric”) Wilson loop operators along γ1 and γ2, W[γ1] = +� +(r, j)∈γ1 σ3 +j(r) and similarly for γ2. Similarly let us consider the (“magnetic”) ’t Hooft operators +˜W[˜γ1] and ˜W[γ2] defined on the non-contractible closed paths of the dual lattice ˜γ1 and ˜γ2, such +that ˜W[˜γ1] = � +˜γ1 σ1 +2(˜r) and ˜W[˜γ2] = � +˜γ2 σ1 +1(˜r). It is easy to see that the Wilson and’t Hooft +operators satisfy that W[γi]2 = ˜W[˜γ j]2 = I, and that +[W[γi], W[γ j] = [ ˜W[˜γi], ˜W[˜γ j]] = 0, +{W[γ1], ˜W[˜γ2]} = {W[γ2], ˜W[˜γ1]} = 0 +(115) +Let us consider the special limit of g → ∞. In this limit the Wilson loop operators W[γi] on +the two non-contractibleloops of the 2-torus commute with the Hamiltonian HZ2gauge of Eq.(109). +Therefore the eigenstates of the Hamiltonian can be chosen to be the eigenstates of these two Wil- +son loops. Since the Wilson loop operators are hermitian and obey W[γi]2 = I, the spectrum of +each loop is two-dimensional | ± 1⟩i (i = 1, 2) with eigenvalues ±1, respectively. At g → ∞ these +states are also eigenstates of HZ2gauge. Thus, the ground state of HZ2gauge is four dimensional. The +’t Hooft loops ˜W[˜γi] act as ladder operators in this restricted Hilbert space. +The conclusion is that, on a 2-torus, at least in the limit g → ∞, the ground state of HZ2gauge +is degenerate. However, this degeneracy is not due to the spontaneous breaking of a global +symmetry. Rather, it reflects the topological character of the theory. To see this, one can extend +this analysis to a theory to be on a more general two-dimensional and instead of a 2-torus we can +30 + +consider a surface with g handles (not to be confused with the coupling constant!), e.g. g = 0 for +a sphere (or disk), g = 1 for a 2-torus, g = 2 for a pretzel, etc. For each of these two-dimensional +surfaces the number different number of non-contractible loops is g, and the Wilson loops defined +on them commute with each other (and with HZ2gauge). Hence, in the limit g → ∞ HZ2gauge has +a ground state degeneracy of 2g which, clearly, depends only on the topology of the surface. We +conclude that, at least as g → ∞, the Hamiltonian HZ2gauge is in a topological phase. +However, is the exact degeneracy found in the limit g → ∞ a property of the entire deconfined +phase? For a finite system the expansion in powers of 1/g is convergent. On the other hand, in +the thermodynamic limit, L → ∞, the expansion has a finite radius of convergence with gc being +an upper bound. Let us consider the ground state at g = ∞ with eigenvalue +1 for the Wilson +loop W[γ1]. The degenerate state with eigenvalue −1 is created by the ’t Hooft loop ˜W[˜γ2], i.e. +| − 1⟩1 = ˜W[˜γ2] | + 1⟩1. The ’t Hooft operator is a product of σ1 operators on links along the +direction 1 crossed by the path ˜γ2 of the dual lattice, which involves (at least) L links. Then, it +takes L orders in the expansion in powers of 1/g to mix the state | + 1⟩1 with the state | − 1⟩1, +and this amplitude is of order 1/gL, which is exponentially small. The same argument applies to +the mixing between all four states. For a finite but large system of linear size L, the degeneracy +is lifted but the energy splitting is exponentially small in the system size. Hence, the topological +protection is a feature of the deconfined phase in the thermodynamic limit L → ∞. +We conclude that the deconfined phase of the Z2 lattice gauge theory is a topological phase. +This result extends to the case of a gauge theory with discrete gauge group Z, the cyclic group +of k elements. In general spacetime dimension D > 2 the Zk gauge theory also has a confined +and a deconfined phase and if k ≳ 4 it also has an intermediate “Coulomb phase”[125, 126]. In +section 9.4 we will see that the low-energy (IR) regime of the deconfined phase is described by +a topological quantum field theory known as the level k BF theory. +7. Bosonization +The behavior of one-dimensional electronic systems is of great interest in Condensed Matter +Physics for many reasons. One is that, even for infinitesimally weak interactions, these one- +dimensional metals violate the basic principles of the Landau Theory of the Fermi Liquid [13]. +A central assumption of Femi Liquid theory is that at low energies the excitation energy of the +fermion (electron) quasiparticle is always much larger than its width. Hence, at asymptotically +low energies the quasiparticle excitations become increasingly sharp. +A manifestation of this feature is that the quasiparticle propagator (the “Green function”) has +a pole on the real frequency axis with a finite residue Z. In one-dimensional metals this assump- +tion always fails since the residue Z vanishes, the Fermi field acquires a non-trivial anomalous +dimension, and the pole is replaced by a branch cut. To this date this is the best example of what +is called a ”non-Fermi liquid”. In one-dimensional metals this non-Fermi liquid is often called a +“Luttinger Liquid” [127]. A detailed analysis can be found in chapter 6 of Ref. [9], and in other +books. +Bosonization provides for a powerful tool to understand the physics of these non-trivial sys- +tems. Bosonization is a duality between a massless Dirac field in 1+1 dimensions and a (also +massless) relativistic Bose (scalar) field [128, 129, 130, 131]. In this context, bosonization is a set +of operator identities relating observables between two different (dual) continuum field theories. +These identities have a close resemblance to the Jordan-Wigner transformation which relates op- +erators of a theory of spinless (Dirac) fermions on a one-dimensional lattice to a theory of bosons +with hard cores (i.e. spins) on the same lattice [22]. +7.1. Dirac fermions in one space dimensions +To understand how these operator identities come about and what these fields mean in the +Condensed Matter context we will consider the simple problem of a system of non-interacting +spinless fermions c(n) on a one-dimensional chain of length L (with L → ∞), for simplicity with +periodic boundary conditions. The Hamiltonian is +H0 = −t +L +� +n=1 +c(n)†c(n + 1) + h.c. +(116) +In momentum space, and in the thermodynamic limit L → ∞, the Hamiltonian becomes +H0 = +� π +−π +dp +2π (ε0(p) − µ) c†(p)c(p) +(117) +31 + +where −π ≤ p ≤ π, µ is the chemical potential (which fixes the fermion number) and ε0(p) is the +(free) quasiparticle energy which, in this case, is +ε0(p) = −2t cos p +(118) +This simple system has a global internal symmetry +c′(n) = eiαc(n), +c′(n)† = e−iαc(c) +(119) +where α is a constant phase (with period 2π). This global symmetry reflects the conservation of +fermion number +NF = +� +n +c†(n)c(n) +(120) +The free fermion Hamiltonian of Eq.(116) is also invariant under lattice translations. +The ground state of this system is obtained by occupying all single particle states with energy +below the chemical potential, E ≤ µ ≡ EF, which defines the Fermi energy EF. In what follows +we will redefine the zero of the energy at the Fermi energy. In the thermodynamic limit the +one-particle states are labeled by momenta defined in the first Brillouin zone [−π, π). The ground +state |G⟩ of this system is obtained by filling up all single-particle states with momentum p in +the range [−pF, pF), where pF is the Fermi momentum. Hence, the occupied states have energy +ε0(p) ≤ EF. The ground state is +|G⟩ = +� +|p|≤pF +c†(p)|0⟩ +(121) +and is called the filled Fermi sea. We will further assume that the fermionic system is dense in +the sense that the occupied states are a finite fraction of the available states, i.e. we assume that +|EF| is a finite fraction of the bandwidth W = 4t. +The single-particle excitations have low energy if |ε0(p) − EF| ≪ |EF|. This range can only +be accessed by quasiparticles with momenta p close to ±pF. For states wit p close to pF we can +a linearized approximation and write +ε0(p) ≃ �F(p − pF) + . . . +(122) +and similarly for the states near −pF. Here �F = ∂ǫ0 +∂p +���pF = 2t sin pF is the Fermi velocity. Let q +being the momentum measured from pF (or −pF in the other case), This approximation is correct +in a range of momenta −Λ ≤ q ≤ Λ, where 2π +L ≪ Λ ≪ π. In this regime we can approximate +the lattice fields c(n) with two continuum right moving ψR(x) and left moving ψL(x) Fermi fields, +such that (with x = na0) +c(n) ∼ eipF xψR(x) + e−ipF xψL(x) +(123) +in terms of which the Hamiltonian takes the continuum form +Hcontinuum = +� +dx +� +ψ† +R(x)(−i�F)∂xψR(x) − ψ† +L(x)(−i�F)∂xψL(x) +� += +� dq +2πq�F +� +ψ† +R(q)ψR(q) + ψ† +R(q)ψR(q) +� +(124) +In what follows I will rescale time and space in such a way as to set �F = 1. +Eq.(124) is the Hamiltonian of a massless Dirac field in 1+1 dimensions. It describes the +effective low energy behavior of the excitations of the fermionic system defined on a lattice by +the Hamiltonian of Eq.(116). Here low energy means asymptotically close to the Fermi energy +(which we have set to zero) and momenta close to ±pF. We will see that this effective relativistic +field theory gives a complete description of the universal low energy physics encoded in the +microscopic model of Eq.(116) up to some subtle issues associated with what are called quantum +anomalies. +Let us denote by ψ(x) the bi-spinor field ψ(x) = (ψR(x), ψL(x)) and the 2 × 2 Dirac gamma- +matrices in terms of the three Pauli matrices are +γ0 = σ1, +γ1 = −iσ2, +γ5 = σ3 +(125) +which obey the Dirac algebra +{γµ, γν} = 2gµν +(126) +32 + +where gµν is the metric tensor in 1+1-dimensional Minkowski spacetime +gµν = +�1 +0 +0 +−1 +� +(127) +Using the standard notation ¯ψ(x) = ψ†(x)γ0 (where I left the spinor index α = 1, 2 implicit) +the Lagrangian density of the free massless Dirac fermion is +L = ¯ψi/∂ψ +(128) +where we have used the Feynman slash notation which denotes the contraction of a vector field, +say Aµ with the Dirac gamma matrices with a slash, Aµγµ ≡ /A. +Formally, the Dirac lagrangian of Eq.(128) (and the Dirac Hamiltonian of Eq.(124)) are in- +variant under two separate global transformations. It has a global U(1) (gauge) symmetry trans- +formation +ψ′(x) = eiθψ(x) +(129) +(where θ is constant) under which the two components of the bi-spinor ψ transform in the same +way +ψ′ +R(x) = eiθψR(x), +ψ′ +L(x) = eiθψL(x) +(130) +The massless Dirac theory is also invariant under a global gauge U(1) chiral transformation +ψ′(x) = eiθγ5ψ(x) +(131) +which in components it reads +ψ′ +R(x) = eiθψR(x), +ψ′ +L(x) = e−iθψL(x) +(132) +In general, if a system has a global continuous symmetry it should have a locally conserved +current and a globally conserved charge. This is the content of Noether’s Theorem. Since the +massless Dirac theory has these two global symmetries one would expect that it should have two +separately conserved currents. +The global U(1) symmetry has an associated current jµ = (j0, j1) given by +jµ = ¯ψγµψ +(133) +which is invariant under the global U(1) symmetry. In terms of the right and left moving Dirac +fields, ψR and ψL, the components of the current are +j0 = ψ† +RψR + ψ† +LψL, +j1 = ψ† +RψR − ψ† +LψL +(134) +This current is locally conserved and satisfies the continuity equation +∂µ jµ = 0 +(135) +It has an associated conserved global charge, which we will call fermion number +Q = +� ∞ +−∞ +dxj0(x) = +� ∞ +−∞ +dx +� +ψ† +RψR + ψ† +LψL +� +(136) +This is the continuum version of the conservation of fermion number NF of the free fermion +lattice model discussed above. +Since this current is conserved it can be coupled to an electromagnetic field through a term +in the Lagrangian +Lint = −ejµAµ +(137) +where Aµ is the electromagnetic vector potential, which in 1+1 dimensions has only two com- +ponents, Aµ = (A0, A1). Here e is a coupling constant which is interpreted as the electric charge. +This coupling amounts to making the U(1) symmetry a local gauge symmetry under which the +fields transform as follows +ψ′(x) = eiθ(x)ψ(x), +A′ +µ(x) = Aµ(x) + 1 +e∂µθ(x) +(138) +33 + +Now the conservation of fermion number becomes the conservation of the total electric charge +Qe = −eQ +(139) +In a continuum non-relativistic model the Fermi field is ψ(x) (ignoring spin), e.g. an electron +gas in one dimension such as a quantum wire, the analog of decomposition shown in Eq.(123) of +the electron field ψ(x) becomes +ψ(x) = eipF xψR(x) + e−ipF xψL(x) +(140) +The electron field ψ(x) transforms as ψ′(x) = eiαψ(x) under the global U(1) gauge symmetry of +Eq.(130). In particular, the local density operator ρ(x) = ψ†(x)ψ(x) is invariant under this sym- +metry. Under both decompositions of Eqs. (123) and (140), the local density operator becomes +ρ(x) = ψ† +R(x)ψR(x) + ψ† +L(x)ψL(x) + ei2pF xψ† +R(x)ψL(x) + e−i2pF xψ† +L(x)ψR(x) +(141) +Clearly the non-relativistic density operator ρ(x) is invariant under the global U(1) gauge sym- +metry. The same considerations applies to the lattice version of the density operator (the local +occupation number). +Thus, the density operator ρ(x) can be decomposed into a slowly varying part (the first two +terms in Eq.(141)) and the last two terms which oscillate with wave vectors Q = ±2pF. These +observations imply that we can express ρ(x) in the form +ρ(x) = ¯ρ + j0(x) + eiQxψQ(x) + e−iQxψ−Q(x) +(142) +This decomposition can be interpreted as a Fourier expansion of the density operator in term of +newly defined slowly-varying fields. In Eq.(142) Q = 2pF and ¯ρ is the average density, where we +assumed that the Dirac density operator j0(x) has vanishing expectation value (i.e. it is normal- +ordered). In Eq.(142) we defined the (bosonic) operators +ψQ(x) = ψ† +R(x)ψL(x), +ψ−Q(x) = ψ† +L(x)ψR(x) +(143) +which characterize the oscillatory component of the density. The operators ψ±Q(x) are the order +parameters of a charge density wave state in one dimension and Q is the ordering wavevector. +Repulsive interactions between the electrons can cause scattering process between the right +and left moving components to become relevant (in the Renormalization Group sense) leading +to the spontaneous breaking of translation invariance. The resulting state is known as a charge- +density-wave (CDW). In this state the operators ψ±Q(x) (or a linear combination of them) acquire +a non-vanishing expectation value, and the expectation value of the density operator ρ(x) has a +(static) modulated component, and the Dirac Hamiltonian density becomes +H = ψ† +R(x)(−i)∂xψR(x) − ψ† +L(x)(−i)∂xψL(x) + m +� +ψ† +R(x)ψL(x) + ψ† +L(x)ψR(x) +� +(144) +where m is the Dirac mass. The operator in the second term of Eq.(144) mixes the right and left +moving components of the Dirac spinor. This hermitian operator is known as the Dirac mass +term. In relativistic notation this operator is written +¯ψψ = ψ† +R(x)ψL(x) + ψ† +L(x)ψR(x) +(145) +When m � 0, i.e. when ⟨ ¯ψψ⟩ � 0, the fermionic spectrum has a mass gap, and the electronic +states with momenta ±pF have an energy gap. Alternatively we could have considered a state +with the in which the (hermitian) operator that has an expectation value is +i ¯ψγ5ψ = i +� +ψ† +R(x)ψL(x) − ψ† +L(x)ψR(x) +� +(146) +which is known as the γ5 mass term. In a more general CDW state both mass terms can be +present. +7.2. Chiral symmetry and chiral symmetry breaking +The CDW states we introduced have different symmetries. To see this let us observe that the +operators ψ±Q(x) transform non-trivially under a global U(1) chiral transformation +ψ′ +±Q(x) = e∓2iθψ±Q(x) +(147) +34 + +Upon substituting this transformation in the expansion of the density ρ(x) of Eq.(142), we see +that a chiral transformation is equivalent to a uniform displacement of the density operator by +θ/pF, +ρ(x) → ρ (x + θ/pF) +(148) +Under a chiral transformation with arbitrary angle θ, the Dirac and γ5 mass term operators trans- +form as an orthogonal transformation of a two-component vector. In particular for a chiral trans- +formation with θ = π/4, +¯ψψ �→ i ¯ψγ5ψ, +i ¯ψγ5ψ �→ − ¯ψψ +(149) +which is equivalent to a displacement of the density by 1/4 of the period of the CDW. In this +sense these two states are equivalent, as is the state with a more general linear combination. +The microscopic lattice model (and the continuum non-relativistic model) are invariant under +the spatial inversion symmetry x ↔ −x. This also implies a symmetry under the exchange of +right and left moving components of the Dirac spinor, ψR ↔ ψL. In the massless Dirac theory +this operation is equivalent to the multiplication of the spinor by the Pauli matrix σ1. In the +massless theory the multiplication by σ2 (followed by a chiral transformation with θ = π/2) has +the same effect. +These symmetries have an important effect on the fermionic spectrum. To understand what +they do let us consider the one-particle Dirac Hamiltonian with a Dirac mass m (jn momentum +space) +h = +�p +m +m +−p +� +(150) +This operator anti-commutes with the Pauli matrix σ2, {h, σ2} = 0. Let |E⟩ be an eigenstate of +the Hamiltonian h with energy eigenvalue E = +� +p2 + m2. Let us consider the state σ2|E⟩. It is +also an eigenstate of h but with energy −E, i.e. +hσ2|E⟩ = −σ2h|E⟩ = −E|E⟩, +⇒ σ2|E⟩ = | − E⟩ +(151) +Hence if |E⟩ is an eigenstate of energy E, then σ2|E⟩ is an eigenstate of energy −E. This means +that the spectrum is invariant under charge conjugation symmetry. Notice that under this opera- +tion the spinor transforms as +σ2 +�ψR +ψL +� += +�−iψL +iψR +� += e−iγ5π/2 +�ψL +ψR +� +(152) +In other words, this theory is invariant under charge conjugation C and parity P which, combined, +it implies that it is invariant under time-reversal T . +The same consideration applies in the case of a γ5 mass term in which case the one-particle +Dirac Hamiltonian now is +h = +� p +−im5 +im5 +−p +� +(153) +This Hamiltonian now anti-commutes with the Pauli matrix σ1 which also implies that the same +charge conjugation symmetry C, |E⟩ ↔ |−E⟩, is present in the spectrum of the case of a γ5 mass. +We can also repeat the argument on parity invariance P, which is now multiplication by σ1, Thus +the theory is invariant under time-reversal T . +However, if the theory has both a Dirac mass m and a γ5 mass m5 these symmetries are +broken. Indeed, the one-particle Dirac Hamiltonian now is +h = +� +p +m − im5 +m + im5 +−p +� += pσ3 + mσ1 + m5σ2 +(154) +which no longer has a spectral symmetry. In this case CP is broken and, hence, so it T since +CPT remains unbroken (as it should). +In a lattice system this is a symmetry transformation only if θ = πn/pF is a lattice displace- +ment, which restricts the allowed values of the chiral angle to be discrete. Although this is true +interactions play a significant role in the actual behavior. In fact, there are physical situations +in which an effective continuous symmetry actually emerges in this he infrared (long-distance) +limit. This is what happens when the CDW is incommensurate and, as we will see in the next +subsection, it slides under the action of an electric field. +In the case of a half-filled system (with only nearest-neighbor hopping matrix elements) the +Fermi wave vectors are ±π/2. In this case the allowed discrete chiral transformation has a chiral +35 + +angle π/2 under which ¯ψψ �→ − ¯ψψ (and similarly for i¯γ5ψ) corresponding by a translation by one +lattice spacing. The allowed four fermion operator is ( ¯ψψ)2. If the lattice fermions are spinless +this operator reduces to +( ¯ψψ)2 = −2 jR(x)jL(x) + lim +y→x ψ† +R(x)ψ† +L(x)ψL(y)ψR(y) + h.c. +(155) +where introduced the right and left moving (chiral) components of the current operator +jR(x) = 1 +2(j0(x) + j1(x)) = ψ† +R(x)ψR(x), +jL(x) = 1 +2(j0(x) − j1(x)) = ψ† +L(x)ψL(x) +(156) +The first term in Eq.(155) is known as the backscattering interaction and has scaling dimension +2. Hence, it is a marginal operator. The theory with only the first term is known in Condensed +Matter Physics as the Luttinger model and in High-Energy Physics at the (massless) Thirring +model. The second operator in Eq.(155) formally violates momentum conservation as its total +momentum is 4pF = 2π which is a reciprocal lattice vector and, as such, it is equivalent to +zero (mod 2π). Such an operator is not formally allowed in a (naive) continuum theory. This +operator is due to a lattice Umklapp process and breaks the formal continuous chiral symmetry +to a discrete Z2 subgroup. Although the naive scaling dimension of this operator is 2 (and hence +it is formally marginal). If the fermions are spinless, the leading operator actually vanishes and +the leading non-vanishing operator actually has dimension 4, which is irrelevant. However, as +shown above, backscattering processes of the form jR(x) jL(x) are part of this operator and are +exactly marginal. +If the interaction is strong enough the backscattering interaction can make the Umklapp op- +erator relevant. When this happens the fermionic system has a quantum phase transition to an +insulating state with a period 2 (commensurate) CDW state. On the other hand, for spin 1/2 +fermions the operator ( ¯ψψ)2 is allowed and is marginally relevant. If the interactions are re- +pulsive the resulting state is an antiferromagnetic N´eel state at quantum criticality, while for +attractive interactions it is a period 2 CDW. This is what happens in the 1D Hubbard model (see, +e.g. Ref. [9] for a detailed analysis). +There are two theories in relativistic systems which are closely related to this problem. One +if the Gross-Neveu model [132] which is a theory of N species of massless Dirac spinors with +Lagrangian density +LGN = ¯ψai/∂ψa + g( ¯ψaψa)2 +(157) +with a = 1, . . ., N (summation of repeated induces is implies). The spin-1/2 Hubbard model +corresponds to the case N = 2. This Lagrangian is invariant only under the discrete chiral +symmetry ¯ψaψa �→ − ¯ψaψa. This is a discrete, Z2, symmetry and as such it can be spontaneously +broken in 1+1 dimensions. For N ≥ 2, the resulting state has a (dynamically) broken Z2 chiral +symmetry and that there is a chiral condensate ⟨ ¯ψaψa⟩ � 0 corresponding to a period 2 CDW. +The other theory is known as the chiral Gross-Neveu model whose Lagrangian density is +LcGN = ¯ψai/∂ψa + g +� +( ¯ψaψa)2 − ( ¯ψaγ5ψa)2� +(158) +which has the full continuous chiral symmetry. For N = 1 this theory is equivalent to the Lut- +tinger model (and to the Gross-Neveu model if we ignore the umklapp term). For N ≥ 2 the chi- +ral symmetry is formally broken. If this were true this theory would violate the Mermin-Wagner +theorem. However a detailed study (most easily done using bosonization methods) shows that +instead of long range order the correlator of both mass terms decay as a power law as a function +of distance, consistent with the requirements by this theorem. +We close this subsection by noting that if the lattice model is not half filled but its density +is either incommensurate or has a higher degree of commensurability, say p/q, the chiral sym- +metry is actually continuous (in the incommensurate case) or effectively continuous since the +requisite umklapp terms are strongly irrelevant. However, if the lattice model is not at half filling +charge conjugation symmetry C is broken at the lattice scale (in the UV), where it is equivalent +to particle-hole symmetry, but it is recovered in the low-energy, IR, regime (up to irrelevant op- +erators). In this sense, both the continuous chiral symmetry and charge conjugation symmetry +can be regarded as emergent IR symmetries +7.3. The chiral anomaly +In section 7.2 we showed that the theory of massless Dirac fermions, in addition to a global +U(1) gauge gauge symmetry, has a second conservation law which we called a global U(1) chiral +36 + +symmetry, shown in Eq.(131). This symmetry implies that there is a locally associated chiral +current j5 +µ, given by +j5 +µ(x) = ¯ψ(x)γµγ5ψ(x) +(159) +which also satisfies a continuity equation +∂µ j5 +µ = 0 +(160) +and there is a globally conserved chiral charge Q5 +Q5 = +� ∞ +−∞ +dx j5 +0(x) = +� ∞ +−∞ +dx +� +ψ† +RψR − ψ† +LψL +� +(161) +It is easy to check that the Dirac current jµ and the chiral current j5 +µ are related by +j5 +µ = ǫµν jµ +(162) +where ǫµν is the second rank Levi-Civita tensor. +The simultaneous conservation of both currents jµ and j5 +µ in the massless Dirac theory implies +that the right and left moving densities jR and jL, defined in Eq.(156), should be separately +conserved. In fact, if the Dirac theory has a mass term +L = ¯ψi/∂ψ − m ¯ψψ +(163) +it is straightforward to show that +∂µ j5 +µ = 2mi ¯ψγ5ψ +(164) +which means that in the massive theory the axial current is not conserved. This is easy to under- +stand since the mass term mixes the right and left moving components of the Dirac spinor and, +hence, the right and left moving densities are not conserved. +What happens in the massless limit, m → 0, is more subtle. This problem was investigated +in the late 1960’s in 3+1 dimensions by S. Adler [133] and by J. S. Bell and R. Jackiw [134] +who were interested in the anomalous decay of a neutral pion into two photons, π0 → 2γ. +This process appears at third order of perturbation theory and it involves the computation of a +triangle diagram (a fermion loop). In 3+1 dimensions this process has a UV divergence which +needed to be regulated. These authors showed that it is not possible to find a regularization +in which both the Dirac (gauge) current jµ = ¯ψγµψ and the axial current j5 +µ = ¯ψγµγ5ψ are +conserved. In other words, if gauge invariance is preserved then the axial current is not and has +an anomaly and results in a non-conservation of the axial current, ∂µ j5 +µ � 0. On the other hand, +at least in the case of the physical gauge-invariant regularization, the obtained expression for +the anomaly in the axial current is universal, independent of the value of the UV regulator (the +cutoff). Sometime later G. ’t Hooft showed that in non-abelian gauge theories instant processes +also lead to anomalies and, furthermore, the result was also universal [96, 111]. Since the result +is universal and, hence, independent of the UV scale, this led to the concept of anomaly matching +conditions. +We will examine this problem in 1+1 dimensions (although it plays a key role in the theory of +topological insulators in three space dimensions [135]). As we noted above, the lattice model is +gauge-invariant and has only one conserved current. The conserved axial current appeared only +in the low-energy regime in which the lattice model is described by a theory of massless Dirac +fermions. To understand this problem we will consider the theory of fermions in 1+1 dimen- +sions coupled to a U(1) gauge field field. In the presence of a background (i.e. not quantized) +electromagnetic field in the A0 = 0 gauge the free fermion Hamiltonian of Eq.(116) becomes +H[A] = −t +L +� +n=1 +c†(n)eieA(n,t)/ℏc(n) + h.c. +(165) +An uniform and constant electric field is E is represented by a vector potential A = −cEt (with +c being the speed of light). The net effect of this gauge field is to shift of the momentum of the +fermion quasiparticles p → p + ecEt/ℏ or, what is the same, to displace the fermion dispersion +relation in momentum by the ecEt/ℏ. This means that the Fermi points are also shifted by that +amount, pF → pF + ecEt/ℏ and −pF → −pF + ecEt/ℏ. This means that the single particle states +between pF and pF +ecEt/ℏ that were empty for E = 0 are now occupied and the states between +37 + +−pF and −pF + ecEt/ℏ that were occupied for E = 0 are now empty. This means that number +of right-moving fermions is increasing at a rate of ecE/ℏ and that the number of left-moving +fermions decreases at the same rate. This results in a net current. Throughout this process the +total number of fermions is not changed, gauge invariance is satisfied, but the number of right +and left moving fermions are not separately concerned. Notice that this is an effect that involved +the entire Femi sea but the net effect is at low energies. +Let us see now how this plays out in the effective Dirac theory. The massless Dirac La- +grangian density in the background of an unquantized electromagnetic field Aµ is +L = ¯ψ(i/∂ − e /A)ψ +(166) +Since there is no mass term the Dirac equation still decouples into two equations, for the right +and left moving components of the Dirac spinor. In the A0 = 0 gauge they are +i∂0ψR = (−i∂1 − A1)ψR, +i∂0ψL = (i∂1 − A1)ψL +(167) +In the temporal gauge, A0 = 0, a uniform electric field E = ∂0A1, and A1 increases linearly with +time. As A1 increases, the Fermi momentum pF (which is equal to the Fermi energy EF) also +increases at the rate eE. The density of states of a system of length L is L/(2π). So, the rate of +change of the number of right-moving fermions is +dNR +dx0 += e +2πE +(168) +where we defined NR = +� L +0 dx jR and similarly for NL. If the UV regulator of the theory is +compatible with gauge invariance, then the total fermion number must be conserved and the total +vacuum charge must remain equal to zero, +Q = +� L +0 +dx j0(x) = NR + NL = 0 +(169) +Thus, if NR increases, then NL must decrease by the same amount. Or, equivalently, the electric +field E creates an equal number of particles NR and of antiparticles ¯NL = −NL. +On the other hand, the chiral charge Q5 = NR − NL must increase at the rate +dQ5 +dx0 += dNR +dx0 ++ d ¯NL +dx0 += e +π E +(170) +Again, the details of the UV regularization do not matter, only that it is gauge-invariant. We can +also interpret Eq.(170) as the rate of particle-antiparticle pair creation by an electric field. +In a relativistic notation these results are expressed as +∂µ j5 +µ = e +2πǫµνFµν +(171) +Hence, the formally conserved current j5 +µ has an anomaly and is not conserved due to quantum +effects. Since it is not conserved, we cannot gauge the chiral symmetry. In the next subsection +we will see that the the anomaly is closely related with bosonization. +7.4. Bosonization, anomalies and duality +We will reexamine the problem at hand from the point of view of the fermionic currents of +the Dirac theory jµ as operators. Since the currents obey the continuity equation, ∂µ jµ = 0 one +expects that this would imply that it may be possible to write them as a curl of a scalar field, i.e. +jµ(x) = ǫµν∂νφ(x) where φ(x) should be a scalar field. Since this should be an operator identity +we will need to understand how the currents act on the physical Hilbert space. +The Fermi-Bose mapping in 1D systems is closely related to the chiral anomaly we just +discussed. Bosonization of a system of 1+1 dimensional massless Dirac fermions is a set of +operator identities understood as matrix elements of the observables in the physical Hilbert space. +These identities were first derived by Daniel Mattis and Elliott Lieb [128], based on earlier work +by Julian Schwinger [136]. These identities were rediscovered (and their scope greatly expanded) +by Alan Luther and Victor Emery [129], by Sidney Coleman [131], by Stanley Mandelstam +[130], and by Edward Witten [137]. A non-abelian version of bosonization was subsequently +derived by Witten [119]. +38 + +The physical Hilbert space is defined as follows. Let |FS⟩ ≡ |0⟩ denote the filled Fermi +sea. In what follows we will assume that the physical system is macroscopically large abd that +local operators create the physical states by acting finitely on the filled Fermi sea. Physical +observables, such as the right and left moving densities jR(x) and jL(x), need to be normal- +ordered with respect to the physical vacuum state, the filled Fermi (Dirac) sea |0⟩. The normal +ordered densities are : jR(x) : ≡ jR(x) − ⟨0|jR(x)|0⟩ and : jL(x) : ≡ jL(x) − ⟨0|jR(x)|0⟩. Since +the densities are products of fermion operators they need to be defined as a limit in which the +operators are separated by a short distance η. Crucial to this construction is that the computation +the expectation values be regularized in such a way that the charge (gauge) current jµ(x) is locally +conserved and satisfies the continuity equation ∂µ jµ = 0 as an operator identity. In what follows +all expectation values will refer to the filled Fermi sea state |0⟩. +The propagators of the right and left moving Fermi fields are given by +⟨ψ† +R(x0, x1)ψR(0, 0)⟩ = +−i +2π(x0 − x1 + iǫ), +⟨ψ† +L(x0, x1)ψL(0, 0)⟩ = +i +2π(x0 + x1 + iǫ) +(172) +The expectation value of the currents at a space location x1 are +⟨jR(x1)⟩ = lim +η→0⟨ψ† +R(x1 + η)ψR(x1 − η)⟩ = +i +4πη, +⟨jL(x1)⟩ = lim +η→0⟨ψ† +L(x1 + η)ψL(x1 − η)⟩ = −i +4πη +(173) +which are divergent at short distances. It follows that the normal-ordered right and left moving +current densities satisfy the equal-time commutation relations +[jR(x1), jR(x′ +1)] = − i +2π∂1δ(x1 − x′ +1), +[jL(x1), jL(x′ +1)] = + i +2π∂1δ(x1 − x′ +1) +(174) +These identities imply that the normal-ordered space-time components of the current jµ = (j0, j1) +satisfy the equal-time commutation relations +[j0(x1), j1(x′ +1)] = − i +π∂1δ(x1 − x′ +1), +[j0(x1), j0(x′ +1)] = [ji(x1), j1(x′ +1)] = 0 +(175) +The non-vanishing right-hand sides of these commutators are known as Schwinger terms. These +identities define the the U(1) (Kac-Moody) current algebra. +We should note that in a theory of non-relativistic Fermi fields ψ(x, t) in all dimensions, the +charge density ρ(x) and the current operators j(x) = +1 +2i +� +ψ†(x)▽ψ(x) − ▽ψ†(x)▽ψ(x) +� +satisfy a +similar expression (also at equal times) +[ρ(x), jk(x′)] = −i e2 +mc2 ∂k +�δ(x − x′)ρ(x)� , +[ρ(x), ρ(x′)] = 0, +[jk(x), jl(x′)] = 0 +(176) +In one dimension, and in the regime in which the fermions have a macroscopic density so that +ρ(x) ≃ ⟨ρ(x)⟩, after a multiplicative rescaling of the operators, the non-relativistic identities of +Eq.(176) are equivalent to the U(1) current algebra of Eq.(175). +The U(1) current algebra of Eq,(175) is reminiscent of the equal-time canonical commutation +relations of a scalar field. Indeed, if φ(x) is a scalar field and Π(x) = ∂0φ(x) is its canonically +conjugate momentum, then they obey the equal-time canonical commutation relations +[φ(x1), Π(x′ +1)] = iδ(x1 − x′ +1) +(177) +We can then identify the charge density j0 and the current density j1 with the scalar field operators +j0(x) = +1√π∂1φ(x), +j1(x) = − 1√πΠ(x) = − 1√π∂0φ(x) +(178) +which obey the U(1) current algebra of Eq.(175) as a consequence of the canonical commutation +relations, Eq. (177). Furthermore, we can rewrite Eq.(177) in the Lorentz covariant form +jµ(x) = +1√πǫµν∂νφ(x) +(179) +which is clearly consistent with the local conservation of the current jµ, +∂µ jµ(x) = 0 +(180) +39 + +Let us examine now the question of the conservation of the chiral current j5 +µ. In Eq.(162) +we showed that the gauge current and the chiral current are related by j5 +µ = ǫµν jν. Therefore the +divergence of the chiral current is +∂µ j5 +µ = ǫµν∂µ jν = +1√πǫµνǫνλ∂µ∂λφ = − 1√π∂2φ +(181) +where we used the identification of the gauge current in terms of the scalar field φ, Eq.(179). +Therefore we conclude that +∂µ j5 +µ = 0 ⇔ ∂2φ = 0 +(182) +This equation states that the chiral current as an operator identity is conserved if and only if the +field φ is a free massless scalar field, whose Lagrangian density is +LB = 1 +2(∂µφ)2 +(183) +In Eq.(166) we considered the free massless Dirac Lagrangian coupled to a background (not +quantized) gauge field Aµ through the usual minimal coupling which here is Lint = −ejµAµ. using +the bosonization identity for the gauge current, Eq.(179) we see that the Lagrangian density of +the bosonized theory now becomes +LB[A] =1 +2(∂µφ)2 − +e√πǫµν∂νφ(x) Aµ(x) +≡1 +2(∂µφ)2 + J(x)φ(x) +(184) +where the source J(x) is +J(x) = +e√πǫµν∂νAµ(x) = +e +√ +4π +F∗(x) +(185) +where F∗(x) = ǫµνFνµ(x) is the (Hodge) dual of the field strength Fµν. Hence, F∗ is (essentially) +the source for the scalar field φ(x). This implies that the equation of motion of the scalar field +must be +− ∂2φ(x) = J(x) = +e√πǫµν∂νAµ +(186) +Retracing our steps we find that the chiral current j5 +µ obeys +∂µ j5 +µ = − 1√π∂2φ = e +2πǫµνFµν +(187) +which reproduces the the chiral anomaly given in Eq.(170). +These results suggest that the theory of a free massless Dirac spinor must be equivalent to +the theory of the free massless scalar field. This statement is known as bosonization. However +for this identification to be correct there must be an identification of the Hilbert spaces and of all +the operators of each theory. We will not do this detailed analysis here but we will highlight the +most significant statements. +Let us begin with the fermion number of the Dirac theory. Consider a system of fermions +of total length L. Using the bosonization identity of Eq.(179) we find that the fermion number +NF ≡ Q is given by +NF = +� L +0 +dx1 j0(x0, x1) = +1√π +� L +0 +dx1 ∂1φ(x0, x1) = +1√π(φ(x0, L) − φ(x0, 0)) +(188) +Thus, the vacuum sector of the Dirac theory, with NF = 0, corresponds to the theory of the scalar +field with periodic boundary conditions, φ(x1 = 0) = φ(x1 = L). Furthermore, since the fermion +number is quantized, NF ∈ Z, changing the fermion number is the same as twisting the boundary +conditions of the scalar so that +φ(x1 + L) = φ(x1) + √πNF +(189) +In String Theory [104] the scalar field is interpreted as the coordinate of a string. Compactifying +the space where the string lives to be a circle of radius R means that the string coordinate is +defined modulo 2πRn, where n is an integer. We see that the condition imposed by Eq.(189) +40 + +is equivalent to say that the scalar field is compactified and that the compactification radius is +R = 1/ +√ +4π. This identification also imposes the restriction that the allowed operators of the +scalar field must obey the identification +φ(x) ∼ φ(x) + 2πRn +(190) +as an equivalency condition. +The simplest bosonic operators that obey the compactification condition are the vertex oper- +ators Vα(x), +Vα(x) = exp(iαφ(x)) +(191) +The compactification condition then requires that the allowed vertex operators should have α = +n/R = +√ +4π n, where n is an integer. Since the propagator of the scalar field in 1+1-dimensional +(Euclidean) spacetime is +G(x − x′) = − 1 +2π ln +�|x − x′| +a +� +(192) +where a is a short-distance cutoff, we find that the scaling dimension of the vertex operator is +∆α = α2/(4π) = n2. We will see shortly that the vertex operator with α = +√ +4π is essentially the +Dirac mass operator (which has scaling dimension 1). +The free massless scalar field can be decomposed into right and left moving components, φR +and φL respectively, +φ = φR + φL, +ϑ = −φR + φL +(193) +where +ϑ(x0, x1) = +� x1 +−∞ +dx′ +1Π(x0, x′ +1) +(194) +is the Cauchy-Riemann dual of the field φ(x) since they satisfy the Cauchy-Riemann equation +∂µφ = ǫµν∂νϑ +(195) +The right and left moving component of the Dirac spinor are found to have the bosonized expres- +sion [130] +ψR(x) = +1 +√ +2πa +: exp(i +√ +4πφR(x)) :, +ψL(x) = +1 +√ +2πa +: exp(−i +√ +4πφL(x)) : +(196) +It is easy to check that the propagators of these operators agree with the expressions given in +Eq.(172), and that they have scaling dimension 1/2 and spin 1/2. +How does a chiral transformation act on the scalar field? A chiral transformation by an angle +θ, c.f. Eq.(132), acts on the right and moving fermions as ψ′ +R = exp(iθ)ψR and ψ′ +L = exp(−iθ)ψL. +From Eq.(196) we see that the right and left moving components of the scalar field transform as +φ′ +R = φR + θ/ +√ +4π and φ′ +L = φL + θ/ +√ +4π. This means that a chiral transformation by an angle +θ of the Dirac fermion by an angle θ is equivalent to a translation (a shift) of the scalar field +φ′ = φ + 2θ/ +√ +4π. +We can use the Operator Product Expansion discussed in section 3.3.2 to show that the +fermion mass terms ¯ψψ and i ¯ψγ5ψ are given by the following identifications +¯ψψ = +1 +2πa : cos( +√ +4πφ) :, +i ¯ψγ5ψ =: sin( +√ +4πφ) : +(197) +These operators have scaling dimension 1 and transform properly under chiral transformations. +These identifications imply that a theory of free massive Dirac fermions +LD = ¯ψi/∂ ψ − m ¯ψψ +(198) +is equivalent to the sine-Gordon field theory [131] whose Lagrangian is +LSG = 1 +2(∂µφ)2 − g : cos( +√ +4πφ) : +(199) +where g = m/(2πa). +Given the central role played by the current algebra identities of Eqs. (175) one may wonder +if a similar approach might apply in higher dimensions. Schwinger terms in current algebra play +an important role in relativistic field theories. However in higher dimensions their structure is +41 + +more complex and does not lead to identities of the type we have discussed. The reason at the +root of this problem is largely kinematical. The Bose (scalar) field φ is qualitatively a bound +state, a collective mode in the language of Condensed Matter Physics. In 1+1 dimensions this +collective mode exhausts the spectrum at low energies due to the strong kinematical restriction +on one spatial dimension. +The equivalency between the theory of free massive Dirac fermions and the sine-Gordon +theory is an example of the power of bosonization. On the Dirac side the mapping the theory is +free and its spectrum is well understood. But on the sine-Gordon side the theory is non-linear. +In fact in the sine-Gordon theory the fermions are essentially solitons, domain walls of the scalar +field. For these and many other reasons that we do not have space here bosonization plays a +huge role in understanding the non-perturbative behavior of systems both in Condensed Matter +Physics and in Quantum Field Theory in 1+1 dimensions. We will see in section 11.3.1 that to +an extent some of these ideas can and have been extended to relativistic systems and classical +statistical mechanical systems in 2+1 dimensions. +8. Fractional Charge +8.1. Solitons in one dimensions +We begin by returning to the equivalency between the theory of free massive Dirac fermions +and sine-Gordon theory, in 1+1 dimensions. In Eq.(188) we showed that the boundary conditions +of the compactified scalar field φ(x) are determined by the fermion number NF of the dual Dirac +theory, and that the vacuum sector of the Dirac theory maps onto the sine-Gordon theory with +periodic boundary conditions. We will now examine the sector with one fermion, NF = 1. This +sector of the Dirac theory maps onto the sine-Gordon theory with twisted boundary conditions, +φ(L) − φ(0) = √π +(200) +The Hamiltonian of the sine-Gordon theory is +HSG = +� ∞ +−∞ +dx +�1 +2Π2(x) + 1 +2 (∂xφ(x)) + g cos +� √ +4πφ(x) +�� +(201) +In the sector with periodic boundary conditions the classical ground states are static and uniform +configurations that minimize the potential energy. Since the potential energy is a periodic func- +tional of φ(x) the classical minima are at φn(x) = (n + 1/2) √π, where n is an arbitrary integer. +The classical energy of these ground states is extensive and is given by Egnd = −gL where L is +the linear size of the system. +The classical ground state in the twisted sector is a domain wall (or soliton) which interpo- +lates between the static and uniform ground states φ(x) = ± √π/2. The classical ground state in +this sector is the static solution of the Euler-Lagrange equation +d2φ +dx2 = −2g √π sin +� +2 √πφ(x) +� +(202) +such that asymptotically satisfies limx→±∞ = ± √π/2. The solution is the classical soliton con- +figuration +φ(x) = +2√π tan−1 � +exp(2 √πg(x − x0)) +� +− +√π +2 +(203) +The soliton solution represents a domain wall between two symmetry-related classical ground +states with φ = ± √π/2. +The energy of the soliton (measured from the energy of the ground state in the trivial sector) +is finite and is given by +Esoliton = 4 +� +g +π +(204) +where x0 is a zero mode of the soliton solution and represents its coordinate. By coupling the +bosonized theory to a weak electromagnetic field Aµ, as given in Eq.(184), it is easy to check that +it has electric charge −e and, in this sense represents the electron. Then the identities of Eq.(196) +can be used that as a quantum state it is indeed a fermion. +42 + +8.2. Polyacetylene +In section 7.4 we saw that solitons of a scalar field can be regarded as being equivalent to +electrons, fermions with charge −e. We will now see that in a theory of fermions coupled to +a domain wall of a scalar field, the soliton carries fractional charge. This problem has been +extensively studied in one-dimensional conductors such as polyacetylene, in particular by the +work of Wu-Pei Su, J. Robert Schrieffer and Alan Heeger [138] and by Roman Jackiw and J. +Robert Schrieffer [139]. In quantum field theory this problem was first discussed by Roman +Jackiw and Claudio Rebbi [140] and by Jeffrey Goldstone and Frank Wilczek [141]. +In section 7.1 we showed that the physics of lattice fermions in one dimension at low energies +is well described by a theory of massless Dirac fermions. In a one-dimensional conductor, such as +polyacetylene, the fermions couple to the lattice vibrations (phonons). Su, Schrieffer and Heeger +(SSH) [138] proposed a simple model in which the electrons couple to the lattice vibrations +through a modulation of the hopping amplitude between two consecutive sites n and n + 1, +instead of being a constant t, becomes tn,n+1 = t − g(un+1 − un), where un is the displacement of +the ion (a CH group in polyacetylene) at site n from its classical equilibrium position and g is +the electron-phonon coupling constant. In polyacetylene there number of electrons (which are +spin-1/2 fermions) is equal to the number of sites of the lettuce and the electronic band is half- +filled. At half filling this simple band structure is invariant under a particle-hole transformation. +If the coupling to the lattice vibrations is included this symmetry remains respected provided the +displacements change sign un → −un for all lattice sites. In polyacetylene the lattice dimerizes +(a process known as a Peierls distortion) and the discrete translation symmetry by one lattice +spacing is spontaneously broken: the system becomes a period 2 CDW on the bonds of the +lattice. The broken symmetry state is still invariant under a particle-hole transformation. +The effective field theory of this system is a theory of two Dirac spinors ψα,σ(x), where +α = 1, 2 denotes right and left-moving fermions, and σ =↑, ↓ are the two spin polarizations. The +Lagrangian density of this system is +L = ¯ψσi/∂ψσ − gφ(x) ¯ψσ(x)ψσ(x) − 1 +2φ(x)2 +(205) +The real scalar field φ(x) represents the distortion field of the polyacetylene chain. Here we will +assume that the chains has spontaneously distorted and we will regard the scalar field as static +and classical. This is a good approximation since the masses of the CH complexes is much +bigger than the electron mass. This continuum model is due to Takayama, Lin-Liu and Maki +[142] and further developed by Campbell and Bishop [143, 144]. Many of the results fund in +this (adiabatic) approximation remain qualitatively correct upon taking into account the quantum +dynamics of the chain, even in the limit in which the ions are treated as being “light” (provided +the spin of the fermions is taken into account) [145, 146]. +In the field theory the discrete symmetry of displacements by one lattice spacing becomes +the Z2 symmetry φ → −φ. This is a symmetry of the electron phonon system once combined +with the discrete chiral transformation ψ → γ5ψ under which ¯ψψ → − ¯ψψ. The ground state is +two fold degenerate ±φ0 with +φ0 = 2Λ�F +g +exp +� +−π�F +g2 +� +(206) +and the Dirac fermion (the electron) has a exponentially small mass, m = gφ0. +8.3. Fractionally charged solitons +Jackiw and Rebbi showed that the 1+1-dimensional classical φ4 theory has the following +soliton solution which interpolates between the two classically ordered states at ±φ0 [140] +φ(x) = φ0 tanh +� x − x0 +ξ +� +(207) +where ξ is the correlation length of φ4 theory, and x0 is the (arbitrary) location of the soliton. +They further showed that, when coupled to a theory of massless relativistic fermions through a +Yukawa coupling, as in Eq.(205), this soliton carries fractional charge. The argument goes as +follows. The one-particle Dirac Hamiltonian for a Dirac fermion with a position-dependent mass +m(x) is +H = −iσ1∂x + m(x)σ3 = +�m(x) +−i∂x +−i∂x +−m(x) +� +(208) +43 + +where m(x) = gφ(x), with φ(x) being the soliton solution of Eq.(207). This Hamiltonian is her- +mitian and real. Furthermore, this Hamiltonian anti-commutes with the Pauli matrix σ2. This +implies that for every positive-energy state |E⟩ with energy +E there is a negative-energy eigen- +state with energy −E given by σ2|E⟩. Hence, the spectrum is particle-hole symmetric (or, what +is the same, charge-conjugation invariant). In addition, and consistent with charge-conjugation +symmetry, the Hamiltonian of Eq.(208) has state with E = 0, a zero-mode, with a normalizable +spinor wave function +ψ0(x) = +1√ +2 +�−i +1 +� +exp +� +−sgn(m) +� x +0 +dx′ m(x′) +� +(209) +which exists for an arbitrary function m(x) which changes sign once at some location (which +we took to be x0 = 0). Jackiw and Rebbi further showed that the soliton (anti-soliton) carries +fractional charge +Q = ∓e +2 +(210) +This result follows from the spectral asymmetry identity of the density of states ρS (E) in the +presence of the soliton +Q = −e +2 +� ∞ +0 +(ρS (E) − ρS (−E)) = −e +2η +(211) +where η is the spectral asymmetry of the Dirac operator in the soliton background, and it is known +as the APS η-invariant of Atiyah-Patodi-Singer [147]. Given the one-to-one correspondence +that exists between positive and negative energy states in the spectrum, the spectral asymmetry +follows from the condition that the zero mode be half-filled, which is required by normal-ordering +or, what is the same, by charge neutrality. Another way to understand this result is that adding (or +removing) a fermion of charge −e results in the creation of a soliton-antisoliton pair, with each +topological excitation carrying half of the charge of the electron. In other words, in the dimerized +phase the electron is fractionalized. In this analysis we ignored the spin of the electron. If we +take it into account the spin degree of freedom the soliton is instead a boson with charge ∓e. +There is an alternative, complementary, way to think about the charge of the soliton. Gold- +stone and Wilczek [141] considered a theory in which the (massless) Dirac fermion is coupled to +two real scalar fields, ϕ1 and ϕ2, with Lagrangian +L = ¯ψi/∂ψ − gϕ1 ¯ψψ − igϕ2 ¯ψγ5ψ ≡ ¯ψi/∂ψ − g|ϕ| ¯ψ exp(iθγ5)ψ +(212) +where |ϕ|2 = ϕ2 +1 + ϕ2 +2 and θ = tan−1(ϕ2/ϕ1). They considered a soliton in which gϕ1 = m is the +constant (in space) Dirac mass and ϕ2 winds slowly between two values ±ϕ0 for x → ±∞. In +this theory the one-particle Dirac Hamiltonian is +H = −iσ1∂x + gϕ1σ3 + gϕ2σ2 +(213) +which is hermitian and complex and, hence, it violates CP invariance. +A perturbative calculation of the induced (gauge-invariant) current jµ, which is given by the +triangle diagram of a fermion loop with two gauge field insertions and a coupling of the scalar +fields, yields the result (with a = 1, 2) +⟨jµ(x)⟩ = 1 +2πǫµνǫab +ϕa∂νϕb +|ϕ|2 += 1 +2πǫµν∂νθ +(214) +which is locally conserved. Notice, however, that the induced axial current j5 +µ is not conserved, +∂µ⟨j5 +µ⟩ = − 1 +2π∂2θ � 0 and, hence, this current is anomalous. We can now compute the total +charge accumulated as the soliton is created adiabatically to be given by the Goldstone-Wilczek +formula +Q = −e∆θ +2π +(215) +where ∆θ = θ(+∞) − θ(−∞). Since limx→±∞ ϕ2(x) = ±ϕ0, we obtain the result +Q = − e +π tan−1 �gϕ0 +m +� +(216) +In the limit m = gϕ → 0, where CP (or T) invariance is recovered, we get +lim +m→0 Q = −e +2 +(217) +44 + +which is the Jackiw-Rebbi result for the fractional charge of a soliton of Eq.(210). +The results for the fractional charge of the soliton can also be derived using the bosonization +identities of section 7.4. Indeed, the bosonized expression for the Lagrangian of Eq.(212) is +L = 1 +2 +� +∂µφ +�2 − g|ϕ| +2πa cos +� √ +4πφ − θ +� +(218) +Deep in the phase in which the Bose field φ is massive, the non-linear term in Eq.(218) locks this +field to the chiral angle θ, i.e. +φ = +1 +√ +4π +θ +(219) +However, the bosonization identities also tell us that the gauge current jµ is given by the curl of +the scalar field φ. Therefore, in this state the current jµ is +jµ = +1√πǫµν∂νφ = 1 +2πǫµν∂νθ +(220) +which is the same as the Goldstone-Wilczek result of Eq.(214). That these two seemingly differ- +ent approaches yield the same result is not accidental as they both follow from the axial anomaly. +9. Fractional Statistics +A fundamental axiom of Quantum Mechanics is that identical particles are indistinguish- +able [148, 149]. In non-relativistic Quantum Mechanics this leads to the requirement that the +quantum states of a system of identical particles must be eigenstates of the pairwise particle ex- +change operator. Since two exchanges are equivalent to the identity operation this implies that the +states must be even or odd under pairwise exchanges. This result, in turn, implies that particles +can be classified as either being bosons (whose states are invariant under pairwise exchanges) +or fermions (whose states change sign under pairwise particle exchanges). A consequence is +that bosons obey the the Bose-Einstein (and can condense into a single particle state) whereas +fermions obey the Fermi-Dirac distribution and must obey the Pauli exclusion principle. It is +an implicit assumption of this line of reasoning that all relevant states of a system of identical +particles can be efficiently represented by a (suitably symmetrized or antisymmetrized) product +state. +This classification is present at an even deeper level in (relativistic) Quantum Field Theory +where locality, unitarity and Lorentz invariance require that the fields be classified as represen- +tations of the Lorentz group and obey the Spin-Statistics Theorem [150]. The Spin-Statistics +Theorem is actually an axiom of local relativistic Quantum Field theory which requires that +fields that transform with an integer spin representation of the Poincar´e group (i.e. scalars, gauge +fields, gravitational fields, etc) must be bosons while fields that transform with a half-integer +spin representation (i.e. Dirac spinors, etc) must be fermions. This spin-statistics connection is +intrinsic to the construction of String Theory [104]. +Given these considerations there was a general consensus that fermions and bosons were +the only possible types of statistics. Nevertheless several exceptions to this rule were known +to exist. One is the construction of the magnetic monopole in 3+1 dimensional gauge theory +by Tai-Tsun Wu and Chen-Ning Yang who showed that a scalar coupled to a Dirac magnetic +monopole behaves as a Dirac spinor [151]. This was an early example of statistical transmutation +by coupling a matter field to a non-trivial configuration of a gauge field. As we will note below, +the construction of anyons (particles with fractional statistics) in 2+1 dimensions has a close +parentage to the Wu-Yang example. Examples of statistical transmutation were known to exist +in 1+1 dimensional theories where a system of hard-core bosons was shown to be equivalent to a +theory of free fermions using the Jordan-Wigner transformation [22] which represents a fermion +as a composite operator of a hard-core boson and an operator that creates a kink (or soliton). +This construction also underlies the fermion-boson mapping in 1+1 dimensional field theories +[128, 129, 131, 130] that we discussed in section 7.4. Finally, in the late 1970s it was found that +1+1 dimensional ZN spin systems harbor operators known as parafermions which obey the same +algebra shortly afterwards found to be obeyed by anyons in 2+1 dimensions [152]. +45 + +9.1. Basics of fractional statistics +Jon Magne Leinaas and Jan Myrheim wrote an insightful paper in 1977 in which they exam- +ined the structure of the configuration space of the histories of a system of N identical particles +[153]. Using the Feynamn path-integral approach, they showed that if the worldlines of the iden- +tical particles are not allowed to cross, then the configuration space is topologically non-trivial. +Through a detailed analysis they showed that the three and higher dimensions under a pairwise +particle exchange the states must be either even or odd and hence the particles are either bosons +or fermions. Leinaas and Myrheim also showed that in one and two space dimensions the wave +functions can change by a phase, nowadays known as the statistical angle. In retrospect this re- +sult could have been anticipated (but was not) in an earlier paper by Michael G. G. Laidlaw and +C´ecile Morette DeWitt [154] who did a similar analysis of the configuration space of identical +particles in the Feynman path integral. +Frank Wilczek generalized the Aharonov-Bohm effect [155] to describe the quantum me- +chanics of composite objects made of electric charge and magnetic flux in two space dimensions +[156]. Wilczek showed that composite objects made of a non-relativistic particle of charge q +bound to a magnetic flux of (magnetic) charge Φ behaves as an object with fractional angu- +lar momentum qΦ/2π. Here Φ is measured in units of the flux quantum 2π (in units in which +ℏ = c = e = 1). Furthermore, in a subsequent paper Wilczek [157] showed that, upon an +adiabatic process in which the two composites exchange positions without their worldlines co- +inciding, the wave function of two identical flux-charge composites changes by a phase factor +exp(±iqΦ). For instance if Φ = π (i.e. a half-flux quantum) the acquired phase is equal to +exp(iπ) = −1. thus if the particle was a boson, the composite becomes a fermion and viceversa. +Wilczek coined the term anyon to describe the behavior of an arbitrary charge-flux composite. +Furthermore, this construction also implies that not only fractional statistics but also fractional +spin, consistent with a generalization of the Spin-Statistics Theorem. In other terms, “flux- +attachment” implies fractional statistics (and fractional spin). Clearly Wilczek’s construction +gave an explicit physical grounding to the general arguments of the 1977 paper by Leinaas and +Myrheim. It is worth note the close analogy between this construction in 2+1 dimensions and the +Wu-Yang construction in 3+1 dimensions (whose consistency with the Spin-Statistics Theorem +had been shown earlier on by Alfred Goldhaber [158]). +In this description the statistics of the composites (the anyons) enters in the form of complex +weights (phases) given in terms of the linking numbers of the worldlines. Hence, the concept of +fractional statistics is intimately related to the theory of knots and of the representations of the +braid group. These concepts were originally introduced in physics to describe statistical trans- +mutation in the theory of solitons [159] in the context of the Skyrme model [160]. Yong-Shi Wu +[161] developed an explicit connection between the work of Leinaas and Myrheim and Wilczek’s +work on anyons in terms of operations acting on the worldlines of the anyons and described by +the Braid Group. Wu’s work and the somewhat early paper by Wilczek and Zee on the statistics +of solitons [162] marked the definite entry of the theory of knots (and of the braid group) in +physics in general and in condensed matter physics in particular. The classification of anyons +in terms of representations of the braid group labeled by the fractional statistics (determined by +linking numbers) as well as of fractional (or topological) spin (determined by the writhing num- +ber of the worldlines) leads to a rich set of physical consequences. As it will turn out, Wilczek’s +anyons are described one-dimensional representations of the braid group. As we will see below, +additional and intriguing (non-abelian) representations will also play a role. +9.2. What is a topological field theory +We will now consider a special class of gauge theories known as topological field theories. +These theories often (but not always) arise as the low energy limit of more complex gauge theo- +ries. In general, one expects that at low energies the phase of a gauge theory be either confining +or deconfined. While confining phases have (from really good reasons!) attracted much atten- +tion, deconfined phases are often regarded as trivial, in the sense that the general expectation +is that their vacuum states be unique and the spectrum of low lying states is either massive or +massless. +Let us consider a gauge theory whose action on a manifold M with metric tensor tensor +gµν(x) is +S = +� +M +dDx √g L(g, Aµ) +(221) +46 + +At the classical level, the the energy-momentum tensor T µν(x) is the linear response of the action +to an infinitesimal change of the local metric, +T µν(x) ≡ +δS +δgµν(x) +(222) +That a theory is topological means that depends only on the topology of the space in which is +defined and, consequently, it is independent of the local properties that depend on the metric, e.g. +distances, angles, etc. Therefore, at least at the classical level, the energy-momentum tensor of a +topological field theory must vanish identically, +T µν = 0 +(223) +In particular, if the theory is topological, the energy (or Hamiltonian) is also zero. Furthermore, if +the theory is independent of the metric, it is invariant under arbitrary coordinate transformations. +Thus, if the theory is a gauge theory, the expectation values of Wilson loops will be independent +of the size and shape of the loops. Whether or not a theory of this type can be consistently defined +at the quantum level is a subtle problem which we will briefly touch on below. +It turns out that, due to the non-local nature of the observables of a gauge theory, the low +energy regime of a theory in its deconfined phase can have non-trivial global properties. In what +follows, we will say that a gauge theory is topological if all local excitations are massive (and in +fact we will send their mass gaps to infinity). The remaining Hilbert space of states is determined +by global properties of the theory, including the topology of the manifold of their space-time. In +several cases, the effective action of a topological field theory does not depend on the metric of +the space-time, at least at the classical level. In all cases, the observables are non-local objects, +Wilson loops and their generalization. +9.3. Chern-Simons Gauge Theory +Gauge theories play a key role in physics. In 2+1 dimensions it is possible to define a special +gauge theory which is odd under time reversal invariance and parity: Chern-Simons gauge theory. +Originally introduced in Quantum Field Theory in1982 by Stanley Deser, Roman Jackiw and +Stephen Templeton [163, 164], Chern-Simons gauge theory can be defined for any compact Lie +group, as well as an extension of Einstein’s gravity in 2+1 dimensions. In 1989 Edward Witten +[165] showed that Chern-Simons gauge theory computes the expectation values of configurations +of Wilson loops, regarded as the worldlines of heavy particles, in terms of a set of topological +invariants known as the Jones polynomial that classify knots in three dimensions. +We will consider the simplest case, the U(1) Chern-Simons gauge theory. The Chern-Simons +action for a U(1) gauge field Aµ in 2+1 dimension is +S [A] = k +4π +� +Ω +d3x ǫµνλAµ∂νAλ + +� +Ω +d3x JµAµ +(224) +where Jµ is a set of conserved currents (representing the worldlines of a set of heavy particles). +On a closed 3-manifold Ω (e.g. a sphere, a torus, etc) the Chern-Simons action is gauge invariant +provided the parameter k (known as the level) is an integer. If the manifold Ω has a boundary, +the action is not gauge invariant at the boundary. Gauge invariance is restored by additional +boundary degrees of freedom. This structure is general, and not just a feature of the U(1) theory. +Since the Chern-Simons action is first order in derivatives it is not invariant under time re- +versal and under parity (which in 2+1 dimensions is a reflection). These symmetries make this +theory relevant to the description of the fractional quantum Hall effect. In the absence of exter- +nal sources, Jµ = 0, at the classical level the Chern-Simons action is invariant under arbitrary +changes of coordinates. This means that the theory is, at least classically, a topological field +theory. +For a general non-abelian gauge group G the Chern-Simons action becomes +S = k +4π +� +M +d3x tr +� +AdA + 2 +3A ∧ A ∧ A +� +(225) +Here, the cubic term is shorthand for +tr +� +A ∧ A ∧ A +� +≡ tr +� +ǫµνλAµAνAλ� +(226) +for a gauge field Aµ that takes values on the algebra of the gauge group G. +47 + +9.4. BF gauge theory +A closely related (abelian) gauge theory is the so-called BF theory [166] which, in a general +spacetime dimension D (even or odd), is a theory of a vector field Aµ (a one-form) and an an- +tisymmetric tensor field B with D − 2 Lorentz indices (a D2 form), known as a Kalb-Ramond +field. In 2+1 dimensions the action of the BF theory is +S = k +2π +� +M +d3x ǫµνλBλ∂µAν +(227) +where, once again, k is an integer. +The BF gauge theory has the same content as the topological sector of a discrete Zk gauge +theory. To see this we will consider the theory of compact electrodynamics which is a U(1) +gauge theory minimally coupled to charged scalar field φ. The will assume that the gauge theory +is defined for a compact U(1) gauge group (meaning that the gauge flux is quantized) and that +the complex scalar field has charge integer k ∈ Z. As usual minimal coupling is implemented by +introducing the covariant derivative Dµ − ∂µ + ikAµ, where Aµ is the U(1) gauge field. Deep in +the phase in which the global U(1) symmetry is spontaneously broken, usually called the Higgs +regime, the amplitude of the scalar field is frozen at its (real) vacuum expectation value φ0 but its +phase ω, representing the Goldstone mode, is unconstrained. In this limit the Lagrangian of this +theory becomes +L = |φ0|2 � +∂µω − kAµ +�2 − 1 +4e2 F2 +µν +(228) +where e is the coupling constant of the gauge field (the electric charge) and Fµν is the field +strength of the gauge field Aµ. In general spacetime dimension D the charge e has units of +length(D−4)/2. In this limit the gauge field becomes massive (this is the Higgs mechanism). This +theory has fluxes quantized in units of 2π/k and has only k distinct fluxes. This is the Zk gauge +theory. +Here we will consider this theory in 2+1 dimensions. We will use a gaussian (Hubbard- +Stratonovich) decoupling of the first term of Eq.(228) in terms of a gauge field Cµ to write the +Lagrangian in the equivalent form +L = − +1 +4|φ0|2C2 +µ + Cµ(∂µω − kAµ) − 1 +4e2 F2 +µν +(229) +Up to an integration by parts, we see that the phase field ω plays the role of a Lagrange multiplier +field which forces the vector field Bµ to obey the constraint ∂µCµ = 0. This constraint is solved +by writing Cµ as +Cµ = 1 +2πǫµνλ∂νBλ +(230) +of a 1-form gauge field Bµ. Upon solving the constraint the Lagrangian of Eq.(229) becomes +L = k +2πǫµνλAµ∂νBλ − 1 +4e2 Fµν(A)2 − +1 +32π2|φ0|2 Fµν(B)2 +(231) +For spacetime dimensions D < 4 the IR the Maxwell terms for the fields Aµ and Bµ are irrelevant +in the IR and, in this limit, this theory reduces to the BF theory at level k of Eq.(227). Therefore, +Zk gauge theory is equivalent to the BF theory at level k. In fact, this result is essentially valid +in all dimensions with the main difference being that the field Bµ is, in general, a rank D − 2 +Kalb-Ramond antisymmetric field. +9.5. Quantization of Abelian Chern-Simons Gauge Theory +By expanding the action of Eq.(224) the Lagrangian density becomes +L = k +4πǫi jAi∂0A j + A0 +� k +2π B − J0 +� +− JiAi +(232) +where B = ǫi j∂iA j is the local flux, J0 is a local classical density and Ji a local classical current. +Then, the first term of Eq.(232) implies that the spatial components of the gauge field obey +equal-time canonical commutation relations +[A1(x), A2(x′)] = i2π +k δ(x − x′) +(233) +48 + +The second term of the Lagrangian enforces the Gauss Law which for this theory simply +implies that the states in the physical Hilbert space obey the constraint +B(x) = 2π +k J0(x) +(234) +Thus the Gauss Law requires that a charge density necessarily has a magnetic flux attached to it. +In other terms, the physical states are charge-flux composites as postulated in Wilczek’s theory +[157]. This is the theoretical basis to the concept of flux attachment which, as we will see in +section 10.3, is widely used in the theory of the fractional quantum Hall effect. +The third term in Eq.(232) simply states that the Hamiltonian density is just +H = JiAi +(235) +Hence, in the absence of sources the Hamiltonian vanishes, H = 0. +The Chern-Simons action is locally gauge-invariant, up to boundary terms. To see this let us +perform a gauge transformation, Aµ → Aµ + ∂µΦ, where Φ(x) is a smooth, twice differentiable +function. Then, +S [Aµ + ∂µΦ] = +� +M +(Aµ + ∂µΦ)ǫµνλ∂ν(Aλ + ∂λΦ) += +� +M +d3x ǫµνλAµ∂νAλ + +� +M +d3x ǫµνλ∂µΦ∂νAλ +(236) +Therefore, the change is +S [Aµ + ∂µΦ] − S [Aµ] = +� +M +d3x ∂µΦF∗ +µ = +� +M +d3x ∂µ(ΦF∗ +µ) − +� +M +d3x Φ∂µF∗ +µ +(237) +where F∗ +µ = ǫµνλ∂νAλ, is the dual field strength. However, in the absence of magnetic monopoles, +this field satisfies the Bianchi identity, ∂µF∗µ = ∂µ(ǫµνλ∂νAλ) = 0. Therefore, using the Gauss +Theorem, we find that the change of the action is a total derivative and integrates to the boundary +δS = +� +M +d3x ∂µ(ΦF∗ +µ) = +� +Σ +dS µΦF∗ +µ +(238) +where Σ = ∂M is the boundary of M. In particular, if Φ is a non-zero constant function on M, +then the change of the action under such a gauge transformation is +δS = Φ × flux(Σ) +(239) +Hence, the action is not invariant if the manifold has a boundary, and the theory must be supplied +with additional degrees of freedom at the boundary. +Indeed, the flat connections, i.e. the solution of the equations of motion, Fµν = 0, are pure +gauge transformations, Aµ = ∂µφ, and have an action that integrates to the boundary. Let the +M = D × R where D is a disk in space and R is time. The boundary manifold is Σ = S 1 × R, +where S 1 is a circle. Thus, in this case, the boundary manifold Σ is isomorphic to a cylinder. The +action of the flat configurations reduces to +S = +� +S 1×R +d2x k +4π∂0φ∂1φ +(240) +This implies that the dynamics on the boundary is that of a scalar field on a circle S 1, and obeys +periodic boundary conditions. +Although classically the theory does not depend on the metric, it is invariant under arbitrary +transformations of the coordinates. However, any gauge fixing condition will automatically break +this large symmetry. For instance, we can specify a gauge condition at the boundary in the form +of a boundary term of the form Lgauge fixing = A2 +1. In this case, the boundary action of the field ϕ +becomes +S [ϕ] = +� +S 1×R +d2x k +4π +� +∂0φ∂1φ − (∂1φ2) +� +(241) +The solutions of the equations of motion of this compactified scalar field have the form φ(x1∓x0), +and are right (left) moving chiral fields depending of the sign of k. This boundary theory is not +topological but is is conformally invariant. +49 + +A similar result is found in non-abelian Chern-Simons gauge theory. In the case of the +S U(N)k Chern-Simons theory on a manifold D × R, where D is a disk whose boundary is Γ, and +R is time, the action is +S CS[A] = +� +D×R +d3x +� k +8πtr +� +ǫµνλAµ∂νAλ + 2 +3ǫµνλAµAνAλ +�� +(242) +This theory integrates to the boundary, Γ×R where it becomes the chiral (right-moving) S U(N)k +Wess-Zumino-Witten model (at level k) at its IR fixed point, λ2 +c = 4π/k +S WZW[g] = +1 +4λ2c +� +Γ×R +d2x tr +� +∂µg∂µg−1� ++ +k +12π +� +B +ǫµνλtr +� +g−1∂µg g−1∂νg g−1∂λg +� +(243) +Here, g ∈ S U(N) parametrizes the flat configurations of the Chern-Simons gauge theory. The +boundary theory is a non-trivial CFT, the chiral Wess-Zumino-Witten CFT [165]. +9.6. Vacuum degeneracy a torus +We will now construct the quantum version of the U(1) Chern-Simons gauge theory on a +manifold M = T 2 × R, where T 2 is a spatial torus, of linear size L1 and L2. Since this manifold +does not have boundaries, the flat connections, ǫi j∂iA j = 0 do not reduce to local gauge transfor- +mations of the form Ai = ∂iΦ. Indeed, the holonomies of the torus T 2, i.e. the Wilson loops on +the two non-contractible cycles of the torus Γ1 and Γ2 are gauge-invariant observables: +� L1 +0 +dx1A1 ≡ ¯a1, +� L2 +0 +dx1A2 ≡ ¯a2 +(244) +where ¯a1 and ¯a2 are time-dependent. Thus, the flat connections now are +A1 = ∂1Φ + ¯a1 +L1 +, +A2 = ∂2Φ + ¯a2 +L2 +(245) +whose action is +S = k +4π +� +dx0ǫi j¯ai∂0¯a j +(246) +Therefore, the global degrees of freedom ¯a1 and ¯a2 at the quantum level become operators that +satisfy the commutation relations +[¯a1, ¯a2] = i2π +k +(247) +We find that the flat connections are described by the quantum mechanics of ¯a1 and ¯a2. A +representation of this algebra is +¯a2 ≡ −i2π +k +∂ +∂¯a1 +(248) +Furthermore, the Wilson loops on the two cycles become +W[Γ1] = exp +� +i +� L1 +0 +A1 +� +≡ ei¯a1, +W[Γ2] = exp +� +i +� L2 +0 +A2 +� +≡ ei¯a2 +(249) +and satisfy the algebra +W[Γ1]W[Γ2] = exp(−i2π/k)W[Γ2]W[Γ1] +(250) +Under large gauge transformations +¯a1 → ¯a1 + 2π, +¯a2 → ¯a2 + 2π +(251) +Therefore, invariance under large gauge transformations on the torus implies that ¯a1 and ¯a2 define +a two-torus target space. +Let us define the unitary operators +U1 = exp(ik¯a2), +U2 = exp(−ik¯a1) +(252) +which satisfy the algebra +U1U2 = exp(i2πk)U2U1 +(253) +50 + +The unitary transformations U1 and U2 act as shift operators on ¯a1 and ¯a2 by 2π, and hence +generate the large gauge transformations. Moreover, the unitary operators U1 and U2 leave the +Wilson loop operators on non-contractible cycles invariant, +U−1 +1 W[Γ1]U1 = W[Γ1], +U−1 +2 W[Γ2]U2 = W[Γ2] +(254) +Let |0⟩ be the eigenstate of W[Γ1] with eigenvalue 1, i.e. W[Γ1]∥0⟩ = |0⟩. The state W[Γ2]|0⟩ is +also an eigenstate of W[Γ1] with eigenvalue exp(−i2π/k), since +W[Γ1]W[Γ2]|0⟩ = ei2π/kW[Γ2]W[Γ1]|0⟩ = e−i2π/kW[γ2|0⟩ +(255) +More generally, since +W[Γ1]W p[Γ2]∥0⟩ = e−i2πp/kW p[Γ2]|0⟩ +(256) +we find that, provided k ∈ Z, there are k linearly independent vacuum states |p⟩ = W p[Γ2]|0⟩, for +the U(1) Chern-Simons gauge theory at level k. It is denoted as the U(1)k Chern-Simons theory. +Therefore the finite-dimensional topological space on a two-torus is k-dimensional. It is trivial +to show that, on a surface of genus g, the degeneracy is kg. +We see that in the abelian U(1)k Chern-Simons theory the Wilson loops must carry k possible +values of the unit charge. This property generalizes to the non-abelian theories, which are tech- +nically more subtle. We will only state some important results. For example, if the gauge group +is SU(2) we expect that the Wilson loops will carry the representation labels of the group SU(2), +i.e. they will be labelled by (j, m), where j = 0, 1 +2, 1, . . . and the 2 j+1 values of m satisfy |m| ≤ j. +However, it turns out SU(2)k Chern-Simons theory has fewer states, and that the values of j are +restricted to the range j = 0, 1 +2, . . . , k +2. +9.7. Fractional Statistics and Braids +Another aspect of the topological nature of Chern-Simons theory is the behavior of expec- +tation values of products of Wilson loop operators. Let us compute the expectation value of +a product of two Wilson loop operators on two positively oriented closed contours γ1 and γ2. +We will do this computation in the abelian Chern-Simons theory U(1)k in 2+1-dimensional Eu- +clidean space. Note that the Euclidean Chern-Simons action is pure imaginary since the action +is first-order in derivatives. The expectation value to be computed is +W[γ1 ∪ γ2] = +� +exp +� +i +� +γ1∪γ2 +dxµAµ +�� +CS +(257) +The result changes depending on whether the loops γ1 and γ2 are linked or unlinked. In this +section we will compute the contribution to this expression for a pair of contours γ1 and γ2. Here +we will not include the contribution to this expectation value for each contours. We will return +to this problem in section 11.3.1 where we discuss the problem of fractional spin. +The expectation value of a Wilson loop on the union of two contours, as in the present case, +γ can be written as +� +exp +� +i +� +γ +dxµAµ +�� +CS = +� +exp +� +i +� +d3xJµAµ +�� +CS +(258) +where the current Jµ is +Jµ(x) = δ(xµ − zµ(t))dzµ +dt +(259) +Here zµ(t) is a parametrization of the contour γ. Therefore, the expectation value of the Wilson +loop is [165] +� +exp +� +i +� +γ +dxµAµ +�� +CS ≡ exp(iI[γ]CS) = exp +� +− i +2 +� +d3x +� +d3y Jµ(x)Gµν(x − y)Jν(y) +� +(260) +where Gµν(x − y) = ⟨Aµ(x)Aν(y)⟩CS is the propagator of the Chern-Simons gauge field. Since the +loops are closed, the current Jµ is conserved, i.e. ∂µJµ = 0, and the effective action I[γ]CS of the +loop γ is gauge-invariant. +The Euclidean propagator of Chern-Simons gauge theory (in the Feynman gauge) is +Gµν(x − y) = 2π +k G0(x − y)ǫµνλ∂λδ(x − y) +(261) +51 + +where G0(x − y) is the propagator of the massless Euclidean scalar field, which satisfies +− ∂2G0(x − y) = δ3(x − y) +(262) +Using these results, we find the following expression for the effective action +I[γ]CS =π +k +� +d3x +� +d3y Jµ(x)Jν(y)G0(x − y)ǫµνλ∂λδ(x − y) +=π +k +� +γ +dxµ +� +γ +dyνǫµνλ∂λG0(x − y) +(263) +Since the current Jµ is conserved, it can be written as the curl of a vector field, Bµ, as +Jµ = ǫµνλ∂νBλ +(264) +In the Lorentz gauge, ∂µBµ = 0, we can write +Bµ = ǫµνλ∂νφλ +(265) +Hence, +Jµ = −∂2φµ +(266) +where +φµ(x) = +� +d3y G0(x − y)Jµ(y) +(267) +Upon substituting this result into the expression for Bµ, we find +Bµ = +� +d3yǫµνλ∂νG0(x − y)Jλ(y) = +� +γ +ǫµνλ∂νG0(x − y)dyλ +(268) +Therefore, the effective action I[γ]CS becomes +I[γ]CS = π +k +� +γ +dxµ +� +γ +dyνǫµνλ∂λG0(x − y) = π +k +� +γ +dxµBµ(x) +(269) +Let Σ be an oriented open surface of the Euclidean three-dimensional space whose boundary is +the oriented loop (or union of loops) γ, i.e. ∂Σ = γ. Then, using Stokes Theorem we write in the +last line of Eq.(269) as +I[γ]CS = π +k +� +Σ +dS µǫµνλ∂νBλ = π +k +� +Σ +dS µJµ +(270) +The integral in the last line of this equation is the flux of the current Jµ through the surface Σ. +Therefore, this integral counts the number of times nγ the Wilson loop on γ pierces the surface Σ +(whose boundary is γ), and therefore it is an integer, nγ ∈ Z. We will call this integer the linking +number (or Gauss invariant) of the configuration of loops. In other words, the expectation value +of the Wilson loop operator is +W[γ]CS = eiπnγ/k +(271) +The linking number is a topological invariant since, being an integer, its value cannot be changed +by smooth deformations of the loops, provided they are not allowed to cross. +We will now see that this property of Wilson loops in Chern-Simons gauge theory leads to the +concept of fractional statistics. Let us consider a scalar matter field that is massive and charged +under the Chern-Simons gauge field. The excitations of this matter field are particles that couple +minimally to the gauge field. Here we will be interested in the case in which these particles are +very heavy. In that limit, we can focus on states that have a few of this particles which will be in +their non-relativistic regime. +Consider, for example, a state with two particles which in the remote past, at time t = −T → +−∞, are located at two points A and B. This initial state will evolve to a final state at time t = T → +∞, in which the particles either go back to their initial locations (the direct process), or to another +one in which they exchange places, A ↔ B. At intermediate times, the particles follow smooth +worldlines. These two processes, direct and exchange. There we see that the direct process is +equivalent to a history with two unlinked loops (the worldlines of the particles), whereas in the +exchange process the two loops form a link. It follows from the preceding discussion that the +52 + +two amplitudes differ by the result of the computation of the Wilson loop expectation value for +the loops γ1 and γ2. Let us call the first amplitude Wdirect and the second Wexchange. The result is +Wexchange = Wdirecte±iπ/k +(272) +where the sign depends on how the two worldlines wind around each other. +An equivalent interpretation of this result is that if Ψ[A, B] is the wave function with the two +particles at locations A and B, the wavefunction where their locations are exchanged is +Ψ[B, A] = e±iπ/kΨ[A, B] +(273) +where the sign depends on whether the exchange is done counterclockwise or clockwise. Clearly, +for k = 1 the wave function is antisymmetric and the particles are fermions, while for k → ∞ +they are bosons. At other values of k the particles obey fractional statistics and are called anyons +[156, 153]. The phase factor φ = ±π/k is called the statistical phase. +Notice that, while for fermions and bosons the statistical phase ϕ = 0, π is uniquely defined +(mod 2π), for other values of k the statistical angle is specified up to a sign that specifies how +the worldlines wind around each other. Indeed, mathematically the exchange process is known +as a braid. Processes in which the worldlines wind clock and counterclockwise are braids that +are inverse of each other. Braids can also be stack sequentially yielding multiples of the phase +ϕ. In addition to stacking braids, Wilson loops can be fused: seen from some distance, a pair of +particles will behave as a new particle with a well defined behavior under braiding. This process +of fusion is closely related to the concept of fusion of primary fields in Conformal Field Theory. +Furthermore, up to regularization subtleties [167], the self-linking terms (those with a = b) +yield a topological spin 1/2k, consistent with the spin-statistics connection [168]. For k = 1 this +means that the flux-charge composites have spin 1/2. +What we have just described is a mathematical structure called the Braid group. The example +that we worked out using abelian Chern-Simons theory yields one-dimensional representations +of the Braid group with the phase ϕ being the label of the representations. For U(1)k there are k +types of particles (anyons). That these representations are abelian means that, in the general case +of U(1)k, acting on a one-dimensional representation p (defined mod k) with a one-dimensional +representation q (also defined mod k) yields the representation one-dimensional p+q (mod k). We +will denote the operation of fusing these representations (particles!) as [q]mod k × [p]mod k = [q + +p]mod k. These representations are in one-to-one correspondence with the inequivalent charges of +the Wilson loops, and with the vacuum degeneracy of the U(1)k Chern-Simons theory on a torus. +A richer structure arises in the case of the non-abelian Chern-Simons theory at level k [165], +such as SU(2)k. For example, for SU(2)1 the theory has only two representations, both are one- +dimensional, and have statistical angles ϕ = 0, π/2. +However, for SU(2)k, the content is more complex. In the case of SU(2)2 the theory has +a) a trivial representation [0] (the identity, (j, m) = (0, 0)), b) a (spinor) representation [1/2] +((j, m) = (1/2, ±1/2)), and c) a the representation [1] ((j, m) = (1, m), with m = 0, ±1). These +states will fuse obeying the following rules: [0] × [0] = [0], [0] × [1/2] = [1/2], [0] × [1] = [1], +[1/2]×[1/2] = [0]+[1], [1/2]×[1] = [1/2], and [1]×[1] = [0] (note the truncation of the fusion +process!). +Of particular interest is the case [1/2] × [1/2] = [0] + [1]. In this case we have two fusion +channels, labeled by [0] and [1]. The braiding operations now will act on a two-dimensional +Hilbert space and are represented by 2 × 2 matrices. This is an example of a non-abelian repre- +sentation of the braid group. These rather abstract concepts have found a physical manifestation +in the physics of the fractional quantum Hall fluids, whose excitations are vortices that carry +fractional charge and anyon (braid) fractional statistics. +Why this is interesting can be seen by considering a Chern-Simons gauge theory with four +quasi-static Wilson loops. For instance in the case of the SU(2)2 Chern-Simons theory the Wilson +loops carry the spinor representation, [1/2]. If we call the four particles A, B, C and D, we +would expect that their quantum state would be completely determined by the coordinates of +the particles. This, however, is not the case since, if we fuse A with B, the result is either a +state [0] or a state [1]. Thus, if the particles were prepared originally in some state, braiding +(and fusion) will lead to a linear superposition of the two states. This braiding process defines +a unitary matrix, a representation of the Braid Group. The same is true with the other particles. +However, it turns out that for four particles there are only two linearly independent states. This +two-fold degenerate Hilbert space of topological origin is called a topological qubit. +53 + +Moreover, if we consider a system with N (even) number of such particles, the dimension of +the topologically protected Hilbert space is 2 +N +2 −1. Hence, for large N, the entropy per particle +grows as 1 +2 ln 2 = ln +√ +2. Therefore the qubit is not an “internal” degree of freedom of the +particles but a collective state of topological origin. Interestingly, there are physical systems, +known as non-abelian fractional quantum Hall fluids that embody this physics and are accessible +to experiments! For these reasons, the non-abelian case has been proposed as a realization of a +topological qubit [169, 170]. +10. Topological Phases of Matter +10.1. Topological Insulators +We will now give a brief discussion of the physics of Topological Insulators from a field- +theoretic perspective. Topological insulators are systems whose electronic states (band struc- +tures) have special topological properties which manifest in the existence of symmetry-protected +edge states. For this reason these systems are known as symmetry-protected topological states +(or SPTs). The simplest example is found in one space dimension where it is related to the fas- +cinating problem of fractionally charged solitons and electron fractionalization. In several ways +many of the concepts involved in these 1+1-dimensional systems can and have been extended to +higher dimensions. +10.1.1. Dirac fermions in 2+1 dimensions +We will now see that, in spite of the formal similarities withe the 1+1 dimensional case, this +theory has different symmetries, particularly concerning parity and time reversal invariance. In +addition, in 2+1 dimensions it is not possible to define a γ5 Dirac matrix which implies that there +is no chiral symmetry and no chiral anomaly. We will consider first a theory of a Dirac field +which in 2+1 dimensions is a bi-spinor (as is in 1+1 dimensions). The Lagrangian of the Dirac +theory coupled to a background gauge field Aµ is +L = ¯ψiγµ∂µψ − m ¯ψψ − eAµ ¯ψγµψ ≡ ¯ψiγµDµ(A)ψ − m ¯ψψ +(274) +where ¯ψ = ψ†γ0, ¯ψγµψ ≡ jµ is the gauge-invariant (and conserved) Dirac current, and Dµ(A) = +∂µ + ieAµ is the covariant derivative. +In Eq.(274), γµ are the three 2 × 2 Dirac matrices which obey the algebra, {γµ, γν} = 2gµν, +where gµν = diag(1, −1, −1) is the metric of 2+1 dimensional Minkowski spacetime. The Dirac +matrices γµ can be written in terms of the three 2 × 2 Pauli matrices. For instance we can choose +γ0 = σ3, γ1 = iσ2 and γ2 = −iσ1 which satisfy the Dirac algebra. Since the three gamma +matrices involve all tree Pauli matrices, it is not possible to define a γ5 matrix which would +anticommute with the gamma matrices. In this sense, it is not possible to define a chirality for +bi-spinors in 2+1 dimensions +We could have also chosen a different set of gamma matrices. For instance, we could have +chosen γ0 = σ3, γ1 = iσ2 and γ2 = +iσ1 which also satisfy the Dirac algebra. These two choices +are equivalent to the 2D parity transformation x1 → x1 and x2 → −x2. In other words, we can +choose the three gamma matrices to be defined in terms of a right handed or a left handed frame +(or triad). Thus, the choice of handedness of the frame used to define the gamma matrices can +be regarded as a chirality. +The parity transformation is also equivalent to a unitary transformation (a change of basis) +U = γ1 = iσ1 which flips the sign of both γ2 and γ0. Thus, a parity transformation is equivalent +to a change of the sign of γ0 or, what is the same, as changing the sign of the Dirac mass +m → −m. Since the Dirac theory is charge conjugation invariant, the parity transformation is +equivalent to time reversal. It is easy to see that in 2+1 dimensions the massive Dirac theory +is not invariant under time reversal since this the single particle Dirac Hamiltonian H(p) for +momentum p involves all three Pauli matrices, +H(p) = α · p + βm +(275) +where, as usual, α = γ0γ and β = γ0. In fact, time reversal is equivalent to the change of the +sign of the Dirac mass. These considerations also apply to the massless Dirac theory coupled to +a background gauge field. +54 + +10.1.2. Dirac Fermions and Topological Insulators +In addition systems in one space dimension, discussed in section 7.1, in which Dirac fermions +naturally describe the low energy electronic degrees of freedom, Dirac fermions also play a role +in many other system in Condensed Matter Physics. Such systems range from the nodal Bogoli- +ubov fermionic excitations of d-wave superconductors in 2D and p-wave superfluids in 3D, to +Chern and Z2 topological insulators in 2D and Z2 topological insulators and Weyl semimetals in +3D. The also play a role in spin liquid phases of frustrated spin-1/2 quantum antiferromagnets, +such as Dirac and chiral spin liquids. Dirac fermions play also a significant role in our under- +standing of the compressible limit of 2D electron gases (2DEG) in large magnetic fields (see +section 10.3). We will not cover here all of these examples. Instead we will focus of the 2D +Chern topological insulators (which exhibit the anomalous quantum Hell effect) and on the 3D +Z2 topological insulators. +In Condensed matter Physics the important low energy electronic degrees of freedom belong +to the electronic states close to the Fermi energy. In such systems the lattice periodic potential +determines the properties of their band structures. The only significant exception to this general +rule is the case of the 2DEGs in GaAs-AlAs heterostructures (the most commonly used platform +for the study of quantum hall effects) whose electronic densities are low enough so that the lattice +periodic potential can for practical purposes almost always be ignored. +In general, Dirac (and Weyl) fermions arise when the conduction and valence bands cross +at isolated points of the Brillouin zone. In such situations, the near the crossing points the low +energy electronic states locally (in momentum space) look like cones and, ignoring possible +anisotropies, look like the states of a Dirac-Weyl theory. For these reasons, Dirac fermions play +a central role in the theory of graphene type materials [171] and, more significantly, in the theory +of topological insulators [172]. +Dirac fermions play a central role in Quantum Electrodynamics and in the Standard Model of +Particle Physics. The problem of quark confinement requires an understanding of these theories +in a regime inaccessible to Feynman-diagrammatic perturbation theory and an intrinsically non- +perturbative formulation, known as Lattice Gauge Theory [55, 56, 173], needed to be developed. +For this reason in the 1970s fermionic Hamiltonians with crossings at points became of great +interest in High Energy Physics as a way to describing the short-distance dynamics of quarks in +Lattice Gauge Theory. +This program run into difficulties when extended to the theory of Weak Interactions which +have an odd number of species of chiral (Weyl) Dirac fermions. All local discretizations of the +Dirac equation yield an even number of species. This fact came to be known as the fermion +doubling problem. These results are special cases of a general theorem, due to Holger Nielsen +and Masao Ninomiya [174, 175, 176] (and extended by Daniel Friedan [177]), which proves that +for systems whose kinetic energy is local in space (as it must be) there must always be an even +number of crossings. Therefore, it is impossible to write a local theory with an odd number of +chiral fermionic species. +In the context of Condensed Matter Physics, the simplest example of Dirac fermions is found +in the electronic structure of graphene (a single layer of graphite) discussed by A. H. Castro Neto +and coworkers [171]. Graphene is an allotrope of crystalline carbon in which the carbon atoms +are arranged in a 2D hexagonal lattice, which is a lattice with two inequivalent sites in its unit +cell, labeled by A and B. Let rA and rB be the sites of the two sublattices. Each site rA has three +nearest neighbors on the B sublattice located at ri +B = rA + di, where i = 1, 2, 3 and +d1 = +� 1 +2 +√ +3 +, 1 +2 +� +, +d2 = +� 1 +2 +√ +3 +, −1 +2 +� +, +d3 = +� +− 1√ +3 +, 0 +� +(276) +(in units in which the lattice spacing is a = 1). The nearest neighbor A sites are related by the +vectors +a1 = + +√ +3 +2 , −1 +2 + , +a2 = (0, 1), +a3 = +− +√ +3 +2 , −1 +2 + +(277) +where a1 and a2 are the primitive lattice vector of the hexagonal lattice. The nearest neighbor +sites of the B sublattice are also related by these same three vectors. +The low energy electronic degrees of freedom of graphene can be described by a single +fermionic state (ignoring spin) at each carbon atom . Let c†(rA) and c†(rB) be the fermion oper- +ators that creates an electron at the site rA and at the site nearest neighbor sites rB, respectively. +The Hamiltonian is +H = t1 +� +rA,i=1,2,3 +c†(rA)c(rA + di) + h.c. +(278) +55 + +where t1 is the hopping matrix element between nearest neighbor A and B sites. +In Fourier space +c(rA) = +� +BZ +d2k +(2π)2ψA(k) exp(ik · rA), +c(rB) = +� +BZ +d2k +(2π)2 ψB(k) exp(ik · rB) +(279) +where BZ is the first Brillouin zone of the hexagonal lattice, a hexagonal region of reciprocal +space with vertices at ±2π/ +√ +3(1, 1/ +√ +3) (which are denoted by K and K′, respectively) and their +two images under 2π/3 rotations. In momentum space the Hamiltonian is [178] +H = t1 +� +BZ +d2k +(2π)2 +� +ψA(k) +ψB(k) +� � +0 +� +j=1,2,3 exp(ik · d j) +� +j=1,2,3 exp(−ik · d j) +0 +� �ψA(k) +ψB(k) +� +(280) +The one-particle states of this Hamiltonian have eigenvalues E(k) = ± +���� +� +j=1,2,3 exp(ik · d j +����. +Clearly E(k) vanishes at the K and K′ points, the corners of the Brillouin zone. Hence, there +is a crossing of the two bands at the K and K′ points near which the energy eigenvalues are a two +cones at K and K′, respectively. Thus, the low energy states of graphene consists of two massless +(gapless) Dirac bi-spinors, with opposite chirality/parity. +Other examples with similar fermion content are a theory of fermions on a 2D square lattice +with a π magnetic flux (1/2 of the flux quantum) per plaquette which arises, for instance, in the +theory of the integer quantum Hall effect on lattices by David Thouless, Mahito Kohmoto, Peter +Nightingale and Marcel den Nijs [179] (albeit for more general flux per plaquette), and in the +theory of flux phases of 2D spin liquids of Ian Affleck and J. Brad Marston [180]. It also arises +in the theory of the chiral spin liquid of Xiao-Gang Wen, Frank Wilczek and Anthony Zee [181]. +We will discuss these theories in section 10. +10.1.3. Chern invariants +The single-particle quantum states of free fermions (electrons) in the periodic potential of a +crystal are Bloch wave functions labeled by the lattice momentum k and band indices m. The +Bloch states are periodic functions of the lattice momenta whose periods are the Brillouin zones. +Topologically each Brillouin zone is a torus: in 1D is a 1-torus, in 2D a 2-torus, etc. The sym- +metries (and shapes) of the Brillouin zone are dictated by the symmetries of the host crystal. +In this section we will consider the quantum states of systems of fermions on a 2D lattice with +M bands with eigenvalues {Em(k)} with m = 1, . . ., M. The eigenstates are Bloch states {|um(k)⟩} +such that the wave functions ar ψm(x) = um(k) exp(ik · x), where k is a (quasi) momentum in the +first Brillouin zone [182]. We will assume that the band spectrum is such that all the bands are +separated from each other by a finite gap for all momenta in the first Brillouin zone. Hence, the +eigenvalues obey the inequality |Em(k) − En(k)| > 0. We will assume that the system of interest +has N < M filled bands and, consequently, that there is a gap separating the top-most occupied +band N (the “valence band”) and the lowest unoccupied band N + 1 (the “conduction band”) that +does not close everywhere in the first Brillouin zone. +Let us consider specifically a 2D system and a Bloch state |um(k)⟩ at a momentum k, and let +∂k|um(k)⟩ be an infinitesimally close Bloch state with momentum k′ = k+dk. The inner product +of these two infinitesimally close Bloch states is the vector field (defined on the first Brillouin +zone for each band m) +A(m) +j (k) = i⟨um(k)|∂ j|um(k)⟩ +(281) +where j = 1, 2 are the orthogonal direction in momentum space and we have used the notation +∂i = ∂/∂ki. This vector field is known as the Berry Connection of the electronic states in the mth +band. +The theory of the quantum states of non-interacting electrons in periodic potentials as devel- +oped by Felix Bloch [182] is the foundation of much of what we know about the physics of many +semiconductors and simple metals. This theory is the core subject of many textbooks [183, 184]. +This theory is based on the classification of the electronic states as representations of the group +of lattice translations and point (and spatial) group symmetry transformations. A key unstated +assumption in much of this body of work is that the Bloch states are globally well-defined func- +tions on the Brillouin zone of a given crystal. It is rather remarkable that this assumption was not +stated explicitly since the original work by Bloch in 1929 until the work by Thouless, Kohmoto, +Nightingale and den Nijs on the quantum states of electrons on 2D lattices in the presence of an +uniform magnetic field [179]. The realization that there is a topological obstruction to define the +56 + +electronic states globally in the Brillouin zone is the key to the development of the the theory of +topological insulators and, more generally, of the modern theory of band structures [185, 186]. +In quantum mechanics states are defined up to a phase. This means that Bloch states that +differ by a phase describe the same quantum state. In other words each quantum state |um(k)⟩ is +a member of a ray (or fiber) of states each labeled by a phase, +|um)(k)⟩ �→ exp(ifm(k)) |um(k)⟩ +(282) +Changing the states by phase factors defines a U(1)M unitary transformation of physically equiva- +lent states. Since we have a fibre at each point k, this amount at defining a fibre bundle. However, +under this transformation the Berry connection A(m) +j (k) changes by a gradient of the phases +A(m) +j (k) �→ A(m) +j (k) + ∂ j fm(k) +(283) +where we assumed that the phases fm(k) are continuous and differentiable functions on the entire +first Brillouin zone. Since the physical states cannot change by redefinitions of the phases of +the basis states we are led to the condition that only the data that is invariant under the gauge +transformations defined by Eqs. (282) and (283) is physically meaningful, which is encoded in +the gauge-invariant pseudo-scalar quantity F (m)(k) +F (m)(k) = ǫi j∂iA(m) +j (k) +(284) +which is known as the Berry curvature. +In what follows we will be interested in the quantity +C(m) +1 += 1 +2π +� +Γ +dk jA(m) +j (k) = 1 +2π +� +BZ +d2k F (m)(k) +(285) +where Γ is the boundary of the 1st Brillouin zone (which we denote by BZ). We will now show +that the quantity C(m) +1 , which measure the flux of the Berry connection A(m) +j (k) through the first +Brillouin zone (in units of 2π), is an integer independent of the particular connection A(m) +j (k) that +we have chosen. This integer-valued quantity is a topological invariant known as the first Chern +number. +However, since the first Brillouin zone is a 2-torus ,which is a closed manifold, a Berry +connection with a net flux cannot obey periodic boundary conditions. Instead, we must allow +for generalized (large) gauge transformations that wrap around the 2-torus of the first Brillouin +zone. This problem is similar (and closely related to) the problem of the wave functions of a +charged particle moving in the presence of a magnetic monopole [151]. We will consider a 2D +system whose first Brillouin zone is spanned by two reciprocal lattice vectors b1 and b2, related +by the two primitive lattice vectors a1 and a2 by the relation bi · a j = 2πδi j (with i, j = 1, 2) The +generalized gauge transformations now are +|um(k + b1)⟩ = exp(if (1) +m (k)) |um(k)⟩, +|um(k + b2)⟩ = exp(if (2) +m (k)) |um(k)⟩ +A(m) +j (k + b1) =A(m) +j (k) + ∂ j f (1) +m (k), +A(m) +j (k + b2) = A(m) +j (k) + ∂ j f (2) +m (k) +(286) +where f (1) +m (k) and f (2) +m (k) are smooth functions of k. +We will now show that the Bloch states cannot be defined globally over the Brillouin zone if +the flux of the Berry connection does not vanish. More specifically let us assume that at some +point k0 ∈ T we know the Bloch state |um(k0)⟩ which satisfies the generalized periodic boundary +conditions of Eq.(286). The question is, can we determine the Bloch state at some other also +arbitrary point k′ +0? We will now that there is a topological obstruction that does not allow it if +the flux of the Berry phase is not zero. The reason is that the phase of the Bloch state cannot be +defined since, in general, the Bloch state will vanish at some point of the Brillouin zone where +the phase is undefined. +We will prove that this si true by following an elegant construction due to Mahito Kohmoto +which goes as follows [187]. The Brillouin zone is a torus, that we will denote by T, can be +regarded as the tensor product of two circles, T ≡ S 1 × S 1. Let us split the torus T into two +disjoint subsets (or patches) HI and HII such that T = HI +� HII. We will assume that in region +HI. Let us assume that the Bloch state vanishes at some point k0 ∈ TI and that the Bloch state +does not vanish for all points k ∈ HII. This means that we can choose the Bloch state |um(k)⟩ +to be real for all k ∈ HII. On the other hand we can always assign some arbitrary phase to the +57 + +Bloch state at k0 ∈ TI. Once we have done that we can extend the definition of the phase to a +neighborhood of k0 wholly included in HI. If we the assume that there is only one zero, then +the phase can be defined over all of HI. The result is that we now have two different definitions +of the phase of the Bloch state on HI and on HII. Let |um(k)⟩I and |um(k)⟩II be the two resulting +definitions of the Bloch state. Let the closed curve γ be the common boundary of regions HI +and HII, γ = ∂HI = ∂HII. However on the common boundary γ these the two definitions of the +Bloch state must be a gauge transformation, +|um(k)⟩I = exp(ifm(k)) |um(k)⟩II +(287) +on all points k ∈ γ. The gauge transformation fm(k), known as the transition function, is a +smooth periodic function of the points k on the closed curve γ. Likewise, the Berry connection +A(m) +j (k) has two definitions on the regions HI and HII which differ by a gauge transformation on +all the points k of the common boundary γ, +A(m) +j (k) +����I − A(m) +j (k) +����II = ∂ j fm(k) +(288) +The transition function defines a mapping of the closed curve γ, which is topologically equivalent +to a circle S 1, to the phase of the Bloch state which is defined mod 2π and hence is also a circle +S 1. Hence the transition functions fm(k) are homotopies which can be classified by the homotopy +group Π1(S 1) ≃ Z. We recognize that the classification of the the transition functions is the same +that we used for the vortices of section 5.1.1. Hence, the change of the transition function on a +full revolution of the closed curve γ must be an integer multiple of 2π. +We will now compute the quantity C(m) +1 , given in Eq.(285), which measures the flux of the +Berry connection through the 2-torus T that defines the first Brillouin zone. Using the partition +of the torus T = TI +� TII we can write +C(m) +1 += 1 +2π +� +T +d2k F (m)(k) = 1 +2π +�� +HI +d2k F (m)(k) + +� +HII +d2k F (m)(k) +� +(289) +Using Stokes Theorem on the two regions HI and HII we get +C(m) +1 += 1 +2π +� +γ +dk j +� +A j(k) +����I − A j(k) +����II +� +(290) +Since the two definitions of the Berry connection differ by a gauge transformation, Eq.(288), we +can express C(m) +1 +in terms of the transition function fm(k) on the curve γ +C(m) +1 += 1 +2π +� +γ +dk · ∂fm(k) = 1 +2π (∆fm(k))γ = n +(291) +where we used that the transition functions are classified by the integer-valued quantity n ∈ Z. +We conclude that the flux of the Berry curvature C(m) +1 +takes only integer values. It is known of +the first Chern number C(m) +1 +which is a topological invariant since it cannot change by a smooth +redefinition of the curve γ. Since C(m) +1 +� 0 implies that the Bloch states must vanish at least +at some point (or points) k ∈ HI, then the integer-valued Chern number can only change if a +redefinition of the curve γ crosses at least one point k at which the Bloch state vanishes. +The conclusion of this analysis is that whenever the flux of the Berry curvature through the +Brillouin zone does not vanish the Bloch states cannot be defined globally on the Brillouin zone. +A direct consequence is that in this case the band is characterized by a topological invariant +called the first Chern number. This number is a property of a given band and, in general, it is +different for each band. This is a particular case of a more general topological classification of +the states of free fermions on a lattice which depends on on the dimensionality of the system +[188, 189, 190]. +10.1.4. The quantum Hall effect on a lattice +We will now show that 2D free fermion systems with Chern bands, i.e. bands characterized +by a non-vanishing Chern number, are insulators that have a quantized Hall conductivity. We will +do this for the theory of the integer quantum Hall effect on a 2D lattice of Thouless, Kohmoto, +Nightingale and den Nijs (TKNN) [179, 187] (see, also, Ref. [191]). Although this problem +played a key role in the development of the theory of topological phases of matter, for many +58 + +years it was viewed as an academic problem since it would require gigantic magnetic fields to +be in the regime of interest for typical solids. The situation changed with the development of +twisted bilayer graphene and similar systems which have unit cells large enough for this physics +to be observable. These new materials has allowed to study this problem experimentally. +TKNN considered a system of free fermions on a planar (actually square) lattice in a uniform +magnetic field B with flux 2πp/q per plaquette (in units in which the flux quantum φ0 = eℏ/c = 1) +with p and q two co-prime integers. The tight-binding Hamiltonian for this simple problem is +H = +� +r, j=1,2 +t j c†(r) eiA j(r) c(r + e j) + h.c. +(292) +where c(r) and c†(r) are fermion creation and annihilation operators on the lattices sites {r = +(m, n)}, e j are lattice unit vectors, and t j, with j = x, y, is a hopping matrix element between +nearest neighbor sites of the square lattice along the x and y directions. On each link of the +lattice we defined a vector potential A j(r), where the oriented sum of the lattice vector potentials +on each plaquette 2πφ, where φ = p +q, is the flux on each plaquette of the square lattice. In the +axial (Landau) gauge A1(m, n) = 0, A2(m, n) = 2πmφ is a periodic function of m with period q. +In this gauge the Hamiltonian becomes +H =t +� +m,n +� +c†(m + 1, n)c(m, n) + c†(m, n)c(m + 1, n) +� ++t +� +m,n +� +c†(m, n + 1) ei2πφm c(m, n) + c†(m, n) e−i2πφm c(m, n + 1) +� +(293) +In this gauge the problem reduces to a system with a theory with a q × 1 unit cell with q inequiv- +alent sites. In momentum space, the (magnetic) Brillouin zone of this system is − π +q ≤ k1 ≤ π +q and +−π ≤ k2 ≤ π. The Fourier transform of the operators c†(r) and c(r) are, respectively, c†(k) and +c(k) which obey the standard anticommutation relations, {c(k), c(q)} = {c†(k), c†(q)} = 0, and +{c†(k), c(q)} = δ(k − q). In momentum space the Hamiltonian becomes +H = q +� π/q +−π/q +dkx +2π +� π +−π +dky +2π +�H(kx, ky) +(294) +where +�H(kx, ky) =1 +q +q−1 +� +n=0 +� +2tx cos(kx + 2πφn) c†(kx + 2πφn, ky) c(kx + 2πφn, ky) ++ ty +� +e−iky c†(kx + 2π(n + 1)φ, ky) c(kx + 2πnφ, ky) + eiky c†(kx + 2π(n − 1)φ, ky) c(kx + 2πnφ, ky) +�� +(295) +The spectrum of this system was first investigated by Hofstadter [192] consists of q bands which +for q an odd integer are separated by finite energy gaps. +For fixed values of kx and ky (in the magnetic Brillouin zone), the Hamiltonian �H(kx, ky) is the +tight-binding model of a one-dimensional chain on the 1D lattice of q sites located at kx + 2πnφ +with nearest neighbor hopping. The single-particle (Bloch) states un(k) of this 1D model obeys +the Schr¨odinger Equation +2tx cos(kx + 2πnφ)un(k) + ty +� +e−iky un−1(k) + eiky un+1(k) +� += Enun +(296) +which is known as Harper’s equation. In general this equation does not admit an analytic solution. +However, the nature qualitative features of the spectrum can be obtained by an expansion either +on tx/ty or on ty/tx. TKNN used degenerate perturbation theory to show that the spectrum has q +bands and that the r-th band is characterized by two integers sr and ℓr which are the solution of +the Diophantine equation +r = q sr + p ℓr +(297) +with ℓ0 = s0 = 0. It isl also obvious that for r = q sq = 1 and ℓq = 0 (for all p). +Furthermore, TKNN showed that there was an, until then unsuspected, relation between the +Hall conductivity σxy of a gapped system of electrons in periodic potentials in a uniform magnetic +field and the Berry connection of the filled bands. This relation implies the quantization of the +59 + +Hall conductivity and its computation in terms of a topological invariant, the Chern number of the +occupied bands. They showed that in this context each band has a non-trivial Berry connection +A(r) +j = i⟨ur(k)|∂ j|ur(k⟩ (with ∂ j = ∂kj) of the form of Eq.(281) with a non-vanishing (first) Chern +number C(r) +1 , i.e. the flux through the magnetic Brillouin zone. +The conductivity tensor characterizes the electrical properties of a physical system. Linear +Response Theory provides a framework for computing the conductivity tensor by perturbing the +system with a weak external electromagnetic field Aµ and computing the currents that they induce +[193, 10]. The expectation value of the gauge-invariant current operator Jµ(x) is +⟨Jµ(x)⟩ = − i +ℏ +δ +δAµ(x) ln Z[Aµ] +(298) +where Z[Aµ] is the partition function in the presence of a background (i.e. classical) electro- +magnetic field Aµ(x). In general spacetime dimension D = d + 1, the lowest order in the vector +potential Aµ, the induced current is given in terms of the polarization tensor Πµν(x, y), +ln Z[Aµ] = i +2 +� +dDx +� +dDy Aµ(x) Πµν(x, y) Aν(y) + O(A3) +(299) +Therefore, the induced current is related to the external field by +⟨Jµ(x)⟩ ≡ Jµ(x) = +� +dDy Πµν(x, y) Aν(y) +(300) +Expressions of this type are know as a Kubo formula. The polarization tensor can be regarded as +a generalized susceptibility. +Although we are using a continuum relativistic notation, these expressions are generally +valid, even in lattice systems. Gauge invariance requires that the polarization tensor be con- +served, +∂µΠµν(x, y) = 0 +(301) +In general, the (retarded) polarization tensor Πµν(x, y) is related to the the (retarded) current- +current correlation function DR +µν(x, y), +Dµν(x, y) = − i +ℏΘ(x0 − y0)⟨[Jµ(x), Jν(y)]⟩ +(302) +by the identity +ΠR +µν(x, y) = DR +µν(x, y) − iℏ +�δJµ(x) +δAν(y) +� +(303) +The last term in Eq.(303), usually called a “contact term”. This term vanishes only for a theory +of relativistic fermions (in the continuum). In all other cases, lattice or continuum, relativistic +or not, the contact term does not vanish and its form depends on the specific theory. In non- +relativistic systems, e.g. in a Fermi liquid, this term is the origin of the f-sum rule [193, 194]. +When the external field Aµ represents is a (locally) uniform electric field E, the induced +current is Ji = σi jE j, where σi j is the conductivity tensor, which can be obtained from the +polarization tensor as the limit +σi j = lim +ω→0 +1 +iω lim +q→0 Πi j(ω, q) +(304) +In a metal, which has a Fermi surface, the order of limits in which ω and q vanish matters and +only the order of limits specified above is the correct one to take. Ina Dirac systems, that we +will discuss below, the order does not matter due to relativistic invariance. The other case in +which the order does not matter is the Chern insulator that we are interested in. In general, in an +isotropic system, the conductivity tensor has a symmetric part and an antisymmetric part. The +symmetric part of the conductivity tensor yields the longitudinal conductivity which has all the +effects of dissipation. The antisymmetric part does not vanish in the presence of a magnetic field +or, more generally, if time reversal symmetry is broken, and yields the Hall conductivity. +A Chern insulator is an insulator and as such is a state with an energy gap. In such a state the +longitudinal conductivity vanishes since there is no dissipation in a gapped state. But in a Chern +insulator time reversal invariance is broken. In the system that we are discussing is broken by +60 + +the magnetic field. The Hall conductivity can be calculated from the antisymmetric part of the +polarization tensor as the limit +σxy = lim +ω→0 +i +ωΠxy(ω, 0) +(305) +In addition, the contact term does not contribute to the Hall conductivity. As a result the hall +conductivity can be computed in terms of the antisymmetric component of the current-correlation +function. +let us now return to the theory of free fermions on a lattice in a (commensurate) magnetic +field takes. As we saw the electronic states are split into q bands with single particle states +|ψn(k)⟩ where k takes values on the first magnetic Brillouin zone. We will compute the Hall +conductivity for this system assuming that the Fermi energy EF lies in the gap between the n-th +and the n − 1-th bands. Let us label by α the occupied bands and by β the unoccupied bands. +Hence Eα(k) < EF < Eβ(k). In this case, the Kubo formula for the Hall conductivity becomes +σxy = ie2 +ℏ +� +Eα 0 and negative for m < 0 or, alternatively for positive and negative chirality of the Dirac +(bi-spinor) field which fixes the sign of the breaking of time reversal invariance. +In addition to the sign, the prefactor of the Chern-Simons term is equal to 1 +2, and it is not +an integer. In section 9.6 we showed that for a dynamical Chern-Simons gauge theory to be +defined consistently on a closed surface this coefficient must be quantized and should take integer +values. The fact that the coefficient is half-quantized means that the classical global symmetry of +a theory of a single Dirac bi-spinor cannot be gauged, which means that the gauge theory cannot +be quantized. This is an example of an obstruction to the quantization of a gauge theory due to +an anomaly [96]. +We will now use these results to compute the effective low-energy action for the theories +of lattice Dirac fermions of section 10.1.2. In those systems the low energy theory is that of +two Dirac (bi-spinors) with different masses m1 and m2. Since both Dirac fields are coupled +(minimally) to the same background gauge field Aµ, the effective Lagrangian is just the sum of +the contribution for each Dirac fermion +Leff[Aµ] = − +1 +4π|m|eff +FµνFµν + 1 +2 +�sgn(m1) + sgn(m2)� 1 +4πǫµνλAµ∂νAλ +(324) +where |m|eff is +1 +|m|eff += +1 +|m1| + +1 +|m2| +(325) +This result implies that, as anticipated in section 10.1.2, this theory has two phases: a parity even +phase and a parity-odd phase. In the regime in which the signs of the two mass terms are equal +and opposite, sgn(m1) = −sgn(m2), the coefficient of the Chern-Simons term cancels and the +low-energy effective Lagrangian is a Maxwell term (generally with an effective speed of light +much smaller than that in vacuum): this phase is a conventional insulator. +Conversely, in the phase in which the two masses have the same sign, sgn(m1) = sgn(m2), +the coefficient of the Chern-Simons terms does not cancel and it is given by ± 1 +4π, where the sign +is the sign of both mass terms. This phase is also an insulator but one in which time-reversal +invariance is broken. Moreover, in this phase the induced current jµ by the background field Aµ +in the long-distance limit is controlled by the Chern-Simons term and it is given by +jµ = δLeff +δAµ(x) = ± e2 +2πℏǫµνλ∂νAλ +(326) +From this result we see that in the parity-broken anomalous quantum Hall phase the system has +a correctly quantized and non-vanishing Hall conductivity +σxy = ±e2 +h +(327) +Therefore, the phase with sgn(m1) = sgn(m2) displays the quantum anomalous Hall effect with a +Hall conductivity whose sign equals the signs of both masses. Notice that this is true regardless +the magnitudes of the masses m1 and m2, and that only their signs matter. In section 10.1 we will +identify this phase with a topological phase of matter known as the Chern Insulator. +We showed that the Hall conductivity of the anomalous quantum Hall phase is, as expected, +equal to e2/h using the effective low energy Dirac theory. One may wonder if this approximation +64 + +may be missing some contributions to the Hall conductivity. Fortunately there is an alternative +quite elegant way of computing the Hall conductivity as a property of the entire occupied band. +This approach, originally introduced by Gregory Volovik [204] in the context of superfluid 3He- +A, and adapted to the theory of the quantum anomalous Hall effect by Viktor Yakovenko [205], +by Maarten Golterman, Karl Jansen and David Kaplan for a theory of Wilson fermions in odd +dimensional hypercubic lattices [206], and by Xiao-Liang Qi, Yong-Shi Wu and Shou-Cheng +Zhang [207], involves the derivation of a topological invariant for a two-band model. +As we saw above the Hall conductivity is obtained from the xy component of the polarization +operator as the limit +σxy = lim +ω→0 +i +ω lim +q→0 Πxy(ω, q) +(328) +For a free fermion system Πxy(ω, 0) is given by the current correlator +Πxy(ω, 0) = +� +BZ +d2k +(2π)2 +� ∞ +−∞ +dΩ +2π tr +� +Jx(k)G(k, ω + Ω)Jy(k)G(k, Ω) +� +(329) +where G(k, Ω) is the propagator for a two-band free fermion system. A generic two-band free +fermion system has a one-particle Hamiltonian of the form given in Eq.(311). The (one-body) +current operator for such a system is obtained as +Jl(k) = ∂h0(k) +∂kl +1 + ∂ha(k) +∂kl +σa +(330) +The propagator G(k, ω) is the 2 × 2 matrix (in band indices) +G(k, ω) = +1 +ω1 − h(k) · σ + iǫ = +P+(k) +ω − E+(k) + iǫ + +P−(k) +ω − E−(k) + iǫ +(331) +where P±(k) are the operators that project onto the (empty) conduction band and the (filled) +valence band whose energies are, respectively E±(k), +P±(k) = 1 +2 +� +1 ± ˆh(k) · σ +� +(332) +where ˆh(k) is the unit vector defined for every momentum k of the first Brillouin zone +ˆh(k) = +h(k) +||h(k)|| +(333) +Upon performing the frequency integration and the band traces in the expression for Πxy(ω, 0) of +Eq.(329), we find that the Hall conductivity takes the form +σxy = e2 +2ℏ +� +BZ +d2k +(2π)2 ǫabc +∂ˆha(k) +∂kx +∂ˆhb(k) +∂ky +ˆhc(k) (n+(k)) − n−(k)) +(334) +where n±(k) are the Fermi functions (at zero temperature) for the two bands. Since +E+(k) − E−(k) = 2||h(k)|| = 2 +� +h2(k) > 0 +(335) +there is a non-vanishing gap on the entire Brillouin zone between the occupied valence band, +with n−(k) = 1, and the unoccupied conduction band, with n+(k) = 0. For the insulating state +the Fermi energy lies inside this gap and the expression for the Hall conductivity reduces to the +following +σxy = − e2 +2ℏ +� +BZ +d2k +(2π)2 ǫabc +∂ˆha(k) +∂kx +∂ˆhb(k) +∂ky +ˆhc(k) +(336) +In our discussion of quantum antiferromagnets in one space dimensions in section 5.2 we found +that their effective low-energy action contained a crucial topological term proportional to the +integer-valued topological invariant Q (the winding number) of Eq.(103) which classifies the +smooths maps (homotopies) of the 2D surface (say a sphere S 2) onto the target space of a three- +component unit vector field which also a sphere S 2. These equivalence classes are represented +by the notation Π2(S 2) ≃ Z. In the case at hand the unit vector ˆh(k) are points on a 2-sphere. +Hence, ˆh(k) is a map of the first Brillouin zone (which is a 2-torus) to the sphere S 2. Such maps +65 + +are also classified by the same integer-valued topological invariant defined in Eq.(103). These +results imply that the Hall conductivity of the two-band system is +σxy = e2 +2πℏQ[ˆh] +(337) +In other words we have shown that the Hall conductivity is given in terms of a topological in- +variant of the occupied band (in units of e2/h), the winding number Q. In the two-band model +the topological invariant Q plays the same role as the Chern number does in the work of TKNN +[179, 187] When Q � 0, the two-band system exhibits the quantized anomalous quantum Hall +effect. This si a property of the entire band of occupied states, and not just a consequence of the +low energy approximation. This result implies that the low energy approximation captures all of +the topology of the band. It also implies that in these lattice models the Berry curvature is highly +concentrated near the points in momentum space where the two bands are close in energy. +. +We will now consider the problem of the quantum phase transition between the trivial and +the Chern insulator. To address this problem we will tune the parameters of the lattice model +discussed in section 10.1.2, the phase φ and the ratio of hopping amplitudes t2/t1, to the point at +which the mass of one of the two species of Dirac fermions, say the fermion ψ1, is zero, m1 = 0, +while keeping the fermion ψ2 massive, m2 � 0. In the low energy regime we have a massless +fermion and a massive fermion. This point in parameter space is a quantum phase transition +between a trivial insulator and a Chern insulator. In the low energy regime the fermion ψ1 is +massless. A massless fermion is a scale-invariant system in the sense that the correlators of all +its observables exhibit power law behavior (free field in this case). +We will now discuss briefly the electromagnetic response of this system at the quantum phase +transition where one fermion becomes massless. In particular, it is natural to ask if the coeffi- +cient of the parity-odd (Chern-Simons) term non-vanishing at the quantum phase transition. To +answer this question we will look at the behavior of the parity-even kernel Π0(p2) and the parity- +odd kernel ΠA(p2) in the massless limit for the light fermion, m1 → 0. We find that the total +contribution of both the light fermion and of the heavy fermion to the polarization kernels is +(assuming m2/m1 → ∞) +lim +m1→0 Π0(p2) = +i +16 +� +p2 , +lim +|m2|→∞ ΠA(p2) = − 1 +4πsgn(m2) +(338) +The important conclusion is that at this quantum critical point the parity-even kernel Π0(p2) +is non-local and that the heavy regulator fermion (the “doubler”) yields the leading finite non- +vanishing and local contribution to the parity-odd kernel ΠA(p2). +We can now use these results to compute the conductivity tensor σi j at the quantum critical +point where m1 → 0. Since the system is spatially isotropic the conductivity tensor has the form +σi j = +� σxx +σxy +−σxy +σxx +� +(339) +where we used that σyy = σxx since the system is isotropic. The longitudinal conductivity σxx +and the Hall conductivity σxy are +σxx = π +8 +e2 +h , +σxy = ±1 +2 +e2 +h +(340) +in other words, at the quantum critical point the system has a finite (and universal) longitudinal +conductivity. This result may seem surprising as there is no disorder in this model. A finite +universal longitudinal conductivity is a standard occurrence in 2D systems at a quantum critical +point. For example, at the superconductor-insulatortransition the conductivity is (conjectured) to +be) σxx = e2/2h (with σxy = 0). In addition, it also has finite and also universal Hall conductivity. +The Hall conductivity at the quantum critical point is due to the heavy fermionic “doubler” and is +equal to 1/2 (in units of e2/h). So, the quantum critical point is not time-reversal invariant since +this symmetry is broken at the UV (lattice). +We can examine the massless theory using a more formal approach [199, 208]. In a gauge- +invariant regularization of the massless theory the partition function of a Dirac fermion coupled to +a background (unquantized) U(1) gauge field, the partition function is not time-reversal invariant. +66 + +It is given by +Z[Aµ] = +� +D ¯ψDψ exp +� +i +� +d3x ¯ψi /D[Aµ]ψ +� += det(i /D[Aµ]) = +����det(i /D[Aµ]) +���� exp +� +±iπ +2η[Aµ] +� +(341) +where the sign depends on how time-reversal invariance is broken by the choice of regularization. +The quantity η[Aµ] that appears in the phase factor is the Atiyah-Patodi-Singer η-invariant [147] +which we already encountered in the discussion of the fractionally charged solitons in section 8.3. +With some caveats [199, 208], the phase factor of the partition function of Eq.(341) is commonly +written in the form of a 1/2-quantized Chern-Simons term +π +2η[Aµ] ≡ ±1 +2 +� +d3x 1 +4πǫµνλAµ∂νAλ +(342) +often denoted as a U(1)1/2 Chern-Simons term. This term plays the same role as the contribution +of the heavy fermion doubler in the lattice theory. +However, we can also wonder if there is a way to have a time-reversal invariant theory of a +single massless Dirac fermion, m → 0. This case cannot be realized in a y 2D lattice model but, +as will see, it can be realized on the surface states of a 3D time-reversal invariant Z2 topological +insulator, which we will discuss in section 10.1. +10.2. Three-dimensional Z2 topological insulators +The classification of topological insulators in terms of a Chern number is only possible in +even space dimensions in systems with broken time reversal symmetry: in d = 2 the Berry +connection is abelian and the topological invariant is the first Chern number while in in d = 4 the +Berry connection in a non-abelian SU(2) gauge field and the topological invariant is the second +Chern number [135], etc. We will now discuss the time-reversal invariant topological insulators +[209, 190, 135] and, in particular, those that are invariant under inversion symmetry. Such states +exist in both two and space dimensional insulator with strong spin-orbit coupling. +10.2.1. Z2 Topological Invariants +Let {|un(k)⟩} be the Bloch states. We will represent time reversal by the anti-unitary operator +Θ that acts on the single particle (Bloch) states by complex conjugating the state and reverses the +spin. For spin-1/2 fermions Θ = exp(iπσ2)K, where K is the complex conjugation operator. In +this case Θ2 = −1. Let us assume that we have two occupied Bloch bands for each point k f the +Brillouin zone. In this case the states form a rank-2 vector bundle over the torus of the Brillouin +zone. In time reversal invariant systems the anti-unitary time reversal transformation T induces +an involution in the Brillouin zone that identifies the points k and −k. Time reversal the acts +on the one-particle (Bloch) Hamiltonian as ΘH(k)Θ−1 = H(−k). The states |un(±k)⟩ are related +by time reversal as |un(−k)⟩ = Θ|un(k)⟩ which implies that the bundle is real. The condition +Θ2 = −1 implies that the bundle is real. In algebraic topology these bundles are classified by an +integer (here the number of occupied bands) and a Z2 index that will allow us to classify these +states. +In a periodic lattice there exists a set of points Qi of the Brillouin zone with the property +that they differ by their images under the action of time reversal by a reciprocal lattice vector, +−Qi = Qi + G. In d = 2 there four such points and d = 3 there are eight points, and are given +by Qi = 1 +2 +� +j n jb j, where n j = 0, 1, j = 1, 2 in d = 2 and j = 1, 2, 3 in d = 3. Here b j are +the primitive lattice vectors. Kane and Mele [210] defined the 2N × 2N antisymmetric matrix +�m,n(k) = ⟨um(−k)|Θ|un(k)⟩. They showed that at each time reversal invariant point Qi one can +define an index δi +δi = +� +det[�(Qi)] +Pf[�(Qi)] += ±1 +(343) +where det[�] and Pf[�] are, respectively, the determinant and the Pfaffian of the matrix �, and +det[�] = Pf[�]2. The sign of the quantities δi can be made unambiguous by requiring that the +Bloch states be continuous. In addition, the quantities δi are gauge-dependent. However the +products +(−1)ν = +4 +� +i=1 +δi +(344) +67 + +in d = 2, and +(−1)ν0 = +8 +� +i=1 +δi, +(−1)νk = +� +nk=1,nj�k=0,1 +δi(n1, n2, n3) +(345) +are gauge and are also topological invariant. The Z2-valued indices ν and ν0 are robust to disorder +and are called strong topological indices. Furthermore, Fu and Kane showed that if ξn(Qi) = ±1 +are the parity eigenvalues of the occupied parity eigenstates, the quantities δi are given by δi = +�N +m=1 ξ2m(Qi). In d = 3 the index ν0 does not rely on the existence of inversion symmetry. +In the case of a two-band model in d = 2 and in d = 3, the states are four-component spinors +reflecting the two bands and the two spin components. In the context of these systems with +strong spin-orbit coupling spin is actually the z-component of the atomic total angular momentum +J of the electrons with energies close to the Fermi energy. In these systems the one-particle +Hamiltonian H(k) is a 4 × 4 Hermitian matrix which can be expanded as a linear combination +of Dirac matrices. A simple and very useful model of systems of this type is the Wilson fermion +model (with continuous time) [55, 211, 135] of a square (cubic) lattice with 4 states per site +(parity and spin) whose Hamiltonian three dimensions is +H(k) = sin k · α + M(k) β +(346) +where α = γ0γ and β = γ0 are the conventional 4 × 4 Dirac matrices. The γ matrices satisfy +the Clifford algebra {γµ, γν} = 2gµν1, where gµν = diag(1, −1, −1, −1) is the metric tensor of +four-dimensional Minkowski space time. An additional γ matrix of interest is γ5 = iγ0γ1γ2γ3. +The (Wilson) mass term M(k) in two dimensions is M(k) = M + cos k1 + cos p2 − 2, and in +three dimensions is M(k) = M + cos k1 + cos k2 + cos k3 − 3. In Eq.(346) we see that, consistent +with the requirements of the Nielsen-Ninomiya theorem [174, 175], in addition to a possible low +energy Dirac fermion (if M is small) there are three more massive Dirac fermions (in d = 2) and +seven other Dirac fermions in d = 3, so that the total number of Dirac fermions is always even, 8 +in this case. With Wilson’s mass term the additional Dirac fermions (the “doublers”) are always +heavy even if the Dirac fermion near the Γ point Q = 0 is light. +In the Dirac basis time reversal is the operation Θ = (iσ2 ⊗ I)K, where K is complex con- +jugation, and parity is P = β. The matrices α and β commute with PΘ. At the time-reversal +and parity invariant points of the Brillouin zone {Qi} the Hamiltonian only depends of the the +matrix β, H(Qi) = M(Qi)β. Since the parities of the spinors are the eigenvalues of the matrix +β, we conclude that in the two-band models the quantities δi are simply equal to the sign of +the mass of the fermions defined at the time-reversal-invariant points Qi of the BZ [209, 135], +δi = δ(Qi) = −sgn M(Qi). Using this result it follows that in two dimensions the system is a Z2 +topological insulator with index ν = 1 (mod 2) if 0 < M < 4 while it is trivial for other values +of M, i.e. ν = 0 mod 2. Similarly, in three dimensions a Z2 (strong) topological insulator exists +only if 0 < M < 2 (in the other regimes this system is in a weak topological insulator state or in +a trivial one). +We conclude that both in two and three dimensions the low energy theory of the Z2 topolog- +ical insulators consists of a single Dirac fermion whose mass is small compared to that of the +fermion doublers and has the opposite sign. In both cases there is a quantum phase transition +between a trivial insulator and the time-reversal invariant topological insulator at the point where +he mass of the light fermion vanishes. +10.2.2. The Axial Anomaly and the Effective Action +We will now look at the electromagnetic response of a Z2 topological insulator in 3+1 dimen- +sions. This problem can be addressed more easily using the continuum field theory description +which is valid in the regime where the mass M is weak. In this regime one species of Dirac +fermions is light (i.e. its mass is small) while the Dirac doublers remain heavy. Much as we did +in our discussion of the Chern insulators and the parity anomaly in section 10.1.6 we will keep +in mind that the fermion doublers play the role of heavy regulators, such as in the Pauli-Villars +scheme, in Quantum Field Theory. Here too, we will see that a field-theoretic anomaly, known +as the axial anomaly plays a central role in the physics. The analysis is very similar to what we +did with the chiral anomaly in 1+1 dimensions in section 7.3. +Let us begin with a theory of a single massive Dirac fermion in 3+1 dimensions. The La- +grangian of the free massive Dirac theory is +L = ¯ψ � i/∂ − m� ψ +(347) +68 + +The equation of motion of the spinor field operator ψ(x) (I omit the spinor indices here) is the +Dirac equation +�i/∂ − m� ψ = 0 +(348) +The Dirac Lagrangian has a global gauge symmetry ψ → eiθψ which requires that the Dirac +current jµ = ¯ψγµψ is locally conserved, ∂µ jµ = 0. The massless Dirac theory can be decomposed +into a theory of two Weyl bi-spinor fields which obey separate Dirac Lagrangians. Furthermore, +the massless theory has the additional global symmetry under the transformation ψ → eiθγ5ψ and +the additional formally locally conserved axial current j5 +µ = i ¯ψγµγ5ψ. However the conservation +law of the axial current is violated in the massive Dirac theory +∂µ j5 +µ = −2mi ¯ψγ5ψ +(349) +since the two Weyl bi-spinors transmute into each other in the presence of a mass term. This is +the origin of the phenomenon of neutrino oscillations. In the condensed matter physics context +there is a similar phenomenon in systems of Weyl semimetals which have crossings between the +valence and conducting bands at two locations ±Q of the BZ, with each crossing associated with +each Weyl bi-spinor. A charge density wave with ordering wavevector 2Q mixes the two Weyl +fermions which become gapped, becoming effectively a single massive Dirac fermion [212]. +This state is often called an “axionic”-charge-density-wave. +We will now show that the axial symmetry has an anomaly and cannot be gauged. Thus, we +will consider the problem of a Dirac theory coupled to a background U(1) gauge field Aµ and +reexamine the putative conservation of the axial current j5 +µ. This question can be addressed in +different ways. Quite early on Steven Adler [133], and John Bell and Roman Jackiw [134] exam- +ined this problem by computing a Dirac fermion triangle diagram for the process of a neutral pion +decaying into two photons, π0 → 2γ. In particle physics the pion is the Goldstone boson of the +spontaneously broken chiral symmetry. The analog of this problem in condensed matter physics +is the phase mode of an incommensurate charge density wave. The relativistic Lagrangian for +this problem is a theory of Dirac fermions coupled to a complex scalar field φ = φ1 +iφ2 through +two Yukawa couplings +L = ¯ψi /Dψ + gφ1 ¯ψψ + igφ2 ¯ψγ5ψ − V(φ1, φ2) = ¯ψi /Dψ + g|φ| ¯ψeiγ5θψ − V(|φ|2) +(350) +where |φ|2 = φ2 +1 + φ2 +2, tan θ = φ2/φ1, and Dµ = ∂µ + ieAµ is the covariant derivative. Here we are +regarding the gauge field Aµ as a background probe field. +The triangle Feynman diagram computes the polarization tensor for the electromagnetic field +Aµ with an insertion of the coupling to the complex scalar field in an otherwise massless theory. +Assuming a gauge-invariant regularization of the diagram, this computation finds that the axial +current j5 +µ is anomalous and is not conserved even in the massless theory [133, 134] +∂µ j5 +µ = − e2 +16π2 FµνF∗ +µν +(351) +where F∗ +µν = 1 +2ǫµνλρFλρ is the dual of the electromagnetic field tensor. This is the axial anomaly. +To see how the axial anomaly arises we will follow the physically transparent approach of +Nielsen and Ninomiya [176], that we also employed in section 7.3 in 1+1 dimensions. We will +consider a theory of free massless dirac fermions coupled to a background electromagnetic field. +Since the theory is massless, the Dirac equation decouples into an equation to the right handed +Weyl fermion ψR (with positive chirality γ5ψR = +ψR) and a left handed Weyl fermion ψL (with +negative chirality, γ5ψL = −ψL). In the gauge A0 = 0, the Dirac equations become +[i∂0 − (−i∂ − eA) · σ]ψR = 0, +[i∂0 − (i∂ − eA) · σ]ψL = 0 +(352) +Let us now consider look at the solutions of the Weyl equation for right-handed fermions ψR, +Eq.(352). The left-handed fermions ψL are analyzed similarly. Wd will consider a gauge field +A1 = 0 and A2 = Bx1 representing a uniform static magnetic field of strength B pointing along +the x3 direction. In this this gauge the eigenstates are plane waves along the directions x2 and +x3 and harmonic oscillator states along the direction x1. The eigenvalue spectrum consists of +Landau levels with energies +E(n, p3, σ3) = ± +� +2eB +� +n + 1 +2 +� ++ p2 +3 + eBσ3 +�1/2 +(353) +69 + +for n = 0, 1, 2, . . ., except for the zero mode with n = 0 and σ3 = −1, for which +E(n = 0, p3, σ3 = −1) = ±p3 +(354) +where the + sign holds for ψR and the − sign for ψL. Just as in the case of non-relativistic fermions +the relativistic Landau levels are degenerate. We will consider a system of Dirac fermions at +charge neutrality and, hence, EF = 0. The positive and negative energy states are charge conju- +gate of each other and the negative energy states are filled. For right-handed fermions, the zero +mode states with p3 < 0 are filled while for right handed states the zero modes with p3 > 0 are +filled. The density of states of the zero modes is LeB/(4π2) (where L is the linear size of the +system). +Let us consider now turning on an external electric field E parallel to the magnetic field B. +Just as we saw in 1+1 dimensions in section 7.3, the electric field leads to pair creation by shifting +the Fermi momentum to pF for the zero modes. There is no particle creation for the states with +n � 0 and they do not contribute to the anomaly. The rate of creation of right-handed fermions +NR, +dNR +dx0 += 1 +L +LeB +4π2 +pF +dx0 += e2 +4π2 EB +(355) +The annihilation rate of left handed particles is +dNL +dx0 += − 1 +L +LeB +4π2 +pF +dx0 += − e2 +4π2 EB +(356) +and the creation rate of left handed anti-particles is +d ¯NL +dx0 += 1 +L +LeB +4π2 +pF +dx0 += e2 +4π2 EB +(357) +the axial anomaly is the total rate of creation of right handed particles and of left-handed antipar- +ticles: +dQ5 +dx0 += dNR +dx0 ++ d ¯NL +dx0 += e2 +2π2 EB +(358) +which agrees with the expression of Eq.(351). +We now turn to the Z2 topological insulator. As we saw this is a system with two species of +(4 component) Dirac spinors. In the topological phase the sign of the Dirac mass term one of the +Dirac fermions (the one near the Γ point in the lattice model) is opposite (negative) to the sign +of the mass term of the of the other Dirac fermion (the fermion doubler). Explicit calculations +[135, 213, 214] on the lattice model obtain the result that the effective low-energy action for the +electromagnetic gauge field Aµ in the topological phase is +S eff[Aµ] = +� +d4x +� +− 1 +4e2 FµνFµν + +θ +32π2e2ǫµνλρFµνFλρ +� ++ . . . +(359) +In a time-reversal invariant system the allowed values of the θ angle of Eq.(359) are restricted to +be θ = nπ, with n ∈ Z. The case θ = 0 (mod 2π) represents a trivial insulator whereas θ = π (mod +2π) holds for a Z2 time-reversal invariant topological insulator. +The second term in the effective action of the electromagnetic gauge field of Eq.(359), known +as the θ term, has been extensively discussed in the high-energyphysics literature [202, 215, 216]. +The derivation of this term is subtle. As it stands, unless θ is varying in space-time (in which case +this is known a the axion field) this term is a total derivative. In non-abelian Yang-Mills gauge +theories this term is proportional to a topological invariant known as the Pontryagin index which +counts the instanton number of the gauge field configurations [99, 93]. In the context of the +Lagrangian of Eq.(350) this term is induced by the coupling of the Dirac fermion to the Yukawa +coupling of the complex scalar field φ to the Dirac and γ5 mass terms. In this case, the lowest +order contribution is given by the triangle diagram. The fact that this term is exact at lowest order +reflects the fact that the axial anomaly is in fact a non-perturbative effect which is the same in +both the weak coupling and the strong coupling regimes [96]. +In the phase where the potential V(|φ|2) in the Lagrangian of Eq.(171) has a minimum at +|φ0| exp(iθ) the chiral symmetry is spontaneously broken and the phase field θ(x) is the Goldstone +boson of the spontaneously broken chiral symmetry. In this phase the Dirac fermions become +massive through the Yukawa couplings to the complex scalar field, and the phase of the field φ +enters in the effective action as an axion field which couples to the gauge field Aµ through the θ +term of the effective action. We should note that in a recently studied axionic CDW state of a +Weyl semimetal [212] the phase of the CDW plays the role of the axion field. +70 + +10.2.3. Theta terms, and Domain walls: Anomaly and the Callan-Harvey Effect +We will now discuss some remarkable behaviors of three-dimensional Z2 topological in- +sulators. We will begin with the electromagnetic response encoded in the effective action of +Eq.(359). We will assume that the θ angle is effectively a slowly varying Goldstone mode of the +spontaneously broken U(1) chiral symmetry (i.e. the axion field) present in the Lagrangian of +Eq.(350). If the field θ is constant, the θ term is a total derivative and it does not contribute to +the local equations of motion. We will see below that this term [lays a key role in the physics of +a domain wall, which we will regard as the interface of a Z2 topological insulator and a trivial +insulator. In the general case in which θ varies slowly (as Goldstone modes do) its presence leads +to interesting modification of Maxwell’s equations, known as axion electrodynamics [215]: +▽ · E =˜ρ − e2 ▽ θ · B, +▽ × E = − ∂tB +▽ × B =∂tE + ˜j + e2 (∂tθ + ▽θ × E) , +▽ · B =0 +(360) +where ˜ρ and ˜j are external probe electric charge and current densities. The equations of axion +electrodynamics have many remarkable properties. Here we will focus on effects: the topological +magnetoelectric effect [135] and the Witten effect [217]. +Let us consider a Z2 topological insulator with a flat open boundary (the x1 − x2 plane) +perpendicular to the direction x3. We will assume that the topological insulator lies at x3 < 0. +This means that for x3 < 0, and far from the surface, θ(x3) → π, while in the trivial vacuum, and +also far from the surface, θ(x3) → 0. We will assume that the change of θ from 0 to π occurs +on a short distance ξ. We will call this configuration an axion domain wall. In the region where +θ(x3) is changing, |x3| ≲ ξ, an applied uniform magnnetic field B induces a uniform electric +field E parallel to B whose magnitude is proportional to the change in θ. This is the topological +magnetoelectric effect [135]. +A similar striking effect is obtained by considering the case of a magnetic monopole of mag- +netic charge 2π/e (as required by Dirac quantization) inside a sphere of the trivial region of radius +R, with θ = 0, surrounded by a region with θ � 0. The two regions are separated by a thin (axion) +wall in which θ changes for 0 to π in a narrow shell of thickness ξ ≪ R. The equations of axion +electrodynamics imply that the magnetic monopole induces an electric charge Qe on the surface +of the sphere +Qe = e∆θ +2π +(361) +Thus, a magnetic monopole acquires an electric charge and becomes a dyon. This is the Wit- +ten effect [217]. In the particular case of a Z2 topological insulator, time reversal invariance +requires that ∆θ = π, which implies that a monopole with unit magnetic charge has an elec- +tric charge e/2. A similar argument implies that an external magnetic field perpendicular to the +open surface of the Z2 topological insulator (which is essentially an axion domain wall) induces +an electric charge polarization on the surface proportional to the total magnetic flux, which is +another manifestation of the topological magnetoelectric effect. +The reader should readily recognize that the result of Eq.(361) for the electric charge induced +my the magnetic monopole is the same as the Goldstone-Wilczek equation for the fractional +charge for a one dimensional soliton of Eq.(215). We will now see that this is not just an analogy. +We will follow here the general approach of Curtis Callan and Jeffrey Harvey [218] who extended +the earlier work of Goldstone and Wilczek [141]. Let us consider the bulk of a Z2 topological +insulator and assume that θ(x) is slowly varying. We can use the triangle diagram calculation to +find that an electromagnetic gauge field Aµ induces a current ⟨Jµ(x) given by +⟨Jµ(x)⟩ = −i +e +16π2 ǫµνλρ +φ∗(x)∂νφ(x) − φ(x)∂νφ∗(x) +|φ(x)|2 +Fλρ(x) = +e +8π2 ǫµνλρ∂νθ(x)Fλρ(x) +(362) +This result implies that, in the case of a domain wall in the x1 − x2 plane, a magnetic field +perpendicular to the wall induces a current towards the wall and, hence, a charge accumulation +on the wall. Where does this charge come from? To understand this problem we will consider +a Z2 topological insulator occupying a slab of macroscopic size L between a wall at x3 = 0 and +a far way “anti-wall” at x3 = L. In this configuration a magnetic field normal to the wall(s) +induces a transfer of charge from one wall to the other. Similarly, an electric field parallel to the +wall induces a current also parallel to the wall and perpendicular to the electric field, i.e. a Hall +current. +In 1+1 dimensions we saw that soliton configurations acquire a fractional charge associated +to states bound to the soliton (which are zero modes when ∆θ = π). We will see that the surfaces +71 + +of the 3D Z2 topological insulators also have zero modes which ar Weyl fermions propagating +on the wall. To see how this works we will consider a 3+1 dimensional Dirac fermion with a +Dirac mass that changes sign at x3 = 0. The Lagrangian now ill be +L = ¯ψi/∂ψ + gφ(x) ¯ψψ +(363) +where φ(x) is now a real scalar field that has the asymptotic behaviors φ(x3) = φ0 f(x3) such +that limx3→±∞ f(x3) = ±1. We will assume that f(x3) is a monotonous function of x3, but its +actual dependence on x3 is immaterial aside from the requirement that it should change sign at +some point which we will take to be x3 = 0. This is a special case of Eq.(350) with φ1 = φ and +φ2 = 0. We will now recognize that this just a Dirac fermion with a position-dependent Dirac +mass m(x3) = gφ(x3). The one-particle Dirac Hamiltonian for this system is +H = −iα · ▽ + m(x3)β +(364) +where α and β are the four 4 × 4 Dirac matrices. By symmetry, this Hamiltonian can be split into +two Hamiltonians, H = Hwall + H⊥, +Hwall = −iα1∂1 − iα2∂2, +H⊥ = −iα3∂3 + m(x3)β +(365) +Let the spinor ψ± be and eigenstate of the anti-hermitian Dirac matrix γ3 = βα3 with eigenvalues +±i, respectively +γ3ψ± = ±iψ± +(366) +We seek a spinor solution ψ± of the Dirac equation Eq.(364) such that H⊥ψ± = 0 +± ∂3ψ± + m(x3)ψ± = 0 +(367) +which is also a solution of +(iγ0 − iγ1∂1 − iγ2∂2)ψ± = 0 +(368) +In other words, it is a solution of the massless Dirac equation in 2+1 dimensions. The require- +ment that ψ± be an eigenstate of γ3 reduces the number of spinor components from four to two. +The full solution has the form +ψ± = η±(x0, x1, x2)F±(x3), +±∂3F±(x3) = −m(x3)F±(x3) +(369) +For a domain wall with limx3→∞ m(x3) = +m, the normalizable solution is F+(x3) is +F+(x3) = F(0) exp +� +− +� ∞ +0 +dx′ +3 m(x′ +3) +� +(370) +where F(0) is a constant. For the anti-domain wall, for which limx3→∞ m(x3) = −m, the normal- +izable solution is F−(x3). +We conclude that there is a 2+1-dimensional massless Dirac theory that describes the quan- +tum states bound to the wall which propagate along the wall. These states are the generalization +of the fractionally charged mid-gap states of solitons in one dimension discussed in section 8.3. +The energy of these states is E(p) = ±|p|, where p = (p1, p2) (where I set the Fermi velocity to +unity). Experimental evidence for 2+1 dimensional massless Dirac fermions on the surface of the +3D Z2 topological insulator Bi2Te3 has been found in spin-polarized angle-resolved photoemis- +sion studies of the surface states which showed that they have a linear energy-momentumrelation +(expected of massless Dirac fermions) as well as the spin-momentum locking characteristic of +these spinor states [219]. +Having succeeded in showing that the surface of the Z2 time-reversal invariant 3D topological +insulator has a two-component massless Dirac spinor we now want to determine its electromag- +netic response. In fact we have already discussed this problem in our discussion of the parity +anomaly in section 10.1.6 where we showed that the effective action for the electromagnetic field +Aµ of Eq.(342) of a single massless Dirac bi-spinor is a Chern-Simons term with a prefactor +which is 1/2 of the allowed value. In that purely 2+1-dimensional context we saw that time re- +versal invariance is actually broken. However, the 3D problem is time-reversal invariant so there +must be a contribution that cancels this time-reversal anomaly. The answer is that the requisite +cancellation is supplied by the bulk. +To see how this can happen we return to the bulk effective action of the 3D topological +insulator of Eq.(359) where we observed that the θ-term is a total derivative. Suppose that the +72 + +system has a boundary at x3 = 0 and that the topological insulator exists for x3 > 0 (where the +fermion mass is negative, m < 0) and trivial for x3 < 0 (where m > 0). Only the region with +m < 0 contributes to the θ-term. The region of four-dimensional space time occupied by the +topological insulator is M and in this region the θ-term becomes +S θ[A] = +θ +32π2 +� +M +d4x ǫµνλρFµνFρλ = +θ +8π2 +� +M +d4x ǫµνλρ∂µAν∂λAλ = +θ +8π2 +� +∂M +d3x ǫµνλAµ∂νAλ +(371) +where ∂M ≡ Σ × R is the boundary of the region M, Σ is the surface of the 3D topological +insulator and R is time. +Thus we see that the θ-term of the effective action S θ[A] integrates to the boundary where it +has the form of a 2+1-dimensional Chern-Simons term. Since for a time-reversal-invariant 3D +topological insulator θ = π, we see that in this case the boundary Chern-Simons term becomes +S θ=π[A] = 1 +8π +� +∂M +d3x ǫµνλAµ∂νAλ +(372) +with a coefficient which is 1/2 of the allowed value. This bulk contribution either cancels the +parity anomaly of the boundary state, rendering the full system time-reversal invariant. In other +words, in this system time-reversal symmetry is realized by cancellation of the anomaly between +the bulk of the topological insulator and the boundary or, equivalently, by an inflow of the parity +anomaly between the boundary and the bulk of the system. Another way to phrase this result is +the statement that a single Dirac fermion cannot exist on its own in 2+1 dimensions but it can +as the boundary state of a 3+1-dimensional system whose anomaly cancels the anomaly of the +boundary. +10.3. Chern-Simons Gauge Theory and The Fractional Quantum Hall Effect +We will now turn to the problem of the quantum Hall effects. This is a problem that revealed +the existence of profound and far reaching connections between condensed matter physics, quan- +tum field theory, conformal field theory and topology. In particular, the fractional quantum hall +effect is the best studied and best understood topological phase of matter. As such, it has become +the conceptual springboard for its manifold generalizations. +The integer (IQHE) and fractional (FQHE) quantum Hall effects are fascinating phenomena +observed in fluids of electrons in two dimensions in strong perpendicular magnetic fields. The +integer quantum Hall effect was discovered by Klaus von Klitzing in 1980 [220] in transport +measurements of the longitudinal and Hall resistivity of the surface states of metal oxide field- +effect transistors (MOSFET) in magnetic field of up to 15 Tesla. The effect that von Klitzing +discovered (for which he was awarded the 1985 Nobel Prize in Physics) was that in the high +field regime the measured Hall conductivity showed a series of sharply defined plateaus at which +took the values σxy = ne2/h, where n is an integer, and the longitudinal conductivity appeared +to vanish σxx → 0 as the the temperature was lowered down to T ≃ 1.5 K. Remarkably the +measured value of the Hall conductivity was obtained with a precision of ∼ 10−9. To this date +the measurement of the Hall conductivity in the IQHE yields the most precise definition of the +fine structure constant. +Subsequent transport experiments in ultra-high-purity GaAs-AlAs heterostructures by Dan +Tsui, Horst St¨ormer and Art Gossard found that, in addition to the IQHE, two-dimensional elec- +tron fluids in high magnetic fields exhibit the fractional quantum Hall effect meaning that there +are equally sharply-defined plateaus of the Hall conductivity at the values σxy = p +q +e2 +h , where p +and q are co-prime integers [221]. Much as in the IQHE case, in the FQHE the longitudinal +conductivity vanishes at low temperatures. It is important to note that both in the IQHE and in +the FQHE the observed temperature dependence in the highest purity samples of the longitudinal +conductivity is activated, σxx ∼ exp(−W/T). The observed value of the energy scale W is the +experimental estimate of an energy gap in the electron fluid in the quantum Hall states. +In addition to MOSFETS and GaAs-AlAs heterostructures both the IQHE and the FQHE +have been seen in several other experimental platforms, particularly in graphene and other 2D +materials [222, 223]. The explanation of these effects and of a panoply of startling consequences +that were uncovered in the course of understanding this phenomenon is the focus of this section. +10.3.1. Landau levels and the Integer Hall effect +At some level the integer quantum Hall effect can be explained by the Landau quantization of +the energy levels of a free charged moving in two dimensions in a perpendicular magnetic field +73 + +[224]. The Hamiltonian for a non-relativistic particle of charge −e and mass M in a perpendicular +magnetic field B is +H = +1 +2M +� +−iℏ ▽ +ie +c A(x) +�2 +(373) +for a uniform perpendicular magnetic field B = B ˆez = ▽ × A(x). +In the circular gauge the vector potential is Ai = − 1 +2 Bǫi jx j. We will assume that the 2D plane +has linear size L. The total magnetic flux is Φ = BL2 and we will assume that there is an integer +number Nφ of magnetic flux quanta piercing the plane, φ = Nφφ0, where φ0 = hc/e is the flux +quantum. In units such that ℏ = e = c = 1 the flux quantum is φ0 = 2π and Φ = 2πNφ. +In the presence of a magnetic field the components of the canonical momentum operator +p = −iℏ ▽ − e +c A do not commute with each other, +[pi, p j] − ieℏ +c Bǫi j +(374) +This means that translations in two directions do not commute with each other. However, the +components of the operator k = p(−B) commute with p (and hence with the one-particle Hamil- +tonian) but do not commute with each other: the commutator is the same as in Eq. (374). Since +[k, H] = 0 they act as symmetry generators of the group of magnetic translations. For arbitrary +displacements a and b the translation operators t(a) = exp(ia· k/ℏ) (and similarly with b) satsify +t(a)t(b) = exp(ia × b · ez/ℓ2 +0)t(b)t(a) +(375) +Magnetic translations only commute with each other is the area subtended by a and b contains +an integer number of magnetic flux quanta. +Given the rotational symmetry of the circular gauge it is natural to work in complex coordi- +nates z = x1 + ix2. We will also use the notation ∂z = (∂1 − i∂2)/2 and ∂¯z = (∂1 + i∂2)/2. In this +gauge, up to a normalization, the eigenstate wave functions have the form +ψ(z, ¯z) = f(z, ¯z) exp +− |z|2 +4ℓ2 +0 + +(376) +where ℓ0 = +� +ℏc +e|B| is the magnetic length. In this gauge (and in complex coordinates) the angular +momentum operator Lz = −iℏ(x1∂2 − x2∂1) = ℏ(z∂z − ¯z∂¯z). +Any analytic function f(z) is an eigenstate with energy E0 = +1 +2ℏωc. A complete basis of +analytic functions are the monomials fn(z) = zn and have energy E0 and angular momentum +Lz = nℏ. This is the lowest Landau level whose wave functions are ψn(z) = zn exp(−|z|2/4ℓ2 +0). On +the other hand, an anti-analytic function fN = ¯zN is an eigenstate of energy EN = ℏωc +� +N + 1 +2 +� +, +where ωc = +e|B| +Mc is the cyclotron frequency, and angular momentum Lz = −Nℏ. States with +angular momentum nℏ have the same energy and the degeneracy is equal to the number of flux +quanta Nφ. For the most part we will be interested in the states in the lowest Landau level. +In the absence of disorder the Landau levels have an extensive degeneracy equal to the num- +ber of flux quantum Nφ. If we consider a system of N electrons in a Landau level the natural +measure of density is not the areal density ρ = Ne +L2 but the fraction ν = Ne +Nφ the states in the Landau +level which are occupied by electrons. The many-body state in which all Nφ states of the lowest +Landau level has filling fraction ν = 1. The wave function for this state is the Slater determinant +of the Landau states in the m = 0 level. After some simple algebra the wave function of this state +is found to be +Ψν=1(z1, . . . , zNe) = +� +i< j +(zi − zj) exp +− +Ne +� +i=1 +|zi|2 +4ℓ2 +0 + +(377) +This is the ground state of the non-interacting system and it is non-degenerate. It is easy to +see that this state has a finite energy gap. Indeed, in the Hilbert space with a fixed number +of electrons, the lowest energy excitation is a particle-hole pair in which the particle is in an +unoccupied state of the first excited Landau level, with m = 1 and energy E1 = 3 +2ℏωc and a hole +a single-particle state in the lowest Landau level, with energy E0 = ℏωc. The excitation energy of +the electron-hole pair is just ℏωc which is finite. However, in the free particle system this excited +states has a huge degeneracy as the particle and the hole can be in any single particle state of the +Landau level. +74 + +At a very naive level one can estimate the Hall conductivity for a translationally invariant +system filling up n Landau level by the following simple argument. If n Landau levels are filled, +the number of electrons N = nNφ and the total charge is then Q = eN = e n Nφ = e n BL2/φ0 = +ne2BL2/hc. If a weak and uniform in-plane electric field E is applied in the presence of a per- +pendicular magnetic field B = B ez, then the entire system (its center of mass) moves at the drift +velocity � such that � × B = −Ec. Thus, there is a Hall current J = Q�. The current density +is j = J/L2 = Q�/L2. Hence, ji = +Qc +BL2 ǫi j E j, which implies that the Hall conductivity is +σxy = Qc/BL2 = ne2/h. +While the above argument is formally correct and yields the correct value of the Hall conduc- +tivity in this highly idealized setting, at a very basic level it is faulty. To begin with, it assumes +exact translational invariance and, hence, Galilean symmetry, which are not obeyed in any realis- +tic system. The second objection is that, even in this idealized system, as the number of electrons +is varied, the chemical potential (and hence the Fermi energy) jumps discontinuously from one +Landau level to the next resulting in a linearly increasing Hall conductivity (as predicted classi- +cally) without any of the observed plateaus. Furthermore, this argument does not explain which +the Hall conductivity is so precisely quantized whereas, a priori, one would expect that being a +transport coefficient the Hall conductivity would depend on lots of complicated materials details. +But, it it turns out that it does not! +Let us first discuss the observed universality of the Hall conductivity, namely its robustness +and independence of microscopic details. In a remarkable paper Qian Niu, David Thouless and +Yong-Shi Wu showed that, provided the ground state is separated by a finite energy gap from +the excited states, the Hall conductivity is actually a topological invariant [225]. The argument +has a similarity with what we discussed in the case of the Hall effect on a 2D lattice (in section +10.1.4) but in this more general system one considers the full many-body wave function, rather +than the one-particle states. To show that this true they considered a system of N electrons +with periodic boundary conditions, i.e. on a two-dimensional torus, T 2 = S 1 × S 1, with Nφ +flux quanta going through the torus. The torus is a rectangle of dimensions L1 and L2 with +opposite ends identified. This is necessary to allow for a Hall current to be globally allowed. The +electromagnetic gauge field for a system ona torus with uniform non-vanishing flux cannot obey +periodic boundary conditions but rather accross the torus the gauge fields must differ by (large) +gauge transformations +A1(x1, x2 +L2) = A1(x1, x2)+∂1β2(x1, x2), +A2(x1 +L1, x2) = A2(x1, x2)+∂2β1(x1, x2) (378) +while the wave functions themselves obey twisted boundary conditions +Ψ([x(j) + L1e1]) = exp +−i e +ℏc +Ne +� +j=1 +β1([x(j)]) + iθ1 + × Ψ([x(j)]) +Ψ([x(j) + L2e2]) = exp +−i e +ℏc +Ne +� +j=1 +β2([x(j)]) + iθ2 + × Ψ([x(j)]) +(379) +where e j (with j = 1, 2,) are two unit vectors on the torus, and θ1 and θ2 are two angles that twist +the boundary conditions of the wave functions. +In order to have a current on the torus they assumed that, in addition to the uniform flux going +through the torus, there a weak uniform electric field E on the torus represented by the constant +in space vector potential δA = E t = ▽[U(x)t] whose circulation on the two non-contractible +circles Γ1 and Γ2, which wrap around the directions x1 and x2 of the torus T 2, are +I j = +� +Γj +δA · dx = t +� +Γj +E · dx = itE jL j +(380) +Line integrals of a gauge field on non-contractible loops in space (or space-time) are called +holonomies. By inspection we see that the angles θ1 and θ2 are given by +θj = e +ℏcI j +(381) +Alternatively, the angles θ = (θ1, θ2) can be interpreted as magnetic fluxes (in units of the flux +quantum φ0) through the two non-contractible circles of the torus T 2. +The angles θ are defined mod 2π since they are phase factors that twist the phase of the +wave functions, and define a 2-torus of boundary conditions. By comparing with what we did in +75 + +section 10.1.4 in the case of the single-particle wave functions in the lattice model, we see that +the many-body wave function Ψθ and the twist angles θ is the same as the relation between the +phase of the Hofstadter wave functions with the momentum k of the magnetic BZ (which is also +a 2-torus). Indeed, as it is always the case, while the phase of (in this case) the many-body wave +function Ψθ is arbitrary, the changes of this phase as the the twist angle θ is changed are not. To +quantify this dependence, for a given many-body state Ψ(α) +θ , where α labels the state, we define a +Berry connection A(α)(θ) on the torus of boundary conditions θ +A(α)(θ) = i +� +Ψ(α) +θ +����∂θ +����Ψ(α) +θ +� +(382) +Under a redefinition of the phase of the state +Ψ(α) +θ +→ exp(if(θ)) Ψ(α) +θ +(383) +the Berry connection A(α)(θ) changes by a gauge transformation +A(α)(θ) → A(α)(θ) − ∂θ f(θ) +(384) +Niu, Thouless and Wu [225] showed that the expression of the Kubo formula for the Hall +conductivity of the state Ψ(α) +θ , averaged over the boundary conditions θ, is given in terms of the +flux of the Berry connection A(α)(θ) through the 2-torus of boundary conditions, by the gauge- +invariant quantity +⟨(σxy)α⟩θ = e2 +ℏ +� 2π +0 +dθ1 +2π +� 2π +0 +dθ2 +2π +� +∂1A(α) +2 +− ∂2A(α) +1 +� += e2 +h +1 +2π +� +γ +A(α)(θ) · dθ +(385) +where γ is the square contour with corners at (0, 0), (2π, 0), (0, 2π) and (2π, 2π), that defines the +2-torus of boundary conditions θ. This result is known as the Niu-Thouless-Wu formula. +Eq.(385) implies that for the Hall conductivity to be non-vanishing the Berry connection +A(α)(θ) must have a non-vanishing flux through the torus of boundary conditions. For this to be +true, just as we did in section 10.1.3, we must consider large gauge transformations of the form +A1(θ + 2πe2) =A1(θ) + ∂1 f2(θ) +A2(θ + 2πe1) =A2(θ) + ∂2 f1(θ) +Ψ(α)({x(j)}; θ + 2π e1) = exp(if1(θ)) Ψ(α)({x(j)}; θ) +Ψ(α)({x(j)}; θ + 2π e2) = exp(if2(θ)) Ψ(α)({x(j)}; θ) +(386) +where e1 and e2 are two orthogonal unit vectors on the torus of boundary conditions. We can +now repeat the analysis we did in section 10.1.3 which, in this context, implies that the wave +function Ψ(α) +θ +cannot be globally well defined on the torus of boundary conditions, where it must +have zeros, and where it should be defined in patches. The end result is that the wave functions +labeled by α are classified by a topological invariant, the first-valued Chern number C(α) +1 , which +here it is given by +C(α) +1 += 1 +2π +� +γ +A(α)(θ) · dθ +(387) +and, hence, that the Hall conductivity in he state α (averaged over the twisted boundary condi- +tions) exhibits the integer quantum Hall effect, +⟨(σxy)(α)⟩θ = C1 +e2 +h +(388) +Expressing the Hal conductivity in terms of the first Chern number, which is a topological invari- +ant, proves that the value of the conductivity cannot be changed by local physics effects, such +as disorder, etc. The topological nature of the Hall conductivity is the reason for the robustness +and high precision of the measured value of the Hall conductivity. In subsequent work Niu and +Thouless showed that, provided the state has a finite energy gap to all excitations, in the thermo- +dynamic limit the Hall conductivity averaged over boundary conditions and for a given boundary +condition are equal. +The result of Eq.(388) seemingly implies that there can only be an integer quantum Hall +effect which, as we see shortly, it is not the case: there is a fractional quantum Hall effect in +76 + +which the Hall conductivity is a fraction, σxy = p +q +e2 +h , where p and q are co-prime integers. This +value of the Hall conductivity is also found experimentally to be obeyed with the same precision +as in the integer quantum Hall effect. In other words, the Hall conductivity in the fractional +case must also have a topological character. To understand why this can be the case we need an +implicit assumption that we made in our derivation. In fact, in deriving the result of Eq.(388) we +assumed (implicitly) that for each value of θ there is only one many body state Ψ(α) +θ +(up to gauge +transformations). As we will see below, in the fractional quantum Hall effect on a torus (and, in +fact on any closed surface except the sphere) the ground state is degenerate in the thermodynamic +limit. We will also see that traversing the torus of boundary conditions once maps one degenerate +state to another one. In general, we will find that on the 2-torus in the thermodynamic limit there +are m ∈ Z exactly degenerate states. In this case, one returns to the original state after sweeping +m times the torus of boundary conditions. We will also see below that the degenerate states are +labeled by quantum numbers related to the anyons that they support. +While the topological argument proves the robustness (and universality) of the value of the +Hall conductivity, it does not provide an insight for why there are plateaus in its magnetic field +dependence. If for some value of the filling fraction ν = N/Nφ the electron fluid is exactly at a +ground state Ψ(α) upon changing either the number of particles N or the magnetic field B (but not +both) the fluid will now will be at the state Ψ(α) plus or minus some number of electrons. The +existence of the plateau in σxy can be understood if the extra electrons (or holes) do not contribute +to the Hall conductivity. This happens in the presence of disorder as these extra particles will +be localized by the disorder and localized states, whose wave functions decay exponentially are +insensitive to boundary conditions and, hence, these states do not contribute to the conductivity. +This argument was first put forth by Laughlin [226] who build on the result that in a disordered +system in two dimensions all states are localized [63] but made the key assumption that the +state at the center of the Landau level (broadened by disorder) is extended and contributes to +the conductivity if this state is filled. This picture implies that this is actually a quantum phase +transition from an insulator (dubbed a Hall insulator) to a state with a quantized Hall conductivity. +This intuitive and appealing proposal has been the focus of research for many years and +it is largely an unsolved problem. There is in fact a proposed field theory for this quantum +phase transition based on a a non-linear sigma model (in replica space) with a topological θ-term +[227, 228], analogous to the theory we discussed in section 5.2 for quantum antiferromagnets in +1+1 dimensions. in this proposal the (Boltzmann) longitudinal conductivity σxx plays the role of +the inverse of the coupling constant of the non-linear sigma model while σxy plays the role of the +coefficient of the θ-term. Although the RG flows suggested by this approach qualitatively agree +with currently existing experimental data, and actual derivation is still wanting. +However, aside from the fact that is is still an unsolved problem, there is the problem that this +explanation ignores the fact that in a Landau level interactions are dominant and are the key to +the understanding of the fractional case even in the same samples! A symptom of this problem +is that, at least in the cleaner samples, as we noted above the longitudinal conductivity vanishes +exponentially with temperature. This dependence means that there is a clean energy gap (and not +just a mobility gap) which suggests that the state with additional excitations may have some sort +of at least local order which would provide for a local energy gap. An actual theory based on this +picture has yet to be developed. +10.3.2. The Laughlin Wave Function +We will turn now to the fractional quantum Hall effect (FQHE). The FQHE is observed in +fractionally filled Landau levels. These states have fractional filling fractions, namely that ν = Ne +Nφ +is a fraction. Most of the observed states are in the lowest Landau level, with N = 0, but a few +states with very intriguing properties are seen in the first excited Landau Level with N = 1. +Let us consider for now the states in the lowest Landau level, N = 0. We will assume that +there is no disorder and, for now, we will ignore the effects of boundaries of the sample. Physi- +cally, the important interaction here is the Coulomb interaction although, in some samples with +screening layers, short-range interactions may be important as well. Since there is a large mag- +netic field, the Zeeman interaction is typically a large energy scale and the electros are expected +to be fully polarized. However, there are situations under which the gyromagnetic factor can be +made small (and even zero) and spin unpolarized states have to be considered. In some platforms, +such as graphene, additional quantum numbers are present, such as “flavor” associated with the +different Dirac states. In our discussion we will not cover these richer possibilities. +Under these circumstances we have a problem in which all Nφ available one-particle states are +77 + +exactly degenerate (the Landau level is “flat”) but only a fraction of them are filled. In this limit, +this system as as strongly interaction as it gets. Not surprisingly, in a system of this type time- +honored standard approximations fail, such as Hartree-Fock. Given the macroscopic degeneracy +and the nature of the states in a magnetic field, a system of this type may harbor many different +types of actual ground states depending of the types of interactions that are considered. +Tsui, St¨ormer and Gossard [221] did transport experiments in the two-dimensional electron +gas (2DEG) in high-purity GaAs-AlAs heterostructures and reported the discovery of a state with +a highly precise value of the Hall conductivity of σxy = 1 +3 +e2 +h . Such a state cannot be understood +in any obvious way in terms of the integer quantum Hall effect. The observation of a clean gap +in the low temperature longitudinal resistivity σxx → 0 as T → 0 implied that the 2DEG is +incompressible and quite likely uniform. +The first breakthrough was Laughlin’s unique insight which led to his explanation of the +experiments in terms of a novel quantum liquid of fully spin polarized electrons at filling fractions +ν = 1 +m (with m and odd integer) whose wave function he proposed to be +Ψm(z1, . . ., zN) = +� +i< j +(zi − zj)m × exp +− +Ne +� +i=1 +|zi|2 +4ℓ2 +0 + +(389) +where N = Ne is the number of electrons, {zi} are their (complex) coordinates and m is an odd +integer (which makes the wave function antisymmetric, as required by Fermi statistics). +Laughlin extracted the physics encoded in this wave function by considering the probability +����Ψm(z1, . . ., zN) +���� +2 +of finding the N electrons in the locations {zi} (with i = 1, . . ., N). The norm of +the Laughlin wave function is +���� +����Ψm +���� +���� +2 += +� +d2z1 . . . d2zN +����Ψm(z1, . . ., zN) +���� +2 +(390) +The Laughlin wave function Ψm(z1, . . ., zN) is an eigenstate of angular momentum with eigen- +value Lm = 1 +2mN(N − 1). This remarkable wave function has a large overlap (∼ 98%) with the +exact wave function with V(R) = e2 +εR (Coulomb) interactions in systems of up to eight particles +(ε is the dielectric constant). +The norm of the state can ten be interpreted as the classical partition function of a system +of a system of N particles at the locations {zi} at inverse temperature β = m with the effective +interaction +U(z1, . . ., zN) = −2 +� +1≤i< j≤N +ln |z1 − zj| + +1 +2mℓ2 +0 +N +� +j=1 +|zj|2 +(391) +This classical partition function is a one-component plasma, of a gas of particles with unit (neg- +ative) charge interacting with each other with the repulsive 2D classical (logarithmic!) Coulomb +interaction, VCG = − ln |zi − zj| (not 1/R!). The last term represents the contribution of a neu- +tralizing background positive charge (which here it originates in the gaussian factor of the wave +function). In other words, this is a one-component plasma. We can check that this is correct +since ▽2 +� +|z|2 +2mℓ2 +0 +� += +2 +mℓ2 +0 which corresponds to a uniform (areal) charge density ρ0 = +1 +2πmℓ2 +0 . Clas- +sical Monte Carlo simulations of this probability distribution showed that this wave function +describes an incompressible fluid state if m ≲ 7, while for larger values it represents a crystalline +state. This approach is known as the plasma analogy. +10.3.3. Quasiholes have fractional charge +Laughlin considered a vortex-like excitation in the fluid created by the adiabatic insertion of +an infinitesimally thin solenoid at some coordinate z0 carrying a magnetic flux Φ, a fluxoid. In +the presence of this solenoid the single particle state zn exp(|z|2/4ℓ2 +0) acquires a branch cut and +becomes the state zn+α exp(|z|2/4ℓ2 +0) where α = Φ/φ0, with φ0 = hc/e being the flux quantum. +This analytic structure is the Aharonov-Bohm effect [155]. +However, if the solenoid carries just one flux quantum α = 1 and the net effect is that the state +becomes zn+1 exp(−|z|2/4ℓ2 +0) which has one more unit of angular momentum. For these reasons, +in the presence of a solenoid with one flux quantum inserted at z0, the Laughlin wave function +for the 2DEG in a large magnetic field now becomes +Ψqh +m (z0; z1, . . ., zN) = +N +� +i=1 +(zi − z0) × Ψm(z1, . . . , zN) +(392) +78 + +A calculation using the plasma analogy reveals that the net effect of the solenoid is to expel a +charge equal to −e/m from the vicinity of the location of the solenoid or, equivalently, to create a +fractionally charged quasihole at z0 with charge Qqh = +e/m. The charge distribution is uniform +at long distances but is depleted (hence a quasihole) on a length scale ξ. One can check that this +state costs a finite energy ε0 which depends on the particular interaction. +On the other hand, if we consider a system in which the solenoid is inserted adiabatically +so that after a long time t there is a quasihole at z0, an amount of charge equal to −e/m will +flow radially outwards to the outer edge of the 2DEG. The adiabatic insertion of the solenoid +generates a azimuthal electric field (an e.m.f.) and a radial Hall current, and a Hall conductivity +σxy = 1 +m +e2 +h . Hence, the Laughlin wave function exhibits the fractional quantum Hall effect and +its excitations are vortices with fractional charge e/m. +It is important to note the non-local nature of the Laughlin quasihole. The non-locality is +inherited from the fluxoid (the solenoid) inserted at z0: even though the magnetic field of the +fluxoid vanishes away from it, B(x) = Φ δ2(x − x0), its vector potential A(x) does not since its +circulation on any non-contractible loop γ that contains the location of the fluxoid inside must +be equal to the flux Φ carried by the fluxoid. Although in principle one can choose a singular +gauge in which A(x) vanishes locally, this cannot be true everywhere as it must leave behind a +Dirac-like string on a curve Γ ranging form the location z0 of the fluxoid to the boundary of the +system with A taking a singular value on Γ. This feature has the same form as the 2D vortex that +we discussed in section 5.1.1. Kivelson and Ro˘cek [229] showed that the existence of this Dirac +string causes the phase of a quantum state that carries charge e∗ to have a branch cut on the curve +Γ and to change by exp(i2π(e∗/e)Φ/φ0), as required by the Aharonov-Bohm effect [155]. This +effect is unobservable for integer-charged states, i.e. electrons. +10.3.4. The Jain States +The construction of the Laughlin quasihole motivated Jainendra Jain [230, 231] to rewrite +the Laughlin wave function in the form +Ψm(z1, . . . , zN) = +� +i< j +(zi − zj)m−1 × Ψν=1(z1, . . ., zN) +(393) +Here the prefactor represents particles each attached with an even number, m − 1, of flux quanta. +The second factor,Ψν=1(z1, . . ., zN), is the wave function of fermions filling up a lowest Landau +level, i.e. the Vandermonde determinant of Eq.(377). In this form, the inverse of the filling factor, +1/ν, which is the number of flux quanta per particle, is written as 1 +ν = (m − 1) + 1 = m. The +interpretation now is that the (m − 1)φ0 magnetic flux carried by each particle, which partially +screens the uniform field down to an effective field Beff = B − (m − 1)φ0 corresponding to one +effective flux quantum per particle, i.e. a filled lowest Landau level of the effective field Beff. In +other words, the wave function for the ν = 1/m FQH state is reinterpreted as the νeff = 1 integer +QH state of N composite fermions, each being an electron carrying attached an even integer m−1 +flux quanta. +This procedure is known as flux attachment. Physically it means that the strong interactions +between the electrons for other electrons to be further away which, in virtue of being in a strong +magnetic field, is equivalent to an increase of their relative angular momentum, as if there was a +local change in the magnetic field. There is no reason to believe that the composite fermions are +weakly coupled, even though this is frequently stated in the literature without any real supporting +evidence. +Jain then generalized this reinterpretation of the Laughlin state to a whole sequence of FQH +states obtained by filling p levels of these partially screened magnetic fluxes +Ψm,p(z1, . . . , zN) = PLLL +� +i< j +(zi − zj)m−1Ψν=p(z1, . . ., zN) +(394) +where Ψν=p(z1, . . ., zN) is the wave function of p filled Landau levels (of composite fermions), +and PLL is an operator that projects onto the lowest Landau level. By counting fluxes we see that +the filling fractions for the Jain states satisfy +1 +ν(m, p) = m − 1 ± 1 +p +(395) +79 + +where we allowed for the possibility that the external fluxes may be over-screened by the com- +posite fermions. Alternatively we can write +ν(m, p) = +p +p(m − 1) + ±1 +(396) +The Jain states with p = 1 are the laughlin states and each is called the primary state of a +Jain sequence. Almost all the observed FQH states belong to one of these sequences (and its +generalizations). In particular, the most prominent states (i.e. those with larger plateaus) belong +to the sequence 1 +3, 2 +5, 3 +7, 4 +9, 5 +11, . . . and to the reversed sequence 1, 2 +3, 3 +5, 4 +7, . . .. For p → ∞, the Jain +sequences converge to the values of the filling fraction limp→∞ ν(m, p) = +1 +m−1. In this limit, the +m − 1 fluxes attached to each particle exactly cancels th external flux leading us to a (possibly) +Fermi liquid of composite fermions [232]. +10.3.5. Quasiholes have fractional statistics +The non-locality and topological nature of the Laughlin quasihole implies that this state must +be regarded as a soliton (or vortex) of the charged quantum fluid. The vortex-like state with wave +function Ψqh +m (z0; z1, . . . , zN) is called the Laughlin quasihole. This state represents a composite +object of a flux quantum and a fractional charge. This structure of this quantum state is strongly +reminiscent of the flux-charge composite objects considered by Frank Wilczek who showed that +such objects should be anyons, states that exhibit fractional statistics [156]. Although at a con- +ceptual level anyons were proposed (almost) prior to the discovery of the FQHE, it is in this +setting that fractional statistics entered actual physics. The actual experimental observation took +work by many people, and was only confirmed in 2020 [233]. +Fractional statistics dictates the analytic form of the wave functions of two or more quasiholes +[234]. Let us consider a laughlin-type wave function for two quasiholes located at (complex) +coordinates u and �. Naively we expect the wave function for two quasiholes in the ν = 1/m +Laughlin state to have the form +Ψ(u, �; z1, . . . , zN) = N(u, �) +N +� +j=1 +(zj − u)(zj − �) Ψm(z1, . . ., zN) +(397) +The prefactor N(u, �) must be chosen to account for the fact that theres is an additional change of +angular momentum due to the additional fluxoid at �. We also expect that as the quasihole with +charge e/m is adiabatically carried around the the other quasihole (also with charge e/m) there +will be ac accrued phase in the wave function due to the Aharonov-Bohm effect of the charge +of one quasihole circling around the flux of the other (or, equivalently, crossing the branch cut) +[229]. The requirement of translation invariance and analyticity are met by the choice [234] +(ignoring a multiplicative normalization constant) +N(u, �) = (u − �)1/m exp +− +1 +4ℓ2 +0m(|u|2 + |�|2) + +(398) +which has a branch cut stretching from u to �. A calculation using the plasma analogy represents +this state as a set of N charge −1 particles interacting with two additional particles of charge −1/m +at u and � (and a neutralizing background). The branch cut implies that dragging a quasihole +around the other during a π rotation followed by a translation (i.e. an exchange), induces a +monodromy in the wave with a jump in its phase of exp(±iπ/m) (with the sign determined by the +orientation of the monodromy) in such a way the that wave function changes by a phase factor +Ψ(u, �; z1, . . ., zN) �→ e±i π +m Ψ(u, �; z1, . . . , zN) +(399) +In other words, the quasihole is an anyon with fractional statistics π/m. Daniel Arovas, J. Robert +Schrieffer and Frank Wilczek [235] further refined this argument by showing that under such +a slow adiabatic change the wave function of two quasiholes acquires a Berry phase which ac- +counts for the fractional statistics. An explicit path-integral derivation of this effect, which uses +the fact that the quasihole states are coherent states can be found in Ref. [9], chapter 13. +10.3.6. Hydrodynamic Effective Field Theory +We will now turn to the approaches to the FQHE using the methods of quantum field theory. +As we will see the concept of flux attachment plays a key role. In section 9.5 we showed that +80 + +Chern-Simons gauge theory is in fact a theory of flux attachment. Thus we expect that Chern- +Simons gauge theory should play a key role as well. +It is useful to ask first why should Chern-Simons gauge theory play a central role at least in +the description of the low energy physics. There is a simple, yet powerful, phenomenological +argument due to J¨org Fr¨ohlich and Anthony Zee that shows why this should be the case [236]. +This in essence a hydrodynamic argument. The fractional quantum Hall effect occurs in a 2DEG +in the presence of a large magnetic field which breaks explicitly time reversal invariance. In the +regime of the FQHE the 2DEG is a uniform charged incompressible fluid in which charge is +conserved. This means that the charge 3-current jµ = (j0, j) (where j0 is the charge density and +j is the charge current density) must be locally conserved, +∂µ jµ = 0 +(400) +which is the continuity equation. The solution of this equation is that the conserved current can +be written in terms of a dual (in the Hodge sense) vector field Bµsuch that +jµ = 1 +2πǫµνλ∂νBλ +(401) +The factor of +1 +2π is introduced for later convenience. The current field jµ is not changed by a +smooth redefinition of the vector field Bµ → Bµ + ∂µΦ, where Φ(x) is a non-singular field. This +means that the vector field Bµ is a gauge field. +The effective action of this theory is a functional of the current distribution µ and, hence, of +the gauge field Bµ. It should be gauge-invariant, and odd under parity and time-reversal. Since +the fluid is incompressible and uniform, at long distances and low energies the action must be a +local functional of the gauge field which should be at least Galilean invariant. In addition, the +coupling of the fluid to an external electromagnetic probe field Aµ must be of the usual form +−ejµAµ. To lowest orders in derivatives, there the unique local and gauge-invariant Lagrangian +density which is odd under time reversal (and parity) is the Chern-Simons theory +Leff[Bµ] = m +4πǫµνλBµ∂νBλ − 1 +4g2 F 2 +µν − e +2πAµǫµνλ∂νBλ + . . . +(402) +The first term is the Chern-Simons term of the Lagrangian. The coefficient m is a dimensionless +integer which, as we saw in section 9.3 is required for the theory to be invariant on a closed +manifold. The second is a Maxwell term. Here Fµν = ∂µBν −∂νAµ is the field strength tensor of +the gauge field Bµ. By power counting we see that the coupling constant g2 has units of length−1 +and, hence this term is irrelevant at long distances and will be neglected. The third term is the +coupling of the current jµ to the electromagnetic field Aµ. Upon an integration by parts this term +can be written as BµJ µ where +Jµ = − e +2πǫµνλ∂νAλ +(403) +is a current minimally coupled to Bµ. +The equation of motion of the (dynamical) gauge field Bµ is +δL +δB = 0 +(404) +which yields the relation +m +2πǫµνλBµ∂νBλ = Jµ +(405) +From the definition of the current Jµ, Eq.(403), we see that the solution of the equation of +motion of Eq.(405), up to a gauge transformation, is +mBµ = −eAµ +(406) +By plugging this relation back into the Lagrangian for the gauge field Bµ, Eq (402) (which +si equivalent to integrate out the gauge field Bµ) we find that the effective Lagrangian of the +electromagnetic field Aµ is just a Chern-Simons term +Leff[Aµ] = +e2 +4πmǫµνλAµ∂νAλ + . . . +(407) +81 + +This result allows us to read-off the Hall conductivity of the fluid +σxy = 1 +m +e2 +2πℏ +(408) +where we restored units such that ℏ is not unity. In other words, this fluid exhibits the fractional +quantum Hall effect for a fluid at filling fraction ν = 1/m. +We should note that this heuristic argument applies equally to systems of fermions, for which +m is odd, as well as to systems of bosons, for which m is even. +10.3.7. Composite Boson Field Theory +We will now discuss tow field-theoretic approaches to the FQHE. These approaches use the +concept of flux attachment as a mapping of fermions to bosons and as a mapping of fermions +to fermions. These approaches are a form of duality transformation which engineers a form +of statistical transmutation. We will first show that Chern-Simons theory can be used to effect +such a mapping. That this is possible should not be surprising since, as we saw in section 9.7, +Chen-Simons theory is a theory of fractional statistics and, hence, of anyons. +We should make some important comments on both approaches before we get into a detailed +description. While the mapping of fermions to composite bosons and fermions to composite +bosons is correct, their approximate mean field descriptions violate symmetries of the 2DEG in +a magnetic field. At the root level is the fact that the flux attachment is local in space time and +approximate descriptions of these theories bring about a large amount of Landau level mixing, +even in the large field limit. For instance, at the mean field theory level the composite boson +approach is equivalent to a Bose-Einstein condensate which is invariant under translations and +under time reversal. In this picture the breaking of time reversal is present in the coupling to a +Chern-Simons gauge field. Likewise, the mean field theory of the composite fermion theory is a +problem of composite fermions in a partially screened. While a partially screened magnetic field +still breaks time reversal, it does not behave properly under magnetic translations. As we will +see, these problems will be solved, at least in the low energy regime, by quantum fluctuations +which restore the symmetries. In both cases, in the fractional states one recovers an effective +topological field theory which captures the universal physics of these states. Needless to say it, +both approaches do poorly in the computation of non-universal dimensionful quantities such as +energy gaps, etc. These difficulties become very severe in the compressible states whose low +energy behavior is not topological. +Unlike the wave function approaches which project these states into a specific Landau level +(usually the lowest), the field theoretic approach does not effect such projection. Several papers +have been written attempting to do a field theory projected into a Landau level. These approaches +transformed the problem into quantum field theory on a non-commutative plane, which is inher- +ent the nature of the states in a magnetic field. Although some significant progress has been made +in this direction, these theories remain poorly understood [237, 238, 239, 240, 241, 242, 243] +In this section we will focus on the composite boson theory. Let us consider a theory in 2+1 +dimensions with two dynamical abelian gauge fields Aµ and Bµ, whose Lagrangian is a sum of +a Chern-Simons term at level k and a BF term: +L = k +4πǫµνλA µ∂νA λ + 1 +2πǫµνλA µ∂νBλ +(409) +The equation of motion for the field Aµ is +k +2πǫµνλ∂νA λ + 1 +2πǫµνλ∂νBλ = 0 +(410) +whose solution (up to a gauge transformation) is kAµ = −Bµ. Plugging this relation into the +Lagrangian of Eq.(409) we find that the effective Lagrangian for the field Bµ is +L[Bµ] = − 1 +4πkǫµνλBµ∂νBλ +(411) +which states that exchanging Aµ ↔ Bµ is equivalent to the “duality” k ↔ −1/k. +In section 9.7 we showed that particles coupled to a Chern simons gauge field at level k +have fractional statistics exp(±iπ/k). Hence, we see that particles coupled to the field Bµ have +fractional statistics exp(±iπk). In other words, for k odd this coupling amounts to exchanging +a theory of fermions to a theory of bosons coupled to the gauge field Bµ. This is a form of +82 + +bosonization. Alternatively, for k even it maps a theory of fermions to another theory of fermions +coupled to a gauge field Bµ. These observations have led to distinct, but ultimately equivalent +description of the quantum Hall effect. +We will begin the approach of mapping fermions to bosons and use it in the problem of the +FQHE. This is the Landau-Ginzburg theory (or composite boson theory) of Shoucheng Zhang, +Hans Hansson and Steven Kivelson [244] (ZHK). In this approach the problem of fermions +coupled to a magnetic field interacting with each other through a two-body potential (that we +will assume is ultra with coupling constant λ, for simplicity) becomes the same problem but for +a theory of bosons which are also coupled to a Chern-Simons gauge field, which we will denote +by Aµ. The Lagrangian density for this equivalent system of composite bosons is +LCB = φ∗(x)[iD0 + µ]φ(x) + 1 +2M |Dφ(x)|2 − λ(|φ(z)|4 + +1 +4πmǫµνλA µ∂νA λ +(412) +where x = (x0, x) are the space-time coordinates, µ is the chemical potential, M is the mass of +the fermions, and m is an arbitrary odd integer. The covariant derivative +Dµ = ∂µ + i e +ℏcAµ + iAµ +(413) +which effects the minimal coupling of the complex scalar field φ(x) to the background electro- +magnetic field Aµ and to the Chern-Simons gauge field Aµ, known in this context os known as +the statistical gauge field. +ZHK showed that the FQH state can be thought as being closely related to to a phase in which +the complex scalar field condenses, much as in the case of a superfluid even though the FQH iis +not a superfluid. To see how this works we will write +φ(x) = +� +ρ(x) exp(iω(x)) +(414) +The classical equations of motion of the theory of composite bosons, Eq.(412), are +δLCB +δφ∗(x) =0 +⇒ +(iD0 + µ)φ(x) − 1 +2M D2φ(x) − 2λ|φ(x)|2φ(x) = 0 +(415) +LCB +δA0(x) =0 +⇒ +1 +2πmǫi j∂iA j + |φ(x)|2 = 0 +(416) +LCB +δAi(x) =0 +⇒ +1 +2πmǫiαβ∂αA β + +i +2M +�φ∗(x)Diφ(x) − (Diφ(x))∗φ(x)� = 0 (417) +LCB +δµ =ρ0L2T +⇒ +� +d3x |φ(x)|2 = ρ0L2T +(418) +where ρ0 is the areal density of electrons. +A uniform solution of Eqs. (415)-(418) with constant amplitude of the composite bosons, +i.e. a uniform and static condensate ¯φ, with uniform statistical gauge field strength ¯ +B, requires +that the there should be no current in the ground state and that each term of Eq.(417) should be +zero. This condition implies that the external field is canceled by the average statistical field, +eB +ℏc + ¯ +B = 0. This condition together with Eqs.(416) and (418) imply that +ρ0 = 1 +m +eB +ℏc = 1/m +2πℓ2 +0 +(419) +and we conclude that the filling fraction is ν = 1 +m, which are the Laughlin states. In addition we +get that the chemical potential is µ = 2λρ0 and that |¯φ|2 = ρ0, with ρ0 given in Eq.(419). +However, these mean field results seeming imply that this system is a Bose-Einstein conden- +sate. To understand why this is incorrect, and to determine what it actually is, we need to go +beyond the mean field theor that we just described and evaluate the effects of quantum fluctua- +tions and write +φ(x) = (ρ0 + δρ(x))1/2 exp(iω(x)), +eAµ +ℏc + Aµ = δAµ +(420) +The partition function of this theory is a path integral over the fluctuating density fields δρ, the +Goldstone field ω and the fluctuation of the Chern-Simons gauge field δAµ. Upon integrating out +83 + +the massive density fluctuations to lowest (quadratic) order we find that the effective Lagrangian +for ω and δAµ is +Leff[ω, δAµ] = κ +2 (∂0ω − δA0)2 − ρs +2 (∂iω − δAi)2 + +1 +4πmǫµνλδA µ∂νδA λ + . . . +(421) +The first two terms of Eq.(421) is the effective Lagrangian of the Goldstone mode ω in the +Bogoliubov theory of superfluidity a compressibility κ and a superfluid stiffness ρs given by +κ = 1 +2λ, +ρs = ρ0 +M = ν +2πℏωc +(422) +However, as we see, this is not a superfluid since the phase field is “eaten” by the Chern-Simons +gauge field δAµ which now acquires a mass term. In this sort of Higgs mechanism the fluctuating +gauge field has a massive longitudinal mode and a massive transverse mode. Thus, this state doe +not have any massless modes. +To see that this theory describes the fractional quantum Hall effect we need to compute the +linear response to a weak electromagnetic perturbation δAµ(x). This can be accomplished by +considering the new Lagrangian +Leff[ω, δAµ, δAµ] = κ +2 +� +∂0ω − δA0 − e +ℏcδA0 +�2 +−ρs +2 +� +∂iω − δAi − e +ℏcδAi +�2 ++ 1 +4πmǫµνλδA µ∂νδA λ+. . . +(423) +and integrate out the phase field ω (which can be set to zero in the London/unitary gauge) and +the fluctuation of the statistical field δAµ to find that effective electromagnetic action is +S eff[δAµ] = +1 +4πm +e2 +ℏ +� +d3x ǫµνλδAµ∂νδAλ + . . . +(424) +from which we conclude that the Hall conductivity predicted by the composite boson theory is +σxy = 1 +m +e2 +h +(425) +as it should be for a FQHE at filling fraction ν = 1/m. +We conclude by looking at vortex states in the composite boson theory. A vortex state is +a time-independent solution of the equations of motion Eqs.(415)-(418) with the asymptotic +behavior (in the temporal gauge δA0 = 0) +lim +|x|→∞φ(x) = √ρ0 eiϕ(x) +(426) +lim +|x|→∞δAi(x) = ± ∂iϕ(x) = ±ǫi j +x j +|x|2 +(427) +where ϕ(x) is the azimuthal angle on the plane +ϕ(x) = tan−1 +� x2 +x1 +� +(428) +The energy of a neutral vortex (i.e. not coupled to a gauge field) is logarithmically divergent, +Evortex ≃ ρs +2 ln(R/a0) where R is the linear size of the system and a0 is a short-distance cutoff +(see section 5.1.1). However, the situation here is different since the complex scalar field φ(x) is +coupled to a dynamical Chern-Simons gauge field Aµ. Except for the Chern-Simons nature of +this gauge field, the problem we are dealing with is similar to that of a superconductor coupled +to a dynamical gauge field or to the Abelian-Higgs model in quantum field theory. In the case of +interest here we have finite energy vortex solutions which satisfy the asymptotic condition +lim +|x|→∞ +���� +� +i∂ j − δA j +� +φ(x) +���� +2 += 0 +(429) +which is obeyed by configurations that obey Eq.(427). Thus, at long distances, the circulation of +the Chern-Simons gauge field on a large closed contour Γ that contains the vortex satisfies +� +Γ +δA jdx j = ±2π +(430) +84 + +This vortex carries charge. To see this we compute the local charge density j0(x) +j0(x) = − δS eff +δA0(x) = −e δS eff +δδA0(x) = +e δS CS +δδA0(x) = +e +2πmǫi j∂iδA j(x) +(431) +and compute the total charge of the vortex on a larger region Σ whose boundary is Γ and obtain +Q = e +� +d2xj0(x) = +e +2πm +� +Σ +d2x ǫi j∂iδA j(x) = e +m +1 +2π +� +Γ +dx jδA j(x) = ± e +m +(432) +Therefore, the vortex of the composite boson theory has the same charge as the Laughlin quasi- +hole. +To determine the statistics of the vortex we go back to the effective Lagrangian written in the +form of Eq.(409), (from now on we set δA µ ≡ A µ) +Leff = κ +2(∂0ω−A0)2−ρs +2 (∂ jω−A j)2+ 1 +2πǫµνλA µ∂νBλ− e +2πǫµνλAµ∂νBλ− m +4πǫµνλBµ∂νBλ (433) +where Aµ is the external electromagnetic probe field, and where we used units with ℏ = c = 1. +The first two terms make the statistical gauge field Aµ massive. In the low energy limit the +statistical gauge field is frozen to the vortex configurations of the complex scalar field φ or, +equivalently, to the vortex singularities of its phase field ω. The vorticity current Ωµ is +Ωµ = ǫµνλ∂νA λ +(434) +The effective Lagrangian for the field Bµ is +Leff[Bµ] = − m +4πǫµνλBµ∂νBλ − e +2π Aµǫµνλ∂νBλ + ΩµBµ +(435) +which, except for the coupling to the electromagnetic field, has the same form as in Eq.(224), +and of the effective action introduced in section 10.3.6 on phenomenological grounds. +The effective topological field theory of Eq.(435) encodes al the universal data of fractional +quantum Hall fluids. Being topological this effective field theory has no energy scales and de- +scribes the physics at energies low compared to any excitation energy gap. In addition to yield- +ing the correct Hall conductivity σxy = νe2/h (with ν = 1/m) and the fractional vortex charge +Q = e/m, this theory will allow us to draw important additional results about the low energy +physics. +By using the results of section 9.7, we conclude that the vortices of the composite boson are +anyons with fractional statistics exp(±iπ/m), consistent with the conclusions of section 10.3.5. +In addition, on a 2-torus the ground state of this system is m-fold degenerate. This feature, +characteristic of systems with topological order, is that the ground state degeneracy depends on +the topology of the surface on which the 2DEG resides. The ground state on a torus degeneracy +was shown by Duncan Haldane and Edward Rezayi [245] by an explicit construction of a model +wave function for the Laughlin states on a torus. On a surface with g handles (i.e. genus g) the +degeneracy is mg. Xiao-Gang Wen and Qian Niu [246] showed that these results hold for any +FQH state which are, quite generally, topological quantum fluids. +Finally, we may ask how many distinct types of vortices does this theory have. The funda- +mental (Laughlin) vortex has charge e/m and statistics π/m. In principle we could have a vortex +with any integer topological charge (winding number) n ∈ Z. Such a vortex has charge ne/m and +statistics πn2/m. However, a vortex with topological charge n = m has charge e and statistics mπ. +This vortex is indistinguishable from a hole (a missing electron) since it has the same charge and +statistics. We conclude that a Laughlin state has m distinct vortices with n = 1, 2, . . ., m − 1. We +notice that this number is the as the number of degenerate states on a torus. In section 10.3.10 +we will see that this fact is closely related to the number of primary fields of a conformal field +theory associated with the FQH states. +10.3.8. Composite Fermion Field Theory +At the beginning of section 10.3.7 we noted that flux attachment can be used to define equiv- +alent theories: a) by attaching an odd number, m, fluxes to each electron thereby becoming a +composite boson, and b) by attaching an even number, m − 1, fluxes by which the electrons +turn into composite fermions, as in Jain’s construction [230]. In this section we discuss the most +salient features of the field theory approach to composite fermions, introduced by Ana L´opez and +85 + +me in 1991[247, 248] as a theory of all the Jain states. This approach was extended in 1993 by +Bertrand Halperin, Patrick Lee and Nicholas Read [232] to the case of the compressible states. +By following the same approach that we used in section 10.3.7, but adapted to the case in +which we map to a theory of a composite Fermi field ψ(x), we find their dynamics is described +by the effective action [247] +SCF = +� +d3x +� +ψ∗(x)[iD0 + µ]ψ(x) + +1 +2M |Dψ(x)|2 +� ++ +1 +4πn +� +d3xǫµνλA µ∂νA λ +− 1 +2 +� +d3x +� +d3x′ (|ψ(x)|2 − ρ0)V(x − x′)(|ψ(x′)|2 − ρ0) +(436) +where n = m − 1 is an even integer. Here V(x − x′) = δ(x0 − x′ +0)V(|x − x′|) is the instantaneous +electron-electron repulsive interaction, and ρ0 is the average areal neutralizing charge density. +As before, the covariant derivative is Dµ = ∂µ + ieAµ + Aµ, where Aµ is the electromagnetic field +(including the uniform magnetic field B), and Aµ is the statistical gauge field. We are using units +such that ℏ = c = 1. +We can simplify somewhat the form of the actions for the composite fermions by using the +fact that the Gauss law of Chern-Simons gauge theory states that the particle density and the +gauge flux are rigidly tied together, |ψ(x)|2 = +1 +2πnB ≡ ǫi j∂iA j (this is the flux attachment) as a +operator identity. Thus, we can write the action as +SCF = +� +d3x +� +ψ∗(x)[iD0 + µ]ψ(x) + +1 +2M |Dψ(x)|2 +� ++ +1 +4πn +� +d3x ǫµνλA µ∂νA λ +− 1 +2 +� +d3x +� +d3x′ +�B(x) +2πn − ρ0) +� +V(x − x′) +�B(x′) +2πn − ρ0 +� +(437) +Since this action is a quadratic form in the Fermi (Grassmann) fields ψ, we can integrate them +out to obtain the following effective action for the statistical gauge field Aµ +S eff[Aµ] = −itr +� +iD0 + µ + D2 +2M +� ++ +1 +4πn +� +d3x ǫµνλ (A µ − eAµ)∂ν (A λ − eAλ) + S int[Aµ − eAµ] +(438) +where Aµ is a probe external electromagnetic field (with vanishing average) and does not include +the uniform magnetic field. The interaction term is +S int[Aµ − eAµ] = −1 +2 +� +d3x +� +d3x′ +�(B(x) − eB(x)) +2πn +− ρ0) +� +V(x − x′) +�(B(x′) − eB(x′)) +2πn +− ρ0 +� +(439) +Here too B(x) is an external probe with vanishing average. +We will investigate the properties of the path integral for the statistical gauge field +Z[Aµ] = +� +DAµ exp(iS eff[Aµ, Aµ]) +(440) +using a saddle point expansion. The saddle-point condition of the effective action of Eq.(438) +δS eff +δAµ(x) = 0 +(441) +leads to the equation of motion for the field Aµ +⟨jF +µ (x)⟩ + +1 +4πnǫµνλ +� +F νλ(x) − eFνλ� += 0 +(442) +where ⟨jF +µ ⟩ is the expectation value of the fermionic current. In addition we need to impose the +condition for the particle density to be uniform and equal to the neutralizing background charge +⟨jF +0 (x)⟩ = ρ0. +We will assume that the electromagnetic field Aµ describes just a static uniform magnetic +field of strength B. Under these conditions, the ground state should also be static and uniform. +This means that the field strength of the statistical gauge field should be constant and uniform +value ⟨B⟩, and that the current ⟨jF⟩ should vanish in the ground state. On the other hand, the +Gauss Law of the Chern-Simons gauge field implies that ⟨B⟩ = −2πn ρ0, while the zero current +condition requires the the (statistical) electric field vanishes, ⟨E ⟩ = 0. Since the composite +86 + +fermion couples in the same way to the electromagnetic field Aµ and to the statistical field Aµ we +conclude that they experience an effective magnetic field +Beff = B + 1 +e⟨B⟩ = B − 2πn ρ0 +e +(443) +If the total number of electrons is N, then ρ0/e = N/L2 where L is the linear size of the system. +Let us denote by Neff +φ the total number of flux quanta of the effective magnetic field (in units of +ℏ = c = 1 in which the flux quantum is φ0 = 2π), and 2πNφ = BL2 is the total flux. Then, the +total effective flux is +2πNeff +φ = 2πNφ − 2πn N +(444) +Let ν = N/Nφ be the filling fraction and νeff = N/Neff +φ +the effective filling fraction. Eq.(444) +implies that these filling fractions are related by +1 +νeff = 1 +ν − n +(445) +Recall that n is an even integer. However, the system will be incompressible only if νeff = p ∈ Z. +In other words, the composite fermions fill an integer number p of the partially screened Landau +levels, which is Jain’s condition. For this condition to be satisfied the filling fraction ν(p, n) is +ν±(n, p) = +p +np ± 1 +(446) +which are the Jain fractions. In the special case p = 1 the Jain fractions are the Laughlin fractions, +with n = m − 1. Similarly we find that Beff is +Beff = ± +B +np ± 1 +(447) +So we see that the external field B is partially screened to the smaller value Beff which can be +parallel (screened) to B or anti-parallel (overscreened) to B. For the same reason, at this mean +field level the cyclotron frequency ωc is reduced by the same amount to ωeff +c = ωc/(np ± 1). +We will discuss now the effects of quantum fluctuations for the action of Eq.(438) about the +saddle-point solutions. We will work to the lowest order (quadratic) in the fluctuations, which +can be regarded as a semi-classical (or “RPA”) treatment of this theory. The quadratic effective +action for the fluctuations of statistical gauge field, which we will still denote by Aµ is +S (2) +eff[Aµ] =1 +2 +� +d3x +� +d3y A µ(x)ΠCF +µν (x, y) A ν(y) ++ +1 +4πn +� +d3x ǫµνλ(Aµ(x) − eAµ(x))∂ν(Aν(x) − eAν(x)) + S int(Aµ − eAµ) +(448) +Here, Πµν +F (x, y) is the polarization tensor of the composite fermions for p filled effective Landau +levels. The interaction term of the action is given in Eq.(439). +As required by gauge invariance, the composite fermion polarization tensor is transverse, +∂µΠCF +µν = 0, which fixes the tensorial structure. In momentum and frequency space the com- +posite fermion polarization tensor ΠCF +µν (q, ω) depends on three kernels ΠCF +0 (q, ω), ΠCF +1 (q, ω) and +ΠCF +2 (q, ω), where ΠCF +0 +and ΠCF +2 +contain the parity-even response of the composite fermions and +ΠCF +1 +is their parity-odd response. Each kernel is given as a series terms representing particle-hole +processes with simple poles at the excitations energies ωrs = (r − s)ωeff +c , with r > p (particles) +and s ≤ p (holes). Each term has a residue which is an integer power of q2 times a Laguerre +polynomial in q2. Details of these kernels can be found in Ref.[247] and in chapter 13 of Ref.[9]. +However, what will be important here is that, in the gapped states these kernels have a low energy +and low momentum limit which is local. This will enable us to find a local topological effective +action only for the gapped states. +After integrating out the statistical gauge field Aµ we find the effective action for the external +electromagnetic probe field Aµ, which has the standard form +S eff[Aµ] = 1 +2 +� +d3x +� +d3y Aµ(x) Πµν(x − y) Aν(y) +(449) +which encodes the full electromagnetic response of the system, not just of the composite fermions. +Once again, gauge invariance requires that the full polarization tensor be transverse, ∂µΠµν = 0. +87 + +In section 10.1.4 we showed that there is a relation between the polarization tensor Πµν and +the current-current correlation function Dµν. There we mentioned the these correlators are re- +quired (by gauge invariance) to satisfy a Ward identity known as the f-sum rule: +� ∞ +−∞ +dω +2π iω DR +00(ω, q) = ρ0 +M q2 +(450) +where the (retarded) density-density correlation function is related to the (retarded) polarization +tensor, DR +00(ω, q) = ΠR +00(ω, q). In the limit of low momentum q, at fixed frequency ω, The +expression for ΠR +00(ω, q) is +ΠR +00(ω, q) ≃ q2ΠR +0(ω, q) = −ρ0 +M +q2 +(ω + iǫ)2 − ω2c +(451) +where ωc = eB/(Mc) is the cyclotron frequency of the electrons. This expression saturates the +sum rule. This means that whichever corrections Eq.(451) may have must vanish in the low q +limit. In other words, in this limit the approximation that we made is actually exact. This is well +known result in the theory of the Fermi liquid [194]. +In addition, the result of Eq.(451) implies that there is a particle-hole (density) collective +mode which at low momentum has energy ℏωc, without corrections. This result is known as +Kohn’s theorem [249] which states that in a Galilean invariant system the 2DEG must have an +exact eigenstate at the cyclotron frequency. More intuitively, the center of mass of the 2DEG exe- +cutes a cyclotron motion regardless of whether the particles are free, interacting or not, fermions, +bosons, or anyons. This is a general result. Notice that the composite fermions do not satisfy +Kohn’s theorem as they cyclotron mode would be at the effective cyclotron frequency ωeff +c , and +that the leading quantum fluctuations have restored the magnetic symmetry. +In the limit of low energy ω → 0 and low momentum q → 0 of the kernels ΠCF +0 , ΠCF +1 +and +ΠCF +2 +become +ΠCF +0 (0, 0) = p +2π +M +Beff +≡ εCF, +ΠCF +1 (0, 0) = ± p +2π ≡ σCF +xy , +ΠCF +2 (0, 0) = − 1 +2π +p2 +M ≡ −χCF +(452) +where εCF is the “dielectric constant” of the composite fermions, χCF is their effective “per- +meability”, and σCF +xy is the (integer) composite fermion Hall conductivity. We then find that +low-energy effective action of the statistical gauge field Aµ is +S eff[Aµ] =1 +2 +� +σCF +xy + +1 +2πn +� � +d3x ǫµνλA µ(x) ∂ν A λ(x) +− e +2πn +� +d3x ǫµνλA µ(x) ∂ν Aλ(x) + e2 +4πn +� +d3x ǫµνλAµ(x) ∂ν Aλ(x) ++ +� +d3x1 +2 +� +εCF Ei +2(x) − χCF B2(x) +� +− +1 +8π2n2 +� +d3x +� +d3y (B(x) − eB(x)) V(x − y) (B(y) − eB(y)) +(453) +Notice that, except possibly for the last term, the effective action is a local. This is possible +because the mean field theory state is gapped. +In what follows we will focus only on the leading terms of the effective action and neglect the +subleading terms, the least two terms of the effective action which have the form of a Maxwell +term and an additional (possibly non-local) term. The remaining leading terms have a Chern- +Simons form and a BF form whose effective Lagrangian is +Leff[Aµ] = 1 +4π +� +±p + 1 +n +� +ǫµνλA µ(x) ∂ν A λ(x)− e +2πn ǫµνλA µ(x) ∂ν Aλ(x)+ e2 +4πn ǫµνλAµ(x) ∂ν Aλ(x) +(454) +If now now integrate ot the statistical gauge field Aµ we find the the electromagnetic field Aµ has +the effective Lagrangian +Leff[Aµ] = σxy +2 +ǫµνλAµ(x) ∂ν Aν(x) +(455) +from where we find that the Hall conductivity σxy of the 2DEG is +σxy = e2 +2πℏ +p +pn ± 1 +(456) +88 + +which is the Hall conductivity of the Jain states (in standard units). Here, as before, n is an even +integer. +We will now return to the effective Lagrangian of Eq.(454). As it stands, since the Chern- +Simons term has fractional level, it is not invariant under large gauge transformations and, as +such, cannot be defined on a closed manifold. To remedy this problem we can now write this +Lagrangian in terms of a theory with two dynamical gauge fields Aµ and Bµ as follows: +Leff[Aµ, Bµ] = p +4πǫµνλA µ(x) ∂ν A λ(x) − n +4πǫµνλBµ(x) ∂ν Bλ(x) ++ 1 +2πǫµνλA µ(x) ∂ν Bλ(x) − e +2πǫµνλBµ(x) ∂νAλ +(457) +This is a topological quantum field theory for all the Jain states [250]. This theory can be defined +on any manifold no matter its topology. It is easy to see that upon integrating out the field Bµ +we recover the effective field theory for Aµ of Eq.(454). Also, in the special case of the Laughlin +states, for which p = 1, we can integrate out the field Aµ, and arrive to the effective topological +field theory for the field Bµ of Eq.(435) that we derived in the composite boson theory in section +10.3.7. +Let us rewrite the Lagrangian of Eq.(457) in a more compact yet general form. To this end we +define a multicomponent gauge field A I +µ with I = 1, . . ., L, an L-component charge vector t, and +an L × L second rank symmetric matrix KIJ. Wen and Zee have given a general classification of +a large class of fractional quantum Hall states, said to be abelian, whose topological field theory +is defined by the Lagrangian [251, 252] +L = 1 +4πKIJǫµνλA I +µ (x) ∂ν A J +λ (x) − e +2πtIǫµνλAµ(x) ∂ν A λ +I (x) +(458) +In the case of the theory of Eq.(457) which has two components, L = 2, with A 1 +µ = Aµ and +A 2 +µ = Bµ. The two-component vector is t = (0, 1) and the matrix 2 × 2 matrix is +K = +�−p +1 +1 +n +� +(459) +Wen and Zee showed that, quite generally, a theory of the K-matrix form has a vacuum degener- +acy on a torus of |detK| and, on a surface of genus g, the degeneracy is |detK|g. They also showed +that the Hall conductivity is σxy = ν e2/h where the filling fraction is +ν = +L +� +I,J=1 +tI K−1 +IJ tJ +(460) +The properties of the quasiparticles can be determined by computing the appropriate correla- +tor. In the composite fermion theory, whose Lagrangian is given in Eq.(437), the gauge-invariant +composite fermion propagator is +GCF(x − y; γ(x, y)) = +� +ψ†(x) exp(i +� +γ(x,y) +dzµ(eAµ(z) + A µ))ψ(y) +� +(461) +which, as in any gauge theory, it is gauge-invariant but path-dependent. Here γ is an oriented +open path with endpoints that the space-time locations x and y. The composite fermion propa- +gator has information about many of the properties of the quasiparticles, including their electric +charge. To find what is the statistics of the quasiparticles we need to compute a two-particle cor- +relator (a four-point function) which is defined in terms of two open oriented paths, say γ1(x, y) +and γ2(u, w), with endpoints at the locations of the two particles, respectively. +The computation of these correlators is done using a feynam sum over trajectories with dif- +ferent weights which depend on the gauge field configurations. To do these calculations is, in +general, a complicated problem. However, in a gapped state, the quasiparticles are massive and +in the low energy regime these expressions are dominated by a classical trajectory on an oriented +path ˜γ(x, y) with the same endpoints x and y. The end result reduces to the computation of the +expectation value of a Wilson loop operator +W[Γ] = +� +exp(i +� +Γ +dzµ(eAµ(z) + A µ(z)) +� +A µ +(462) +89 + +on the closed oriented path Γ = γ � ˜γ− (where ˜γ−(y, x) has the opposite orientation as ˜γ(x, y) and +runs from y to x. The explicit dependence on the external electromagnetic field yields the value +of the charge of the quasiparticle through the Aharanov-Bohm effect. Likewise, the two-particle +correlator is reduced, in the asymptotic low energy regime, to the computation of an expectation +value of two Wilson loops in the effective Chern-Simons theory, as was done in section 9.7, +which yields the fractional statistics of the quasiparticles. The interested reader can find details +in chapter 13 of Ref.[9]. +A system described by a theory of the form of Eq.(458) has different types of quasiparticles. +In general we can assign an integer-valued quantum number ℓI ∈ Z as the charge of the quasi- +particle with respect to the gauge field A µ +I . The general coupling of a quasiparticle current has +the form Lqp = jµℓIA µ +I . Then, the charge Q[ℓ] and the statistics δ[ℓ] of a general quasiparticle +defined by the integer-valued L-component vector ℓ are +Q[ℓ] = −etIK−1 +IJ ℓJ, +δ[ℓ] +π += ℓIK−1 +IJ ℓJ + 1 +(463) +where the +1 is required to refer the statistics to fermions (not bosons) [250]. These results are +general and hold for any abelian FQH state [251]. +In the case of the Jain states, the charge vector is t = (0, 1) and the quasiparticle is labeled by +the vector ℓ = (1, 0) which yield the results for the charge Q and the statistics δ +Q = +−e +np + 1, +δ = π +� +−n +np + 1 + 1 +� +(464) +which are the quantum numbers of the quasiparticles of the Jain states. For the Laughlin state at +ν = 1/3 we obtains Q = −e/3 and δ = π/3 (as we should), which for the first Jain state at ν = 2/5 +the charge Q and the statistics δ are Q = −e/5 and δ = 3π/5. With some caveats, the predictions +for the quasiparticle charge in the FQH states with ν = 1/3 and ν = 2/5 have been confirmed in +noise measurements at a quantum point contact by R. de Picciotto and coworkers [253] and by +L. Samindayar and coworkers [254]. Fractional statistics has been measured experimentally in +both FQH states at ν = 1/3 and ν = 2/5 in (Fabry-Perot) interferometers by J. Nakamaura, S. +Liang, G. Gardner, and M. Manfra [233]. +10.3.9. The Compressible States +At large values p → ∞ the Jain sequences converge to the even-denominator fractions +ν∞(n) = 1/n. In this limit, Beff → 0 and ωeff +c +→ 0. In other words, at the filling fractions +ν∞(n) the average effective field experienced by the composite fermions is zero. This mean +field theory then would predict that this state is essentially a Fermi liquid of composite fermions +which is a compressible state. In addition, one can compute the effective charge of the composite +fermion and find that it is e/(np ±1), which also vanishes in the compressible limit. It is straight- +forward to see that the Fermi sea of the composite fermions is a disk with Fermi momentum +pF = (2ν∞(n))1/2ℏ/ℓ0 and that the Fermi energy is EF = ν∞(n)ℏ/(Mℓ2 +0). Halperin, Lee, and Read +[232] did an in-depth analysis of the consequences of this compressible state which are largely +in agreement with experiment. +In our discussion of the incompressible FQ states, both in the composite boson and in the +composite fermion approaches in sections 10.3.7 and 10.3.8 we saw that the mean field approxi- +mation violated symmetries that were restored by quantum fluctuations. This fact allowed us the +derive effective filed theories which are asymptotically exact in the low energy IR regime. What +allowed us to obtain these exact results is the existence of a gap. However, the compressible +states are gapless and in some sense should be regarded theories of a quantum critical system. +In fact, if we reexamine the field theory of composite fermions of section 10.3.8 we see +that, in the compressible limit p → ∞, the action of Eq.(437) describes a system of fermions at +finite density coupled to the fluctuations Aµ of the statistical gauge field with a Chern-Simons +term, but without an external uniform field (which has been canceled by the flux of the average +statistical gauge field). This theory has two salient features. one is that the only trace left of +the explicitly broken time-reversal symmetry is in the presence of the Chern-Simons term. This +means that while the mean field theory looks like a Fermi liquid, the consequences of the broken +time reversal invariance only enters in the quantum fluctuations. In addition, in this regime this +theory also breaks the particle-hole symmetry of a half-filled Landau level (in the high magnetic +field regime). +However, these contributions, already at one-loop order, typically contain IR divergencies. +These IR divergencies are due to singular forward scattering processes of the composite fermions +90 + +by the gauge fields. They are most severe in the computation of the fermion self energy and de- +pend on the form of the electron-electron interactions. For instance if the interaction potential +V(R) is short range, the one-loop contribution to the fermion self-energy has an imaginary part +withe the behavior Σ′′(ω) ∼ ω2/3 which is much larger than the real part Σ′(ω) as ω → 0 and the +the Fermi energy EF is approached [232]. This behavior, which is found in many metallic sys- +tems at quantum criticality [255, 256, 69] implies that the width of the quasiparticle is asymptot- +ically much larger than the energy as the Femi surface is approached. This one-loop result means +that perturbation theory fails in the IR and that actual behavior may be non-perturbative. This +problem is present even in the case of unscreened e2 +R (Coulomb) interactions where the singular +behavior is milder with Σ′′(ω) ∼ ω ln ω (known as Marginal Fermi Liquid scaling [257]). +At any rate, these IR singular behaviors imply that the quasiparticle picture is inadequate and +the that in these regimes there may be no quasiparticles. These systems are generally known as +“Strange Metals”. Many strongly interacting physical systems of interest, ranging form high Tc +superconductors to (largely conjectured) spin liquids with spinon Fermi surfaces to even quark- +gluon plasmas share these types of singular IR behaviors [257, 258]. In spite of a large body +of theoretical work, it has remained largely unsolved problem. Perturbative renormalization +group methods used to justify the Landau theory of the Fermi liquid [259, 260] generally fail +in these regimes, although in some cases long range interactions have allowed some degree of +control [261, 262]. Remarkably, the AdS/CFT Gauge/Gravity Duality [263] has brought new +insights into strange metal behaviors [264]. We will see below that relativistic dualities have +given additions insights into the physics of compressible states. +10.3.10. Fractional Quantum Hall Wave Functions and Conformal Field Theory +The Laughlin wave function and its generalizations share the remarkable feature of being +essentially universal. Aside form the dependence on the magnetic length ℓ0 in the gaussian +factors which ensure that the function is integrable at long distances (a feature inherited from +the single-particle states in the Landau level), the FQH “ideal” wave functions do not have any +length scales. In addition, in almost all cases, the ideal wave functions are the exact ground state +wave functions of some suitable ultra-local Hamiltonian projected onto the lowest Landau level. +Another feature, closely related to their universality and analyticity, is that these wave functions +look similar to correlation functions in two-dimensional critical (chiral) critical systems. We will +now see that these features are not accidental and point to a deep relation between quantum Hall +states and Conformal Field Theory (CFT). +Although the relation between the simpler case of the Laughlin state was known to several +people, such as Sergio Fubini [265], this deep connection with rational CFT was articulated in +considerable generality in a somewhat earlier paper by Gregory Moore and Nicholas Read [266]. +This approach showed its full power in the formulation of the non-abelian quantum Hall states. +Let us begin with the simpler case of the Laughlin states with ν = 1/m, where m is odd for +fermions and even for bosons. We will consider a U(1) Euclidean CFT of a compact boson (a +scalar field) φ(x) closely related to our discussion of bosonization in 1+1 dimensions in section +7.4. This theory has been extensively studied in the CFT literature [103, 102, 104] The Euclidean +action for this theory is +S = 1 +8π +� +d2x +� +∂µφ +�2 +(465) +This theory is compactified by the condition that the only allowed observables are invariant under +the discrete symmetry +φ(x) �→ φ(x) + 2πRn +(466) +where R is the compactification radius and n is an arbitrary integer. The observables that satisfy +this condition are vertex operators of the form +Vp(x) = exp +� +i p +Rφ(x) +� +(467) +where p is an integer. +The correlators of this theory are products of holomorphic (right-moving in Minkowski +spacetime) and antiholomorphic (left-moving in Minkowski spacetime) factors. In the context +of the FQH states we will be interested in a it chiral theory, whose correlators are holomorphic +(analytic) functions in complex coordinates z = x1+ix2. Formally, the field φ(z, ¯z) is decomposed +into a sum of a holomorphic field φ(z) and and antiholomorphic field φ(¯z), so that the propagators +is +⟨φ(z, ¯z) φ(�, ¯�)⟩ = − ln(z − �) − ln(¯z − ¯�) +(468) +91 + +In what follows we will focus on the chiral(holomorphic) field φ(z) whose propagator is +⟨φ(z)φ(�) = − ln(z − �) +(469) +The correlator of the chiral current operator +j(z) = i +R∂zφ(z) +(470) +is given by +⟨i∂zφ(z) i∂�φ(�)⟩ ∼ +1 +(z − �)2 +(471) +which tells us that this operator has (chiral) scaling dimension ∆ = 1. Similarly the correlator of +two chiral vertex operators +Vp(z) = exp +� +i p +Rφ(z) +� +(472) +is +⟨Vp(z) V−p(�)⟩ = +1 +(z − �)p2/R2 +(473) +whose (chiral) scaling dimension is ∆p = p2/(2R2). These expressions are very similar to the op- +erators that we used in section 5.1.1 to describe vortices in 2D superfluids (and planar magnets). +The main difference is that here the fields and their correlators are holomorphic where is section +5.1.1 the correlators are the product of a holomorphic and antiholormophic factors. +For general p and R the correlator of Eq.(473) has a branch cut from z to �. This means that +the monodromies of the operators, i.e. dragging an operator around the other, induces a change +in the phase of the correlator equal to 2πp2/R2. This behavior is reminiscent of the analytic +structure the the quasiparticle wave function in the FQH states and of the braiding operation +between anyons. +Moore and Read [266] showed that the following correlator in a U(1) compactified boson +CFT (with compactification radius R = √m) is equal to the Laughlin wave function at filling +fraction ν = 1/m, +Ψm(z1, . . . .zN) = +�  +N +� +i=1 +exp +� +i √mφ(zi) +� exp +� +−i +� +d2z′ √m ρ0 φ(z′) +� � +(474) += +� +i< j +(zi − zj)m exp +−1 +4 +N +� +i=1 +|zi|2 + +(475) +where we have used units in which the magnetic length is ℓ0 = 1. +In section 5.1.1 we saw that correlators of vertex operators are non-vanishing only if their +total charge (vorticity) is zero. The reason for this condition is that the (Euclidean) action is +invariant under arbitrary uniform shifts of the field φ. Now, in the correlator on the right hand side +of Eq.(475) we have a product of N vertex operators, each with the same charge √m. Then, under +an arbitrary shift by α of the field φ(z), the product of vertex operators change by a phase equal +to N √mα. On the other hand the other operator in the correlator, which describes a continuum +background charge, changes by a phase − √mρ0L2α, where L2 is the area. Since ρ0 is the areal +particle density, N/L2, the two changes of the phase cancel each other exactly. Thus, the operator +in the expectation value of Eq.(475) is charge neutral and has a non-vanishing expectation value. +The other important feature of the correlator of Eq.(475) is the choice of compactification +radius, R = √m, and of the vertex operator Vp(z) with p = m: +Vm(z) = exp(i √mφ(z)) +(476) +whose correlation function is +⟨Vm(z) V−m(�)⟩ = +1 +(z − �)m +(477) +Which is invariant under a 2π rotation (since m ∈ Z). However under a rotation by π (i.e. an +exchange) it changes by (−1)m. Hence, for m odd it changes sign, and the vertex operator Vm +behaves as a fermion, while for m even the vertex operator behaves as a boson. We will call the +vertex operator Vm ≡ Ve the electron operator. +92 + +In other words, the correlator of Eq.(475) is the expectation value of N vertex operators each +describing an electron (for m odd) and a neutralizing background charge. Then, an elementary +calculation yields the expression of the Laughlin wave function. +In this formulation the ground state wave function for the integer QH state at ν = 1, which +has the for of a Vandermonde determinant shown in Eq.(377), is interpreted as the correlator of +N electron operators in the U(1) CFT with compactification radius R = 1. In this simple case, +the electron operator is the vertex operator V1(z) = exp(iφ(z)), and there are no other operators +(aside from the current j(z) = i∂zφ). The propagator of this vertex operator is +⟨V1(z)V−1(�)⟩ = +1 +z − � +(478) +which indeed represents a fermion with electric charge e. +We will now see that the vertex operator of Eq.(472) with p = 1 (and R = √m) +V1(z) = exp +� i√mφ(z) +� +(479) +represents the Laughlin quasihole. The correlator of this vertex operator is +⟨V1(z) V−1(�)⟩ = +1 +(z − �)1/m +(480) +which has a branch cut stretching from z to � and, as a result, under a rotation by ±π its phase +changes by ±π/m, just as the Laughlin anyons do. To see that this operator indeed is related to +the Laughlin quasihole we will compute the effect of inserting the vertex operator V1(z) in the +correlator of Eq.(475) and find +� +exp +� i√mφ(�) +� +N +� +i=1 +exp +� +i √mφ(zi) +� exp +� +−i +� +d2z′ √m ρ0 φ(z′) +� � += += +N +� +i=1 +(zi − �) +� +i< j +(zi − zj)m exp +−1 +4 +N +� +i=1 +|zi|2 − 1 +4m|�|2 + += Ψm(�; z1, . . ., zN) +(481) +which is, indeed, the wave function for the Laughlin quasihole of Eq.(392). The insertion of +an additional vertex operator V1(u) at u inside the expectation value of Eq.(481) yields the two- +quasihole wave function of Eq.(397), proposed by Halperin [234] and discussed in section 10.3.5, +with the same branch cut shown in Eq.(398) and, therefore carry fractional statistics π/m. +The operator product expansion discussed in section 3.3.2 of the vertex operators of this CFT +yields new insight on the quasiholes. Indeed the OPE of two vertex operators of charges p and q +is +lim +�→u Vp(�)Vq(u) = lim +�→u +1 +(� − u)∆p+∆q−∆[p+q]m V[p+q]m(u) +(482) +where [p]m is the integer p modulo a multiple of m, i.e. if p = mr + s (with r a non-negative +integer and 0 ≤ s < m, then [p]m = s. Eq.(482) is understood in the sense that the contribution +of all additional operators to the right hand side vanish as � → u. In other words, the vertex +operators are primary fields of this CFT and there are only m primary fields. The physical process +described by the OPE is called fusion. +A CFT with a finite number of primaries is called a rational CFT [103, 102]. This result is, +of course, the same statement that we made is section 10.3.7 that the FQH state has m distinct +anyons (vortices). This result also means that a vertex operator of charge m, i.e. an electron, is +indistinguishable from the identity operator, V0. In this sense, the allowed primaries are fields +which are local respect to the electron operator Vm. From the point of view of the FQH state, an +operator that creates or destroys an electron (at fixed filling fraction) has no effect, as the FQH +state is a fluid made of electrons This also means that all physical operators must braid trivially +with the electron operator. In a CFT an operator of this type is said to generate and extended +symmetry algebra [267, 268]. +Furthermore, the OPE of the chiral current j(z) with the vertex operator V1(z) is +lim +�→u j(�)V1(u) = 1/m +z − wV1(u) +(483) +93 + +which implies that the vertex operator represents a state with charge 1/m (in units of the electric +charge e). +The CFT approach to construct FQH states has become a very powerful tool. We will see in +section 10.3.11 that FQH states on an open geometry (e.g. a disk) have edge states which can +be understood a chiral CFTs. In addition to providing a deeper understanding of more general +abelian (muliti-component) FQH states with a K-matrix structure, new classes of of FQH states +with non-abelian (multi-dimensional) representations of the Braid Group has been proposed. +The anyons of these states are of particular interest since they have been proposed originally +by Kitaev in 1997 [169] that anyons can be used as physical qubits for topologically-protected +quantum computation [169, 269, 270, 271, 170]. +So far we discussed the case of abelian anyons. Abelian anyons have the property that the +fusion of two anyons is another anyon. Similarly, a braiding operation between two anyons is +equivalent (up to a phase factor) to another anyon. Mathematically this means that abelian anyons +are one-dimensional representations of the Braid group. The fractional statistics of an anyon is +then a label of the representation of the Braid group. As we saw, the same holds under fusion. +However, the Braid group generally admits multi-dimensional representations. In this more +general case the fusion (or braiding) of two anyons is represented by a linear combination (su- +perposition) of anyon states. Linear combinations of anyon states are represented by unitary +matrices of rank greater than 1. Since matrices generally do not commute braiding and/or fusion +processes correspond to a multiplication of these matrices. Such unitary processes are then re- +garded as quantum gates. This concept is the physical basis of topological quantum computation. +It is currently the cutting edge of research in the field. +We will now discuss the simplest non-abelian FQH states, the Moore-Read (MR) states [266]. +The Moore-Read wavefunctions are +ΨMR(z1, . . . , zN) = Pf +� +1 +zi − zj +� � +i< j +(zi − zj)n exp(− 1 +4ℓ2 +0 +N +� +i=1 +|zi|2) +(484) +which describes a FQH of electrons at filling fraction ν = 1/n, with n an even integer. Here +Pf +� +1/(zi − zj +� +is the Pfaffian of the matrix 1/(zi − zj). +This state was motivated by the discovery of an unexpected FQH state in the N = 1 Landau +level with an even denominator filling fraction ν = 5/2 by Willett and coworkers in 1987 [272, +273, 274]. Until then (and since then) this is the only FQH state with an even denominator +filling fraction. The Pfaffian factor has a simple pole when two coordinates approach each other. +However, provided n ≥ 1 the “Laughlin factor” in the MR wavefunction cancels the singularity. +We will shortly discuss the CFT construction of the Moore-Read state. The poles in the MR +wavefunction suggest that in this state the electrons can get closer to each other than in a Laughlin +state. This observation suggests that there may be some form of attraction (or suppression of +repulsion) between the electrons in the MR state and motivated the notion that the observed +even-denominator plateau may be physically related to some sort of pairing interaction. Shortly +after the Moore-Read proposal was made, a paired wave function at ν = 1/2 with a Pfaffian factor +was also proposed by Greiter, Wen and Wilczek [275, 276, 277] who suggested that it reflects +electrons pairing in the ℓ = 1 angular momentum channel in time-reversal breaking condensate +with symmetry px + ipy. +Although, following the logic behind the Kohn-Luttinger mechanism for paring in angular +momentum state ℓgeq1 with repulsive interactions [278, 279, 280] it may possible to get a paired +state even in the lowest Landau level (although there is no evidence for it, so far), the N = 1 +Landau level may be more hospitable to such a state. Indeed, in the N = 1 Landau level the +single-particle states i have angular momentum greater or equal than 1, and their probability +distributions are suppressed both at short and long distances; these states look like smoke-rings. +The matrix elements of the Coulomb potential in the N = 1 Landau level are parametrically +suppressed at short distances (compared with the states in the lowest, N = 0, Landau level). In +this scenario, the ν = 5/2 plateau is interpreted as a ν = 1/2 fully polarize state of the N = 1 +landau level, with an N = 0 Landau level filled with electrons with both spin polarizations in +a state with ν = 2. There is numerical evidence that an instability into a p-wave paired state +such as the MR state is favored if the short-distance repulsion between the composite fermions is +softened [281]. +In fact, in 1983 Halperin [282] considered generalizations of the Laughlin state in which +due to very strong attractive interactions electrons would form clusters which then condense into +a Laughlin-type state. The simplest example was Laughlin state of bosons (paired electrons) +94 + +a paired state at ν = 1/2 whose Laughlin quasihole carries charge e/4. Extensive numerical +calculations are more compatible with the MR state than with the Halperin state of pairs [283]. +We will see shortly that the Halperin state is an abelian relative of the MR state. +Moore and Read derived the wave function of Eq.(484) by considering a CFT with two +sectors: a chiral boson CFT with compactification radius R = √n, and a chiral Majorana fermion +CFT, i.e. the chiral part of the 2D Ising CFT, discussed in section 4.2. The chiral Ising CFT has +central charge c = 1/2 and several primary fields: the identity I, the twist field σ, and the +(chiral) Majorana fermion χ with (chiral) scaling dimensions 0, 1/16, and 1/2, respectively. The +propagator of the Majorana fermion, which is a free field, is +⟨χ(z) χ(�)⟩ = +1 +z − � +(485) +The primary field σ, the “twist field”, is non-local with respect to the Majorana fermion χ, and +changes its boundary conditions from periodic to antiperiodic. +The fusion rules of the chiral Ising CFT are +χ ⋆ χ = I, +σ ⋆ σ = I + χ, +σ ⋆ χ = χ +(486) +What will be important below is that the σ field has two fusion channels. As in the analysis of +the Laughlin states, the compactified boson n primaries (anyons), the vertex operators Vp(x) = +exp(ipφ(x)/n), with n = 0, 1, . . .n and there are n types of anyons, and a (charge) current J = +i√n∂zφ(z). +The first task is to identify the electron operator which has to be a fermion and has to +carry electric charge. This means that it is a composite of an operators (with Fermi statis- +tics) the (neutral) chiral ising CFT and a vertex operator whose charge is an integer multi- +ple of e. +The desired electron operator is ψe(z) = χ(z) exp(i √nφ(z)) whose correlator is +⟨χ(z)Vn(z)χ(�)V−n(z)⟩ = 1/(z − �)1+n, which is a fermion with charge e. +The n-point function of the chiral Majorana fermions is +⟨χ(z1) . . .χ(zN)⟩ = Pf +� +1 +zi − zj +� +(487) +which follows fro applying Wick’s theorem. Then we see that the MR wave function is the +expectation value +ΨMR(z1, . . ., zN) = ⟨χ(z1) . . .χ(zN)⟩ × +�  +N +� +i=1 +exp +� +i √nφ(zi) +� exp +� +−i +� +d2z′ √n ρ0 φ(z′) +� � +(488) +Next we need to identify the primary fields of the tensor product of the chiral Ising CFT, Z2, +and the chiral U(1) CFT with compactification radius R = √n. The allowed primary field must +belocal with respect to the electron operator, ψe. This leaves us with four primary fields: a) the +identity I, b) the non-abelian vortex σ(z) × exp +� +i +2 √nφ(z) +� +with charge e/(2n) and non-abelian +statistics, c) the charge-neutral Majorana fermion χ, and d) the abelian vortex (the Laughlin +quasihole) exp +� +i√nφ(z) +� +, with charge e/n and abelian statics δ = π/n. +The he new feature here is the non-abelian fractional statistics of the non-abelian vortex +(sometimes called a “half-vortex”. Its non-abelian character is a consequence of the fact that the +fusions of two twist fields has two channels, see Eq.(486). This implies that the wave function of +four non-abelian vortices can be expressed as a linear combination of two so-called conformal +blocks. In other words, this wave function belongs to a degenerate two-dimensional Hilbert +space, each component labeled by a conformal block [102]. A braiding operation between two +non-abelian vortices is a monodromy of the wave function that induces a unitary transformation +U in this Hilbert space +U = +1√ +2 +exp +� +iπ +�1 +8 + 1 +4n +�� +× +� 1, +1 +−1 +1 +� +(489) +Therefore, the degenerate Hilbert space of four quasiholes provides a two-dimensional represen- +tation of the Braid Group. This observation is the basis for regarding a state of four non-abelian +quasiholes as a qubit. Furthermore, Nayak and Wilczek showed that a state of 2p quasiholes +spans a 2p−1-dimensional degenerate Hilbert space [284]. This means that, for large p, the de- +generacy per quasihole is +√ +2. In other words, this degeneracy is not due to a local degree of +freedom attached to each quasihole but that it is shared in a non-local fashion! +95 + +In what sense are the Moore-Read states paired? In an insightful paper Read and Green [285] +used a BCS theory approach to investigate the pairing properties of a condensate of composite +fermions in the px + ipy channel. The mean-field BCS Hamiltonian is +HF = +� +d2k +� +(ε(k) − µ) ψ†(k)ψ(k) + 1 +2 +� +∆∗(k)ψ(−k)ψ(k) + ∆(k)ψ†(k)ψ†(−k) +�� +(490) +where ψ(k) is the composite fermions field, ε(k) = +k2 +2M, and ∆(k) is the gap function. For a +px + ipy condensate the gap function the gap function transforms under rotations as an ℓ = −1 +angular momentum eigenstate, and for k → 0 it behaves as ∆(k) = (kx − iky)∆, where ∆ is a +constant pairing amplitude. +The BCS ground state has the form +|G⟩ = +� +k +� +u(k) + �(k)ψ†(k)ψ†(−k) +� +|0⟩ +(491) +where |u(k)|2 = |�(k)|2 = 1. The amplitudes u(k) and �(k)| satisfy the Bogoliubov-de Gennes +Equation (BdG) +� ξ(k) +−∆∗(k) +−∆(k) +−ξ∗(k) +� �u(k) +�(k) +� +≡ E(k) ˆn(k) · σ +�u(k) +�(k) +� += E(k) +�u(k) +�(k) +� +(492) +where ξ(k) = ε(k)−µ, σ = (σx, σy, σz) are the Pauli matrices, and ˆn(k) = (−Re∆(k), Im∆(k), ξ(k)) +is a unit vector defined for every k. The eigenvalues E(k) and the eigenvectors (u(k), �(k) are +E(k) = +� +ξ2(k) + |∆(k)|2, +�(k) +u(k) = −E(k) − ξ(k) +∆∗(k) +(493) +The spinor amplitudes are |u(k)|2 = 1 +2 +� +1 + ξ(k) +E(k) +� +and �(k) = 1 +2 +� +1 − ξ(k) +E(k) +� +. +In the low momentum limit and in real space the BdG Equations become +i∂tu = − µu + ∆∗i(∂x + i∂y)� +i∂t� =µ� + ∆i(∂x − i∂y)u +(494) +which is just the Dirac Equation in 2+1 dimensions, with µ playing the ole of the mass, and with +the restriction that the spinor (u, �) obeys the Majorana condition +(u, �) +�0 +1 +1 +0 +� += +�u +� +� +(495) +The Majorana condition is obeyed in all superconductors and reflects that fact that in these con- +densates only the fermion parity (−1)NF (with NF being the number of fermions) is conserved, +while the fermion number NF is not. +This is a good BCS state in that it is fully gapped and it is chiral. Assuming that the pair +fields in the px and py channels are equal, they showed that the BCS ground state |G⟩ has the +form +|G⟩ ∼ exp + +1 +2 +� +k +g(k)ψ†(k)ψ†(−k) + |0⟩ +(496) +Projected onto a state with N fermions with real space coordinates xi the wave function is a +Pfaffian +Ψ(x1, . . ., xN) = ⟨x1, . . ., xN|G⟩ = Pf(g(xi − x j)) +(497) +The long distance behavior of this wave function depends on whether the chemical potential +µ > 0 (this is the weak-pairing or BCS regime), or µ < 0 (which is the strong pairing BEC- +like regime). While in the case of an s-wave superconductor these two regimes are smoothly +connected by a crossover, in the px + ipy case they are separated by a quantum phase transition +at µ = 0. In the weak pairing regime the function g(k) has the asymptotic long distance form, as +k → 0, +g(k) ≃ − +2µ +(kx + iky)∆∗ +(498) +where the pair field behaves as ∆(k) ≃ (kx − iky)∆. In real space (in complex coordinates) the +function g(z) becomes +g(z) = +� iµ +π∆∗ +� 1 +z +(499) +96 + +which is the form used in the Pfaffian wave function. On the other hand, in the strong pairing +regime, µ < 0, g(k) has the asymptotic behavior +g(k) ≃ −A(kx − iky) +a−2 +0 + k2 +(500) +where A and a0 are functions of ∆ and µ, +A = +2|µ|M∆ +2|µ| + m|∆|2 , +a0 = +1 +2|µ| +� +2|µ| +M + |∆|2 +(501) +In real space, at distances |x| ≫ a0 the Fourier transform of g(k) decays exponentially, and as +a0 → ∞, µ → 0 and the Fourier transform g(z) has the power-law behavior +g(z) ≃ +� i|∆| +2π∆∗ +� +1 +z|z| +(502) +This means that µ = 0 is a quantum critical point that separates the weak pairing phase from the +strong pairing phase, which have distinct properties. +Read and Green then used a topological argument, originally formulated by Grisha Volovik +[286] in the context of superfluid 3He films. To see this we notice that the three component +unit vector ˆn(k) takes values on the surface of a sphere S 2. In addition, since �(k) → 0 for +k → ∞(and, hence u(k) → 1), we can wrap the momentum space k onto a sphere S 2. Thus +ˆn(k) are smooth functions of S 2 �→ S 2. such maps are classified into the homotopy classes of +π2(S 2) ≃ Z given in terms of the integer-valued topological invariant +Q = 1 +4π +� +d2k ˆn(k) · ∂kx ˆn(k) × ∂ky ˆn(k) +(503) +In the strong pairing phase µ < 0 and ξ(k) > 0 and ˆn(k) takes values only on the northern +hemisphere of the target space S 2. Such maps can be deformed continuously to the North Pole +and, hence, are topologically trivial, Q = 0. On the other hand, in the weak pairing phase, µ > 0, +ξ(k) takes both positive and negative values. In this phase ˆn(k) is topologically non-trivial and +the topological invariant Q takes non-trivial values ±1. +The upshot of this analysis is that, in the weak pairing phase, the paired FQH state is, at this +mean field level, a two-dimensional topological superconductor. Read and Green [285] further +showed that this pairing state has vortices with an interesting fermionic spectrum. A vortex is a +state win which at long distances the (complex) amplitude of the px + ipy condensate behaves as +∆ exp(iϕ), where ϕ is the azimuthal angle, which winds by 2π on a circumference of large radius +R. The BdG equation, Eq.(494), has zero mode solutions. In polar coordinates (r, ϕ) the BdG +Equation the zero modes satisfy +∆ieiϕ � +∂r + i +r∂ϕ +� +� =µu +∆ie−iϕ � +∂r − i +r∂ϕ +� +u = − µ� +(504) +The normalizable zero mode spinor solution is +�u(r, ϕ) +�(r, ϕ) +� += f(r) +√r + +1√ +ieiϕ/2 +1 +√ +−ie−iϕ/2 + +(505) +where f(r) is given by +f(r) ∼ exp +� +− +� r +0 +dr′ µ(r′) +|∆| +� +∼ exp(−µr/|∆|) +(506) +Under a 2π rotation this spinor solution is double-valued +(u(r, ϕ + 2π), �(r, ϕ + 2π)) = −(u(r, ϕ), �(r, ϕ)) +(507) +which follows form the global phase invariance. I fact, in all paired states, topological or not, un- +der a global transformation of the pair field by a phase θ, the (composite) fermion must transform +with a phase of θ/2, +∆(x) �→ eiθ∆(x), +ψ(x) �→ eiθ/2ψ(x), +ψ†(x) �→ e−iθ/2ψ†(x) +(508) +97 + +In other words, in a paired state the fermion is non-local to the vortex. Hence, under a 2π phase +transformation of the pair field, the fermions must change sign, and the spinor zero mode solution +must be double-valued. This means that this state has a brach cut. +The structure of the vortex and of the fermion zero mode is closely related to the problem of +solitons with fractional charge that we discussed in section 8.3. In fact, Roman Jackiw and Paolo +Rossi [287] investigated a closely related problem of a theory of Dirac field in 2+1 dimensions +coupled to a charged scalar field through a Yukawa coupling with the form of a Majorana mass. +They showed that such a theory admits vortex solutions with fermion zero modes. In a subsequent +paper Erik Weinberg [288] showed that these zero modes are counted by an index theorem which +relates the number of zero modes to the vorticity. More recently, Nishida, Santos and Chamon +[289] that the relativistic theory of Jackiw and Rossi in the non-relativistic approximation reduces +to the theory of a px + ipy superconductor. +There is, however, a subtle but profound difference between the fermion zero modes of the +one-dimensional fractionally charged solitons and the fermion zero modes of a superconductor. +In the case of teh 1D solitons, the zero modes can be either occupied or empty rendering a +soliton charge of −e/2 or +e/2. However, in the case of the superconductor, the BdG fermions +are charge-neutral since their charge has gone into the condensate. Thus, in a superconductor +fermion number is not conserved, and only the fermion parity is conserved. This means that +the field operator associated with the vortex zero mode, which we will denote by γ, must be a +self-adjoint operator, γ† = γ. +Ivanov [290] showed that this behavior is the origin of the non-abelian fractional statistics in +this system. Indeed, if one considers a configuration with 2n vortices, each will carry a Majorana +zero mode γi. Since these are fermion operators they satisfy the usual anticommutator algebra, +{γi, γ j} = 2δi j. We can (arbitrarily) group the 2n Majorana fermion operators into n pairs. For +each pair we can define a complex Dirac operator ψ j = (γ2 j + iγ2 j+1)/2 (and its adjoint), which +satisfies the usual fermionic algebra, {ψ j, ψ† +k} = δ jk. Each Dirac fermion can be either in an +empty state or in an occupied state. Thus a system of 2n vortices supports a degenerate Hilbert +space of dimension 2n−1, which agrees with the results of Nayak and Wilczek [284]. However, +the assignment of Majorana operators to specific pairs is actually arbitrary, which amounts to +a particular definition of the branch cuts. Changing the assignment of the operators into pairs +is then equivalent to a rearrangement of the cuts. In 2006 Michael Stone and Suk Bum Chung +[291] showed that the these vortices obey the braiding and fusion properties of Ising anyons. +These properties follow from the branch cut configurations which affect the monodromies of the +vortices. It is important to stress that the vortices with zero modes are the non-abelions. Majorana +fermions are fermions and, as such, are abelian. +In addition to the Moore-read Pfaffian state, the CFT approach has led to the formulation of +new non-trivial FQH states. Read and Rezayi [292] proposed a series of so-called cluster states, +which generalize the concept of paired states. They investigated a particular type of cluster states +in which the Pfaffian factor of the MR state is replaced by a correlator of parafermion primary +fields of a Zk CFT of Zamolodchikov and Fateev [293]. Parafermions were originally introduced +by Fradkin and Kadanoff [152] (see also Ref.[294]) as a generalization of the fermions of the 2D +Ising model to the Zk clock model. In this model one can define several types of parafermions +each consisting of the fusion of a charge operator and a magnetic (disorder) operator. These +operators obey an algebra of the type AB = exp(ip2π/k)BA, where the integer p depends on the +electric and magnetic charges of the parafermions, which is reminiscent of fractional statistics. In +close analogy with the Majorana fermions of the 2D Ising model, Zk CFT describes the behavior +of these systems their self-dual points. +The Zk CFT is actually much richer and has more primary fields than the Z2 case of the +Ising model. As a CFT, the Zk theory is the same as the CFT on the coset SU(2)−k/U(1). A +coset means that a U(1) sector has been projected out of the spectrum. Here we will focus on a +special case of the Z3 CFT. This CFT has a parafermion primary field, which we will call ψ, and +a non-abelian primary that we will call τ. Read and Rezayi [292] proposed to replace the Pfaffian +factor of the MR state with a correlator of N parafermions of a Z3 CFT and a Laughlin factor +with an exponent of n + 2/3. Such states require that the number of electrons N be a multiple of +3. Thus, these states can be viewed as sates in which the electrons cluster in groups of 3. They +also considered the more general case of the Zk CFT in which case N is a multiple of k. The +resulting filling fractions are ν = k/(mk + 2) (with m ≥ 0). The Read-Rezayi k = 3 parafermion +state is a leading candidate for the observed FQH plateau at ν = 12/5 = 2 + 2/5 [295, 296] (the +compering state being the 2/5 Jain state). There is strong numerical support for the 12/5 state +98 + +being a Z3 parafermion [297]. +The quasiholes obtained by inserting the primary fields τ in the correlator of parafermions +have interesting properties which stem from their basic fusion rule +τ ⋆ τ = I + τ +(509) +Read and Rezayi [292] showed that the number of conformal blocks for 3n quasiholes, i.e. the +number of degenerate states, in the parafermion theory is the Fibonacci number F3n−2, where +F1 = 1, F2 = 2, F3 = 3, F4 = 5. In general Fm = Fm−1 + Fm−2. For m → ∞, the rate of +increase approaches the limit limm→∞ Fm/Fm−1 = (1 + +√ +5)/2 which is known as the Golden +Mean. In other words, for large m, the dimension of the Hilbert space increases exponentially +as ((1 + +√ +5)/2)m. Aside from these interesting mathematical curiosities, the significance of this +fusion rule is that these states, regarded as“qubits”, define unitary transformations that cover +uniformly the Bloch sphere which is required for universal quantum computation [270]. +At the level of topological quantum field theory the Moore-Read and Read-Rezayi states are +related to the non-abelian Chern-Simons gauge theory with gauge group SU(2) at Chern-Simons +level k. In the more general case of the gauge group SU(N) on a manifold M action is given by +S CS[Aµ] = k +4π +� +M +d3x ǫµνλ +� +Aµ +a∂νAλ +a + 2 +3 fabcAµ +aAν +bAλ +c +� +(510) +where k ∈ Z is the level, the gauge fields Aµ = Aµ +ata take values in the algebra of SU(N), with {ta} +being the N2 − 1 generators, and fabc the structure constants of SU(N). The expectation values +of Wilson loop operators of this theory compute the Jones polynomials which are topological +invariants of knot theory [165]. The connection with SU2)k Chern-Simons gauge theory has +been essential in formulating effective low energy quantum field theories for the non-abelian +states [298, 299, 300, 301, 302, 303]. +10.3.11. Edge States and Chiral Conformal Field Theory +We will now discuss the edge states of the FQH states. As we saw the FQH states are +incompressible in the bulk and all bulk excitations are gapped. The edge of the region occupied +by the fluid (in many cases that edge of the physical sample) is where the bulk gap collapses and +hence where the system has low energy excitations. +The role of edges and their nature can be seen already in the simple case of the integer Hall +effect treated as a system of free fermions in the lowest Landau level. In this state all single +particle states are occupied, and the bulk ground state wave function is a Slater state which takes +the form of the Vandermonde determinant of Eq.(377). The potential that keeps the electrons +inside the sample increases monotonously near the edge. As we discussed in section 10.3.1, in +this region the electrons experience an electric field E that pushes them into the sample, and in +the presence of the perpendicular magnetic field B the electrons move along the edge at the drift +velocity � = c|E|/|B|. At some spatial location, corresponding to the locus of a single particle +Landau state, the potential crosses the Fermi energy and in that region potential is essentially a +linear function of the coordinate and hence of momentum (or angular momentum depending on +the gauge that is being used). In other words, the low energy states are one branch of a one- +dimensional chiral excitation, such as in the right-moving states of our discussion of the chiral +anomaly in section 7.2 +In section 9.5 we showed that a Chern-Simons gauge theory on a manifold with a boundary +projects onto a chiral CFT on that boundary. In that section we showed that an abelian Chern- +Simons theory U(1)m integrates to the boundary, the 1+1-dimensional Minkowski spacetime +S 1 × R, as a chiral U(1)m CFT for a compactified boson with compactification radius R = 1 +whose action is given by +S [ϕ] = +� +S 1×R +d2x 1 +4π +� +∂0φ∂1φ − �(∂1φ2) +� +(511) +where we rescaled the compactified scalar by a factor of √m to that its compactification radius +R = √m as in section 10.3.10. The only difference between the theory of Eq.(241) and what we +did in section 10.3.10 is that this theory is in a 1+1-dimensional Minkowski spacetime S 1 × R +while before we were in Euclidean spacetime.In the case of the integer quantum Hall effect ν = 1 +(and hence m = 1) and the (time-ordered) correlator of the vertex operator, V1(x, t) = exp(iφ(x, t)) +is +⟨T exp(iφ(x, t)) exp(−iφ(0, 0))⟩ = +1 +x − �t − iε +(512) +99 + +which is, indeed, the propagator of a chiral free fermion. +On the other hand, for the Laughlin states at filling fraction ν = 1/m (and compactification +radius R = √m) the propagator of the electron ψe ∼ exp(i √mφ) is +⟨T exp(i √mφ(x, t)) exp(−i √mφ(0, 0))⟩ ∼ +1 +(x − �t − iε)m +(513) +while the propagator of the quasihole exp +� +i√mφ +� +is +� +T exp +� i√mφ(x, t) +� +exp +� +− i√mφ(0, 0) +�� +∼ +1 +(x − �t − iε)1/m +(514) +Therefore, the CFT of the edge is the same as the CFT of the ideal wavefunction with the only +difference that the former is in Minkowski spacetime while the latter is in Euclidean spacetime. +In this sense there is a one-to-one correspondence between the bilk and the edge. We can +also see how that works by considering a fundamental Wilson arc in the bulk along a path γ(x, y) +where x and y are at the boundary +⟨W[γ]⟩ = ⟨exp(i +� +γ(x,y) +dxµA µ) ≡ ⟨exp( i√mφ(x)) exp(− i√mφ(y))⟩ +(515) +where on the right hand side we have rescaled the field by √m, as before. The scaling dimensions +of the electron, the quasihole and the current are ∆e = m +2 , ∆qh = +1 +2m and ∆current = 1. These results +will be important shortly. +The same structure applies to the multi-component abelian FQH states. The only difference is +that in multi-component FQH states the edge consists, in general, of a charge field which couples +to the electromagnetic field and one or more neutral edge states. An example is the theory of the +non-abelian Pfaffian states at filling fraction ν = 1/n. In this case the edge theory consists of a +compactified chiral boson φ of radius R = √n and a chiral Majorana (neutral) fermion χ. At a +formal level the Lagrangian for the edge state(s) is a sum of two terms +L = 1 +4π(∂xφ∂tφ − �c(∂xφ)2) + χi(∂t − �n∂x)χ +(516) +where �c and �n are the velocities of the (charged) compactified chiral scalar φ and of the neu- +tral Majorana field χ. Numerically (and experimentally) it is known that the charge mode is +(substantially) faster than the neutral mode(s), �c > �n, and often by significant factors. +A superficial reading of this Lagrangian suggests that these degrees of freedom are decou- +pled. However this is not correct. Only operators from both sectors which are local with respect +to the electron ψe ∼ χ exp(i √nφ) are physically allowed. Here an operator is local with respect +to the electron means that the operator braids trivially with the electron. This condition restricts +the allowed observables. In the case of the fermionic MR state, with n = 2, the allowed operators +are the non-abelion σ exp(iφ/2 +√ +2) with scaling dimension is ∆ = 1/8 and electric charge is +Q = 1/4, the Majorana fermion with scaling dimension ∆ = 1/2 and no electric charge Q = 0, +and the Laughlin quasiparticle with scaling dimension ∆ = 1/4 and charge Q = 1/2. Its electron +operator has scaling dimension ∆ = 3/2 and charge Q = 1. +Conformal field theory has an important defining universal quantity called the central charge +which is closely related to the energy-momentum tensor of the theory [102]. For pedagogical +introductions to CFT see Refs.[304, 45] and chapter 21 of Ref.[10]. The energy-momentum +tensor Tµν is a locally conserved current, ∂µTµν = 0. Its local conservation implies the global +conservation of energy and momentum. As such, the energy-momentum tensor is a fundamental +observable of any quantum field theory. In a conformal field theory, the energy-momentum is +also the generator of local scale and conformal transformations. In the special case of 1+1- +dimensional systems, such as the edge states of the FQH fluids, the energy momentum tensor +has special and crucially important properties. In addition of being locally conserved, conformal +invariance requires that Tµν must be traceless, T µ +ν = 0, since its trace is the generator of dilations. +In this case, if the theory is chiral, the energy momentum tensor has only one (right-moving) +component T = (T00 − T11)/2. In complex coordinates of the Euclidean metric, the correlator of +the energy momentum tensor T = Tzz is [305] +⟨T(z)T(�)⟩ = +c/2 +(z − �)4 +(517) +100 + +where c is a universal quantity known as the it central charge of the CFT. In the case of the +compactified boson the central charge is c = 1 whereas for a massless Majorana fermion c = 1/2. +The central charge of the CFT enters in many observables of fundamental physical impor- +tance. For example, for a 1+1-dimensional system of length L, such as the edge state of a FQH +droplet, the ground state energy Egnd for large L has the behavior [306, 307] +Egnd = ε0L − c π� +6L + O(1/L2) +(518) +where ε0 is the ground state energy density, which is a non-universal quantity, c is the central +charge of the CFT and � is the velocity of the massless modes. The second term in Eq.(518) +is known as the Casimir energy. Similarly, the free energy density f(T) of a CFT has the low +temperature Stephan-Boltzmann behavior (in one dimension) +f(T) = ε0 + cπT 2 +6� + O(T 3) +(519) +where we set the Boltzmann constant to unity. The low-temperature specific heat c(T) is +c(T) = cπT +3� + O(T 2) +(520) +In a chiral CFT, such as the edge states of the FQH fluids, the central charge enters in the low +temperature behavior of the (Hall) thermal conductivity κxy, [285] +κxy = cπT +6ℏ +(521) +Much of what is known about FQH states comes form experiments involving their edge +states. In a series of exquisite experiments Granger, Eisenstein and Reno [308] measured κxy in +the edge states of a ν = 1 quantum Hall fluid and showed that the heat transport is indeed chiral, +i.e. the edge state behaves as a heat “diode”. This effect was confirmed in the FQH states by +Bid and coworkers [309] who, in addition, where used this effect to detect the neutral modes in +several Jain states at filling fractions 2/3 and 2/5 and in the non-abelian state at ν = 5/2. +The simplest experimental probes are quantum point contacts and typically are of two types:inter- +edge tunneling inside a FQH liquid or tunneling of electrons into the edge state of a FQH liquid. +Since the bulk is gapped, only the edge states participate in these tunneling processes. In the +general case we will have two edges and a tunnel process at a point contact. Here the two edges +can be either the two edges of the same FQH state, in which case the process happens inside the +FQH liquid and involves tunneling of quasiparticles, or the edges of different liquids, in which +case this process is external and involves tunneling of electrons. Problems of these types were +first investigated by Charles Kane and Matthew Fisher [310] which led to a considerable amount +of work on these problems. +Let us consider first the case of tunneling into the edge state of a ν = 1/m Laughlin state +from a Fermi liquid, which we will take to be a QH fluid in the ν = 1 state. The point contact is +at x = 0 The total Lagrangian is +L = Ledge + LFL − Γ eiω0t ψ† +e,edge(0, t) ψe,FL(0, t) + h.c. +(522) +where ω0 = eV/ℏ, and V is the bias voltage between the two fluids, and Γ is a tunneling matrix +element. The local electron spectral density (the density of states) N(ω) at energy ω is +N(ω) = Im lim +x→0+ +� ∞ +−∞ +dt Ge(x, t) eiωt = const. |ω|m−1 +(523) +where Ge(x, t) = ⟨Tψ† +e(x, t)ψe(0, 0)⟩ is the electron correlator in the FQH edge, shown in Eq.(512). +This result, combined with Fermi’s Golden Rule for a point contact with voltage bias V, predicts +a tunneling current from a Fermi liquid (FL) into the chiral Luttinger liquid (CLL) of the edge +state to be [311] +I(V) = 2π e +ℏ|Γ|2 +� 0 +−eV +dE NCLL(E, T)NFL(E + eV, T) ∝ Vm +(524) +and a tunneling differential conductance G(V) +G(V) = dI +dV = 2π e +ℏ|Γ|2NFL(0)NCLL(V, T) ∝ Vm−1 +(525) +101 + +which is non-Ohmic and vanishes as V → 0. +Early experiments by Albert Chang and cowerkers , on a geometry that (most likely) had +many point contacts, confirmed the predicted CLL behavior [312, 313], although there were +discrepancies in the measured exponents. The behavior seen in more recent experiments by +Cohen and coworkers [314], on a point contact in graphene, are consistent with the theoretical +predictions [311]. Interestingly, these newer class of experiments [315, 314] also show evidence +of an analog of Andreev reflection predicted to exist near the strong coupling fixed point of the +theory of Sandler, Chamon and Fradkin [316] as a consequence of electron fractionalization. +Most experiments are done on a geometry call a Hall bar in which the QH fluid occupies a +rectangular region with its length L larger than its width W. In this geometry, there are chiral +edge states at opposite sides of the Hall bar propagating in opposite directions. One type of point +contact consists in creating a constriction in the quantum Hall fluid by applying a gate, a bias +potential on a narrow strip accross the Hall bar. This gate repels the electrons in the QH fluid, +forcing the opposite edges to approach each other in the proximity of the gate. In the absence +of the gate, momentum is conserved on each edge which forbids tunneling accross the Hall bar +since the edge states have opposite Fermi momentum. However, the gate breaks translation in- +variance on both edges and tunneling between them is now allowed. In other words, the gate +creates a point contact between the opposite propagating edge states leading to a tunneling pro- +cess between the edges of the QH liquid. Thus, this is internal tunneling as oppose the process +of tunneling between two different liquids that we discussed above. +The tunneling Lagrangian for this system has the same form as in Eq.(522) except that now +the two edges are identical. The theory Kane and Fisher shows that in the factional case the most +relevant process is the tunneling of FQH quasiparticles. The Fermi Golden Rule argument used +in Eq.(525) to compute the differential conductance also applies in the present case except that +now the two densities of states are the densities of states of the (Laughlin) quasiparticles (instead +of electrons). The local quasiparticle density of states is Nqp(ω) ∼ |ω| +2 +m −1. Then, the differential +tunneling conductance G(V) in this case is +G(v) ∼ V2( 1 +m −1) +(526) +This behavior is also non-Ohmic but, unlike the case of electron tunneling of Eq.(522), the differ- +ential tunneling conductance now diverges as V → 0. This behavior means that the Γ → 0 fixed +point is unstable and that the point contact flow to a strong coupling fixed point at Γ → ∞. Early +experiments by Milliken, Umbach and Webb in 1996 [317] showed indications of CLL behavior. +The predicted behavior was confirmed in the experiments of Roddaro and coworkers [318, 319]. +In the RG language, we can define a dimensionless tunneling amplitude g by Γ = a∆−1g, +where ∆ is the scaling dimension of the tunneling operator and a is a UV cutoff. The “tree-level” +beta function is readily found to be +β(g) = a∂g +∂a = (1 − ∆) g + O(g2) +(527) +which shows that if the scaling dimension of the operator of the tunneling particle is ∆ < 1, then +this tunneling process is relevant, while is ∆ > 1 it is irrelevant. +Kane and Fisher argued that there should be a crossover from the IR unstable weak-coupling +fixed point governed by quasiparticle tunneling to an IR stable strong coupling fixed point gov- +erned by electron tunneling. This crossover is reminiscent of the the crossover in quantum impu- +rity problems such as the Kondo problem of a magnetic impurity in a metal [320, 32, 52, 53, 321]. +The main difference is that the impurity coupling is marginal and the crossover scale, the Kondo +temperature TK, which is related to the coupling constant g as TK ∼ exp(−1/g), while in the FQH +constriction the crossover scale is TK(g) ∼ g1/(1−∆). Kane and Fisher argued that this crossover +can be viewed as a process that interpolated between a FQH fluid with a weak constriction to a +regime in which the Hall bar splits into two pieces with weak electron tunneling between them. +It turns out that, after some manipulations, the model of the constriction can be mapped into +a one-dimensional compactified boson ϕ on a semi-infinite line, x ≥ 0, with a vertex operator +acting at the boundary. The action of this system, known as boundary sine-Gordon is +S = 1 +8π +� ∞ +−∞ +dt +� ∞ +0 +dx (∂µϕ)2 + Γqp +� ∞ +−∞ +dt cos +� � +ν +2ϕ(0, t) +� +(528) +This theory has two fixed points: a) the IR unstable fixed point at Γqp = 0 where the field +Neumann boundary conditions at x = 0, ∂xϕ = 0, and b) an IR stable fixed point at Γqp → ∞ +102 + +where the field has Dirichlet boundary conditions, ϕ = 2π √2/ν n (with n ∈ Z). It turns out that +this is an integrable field theory. Paul fendley, Andreas Ludwig and Hubert Saleur [322] used the +thermodynamic Bethe Ansatz to calculate the differential tunneling conductance for the Laughlin +state at ν = 1/3 as a function of voltage V and temperature T and obtained the full weak to strong +crossover RG flow. Detailed predictions of this theory have been verified experimentally by the +work of Roddaro and coworkers [318, 319]. Point contact experiments were performed in the +more challenging ν = 5/2 FQH state by Miller and coworkers [323] and Radu and coworkers +[324]. They found that the MR state is the the one that best fits their experimental results. +The charge of particle can, in principle, be found directly by measuring the noise of a weak +current. This process is known as shot noise. In the case of the constriction, the quasiparticle +current operator is Iqp = 2eνΓqp sin +� √ν/2φ + ω∗ +0t +� +, where ω∗ +0 = eνV/ℏ. The noise spectrum, +S (ω), of the tunneling current qp is [325] +S (ω) = +� ∞ +−∞ +dt ⟨{Iqp(t), Iqp(0)}⟩ eiωt +(529) +Using the expression of the quasiparticle correlator of Eq.(514), one readily finds that, to leading +order in Γqp, the noise spectrum is +S (ω) = eν⟨Iqp⟩ + +� +1 − ω +ω∗ +0 +�2ν−1 ++ +� +1 + ω +ω∗ +0 +�2ν−1 +(530) +In the limit of zero frequency the noise spectrum takes the shot noise form +lim +ω→0 S (ω) = 2e∗⟨Iqp⟩ +(531) +where the expectation value of the tunneling current is +⟨Iqp⟩ = +2π +Γ(2ν)eν|Γqp|2 ω∗ +0 +2ν−1 +(532) +Chamon, Freed and Wen [326] calculated the exact noise spectrum for the case of a ν = 1/2 +bosonic FQH state and were able to investigate the crossover as well, and Fendley, Ludwig and +Saleur [327] used the Bethe Ansatz to construct a soliton basis to compute the DC shot noise. +These theoretical predictions were tested in tour-de-force experiments by de Picciotto and +coworkers [253] and Samindayar and coworkers [254] who were able to measure the fractional +charge of e/3 in the ν = 1/3 state and, with some caveats, e/5 in the ν = 2/5 state. Dolev and +coworkers [328] went on to measure the charge from noise experiments in the nonabelian state +at ν = 5/2 and obtained results consistent with e∗ = e/4 as predicted by theory. +We will now consider experiments on Hall bars with two quantum point contacts created by +two narrow gates transversal to the bar and separated at some distance d each other. Quantum +devices of this type are Fabry-P´erot quantum interferometers. The way they operate is as follows +[329, 298]. A current is injected in the bottom edge. At the first quantum point contact (QPC) +part if the current I1 tunnels to the opposite edge and the other part I2 goes on and tunnels at the +second QPC. The FQH fluid is assumed to occupy uniformly the region between the two QPC’s. +There is some magnetic flux Φ is that region which also contains a number of localized vortices +(quasiparticles). When both currents rejoin at the top edge they interfere and the interference has +information on the charge of the particles that tunnels through the Aharonov-Bohm effect with +the flux Φ. The interference also has information on the fractional statistics of the quasiparticles +that tunneled through their braiding with the static vortices. Chamon, Freed, Kivelson, Sondhi +and Wen proposed a setup of this type to measure the fractional statistics of the quasiparticles for +the abelian states [329]. They showed that the total current It = I1 + I2 is given by +It = e∗|Γeff|2 2π +Γ(2ν) |ω0|2ν−1 sign(ω∗ +0) +(533) +where Γeff is give by +|Γeff|2 = |Γ1|2 + |Γ2|2 + (Γ1Γ∗ +2 + Γ∗ +1Γ2) Fν +�ω∗ +0d +� +� +(534) +Here Γ1 and Γ2 are the tunneling amplitudes at the two QPCs, ν = 1/m is the filling fraction, � is +the velocity of the edge modes, d is the distance between the two QPCs and +Fν(x) = √πΓ(2ν) +Γ(ν) +Jν−1/2(x) +(2x)ν−1/2 +(535) +103 + +where Γ(z) is the Euler Gamma function and Jν−1/2(z) is the Bessel function of the first kind. In +the presence of Nq localized quasiparticles in the area between the two QPCs, the contribution +of the phases of the tunneling matrix elements get shifted to +Γ∗ +1Γ2 = ¯Γ∗ +1 ¯Γ2 exp +� +−2πi +� +ν Φ +φ0 +− νNq +�� +(536) +where φ0 is the flux quantum. In Eq.(536) the first term in the phase shift is the Aharonov- +Bohm effect of the tunneling quasiparticles, while the second term in the phase shift 2πνNq is +the contribution of the fractional statistics of the tunneling quasiparticle as its worldline braids +with the Nq localized quasiparticles. This means that there is an interference contribution to +the tunneling current (and also to the transmitted current) which is sensitive to both the charge +and to the fractional statistics of the quasiparticles. This is this effect that is being measured in +experiments. +Early attempts at doing this experiment were made by Camino and coworkers [330] but were +difficult to interpret partly due to subtle reasons related to the difficulty in controlling the actual +area of the region comprised between the two QPCs [331]. Technical advances in the fabrication +of these devices led in 2020 to the first successful measurement of the fractional statistics of the +quasiholes of the Laughlin state at ν = 1/3 (and also at the Jain state at ν = 2/5) by Nakamura, +Liang, Gardner and Manfra [233]. +The nonabelian case is more subtle both theoretically and experimentally. The theory of the +abelian interferometer of Chamon and coworkers was generalized to the nonabelian FQH states +by Fradkin, Nayak, Tsvelik and Wilczek in 1998 [298]. The structure of the interferometer is the +same as in the abelian case but the interference effects are different. In addition, in the case of +the MR state, taside from the nonabelian quasiparticle σ ∼ χ exp(iφ/2 +√ +2) has charge e/4 and +nonabelian fractional statistics, the MR state has two more abelian anyons, the charge neutral +Majorana fermion χ and the charge e/2 Laughlin quasiparticle. The number of anyons and their +properties are very different in different nonabelian FQH states. +Ignoring for now the existence of more quasiparticles, let us focus now on the fundamen- +tal anyon which is nonabelian. Fradkin and coworkers showed [298] considered a nonabelian +quasihole that is injected to the bottom edge, tunnels at the first QPC and arrives at the left end +of the top edge in state |ψ⟩. If a second such quasiparticle is now injected but now tunnels to +the top edge at the second QPC., arriving at the left end of the top edge in the state eiαBNq|ψ⟩, +where α is the Aharonov-Bohm phase determined by the flux Φ piercing the interferometer and +BNq si the braiding operator os the second quasiparticle that is circling around the Nq localized +quasiparticles in the interferometer. Then the tunneling conductance measured at the left exit of +the top edge has an interference contribution +σxx ∝ |Γ1|2 + |Γ2|2 + Re +� +Γ∗ +1Γ2eiα⟨ψ|BNq|ψ⟩ +� +(537) +The matrix element ⟨ψ|BNq|ψ⟩ is given in terms of the expectation value of the Wilson loop oper- +ators of the tunneling quasiparticles braided with the Wilson loops of the Nq localized quasiparti- +cles in the area of the interferometer. In 1989 Edward Witten [165] showed that this expectation +value, which is computed in the nonabelian Chern-Simons gauge theory, is equal to a topolog- +ical invariant of the braid known as the Jones polynomial VNq(e1π/4). Therefore, the oscillatory +component of the tunneling current (and of the conductance) measures a topological invariant! +Ref.[298] gave a general algorithm for the computation of this matrix element. However, in +the particular case of the MR states, the non-abelian gauge theory associated with these states is +the SU(2)2 Chern-Simons gauge theory. In this case, an explicit calculation Bonderson, Kitaev +and Shtengel [332] and by Stern and Halperin [333] leads to the result +σxx ∝|Γ1|2 + |Γ2|2, +for Nq odd +σxx ∝|Γ1|2 + |Γ2|2 + 2 |Γ1||Γ2|(−1)Nψ cos +� +α + arg +�Γ2 +Γ1 +� ++ π +4 Nq +� +, +for Nq even +(538) +Here, Nψ = 1 when the Nq quasiparticles fuse into the state ψ and Nψ = 0 otherwise. The +interference effect is absent for Nq odd since an odd number of σ quasiparticles cannot fuse into +the identity state I. This simple even-odd effect is special for SU(1)2. In the general case and, +in particular in the SU2)3 case which applies to the k = 3 Read-Rezayi (“Fibonacci”) state, the +expressions are more complex. +104 + +At any rate, even in the MR state the situation is more complicated for two reasons. One +is that the charge e/2 abelian Laughlin quasiparticle is always able to tunnel thus spoiling the +even-odd effect. the other complication is that the nonabelian FQH occurs in the N = 1 Landau +level and the edge states of the nonabelian FQH state is surrounded by an abelian ν = 2 state, +which makes accessing the interesting edge states more difficult. Robert Willett has pioneered the +fabrication and operation of the interferometer for the nonabelian state at ν = 5/2 [334, 335, 336]. +With some significant caveats although there is solid evidence of nonabelian braiding, more work +remains to be done on this system. +11. Particle-Vortex Dualities in 2+1 dimensions +11.1. Electromagnetic Duality +The oldest form of duality in Physics is, perhaps, Dirac’s observation that in the absence of +electric charges and currents Maxwell’s equations are invariant under the exchange of electric +and magnetic fields, E → B and B → −E [114]. This observation led him to conjecture the +existence of magnetic monopoles. In a relativistic invariant formulation, Maxwell’s equations in +free space can be expressed in terms of the electromagnetic field tensor Fµν and the dual field +tensor F∗ +µν +∂µFµν = 0, +∂µF∗ +µν = 0 +(539) +where F∗ +µν = 1 +2ǫµνλρFλρ, and where ǫµνλρ is the fourth-rank antisymmetric Levi-Civita tensor, The +first Maxwell equation in Eq.(539) is just the wave equation in free Minkowski spacetime. The +second equation in Eq.(539) is known as the Bianchi identity. The Bianchi identity is a constraint +which implies that there are no magnetic monopoles and that the second rank antisymmetric field +strength tensor can be expressed in terms of the vector potential Aµ as Fµν = ∂µAν − ∂νAµ. +This is an example of what in differential geometry is called Hodge duality, which relates a +vector or, more generally a tensor field to its Hodge dual. In general in D dimensions the Hodge +dual of a (fully antisymmetric) tensor of rank p is an antisymmetric tensor of rank D − p. When +contracted with the oriented infinitesimal element of a p-dimensional hypersurface, dx1 ∧ dx2 ∧ +. . . ∧ dxp, an antisymmetric tensor of rank p, Fµ1µ2...µp, defines a p-differential form, called a p- +form. Thus, differential forms embody the physically intuitive notions of circulation of a vector +field, flux of a second rank tensor, etc. We will see below that duality transformations are closely +related to these geometric notions of duality. +11.2. Particle-Vortex Duality in 2+1 dimensions +In this section we will extend the particle-vortex duality discussed in 2D in section 5.1.1 (see +Eq.(75)) to 3D. In the field theory interpretation, 2D is a 1+1-dimensional Minkowski spacetime +and the XY model is a representation of a complex scalar field of unit modulus. In the duality, the +particles are the particle-like excitations of the complex scalar field. The high temperature phase +of the XY model is viewed as a partition function of a set of oriented loops that carry charge. the +loops are the worldlines of the particles of the XY model. +11.2.1. The 3D XY Model +This picture can be seen as follows. Consider an XY model on a D-dimensional hypercubic +lattice whose sites are labelled by {r}. At each site there is a periodic variable θ(r) ∈ [0, 2π). The +partition function is +ZXY = +� +r +� 2π +0 +dθ(r) +2π +exp + +1 +T +� +r +� +j=1,...,D +� +cos ∆jθ(r) +� +(540) +where ∆jθ(r) = θ(r+e j)−θ(r), with j = 1, . . ., D, is the lattice difference, and T is the temperature +(in the classical statistical mechanical picture). Since the interaction on each link is a periodic +function of the phase difference ∆jθ(r), we can expand the Gibbs weight (for each link!) in a +Fourier series or, what is the same, in the integer-valued representations of the group U(1) (which +is the global symmetry of the XY model) to obtain +ZXY = +� +r +� 2π +0 +dθ(r) +2π +∞ +� +ℓj(r)=−∞ +exp +− +� +r, j +T +2 ℓ2 +j(r) + i +� +r +θ(r)∆jℓ j(r) + +(541) +105 + +where we used a Gaussian approximation for the modified Bessel function In(z), and ∆jℓ j(r) = +�D +j=1(ℓ j(r)−ℓ j(r−e j)) (where e j is the lattice unit vector along the direction j) denotes the lattice +divergence. Integrating-out the phase variables θ(r) we obtain +ZXY = +� +r +∞ +� +ℓj(r)=−∞ +� +r +δ(∆jℓ j(r)) exp +− +� +r +D +� +j=1 +T +2 ℓ2 +j(r) + +(542) +Therefore, the partition function is given by a sum over loops of conserved currents ℓ j(r) defined +on the links of the lattice, with a weight on each link ∝ exp(−ℓ2 +j/2β). These loops are the (lattice) +worldlines of the particles of the complex scalar field. In the phase where this representation +is convergent, the complex scalar field is massive, the XY model is gapped, and these particles +have short range interactions. This picture is true in all dimensions, 3D included. +On the other hand, in 2D the vortices are point-like events in Euclidean spacetime which in- +teract with each other through long range, logarithmic, interactions. In the field theory language, +in 2D the point-like vortices are instantons which govern the low temperature phase of the XY +model. In spacetime dimensions D > 2 the vortices become extended objects: vortex loops (or +strings) in 3D, closed vortex surfaces in 4D, etc. In 3D the vortex loops are magnetic flux tubes +which interact with each other through a Biot-Savart type interaction, namely bits of vortices +interact with each other with a 3D Coulomb interaction much in the same way as with loops of +current in magnetostatics, +Z3DXY = +� +{mj(˜r} +� +˜r +δ(∆jm j(˜r)) exp +−2π2 +T +� +˜r,˜r′ +3 +� +j=1 +m j(˜r)G0(˜r − ˜r′)m j(˜r′) − α +� +˜r, j +m2 +j(˜r) + +(543) +where {˜r} labels the sites of the dual (cubic) lattice, the variables m j(˜r) take values on the integers, +α is a (short-distance) vortex core energy, and G0(˜r − ˜r′) is the 3D lattice propagator (Green +function) which at long distances has the standard form +G0(x − x′) = +1 +4π|x − x′| +(544) +In Eq.(543) the vortex loops are represented by the integer-valued conserved currents m j(˜r), +which are naturally interpreted as the world lines of magnetic charges. +We could have also reached the same result by following the line of reasoning that we used in +section 5.1.1. Indeed, let θ(x) be the phase field of a complex scalar field φ(x) deep in its broken +symmetry state where the amplitude of the field φ(x) can be taken to be approximately fixed. The +partition function in this phase reduces to +Z[aµ] = +� +Dθ exp +� +− 1 +2g +� +d3x +� +∂µθ − aµ +�2� +(545) +where g is a coupling constant which in the XY model is proportional to the temperature. Here, +much as in Eq.(70), the gauge field aµ represents the vortices. Indeed, in 3D the vorticity is +represented by a locally conserved vector field ωµ +ωµ = ǫµνλ∂νaλ = 2π +� +k +mk +µδ(x − xk) +(546) +where mk +µ are the integer-valued vortex (magnetic) currents we used above. As before, the pe- +riodic nature of the phase field θ(x) implies that the vortex currents must be quantized and be +integer-valued. +Here too we can perform a Hubbard-Stratonovich transformation in terms of a vector field bµ +to find a dual theory which now is +Z(aµ) = +� +DbµDθ exp +� +−g +2 +� +d3x b2 +µ − i +� +d3x bµ(∂µθ − aµ) +� +(547) +Upon integrating out the phase field θ, which acts as a Lagrange multiplier which imposes the +constraint ∂µbµ = 0. This constraint implies that we can write the field bµ in terms of a dual +gauge field ϑµ +bµ = ǫµνλ∂νϑλ +(548) +106 + +Therefore, we can rewrite the partition function as +Z(aµ) = +� +Dϑ exp +� +−g +4 +� +d3x f 2 +µν + i +� +d3x ωµϑµ +� +(549) +where fµν = ∂µϑν − ∂νϑν is the field strength of the dual gauge field ϑµ. Notice that the vortex +current ωµ is minimally coupled to the dual gauge field ϑµ. If we now integrate-out the gauge +field ϑµ we obtain an expression for the weight in the path integral for a configuration of vortices +mk +µ which is identical to the result of Eq.(543). +What we have shown above is that in 3D the Goldstone phase of a complex scalar field +with coupling constant g is the dual of a Maxwell gauge theory. with coupling constant 1/g. +Moreover, the periodicity of the phase field implies that the dual gauge field ϑµ is compact in +the sense that its fluxes must obey flux quantization. It is straightforward to show that a charge +operator Vn = exp(inθ) with electric charge n in the scalar field theory is represented in the dual +gauge theory by a magnetic monopole of magnetic charge n. +In summary we showed that the 3D XY model (equivalent to the theory of the complex scalar +field) can be written in terms of two different models of loop configurations. We saw that the +XY model is a theory of particle (electric) loops in the high temperature phase and of vortex +(magnetic) loops in the low temperature phase. However the particle loops have short range +interactions while the vortex loops have long range interactions. Thus, the 3D XY model is not +self-dual. In spite of having a representation in terms of vortex loops, the 3D XY model is in +reality has a very different behavior that the 2D system. The Kosterlitz-Thouless theory describes +the phase transition in terms of a vortex-antivortex unbinding transition upon which the vortices +proliferate. In addition, in 2D the Goldstone phase is actually a line of fixed points, there is never +true long range order but, instead, power-law correlations of the physical observables. In the +Kosterlitz-Thouless theory the disordered phase arises the strong fluctuations of the phase field +due to the proliferation of vortices while, at the local level, the order parameter still has a finite +magnitude. A consequence of this behavior is that the superfluid density has a universal jump at +the Kosterlitz-Thouless transition [337]. +In contrast in the 3D XY model the Goldstone phase is a true phase with long range order. +The theory has a continuous phase transition (the thermodynamic superfluid transition) at which +the superfluid density vanishes continuously. This means that the phase transition of the 3D XY +is better described by the Wilson-Fisher fixed point of a complex scalar field [30, 48], rather than +by a vortex proliferation picture of the Kosterlitz-Thouless theory [84, 85]. In particular, since +this theory does not have magnetic monopoles, the vortex loops cannot proliferate as they do in +2D. Instead, as the phase transition is approached, the vortex loops grow large in size but also +become fractal-like objects whose effective core size diverges as the transition is approached. In +fact, qualitative vortex proliferation arguments readily lead to the incorrect conclusion that the +transition should be (strongly) first order [338]. +In spite of these differences, particle-vortex duality still plays an important role in 3D by +relating the 3D XY model to another theory which is its dual under electromagnetic duality. Here +electromagnetic duality is understood as the exchange of the electric worldlines (electric loops) +and the magnetic loops (vortex loops) while exchanging strong and weak coupling, T ↔ 1/T, in +this case between different theories. This duality was investigated by Michael Peskin [339], by +Paul Thomas and Michael Stone [338], and by Chandan Dasgupta and Bertrand Halperin [340]. +11.2.2. Scalar QED in 3D +These authors considered a theory of a superconductor represented by a complex scalar field +ϕ(x), coupled to a fluctuating electromagnetic (Maxwell) field, also known as the abelian Higgs +model, or scalar electrodynamics (scalar QED) aµ, with µ = 1, 2, 3 The partition function of this +theory is +ZSC = +� +DϕDϕ∗Daµ exp +� +− +� +d3x L[ϕ, ϕ∗, aµ] +� +(550) +where +L = |Dµ(a)ϕ|2 + m2|ϕ|2 + u|ϕ|4 + 1 +4e2 f 2 +µν +(551) +where the covariant derivative is Dµ(a) = ∂µ + iqaµ, with the integer q being the charge of the +scalar field (in units of the coupling constant e), and fµν = ∂µaν − ∂νaµ is the field strength. This +theory is known as (Euclidean) scalar electrodynamics (or, the abelian Higgs model). +107 + +The scalar electrodynamics was extensively studied using the perturbative renormalization +group within the epsilon expansion (near 4 dimensions) which leads to the conclusion that it +has a weakly (fluctuation-induced) first order phase transition [109, 341]. Scalar QED of an N- +component scalar field coupled to a Maxwell gauge field has a continuous phase transition with +a non-trivial fixed point for N ≥ Nc ≃ 183 (!) [342]. Since these results rely on perturbation +theory (or in the large-N limit) it was long suspected that the physics may be different in D = 3. +We will see that particle-vortex duality provides the answer to this question [340]. +We begin by writing the lattice version of Eq.(550) which is obtained by coupling the XY +model of Eq.(540) to a dynamical (Euclidean) Maxwell field +ZSC = +� +r +� 2π +0 +dθ(r) +2π +� ∞ +−∞ +daµ(r) +2π +exp +� +−S (θ, aµ) +� +(552) +where the action S (θ, aµ) is +S (θ, aµ) = − 1 +T +� +r,µ +cos +� +∆µθ(r) − qaµ(r) +� ++ 1 +4e2 +� +r,µ,ν +� +∆µaν(r) − ∆νaµ(r) +�2 +(553) +In this action we assumed that the abelian gauge fields do not have monopole configurations. +The partition function of Eq.(550) admits a representation as a sum over loops. We can then +used the same line of reasoning that led to Eq.(542) and write the partition function as a sum over +loops of the worldlines of the particles (charges) of the complex scalar field +ZSC +Zgauge +0 += +� +r +∞ +� +ℓµ(r)=−∞ +δ(∆µℓµ(r)) exp +− +� +r,µ +T +2 ℓ2 +µ(r) + +� +exp +iq +� +r,µ +ℓµ(r)aµ(r) + +� +a +(554) +where ⟨O[a]⟩a is the expectation value of the operator O[a] over the gauge fields aµ, and Zgauge +0 +is +the partition function of the free gauge fields. After computing this free-field expectation value +we obtain the result +ZSC +Zgauge +0 += +∞ +� +{ℓµ(r)}=−∞ +δ(∆µℓµ(r)) exp +− +� +r,µ +T +2 ℓ2 +µ(r) − q2e2 +2 +� +r,µ +� +r′,ν +ℓµ(r) Gµν(r − r′) ℓν(r′) + +(555) +where +Gµν(r − r′) = ⟨aµ(r)aν(r′)⟩ +(556) +is the Euclidean propagator of the free gauge fields. Since the configurations of the worldlines, +the currents represented by ℓµ(r), are conserved and satisfy the local constraint ∆µℓµ = 0, the +second term in the exponent of Eq.(555) is gauge invariant. Hence, we can use the propagator in +the Feynman gauge +Gµν(r − r′) = δµνG0(r − r′) +(557) +where G0(r− r′) is the 3D lattice propagator which has the same Coulomb form at long distances +already given in Eq.(544). +Therefore we can write the partition function of the scalar QED model (the superconductor) +as a sum over worldline loop configurations of the particles of the scalar field in the equivalent +form +ZSC +Zgauge +0 += +∞ +� +{ℓµ(r)}=−∞ +δ(∆µℓµ(r)) exp +− +� +r,µ +T +2 ℓ2 +µ(r) − q2e2 +2 +� +r,r′,µ +ℓµ(r) G0(r − r′) ℓµ(r′) + +(558) +which is the same as the partition function of the 3D XY model in the broken symmetry state, +given in Eq.(543), with the identification of the particle loops of the abelian Higgs model with the +vortices of the 3D XY model and a relation between the coupling constants. Hence we obtain the +duality between the broken symmetry phase of the 3DXY model (“low T”) and the symmetric +phase of the abelian Higgs model (“high T”) +ℓµ ↔ mµ, +q2e2 ↔ 2π2 +T , +T +2 ↔ α +(559) +where the quantities on the left hand side of the identifications refer to the 3D abelian Higgs +model and the quantities on the right hand side to the 3D XY model. +108 + +We can now repeat the same analysis but in the broken symmetry of the abelian Higgs model. +In this phase the gauge field aµ becomes massive by the Higgs mechanism (or, what is the same, +by the Meissner effect of the superconductor), and in this phase the vortex loops mµ of the +complex scalar field have short range interactions. This phase then is mapped onto the unbroken +phase of the 3DXY model with the screened vortex loops of the abelian Higgs model identified +with the particle loops of the 3D XY model, and with the same identifications between the +coupling constants of the two theories given in Eq.(559). The identification between the two +partition functions implies that the phase transitions must be the same. In other words, the +duality implies that the 3D abelian Higgs model has a continuous phase transition with the same +fixed point as that of the complex scalar field in 3D. The only difference is that the phases are +reversed and, for this reason, this is sometimes called an “inverted” 3D XY transition [340]. +11.2.3. The duality mapping +We can summarize these results with the following identification of two Lagrangians (in real +time, Minkowski signature)[208] +|∂µ(B)φ|2 − m2|φ|2 − u|φ|4 ↔ |∂µ(a)ϕ|2 + m2|ϕ|2 − u|ϕ|4 − 1 +4e2 f 2 +µν + 1 +2πǫµνλaµ∂νBλ +(560) +The left hand side of this equivalence is the Lagrangian of the 3D complex scalar field φ and Bµ +is a background electromagnetic gauge field. The right hand side is the Lagrangian of the abelian +Higgs model with a scalar field ϕ and a U(1) gauge field aµ. Notice that the mass terms of the +two sides are inverted reflecting the reverse order of their two phases. This identification also +shows that the current of the scalar field jµ = − i +2(φ∗∂µφ − φ∂µφ∗) is identified as +jµ ↔ 1 +2πǫµνλ∂νaλ +(561) +The field operator of the complex scalar field creates worldlines (as opposed to loops) of charged +particles. In the dual abelian Higgs theory this operator is identified with an operator that creates +a magnetic monopole of the U(1) gauge field aµ with unit magnetic charge. It is easy to see that in +the broken symmetry phase of the abelian Higgs model a monopole-antimonopole pair creation +operator decays exponentially with distance due to the flux expulsion effect (the Meissner effect +of a superconductor). This means that the monopoles are confined with a linear potential. This +is the same behavior of the complex scalar field φ in its symmetric phase where the propagator +of the complex scalar field decays exponentially with distance. Conversely, in the broken sym- +metry phase of the complex scalar field theory, the field operator φ condenses and its propagator +approaches the value |⟨φ⟩|2 at long distances. This is the same behavior one readily finds for the +monopole operator of the abelian Higgs model in the symmetric phase . +11.3. Bosonization in 2+1 dimensions +The particle-vortex duality that we discussed in section 11.2 essentially has been understood +since the 1980s. In section 7.4 we discussed in detail the problem of bosonization in 1+1 dimen- +sions whic is a mapping between a massless Dirac fermion and a massless compactified scalar +field. As we noted, this mapping is a powerful theoretical tool to investigate non-perturbatively +the structure of many theories in 1+1 dimensions of great physical interest. This success has +motivated a sustained effort to extend these concepts to higher dimensions where the problem in +many ways is more subtle. +Fermi systems in dimensions higher differ from the 1+1-dimensional case in two significant +ways. Due to the kinematic restriction of one space dimension a massless relativistic fermion +and a theory of fermions (relativistic or not) at finite density are mostly equivalent to each other. +The reason is quite simple. Consider a free massless Dirac theory in 1+1 dimensions. As we +saw, it is equivalent to a theory of two chiral fermions, the right and left moving component of +the spinor. If we add a chemical potential µ, the right and left moving states will be filled up to +µ, which is the Fermi energy. While in space dimensions d > 1 a finite chemical potential leads +to a finite fermi surface, in d = 1 space dimensions the Fermi “surface” is just two points, for +the right and left moving fermion modes respectively. The Dirac Hamiltonian at finite chemical +potential is +H = ψ†(−i)α∂xψ − µψ†ψ +(562) +109 + +Under a chiral transformation with angle θ(x), the field operators change as ψR → eiθψR and +ψL → e−iθψL and the Hamiltonian becomes +H = ψ†(−i)α∂xψ − (µ − ∂xθ) ψ†ψ +(563) +Clearly if we choose ∂xθ = µ (or, what is the same, θ = µx) the explicit dependence on the +chemical potential has been cancelled and the transformed Dirac Hamiltonian is the same as the +Hamiltonian at zero chemical potential. However under this transformation the mass operators +transform as ¯ψψ → cos(2µx) ¯ψψ and i ¯ψγ5ψ → sin(2µx) i ¯ψγ5. In the non-relativistic context this +change amounts to a modulation of the charge density with wave vector Q = 2pF(µ). +In contrast, in space dimensions d > 1 the massless Dirac system and a system of fermions +at finite density (relativistic or not) are no longer equivalent to each other as the latter system has +a Fermi surface (of co-dimension d − 1) wile the former system does not. This difference has +profound effects on their dynamics: the system of fermions at finite density is, at least in the weak +coupling regime, is expected to be a Fermi liquid (except for an instability to a superconducting +state even for infinitesimal attractive interactions) while the massless Dirac theory is stable as all +local interactions are irrelevant. +11.3.1. Bosonization of the Dirac theory in 2+1 dimensions +We will now turn to the problem of Bose-Fermi mappings in relativistic systems in 2+1 +dimensions. This problem is of great interest both in Condensed Matter Physics and in High +Energy Physics. +Bosonization in 2+1 dimensions is a more subtle problem than in 1+1 dimensions that we +discussed in section 7.4. There we saw, in 1+1 dimensions bosonization consists of a set of +operator identities relating two free field theories, a theory of massless Dirac fermions and a +compactified massless free scalar field φ(x). The success of that program is largely based on the +fact that both theories are massless (and hence are scale and conformally invariant), on the chiral +anomaly, and on the relation between the gauge current of the Dirac theory with the topological +current of the compactified boson. +The physics in 2+1 dimensions (and in general) is very different. For instance, instead of +the chiral anomaly in 2+1 dimensions theories of relativistic fermions have a parity anomaly, +discussed in section 10.1.6. We will also see that although in 2+1 dimensions there are theories +of free massless Dirac fermions and free massless compactified bosons they are no longer dual to +each other. For these and other reasons it has been difficult to extend the bosonization program +to 2+1 dimensions. +One of the first bosonization constructions for a theory of massive (relativistic) Dirac fields +was put forth by Alexander Polyakov in 1988 [168, 167]. For reasons that no longer relevant, +Polyakov considered a theory of CP1 complex scalar fields (in its unbroken phase) coupled to +a U(1)1 Chern-Simons gauge theory. Nevertheless, his main argument, with some corrections +associated with the parity anomaly, still holds correct. +Here we will follow the work of Hart Goldman and myself [343] and consider instead a +theory of a single massive complex field coupled to a U(1)1 Chern-Simons gauge theory whose +Lagrangian density is +L = |Dµ(Aµ)φ|2 − m2|φ|2 − λ|φ|4 + 1 +4πǫµνλA µ∂νA λ +(564) +In essence, this theory is a relativistic version of what we did in section 10.3.7 where we mapped +non-relativistic fermions to (also non-relativistic) bosons whereas here the theory is relativistic +and we are mapping bosons to fermions. In his work Polyakov actually considered the problem +of the propagator of a free massive scalar field coupled to the Chern-Simons gauge field. In this +limit, the propagator G(x, x′) is the transition amplitude from x to x′ (in Minkowski spacetime). +In the case in which φ(x) is a free massive field this propagator can be expressed in the for of a +Feynman path-integral as a sum over all open oriented paths {Px,x′} with endpoints at x and x′ +which in Euclidean spacetime is +Gγ(x,x′) = +� +{Px,x′ } +exp(−mL(Px,x′)) +� +exp +� +i +� +Px,x′ +dzµA µ(z) +� � +U(1)1 +(565) +where the expectation value is over the Chern-Simons gauge fields Aµ of Eq.(564). +110 + +Let us consider now the partition function of the bosons which is a sum over all closed paths +{P}, which we will assume to be non-intersecting (which requires a short distance repulsion) +Z = +� +{P} +exp(−mL(P)) +� +exp(i +� +P +dzµA µ(z)) +� +U(1)1 +(566) +The expectation value is given by +� +exp +� +i +� +P +dzµA µ(z) +� � +U(1)1 = exp +� +−1 +2 +� +P +� +P +dxµdyν⟨Aµ(x)Aν(y) +� +≡ exp(iπW(P)) +(567) +where W(P) is the writhe of the closed path P. The computation of the writhe requires a regu- +larization. One possible regularization is to thicken the path which is equivalent to including a +Maxwell term for the gauge field in the Lagrangian. In general, the writhe of the path P is +W(P) = S L(P) − T(P) +(568) +where S L(P) is an integer-valued topological invariant called the self-linking number and T(P) +is the twist (or torsion) of the path. The twist T(P) is a Berry phase which depends on the +coordinates of the space in which the path P is embedded, and it is not a topological invariant. +We will now compute the Berry phase T(P). Let ˆe(s) be a unit vector tangent to the path +P and where we parametrized the closed path P by a coordinate s ∈ [0, L]. The closed path +P is the boundary of a surface Σ we can take to be a disk. We will write the Berry phase by +extending ˆe(s) smoothly to the interior of Σ as ˆe(s, u), where 0 ≤ u ≤ 1 and ˆe(s, u = 1) = ˆe(s) +and ˆe(s, u = 0) = ˆe0 ≡ constant. With these definition the Berry phase is +T(P) ≡ W(ˆe) = 1 +2π +� L +0 +ds +� 1 +0 +du ˆe · ∂sˆe × ∂uˆe +(569) +which is defined modulo an integer. +In this formulation, in the bosonic theory the amplitude for a path of length L with tangent +vector ˆe(s) with endpoints at x and x′ is +G(x − x′) = +� ∞ +0 +dL +� +D ˆe(s) δ +� +1 − |ˆe|2� +δ +� +x − x′ − +� L +0 +ds ˆe(s) +� +exp(−|m|L ± iπW(ˆe)) (570) +In momentum space we find +G(p) = +� ∞ +0 +dL +� +Dˆe δ(1 − |ˆe|2) exp(−|m|L ± iπ W(ˆe)) exp(ipµ +� L +0 +ds ˆeµ(s)) +(571) +By inspection of Eq.(569) we see that this is the same expression that we looked in the theory of +the path integral for spin in section 4.3.2. for spin S = 1/2 particle in a magnetic field bµ = ±2pµ. +The equation of motion for ˆe is +∂sˆeµ = ±2ǫµνλˆeλ = i[H, ˆeµ] +(572) +where H = ∓pµˆeµ is the Hamiltonian. Upon quantization, ˆeµ satisfies the commutation relations +[ˆeµ, ˆeν] = 2iǫµνλˆeλ +(573) +This means that we should make the identification ˆeµ → σµ where σµ are the three 2 × 2 Pauli +matrices. Up to rescaling of the mass m → M, upon performing the path integral of Eq.(571) we +find that G(P) is the (Euclidean) Dirac propagator [168] +G(p) = +1 +ipµσµ − M +(574) +Using these results the partition function of Eq.(566) becomes +Zfermion = det[i/∂ − M] = +� +DJ δ(∂µJµ) exp �−|m|L[J] − isgn(M)πΦ[J]� +(575) +where Φ[J] = W[J], defined in Eq.(568). +111 + +We will return to this construction shortly below when we include the effects of the parity +anomaly. +Early attempts at deriving a mapping for a theory of Dirac fermions in 2+1 dimensions were +based on their behavior in the presence of gauge fields and the associated parity anomaly, dis- +cussed in section 10.1.6. These early theories are essentially a hydrodynamic description of the +Dirac theory deep in the massive phase. With minor differences, the same results were derived +independently (and simultaneously) by two groups, Fidel Schaposnik and myself [344] and Cliff +Burgess and Francisco Quevedo [345]. This approach was reexamined more recently by A. Chan, +T. Hughes, S. Ryu and myself in 2016 in a derivation of a hydrodynamic effective field theory for +topological insulators in different dimensions [346, 347]. These derivations are similar in spirit +to what we discussed in section 10.3.6 for the fractional quantum Hall effect. We will follow the +approach of Ref.[346] for the special case of a Chern insulator 2+1 dimenxions. +The Dirac theory, in any dimension, is globally gauge invariant. By Noether’s theorem this +means that it has a locally conserved current, jµ = ¯ψγµψ which thus satisfies ∂µ jµ = 0. Here +too, this means that we can write jµ = ǫµνλ∂νbλ, where bµ is a gauge field. We expect that the +effective action of the gauge field bµ should be local, gauge invariant and, in this case, relativistic +invariant. In 2+1 dimensions the effective action should break time reversal invariance and hence +it should have a Chern-Simons term. +We will consider the free massive Dirac theory coupled to a background probe gauge field Aµ. +The Lagrangian is L = ¯ψ(i/(D) − M)ψ, where Dµ = ∂µ + iAµ. As we saw in section 10.1.6, gauge +invariance and locality require that we have an even number of Dirac fermions. Here we will +assume that one of the Dirac fermions is massive and acts as a regulator. The partition function +Z[Aµ] = +� +D ¯ψDψ exp(iS F[ ¯ψ, ψ, Aµ]) +(576) +By definition the expectation value of a product of current operators jµ can be obtained by func- +tional differentiation of the partition function with respect to Aµ. +The partition function is gauge invariant, i.e. +Z[Aµ = Z[Aµ + aµ] +(577) +where the vector field aµ is a pure gauge, aµ = ∂µφ and fµnu = ∂µa − ν − ∂µaµ = 0. Hence, aµ is +said to be flat. Therefore, up to a normalization +Z[Aµ] = +� +D[aµ]pure Z[Aµ + aµ] += +� +Daµ δ(fµν = 0) Z[Aµ + aµ] += +� +DaµDbµ Z[Aµ + aµ] exp +� +− i +2 +� +d3x ǫµνλ bµ fνλ +� +(578) +where in the last equality we introduced a representation of the delta function and the vector field +bµ plays the role of a Lagrange multiplier field. using the invariance of the integration measure +under aµ → aµ − Aµ we find +Z[Aµ] = +� +DaµDbµZ[aµ] exp +� +− i +2 +� +d3x ǫµνλ bµ (fνλ − Fνλ) +� +(579) +where Fµν is the field strength of the external field Aµ. From these identities and by differentiation +of Eq.(579) it follows that a general expectation value of products of currents is +⟨jµ(x) jν(y) . . .⟩ = +δ +δAµ(x) +δ +δAν(y) . . .Z[Aµ] = ⟨ǫµαβ∂αbβ ǫνγδ∂γbδ . . .⟩ +(580) +which means that, at the operator level, we can identify [344] +jµ(x) ⇔ ǫµνλ∂νbλ +(581) +This result is actually general. The only difference is the nature of the field b isn different di- +mensions: in 1+1 is a pseudo-scalar, in 2+1 is a vector (gauge) field, in 3+1 is an anti-symmetric +(Kalb-Ramond) tensor field, etc. +112 + +Returning to the partition function of Eq.(579) we find, using the result of Eq.(324) applied +the partition function Z[aµ], that Z[Aµ] is given by +Z[Amu] = +� +DaµDbµ exp(i +� +d3x Leff[aµ, bµ, Aµ]) +(582) +where the effective Lagrangian is +Leff = −ǫµνλ bµ ∂νaλ + s +4πǫµνλaµ∂νaλ − +1 +4geff +fµν f µν + Aµǫµνλ∂νbλ + . . . +(583) +where fµν = ∂µaν − ∂νaµ. Here s = 1 in the Chern insulator, s = 0 in the trivial insulator and +s = 1/2 at the quantum critical point, and geff an effective coupling constant (with dimensions of +length−1). Here we included the effects of the parity anomaly. We recognize that the first term of +the effective Lagrangian of Eq.(583) is a BF term. +In Ref.[346] a similar result is also derived for a 3+1-dimensional topological insulator. The +main differences are that there is no parity anomaly but an axial anomaly and that the Lagrange +multiplier field is a Kalb-Ramond field, +Leff[aµ, bµν, Aµ] = ǫµνλρ bµν ∂λaρ + +θ +8π2 ǫµνλρ∂µaν∂λaρ − 1 +4g2 fµν f µν + Aµǫµνλρ∂νbλρ + . . . (584) +where θ = π in the topological insulator and θ = 0 in the trivial insulator. +Although these results are correct, they do not give a full bosonization mapping. In particular, +these results do not identify a fixed point for the dual bosonic theory and, along with it, a full +mapping of the observables. Progress on this problem has only been achieved in the past few +years both in the high energy literature [348, 349, 350, 351, 352, 199, 353, 354], and in the +condensed matter physics literature [355, 356, 357, 358, 359]. Much of that new insight was +presented in a 2016 insightful paper by Nathaniel Seiberg, T. Senthil, Chong Wang and Edward +Witten [208]. Many of the dualities are actually conjectures supported by strong consistency +checks. A derivation of the basic bosonization duality based on loop models was constructed by +Hart Goldman and myself [343]. +The basic conjectured bosonization duality is a mapping of a free Dirac fermion to a gauge +complex scalar field with a Chern-Simons term [352, 208]. We can think of the Dirac theory as +either being defined entirely in 2+1 dimensions or as a being defined at the boundary of a non- +trivial 3+1 dimensional topological insulator. In the first scenario we need to take into account +the contribution of the fermionic doublers (this is what happens in the case of a lattice theory) +or as the Pauli-Villars heavy fermionic regulators. In both cases, the additional heavy degrees of +freedom cancel the anomaly of the 2+1-dimensional Dirac fermion, see section 10.1.6. In the +second scenario, there is only one Dirac fermion at the boundary and the bulk θ-term cancels the +anomaly of the boundary theory, see section 10.2.3. With these provisos, the Lagrangian LA of +the free massive (or massless) Dirac fermion in 2+1 dimensions coupled to the electromagnetic +gauge field Aµ is +LA = ¯ψ(i /D(Aµ) − M)ψ − 1 +8πǫµνλAµ∂νAλ +(585) +where M is the Dirac mass. We will call this Theory A. Here /Dµ(A) = γµ(∂µ − iAµ) and Aµ +is a background (non-dynamical) gauge field. The last term in Eq.(585) is the Chern-Simons +term with the 1/2-quantized coefficient, the usual short-hand for the η-invariant term of Eq.(342) +needed to cancel the parity anomaly. +From the effective field theories we discussed above we know that the fermionic current +maps to the curl of a gauge field, see Eq(581). Then, the conjectured bosonic dual is given by the +Lagrangian of Eq(564) with an extra term for the (dual) coupling to the electromagnetic gauge +filed. We will call this Theory B whose Lagrangian LB is +LB = |Dµ(Aµ)φ|2 − m2|φ|2 − λ|φ|4 + 1 +4πǫµνλA µ∂νA λ + 1 +2πǫµνλAµ∂νA λ +(586) +To check the consistence we first observe that both theories are anomaly free. By functional +differentiation of the two partition functions we check that we get the correct mapping for the +fermionic current, jµ ↔ ǫµνλ∂νA λ. This mapping implies that the charge density of Theory A +maps onto the gauge field flux of Theory B, which is electromagnetic duality. We see that this +bosonization is a relativistic version of flux attachment. +113 + +Let us now identify the mapping of the phases of both theories. If the Dirac mass M < 0, +Theory A describes an anomalous quantum Hall insulator. Integrating out the massive fermions +we fund that the effective action for the electromagnetic gauge field Aµ is a U(1)1 Chern-Simons +theory. This means that in this phase σxy = −1/(2π) (in units in which e = ℏ = c = 1). Looking +now at Theory B we see that if m2 > 0, the scalar field is in the unbroken phase, and it is massive. +In this phase we set φ = 0 and find that the low energy resulting theory if just a U(1)1 Chern- +Simons gauge theory coupled to the curl of the electromagnetic field. Upon integrating out the +Aµ gauge field we find that the effective action of Aµ is also a U(1)1 Chern-Simons term, which +implies that σxy = −1/(2π). +Conversely, for M > 0 the effective electromagnetic action of the fermionic theory is a +Maxwell term (the Chern-Simons term canceled). This phase is a trivial insulator. Looking now +at Theory B we see that for m2 < 0 this theory is in its Higgs phase where ⟨φ⟩ � 0 and the gauge +field Aµ now has a mass term, ∝ A 2 +µ . In the low energy limit Aµ → 0, and the Hall conductivity +vanishes, consistent to what is expected from Theory A. +On the other hand, for M = 0 Theory A is at a quantum critical point with a very simple CFT +structure but a non-vanishing Hall conductivity σxy = 1/(4π). It is natural to map this CFT to +a Wilson-Fisher (WF) fixed point of Theory B. At the WF one sets the (renormalized!) mass +m2 +R = 0 (not the bare mass). In the absence of the Chern-Simons gauge field this WF fixed point +in well understood form high quality (five loop!) epsilon expansion calculations (enhanced with +Borel resummation) [49], and by more recent numerical Conformal Bootstrap methods [360]. +However, not much is known of the gauged version of the CFT of Theory B since it cannot +be accessed by either methods. If the mapping to Theory A is correct it should have a Hall +conductivity of σxy = 1/(4π). This conjectured value hast not yet been confirmed. +Consider now a monopole operator of the gauge field Aµ of Theory B. We will denote this +operator MA . The Chern-Simons term is not gauge invariant in a monopole background. To put +it differently it has charge 1 under the Chern-Simons gauge field Aµ. It also has charge 1 under +the electromagnetic field Aµ. Likewise the scalar field φ has charge 1 under the Chern-Simons +gauge field Aµ. The operator φ†MA is gauge-invariant under the Chern-Simons gauge field Aµ +(i.e. it has charge 0). This composite operator has electromagnetic charge 1 (which it inherited +from the monopole). Moreover, it has spin-1/2 required by the Wu-Yang construction [151]. +In other words, the operator φ†MA has the same quantum numbers as the Dirac fermion and +are identified by this conjecture. Notice, however, that the free massless Dirac field has scaling +dimension ∆ψ = 1 in 2+1 dimensions. The conjecture implies the composite operator φ†MA +should also have scaling dimensions 1 at the (gauged) WF fixed point of Theory B. Many of these +conjectures have been verified in non-abelian versions of Theory A and Theory B: a theory of +free massless Dirac fermions coupled to a Chern-Simons gauge theory with gauge group SU(N)k +and a theory of complex scalars coupled to a non-abelian Chern-Simons gauge theory with gauge +group SU(k)N, both in the limits N → ∞ and k → ∞ with N/k fixed [348, 349, 350, 351, 352]. +The particle-vortex duality discussed in section 11.2 combined with the fermion-vortex du- +ality we sketched here provide a web of dualities. These identifications constitute a powerful +non-perturbative tool which has led to many significant developments. For instance, Goldman +and myself [361] used the web of dualities to explain the experimentally observed self-duality +at fractional quantum Hall plateau transitions, which was a long standing puzzle. It has also +provided a powerful new tool to derive effective field theories of non-abelian fractional quantum +Hall states [301] and even to propose novel states with a single (Fibonacci) anyon [303]. +11.3.2. Bosonization of the Fermi Surface +A form of bosonization has been developed for the case of systems of fermions with a Fermi +surface. Dense Fermi systems at sufficiently weak coupling are well described by the Landau +theory of the Fermi liquid [13, 3, 194, 260, 259]. In this regime, the system of fermions has a +collective mode, a bound state of particles and holes, which at long wavelengths is well described +by the random phase approximation (RPA) [362]. However, in space dimensions d > 1 there is no +kinematical restriction and quasi-particles and quasi-holes may move in their separate ways. The +result is that, in addition to the collective modes, there is a low-energy spectrum of renormalized +but essentially free quasi-particles. Because of the existence of this quasi-particle spectrum the +collective modes generally (but not always) decay into particle-hole pairs resulting in a finite +lifetime of the collective modes. +Superficially the particle-hole collective modes are similar to the scalar field of the bosonized +theory in d = 1. To an extent it has been possible to “bosonize the Fermi surface” and to treat it +as a quantum mechanical object [363, 364, 365, 366, 367, 368]. In this approach one essentially +114 + +regards each direction normal to the Fermi surface as a one-dimensionalchiral fermion, including +the current algebra structure, subject to global constraints that cancels the anomalies. This point +of view ensures that the total fermion number in the Fermi sea is conserved. Here I will only +present a short summary of the main ideas. +As in the one-dimensional case one defines a filled Fermi sea state |FS⟩. This is a state of non- +interacting fermions filling up all one-particle states up to the Fermi energy EF. For concreteness +we consider a system in two space dimensions. In this case, neglecting lattice effects, the Fermi +surface is a circumference of radius pF, the Fermi momentum. At fixed fermion number, the +excitations are particle-hole pairs. The operator nk(q) = c†(k+ q +2) c(k− q +2) creates a particle-hole +pair with relative momentum q with total momentum k. In the low energy regime k is a point on +the Fermi surface (with |k| = pF) and q is small momentum compared with pF. In what follows +we will label the point k on the Fermi surface by the angle θ of the arc spanned by k and an +arbitrary origin on the Fermi surface. +We will normal-order the particle-hole creation operator with respect to the filled Fermi sea +and define δ(q, θ) =: nk(q) := nk(q) − ⟨FS|nk(q)|FS⟩. Haldane [363], Houghton and Marston +[364, 367], and Castro Neto and Fradkin [365, 366] showed that in real space that these normal +ordered density operators obey the equal-time commutation relations +[δn(x, θ), δn(x′, θ′)] = − 1 +2π kF(θ) · ▽δ2(x − x′)δ(θ − θ′) +(587) +where kF(θ) is a unit vector normal to the Fermi surface at angle θ. This is the algebra of the +quantum fluctuations of the Fermi surface. We can further define at each point θ on the Fermi +surface a Bose field ϕ(x, θ) such that +δn(x, θ) = N(0)�F(θ) · ▽ϕ(x, θ) +(588) +where N(0) is the density of one-particle states at the Fermi surface and �F(θ) is the Fermi veloc- +ity at the location θ. The scalar field ϕ(x, θ) is a chiral boson at θ which parametrizes the quantum +fluctuations of the Fermi surface. The quantum dynamics of the chiral bosons ϕ(x, θ) is governed +by the action +S =1 +2N(0) +� 2π +0 +dθ +2π +� +d2x dt +� +−∂tϕ(x, θ) �F(θ) · ▽ϕ(x, θ) − (�F(θ) · ▽ϕ(x, θ))2� ++1 +2N(0) +� 2π +0 +dθ +2π +� 2π +0 +dθ′ +2π +� +d2x d2x′ dt F(x − x′; θ − θ′) �F(θ) · ▽ϕ(x, θ) �F(θ′) · ▽ϕ(x, θ′) +(589) +where x = (x, t), and F(x−x′; θ−θ′) are the Fermi liquid parameters that parametrize the effective +forward scattering interactions among the fermion quasiparticles on the Fermi surface [13]. The +equation of motion predicted by this (quadratic) action is equivalent to the linearized quantum +Boltzmann equation familiar from the Landau theory of the Fermi liquid. A non-linear extension +has been introduced recently by Delacr´etaz and coworkers [368]. Recent work on the role of +quantum anomalies in dense Fermi systems has yielded new insights on these problems [369]. +In the regime, where the Landau theory of the Fermi liquid is expected to work [13], bosoniza- +tion of the Fermi surface approach has reproduced the previously known results. There remain +many open problems in this approach (and others) in the vicinity of quantum phase transitions. In +spite of intense research using many different approaches, quantum phase transitions in metallic +systems are not yet fully understood beyond perturbation theory [255, 256]. Non-perturbative +ideas such as deconfined quantum criticality have been proposed [370] and significant work has +been done using large-N methods [371, 372]. A particularly important metallic quantum phase +transition (and perhaps the simplest) occurs near the Pomeranchuk instability of the fermi liquid. +A quantum phase transition to an electron nematic state [373] has been predicted and studied +within the Hertz-Millis approach. It has also been studied using higher dimensional bosoniza- +tion [373, 374, 375]. Quantum Monte Carlo simulations [376] have shown that the vicinity +of a nematic quantum critical point can trigger a superconducting state. Nematic Fermi fluids +have been found in many physical systems of interest ranging from high temperature supercon- +ductors (such as cuprates and iron superconductors), to electron gases in large magnetic fields +[377, 378, 379, 380]. +115 + +12. Conclusions +In this chapter I have attempted to cover the role of Quantum Field Theory in modern Con- +densed Matter Physics. Its role and influence is vast and deep. In spite of the length of this +chapter, I have not done justice to its role in many important areas of Condensed Matter. In +particular, I have not touched on the the theory of quantum spin liquids, fractons, and particu- +larly topological phases in three space dimensions, among others. An area in which the ideas +and concepts of QFT have a huge impact , both conceptually and as a tool, is on the problem of +quantum entanglement. The concept of quantum entanglement as applied to condensed matter +systems, both in equilibrium and out of equilibrium, is a major area of current development. It +has become a crucial tool for characterizing systems at quantum criticality as well as topological +phases of matter. Nevertheless, I hope that the reader will find this chapter both insightful and a +useful resource. +Acknowledgments +This work was supported in part by the US National Science Foundation through grant No. +DMR 1725401 at the University of Illinois. +References +[1] J. R. 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Schmalian, Intertwined Vestigial Order in Quantum Materials: Nematicity and +Beyond, Annual Review of Condensed Matter Physics 10 (2019) 133–154. +125 + diff --git a/0dFQT4oBgHgl3EQfDjUj/content/tmp_files/load_file.txt b/0dFQT4oBgHgl3EQfDjUj/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..036197db149f8ebd36a046a6ee3aeb4af1ad0da2 --- /dev/null +++ b/0dFQT4oBgHgl3EQfDjUj/content/tmp_files/load_file.txt @@ -0,0 +1,7820 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf,len=7819 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='13234v1 [cond-mat.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='str-el] 30 Jan 2023 Field Theoretic Aspects of Condensed Matter Physics: An Overview⋆ Eduardo Fradkin Department of Physics and Institute for Condensed Matter Theory, University of Illinois at Urbana-Champaign, 1110 West Green St, Urbana Illinois 61801-3080, U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Abstract In this chapter I discuss the impact of concepts of Quantum Field Theory in modern Condensed Physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Although the interplay between these two areas is certainly not new, the impact and mutual cross-fertilization has certainly grown enormously with time, and quantum Field Theory has become a central conceptual tool in Condensed Matter Physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this chapter I cover how these ideas and tools have influenced our understanding of phase transitions, both classical and quantum, as well as topological phases of matter, and dualities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Keywords: Contents 1 Introduction 3 2 Early Years: Feynman Diagrams and Correlation Functions 3 3 Critical Phenomena 4 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1 Classical Critical Phenomena .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2 Landau-Ginzburg Theory .' metadata={'source': 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through grant No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' DMR 1725401 at the Uni- versity of Illinois.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Preprint submitted to Encyclopedia of Condensed Matter Physics 2e February 1, 2023 6 Duality in Ising Models 27 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1 Duality in the 2D Ising Model .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 68 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3 Theta terms, and Domain walls: Anomaly and the Callan-Harvey Effect .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 71 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3 Chern-Simons Gauge Theory and The Fractional Quantum Hall Effect .' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1 Landau levels and the Integer Hall effect .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 110 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2 Bosonization of the Fermi Surface .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 114 12 Conclusions 116 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Introduction Many (if not most) puzzling problems in Condensed Matter Physics involve systems with a macroscopically large number of degrees of freedom often in regimes of large fluctuations, thermal and/or quantum mechanical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The description of the physics of systems of this type requires the framework provided by Quantum Field Theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Although quantum field theory has its origins in high-energy physics, notably in the development of Quantum Electrodynamics, it has found a nurturing home in Condensed Matter Physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' There is a long history of of cross-fertilization between both fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since the 1950’s in many of the most significant developments in Condensed Matter Physics, Quantum Field Theory has played a key role if not in the original development but certainly in the eventual understanding the meaning and the further development of the discoveries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' As a result, many of the discoveries and concepts developed in Condensed Matter have had a reciprocal impact in Quantum Field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' One can already see this interplay in the development of the Bardeen-Cooper-Schrieffer theory of superconductivity [1] and its implications in the theory of dynamical symmetry breaking in particle physics by Nambu [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The close and vibrant relationship between both fields has continued to these days, and it is even stronger today than before.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Many textbooks have been devoted to teaching these ideas and concepts to new generations of condensed matter physicists (and field theorists as well).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The earlier texts focused on Green functions which are computed in perturbation theory using Feynman diagrams [3] [4] [5], while the more modern ones have a broader scope, use path integrals and attack non-perturbative problems [6, 7] [8] [9, 10] [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In two recent books I have discussed many aspects of the interrelation between condensed matter physics and quantum field theory in more depth than I can do in this chapter [9, 10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Early Years: Feynman Diagrams and Correlation Functions Quantum field theory played a key role in the development of the Theory of the Fermi Liquid [12, 13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The theory of the Fermi liquid was first formulated by Landau using the framework of hydrodynamics and the quantum Boltzmann equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Landau’s ideas were later given a micro- scopic basis using Green functions and Feynman diagrams [3], including the effects of quantum fluctuations at finite temperature and non-equilibrium behavior [14, 15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Linear response theory was developed which allowed the computation of response functions (such as electrical conduc- tivities and magnetic susceptibilities) from the computation of correlation functions for a given microscopic theory [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In turn, correlation functions can be computed in terms of a set of Feyn- man diagrams.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These concepts and tools borrowed many concepts from field theory including the study of the analytic structure of the generalized susceptibilities and the associated spectral functions (together with the use of dispersion relations).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These developments led to the deriva- tion of the fluctuation-dissipation theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These ideas were widely applied to metals [13] and superconductors [1], as well as to quantum magnets [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The spectrum of an interacting system has low energy excitations characterized by a set of quantum numbers associated with the symmetries of the theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These low energy excitations are known as quasiparticles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the case of the Landau theory of the Fermi liquid the quasiparticle is a “dressed” electron: it is a low energy excitation with the same quantum numbers (charge and spin) and an electron but with a renormalized effective mass.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' There are many such quasiparticles in condensed matter physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The correlation functions (the propagators) of a physical system has a specific analytic structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In momentum (and frequency) space, the quasiparticle spectrum is given by the poles of the correlators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The role of symmetries and, in particular of gauge invariance, in the structure of correlation functions was investigated extensively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A direct consequence of symmetries is the existence of Ward identities which must be satisfied by all the correlation functions of the theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Ward iden- tities are exact relations that relate different correlation functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Such identities contain a host of important results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For example, in a theory with a globally conserved charge, the Hamiltonian (and the action) have a global U(1) symmetry associated with the transformation of the local field operator φ(x) (which can be fermionic or bosonic) to a new field φ′(x) = eiθφ(x) (where θ is a constant phase).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Theories with a global continuous symmetry have a locally conserved current (and satisfy a continuity equation).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Ward identity requires the correlators of these currents (and densities) to be be transverse (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' they should have vanishing divergence).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the absence of so-called quantum anomalies (which we will discuss below) global symmetries can be made local and become gauge symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3 In many circumstances a global symmetry can be spontaneously broken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' If the global sym- metry is continuous, then the Ward identities imply the existence of gapless excitations known as Goldstone bosons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For example in the case of a superfluid, which has a spontaneously broken U(1) symmetry the Goldstone boson is the gapless phase mode.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Instead, a the N´eel phase of a quantum antiferromagnet has two gapless Goldstone bosons, the magnons of the spontaneously broken SO(3) global symmetry of this state of matter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Another example is the Ward identity of quantum electrodynamics, which relates the electron self-energy to the electron-photon vertex function, which also holds in non-relativistic electron fluids.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In addition, these identities implied the existence of sum rules that the spectral functions must satisfy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' All of these results became part of the standard toolkit of condensed matter experimentalists in analyzing their data and for the- orists to make predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Ward identities and sum rules also imply restrictions on the allowed approximations which are often needed to obtain predictions from a microscopic model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Critical Phenomena 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Classical Critical Phenomena The late 1960s and particularly 1970s brought about an intense back and forth between con- densed matter physics and field theory in the context of the problem of classical critical phenom- ena and phase transitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This was going to become a profound revolution on the description of macroscopic physical systems with large-scale fluctuations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The problem of continuous (“sec- ond order”) phase transitions has a long history going back to the work of Landau [18, 19] who introduced the concept of an order parameter field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This turned out to be a powerful concept of broad applicability in many physical systems sometimes quite different from each other at the microscopic level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A simple example is that of a ferromagnet with uniaxial anisotropy in which the spins of the atoms in a crystal are strongly favored to be aligned (or anti-aligned) along certain directions of the crystal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The simplest microscopic model for this problem is the Ising model, a spin system in which the individual spins are allowed to take only two values, σ = ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The partition function of the Ising model (in any dimension) is Z = � [σ] exp \uf8eb\uf8ec\uf8ec\uf8ec\uf8ec\uf8ec\uf8ec\uf8ed− J T � ⟨r,r′⟩ σ(r)σ(r′) \uf8f6\uf8f7\uf8f7\uf8f7\uf8f7\uf8f7\uf8f7\uf8f8 (1) where J is the exchange coupling constant and T is the temperature (measured in energy units);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' here [σ] denotes the sume over the 2N spin configurations (for a lattice with N sites), and ⟨r, r′⟩ are nearest neighbor sites of the lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The order parameter of the Ising model is the local mag- netization ⟨σ(r)⟨ which, in the case of a ferromagnet, is uniform.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The partition function of the Ising model can be computed trivially in one dimension.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The solution of the two-dimensional Ising model by Onsager constituted a tour-de-force in theoretical physics [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Its actual meaning remained obscure for some time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The work of Schultz, Mattis and Lieb [21] evinced a deep con- nection between Onsager’s solution and the problem if the spectrum of one-dimensional quantum spin chains [22] (specifically the one-dimensional Ising model in a transverse field [23]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' One important result was that the Ising model was in fact a theory of (free) fermions which, crudely speaking, represented the configurations of domain walls of the magnet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, even this sim- ple model cannot be solved exactly in general dimension, and approximate mean field theories of various sorts were devised over time to understand its physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Landau-Ginzburg Theory Landau’s approach assumed that close enough to a phase transition, the important spin con- figurations are those for which the local magnetization varies slowly on lattice scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this picture the local magnetization, on long enough length scales, becomes an order parameter field that takes values on the real numbers, and can be positive of negative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Thus, the order parameter field is effectively the average of local magnetizations on some scale large compared to the lattice scale, which we will denote by a real field φ(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The thermodynamics properties of a system of this type in d dimensions can be described in terms of a free energy F[φ] = � ddx �κ 2 (▽φ(x))2 + a(T − Tc)φ2(x) + uφ4(x) + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' � (2) 4 which is known as the Ginzburg-Landaufree energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here κ is the stiffness of the order parameter field, Tc is the (mean-field) critical temperature;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' a and u are two (positive) constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This expression make sense if the transition is continuous and hence that the order parameter is small near the transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The energy of the Ising model is invariant under the global symmetry [σ] �→ [−σ].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This is the symmetry of the group Z2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Likewise, the Ginzburg-Landau free energy has the global (discrete) symmetry [φ(x)] �→ [−φ(x)], and also has a Z2 global symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Landau’s approach, which was a mean field theory, the equilibrium state is the global minimum of this free energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The nature of the equilibrium state depends on whether T > Tc or T < Tc: for T > Tc the global minimum is the trivial configuration, ¯φ(x) = 0 (this is the paramagnetic state), whereas for T < Tc the equilibrium state is two fold degenerate, ¯φ(x) = ±(a(Tc − T)/2)β, with the two degenerate states being related by the Z2 symmetry (this is the ferromagnetic state).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the Landau theory the critical exponent of the magnetization is β = 1/2 and the critical exponent of the correlation length is ν = 1/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, in the case of the 2D Ising model the order parameter exponent is β = 1/8 [24] and the correlation length exponent is ν = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These (and other) apparent discrepancies led many theorists for much of the 1960s believe that each model was different and that these behaviors reflected microscopic differences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In addition, Landau’s theory was regarded as phenomenological and believed to be of questionable validity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Renormalization Group This situation was to change with the development of the Renormalization Group, due pri- marily to the work of Leo P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Kadanoff [25, 26, 27] and Kenneth G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wilson [28, 29, 30, 31, 32, 33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The renormalization Group was going to have (and still has) a profound effect both in Condensed Matter Physics and in Quantum Field Theory (and beyond).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Scaling Several phenomenological theories were proposed in the 1960s to describe the singular be- havior of physical observables near a continuous phase transition [34, 35, 36].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These early works argued that in order to explain the singular behavior of the observables the free energy density had to have a singular part which should be a homogeneous function of the temperature, mag- netic field, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A function f(x) is homogeneous if it satisfies the property that it transforms irreducibly under dilations, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' f(λx) = λk f(x), there λ is a real positive number (a scale) and k is called the degree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These heuristic ideas then implied that the critical exponents should obey several identities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In 1966 Kadanoff wrote and insightful paper in which he showed that the ho- mogeneity hypothesis implied that in that regime these systems should obey scaling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' He showed that this can be justified by performing a sequence of block-spin transformations in which the configurations that vary rapidly at the lattice scale a become averaged at the scale of a larger sized block of length scale ba > a which resulted in a renormalization of the coupling constants from {K} at scale a to {K′} at the new scale ba [25, 27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In other words, the block spin transformation amounts to a scale transformation and a renormalization of the couplings (and operators).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' From this condensed matter/statistical physics perspective the important physics is in the long distance (“infrared”) behavior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A significant consequence of these ideas was that close enough to a critical point, if the distance |x − y| between two local observables O(x) and O(y) is large compared to the lattice spacing a but small compared to the correlation length ξ, their correlation function takes the form of a power law ⟨O(x)O(y)⟩ ∼ const.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' |x − y|2∆O (3) where ∆O is a positive real number known as the scaling dimension of the operator O [34, 25, 37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These conjectures were known to be satisfied in the non-trivial case of the 2D Ising model [26], as well as in the Landau-Ginzburg theory once the effects of Gaussian fluctuations were included [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For example, in the 2D Ising model, the scaling dimensions of the local magnetization σ is ∆σ = 1/8 and of the energy density ε is ∆ε = 1, which were sufficient to explain all the singular behaviors known at that time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The concept of renormalization actually originated earlier in quantum field theory as part of the development of Quantum Electrodynamics (QED).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In QED the notion of renormaliza- tion was used to “hide” the short distance (“ultraviolet”) divergencies of the Feynman diagrams needed to compute physical processes involving electrons (and positrons) and photons, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' their strong, divergent, dependence of an artificially introduced short-distance cutoff or regulator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In particular the sum of the leading diagrams that enter in the electron-photon vertex amounted to 5 a redefinition (renormalization) of the coupling constant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It was observed by Murray Gell-Mann and Francis Low that this renormalization was equivalent to the solution of a first order differ- ential equation that governed the infinitesimal change of the coupling, the fine structure constant α = e2/4π, under an infinitesimal change of the UV cutoff Λ [38] Λ dα dΛ ≡ β(α) = 2 3πα2 + O(α3) (4) where β(α) is the Gell-Mann-Low beta function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Except for the work by Nikolai Bogoliubov and coworkers [39], this reinterpretation by Gell-Mann and Low was not actively pursued, partly because it predicted that the renormalized coupling became very large at short distances, α → ∞, and, conversely, it vanished in the deep long distance regime, α → 0 (if the electron bare mass is zero).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In other terms, QED is strongly coupled in the UV and trivial in the IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The same behavior was found in the case of the theory of a scalar field φ(x) with an φ4 interaction which is relevant in the theory of phase transitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In addition to these puzzles, the1960s saw the experimental development of the physics of hadrons which involve strong interactions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For these reasons, for much of that decade most high-energy theorists had largely abandoned the use of quantum field theory, and explored other, phenomenologically motivated, approaches (which led to an early version of string theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=') At any rate the notion that the physics may depend on the scale was present as was the notion that in some regimes field theories may exhibit scale-invariance at least in an approximate form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Operator Product Expansion The next stage of the development of these ideas was the concept of the operator product expansion (OPE).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' If we denote by {O j(x)} the set of all possible local operators in a theory (a field theory or a statistical mechanical system near criticality), then the product of two observables on this list closer to each other than to any other observable (and to the correlation length ξ) obeys the expansion lim x→y O j(x)Ok(y) = lim x→y � l C jkl |x − y|∆j+∆k−∆l Ol � x + y 2 � (5) where this equation should be understood as a weak identity, valid inside an expectation value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Remarkably, this concept was derived independently and simultaneously by Leo Kadanoff [40] (who was working in critical phenomena), by Kenneth Wilson [41] (who was interested in the short distance singularities arising in Feynman diagrams), and by Alexander Polyakov [42, 43] (also working in critical phenomena).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (5) {∆j} are the scaling dimensions of the operators {O j}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The coefficients C jkl are (like the dimensions) universal numbers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In a follow up paper Polyakov showed that if the theory has conformal invariance, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' scale invariance augmented by conformal transformations which preserve angles, then, provided the operators O j are suitably normalized, the coefficients C jkl of the OPE are determined by a three point correlator ⟨O j(x)Ok(y)Ol(z)⟩ = C jkl |x − y|∆jk|y − z|∆kl|z − x|∆l j (6) where ∆jk = ∆j + ∆k − ∆l.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These results constitute the beginnings of Conformal Field Theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In a nontrivial check, Kadanoff and Ceva showed that the OPE holds for the local observables of the 2D Ising model [44].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Fixed Points The next and crucial step in the development of the renormalization Group was made by Kenneth Wilson.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wilson was a high-energy theorist who wanted to know how to properly define a quantum field theory and the physical meaning of renormalization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In a Lorentz invariant quantum field theory one is interested in the computation of the ex- pectation value of time-ordered operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the case of a self-interacting scalar field φ(x) in D-dimensional Euclidean space-time, obtained by analytic continuation from Minkowski space- time to imaginary time, the observables are computed from the functional (or path) integral by functional differentiation of the partition function Z = � Dφ exp � −S (φ, ∂µφ) + � dDx J(x)φ(x) � (7) 6 with respect to the local sources J(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For a scalar field the Euclidean action is S = � dDx �1 2(∂µφ(x))2 + m2 2 φ2(x) + λ 4!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='φ4(x) � (8) which has the same form as the free energy of the Landau-Ginzburg theory of phase transitions shown in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='(2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It is apparent that the Landau-Ginzburg theory is the classical limit of the theory of the scalar field whose partition function is a sum over all histories of the field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It is easy to see that en expansion of the partition function (or of a correlator) in powers of the the coupling constant λ can be cast in the form of a sum of Feynman diagrams.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To lowest order in λ a typical Feynman diagram involves a one-loop integral in momentum space of the form I(p) = � dDq (2π)D 1 (q2 + m2)((q − p)2 + m2) (9) As noted by Wilson in his Nobel Lecture [33],' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' this integral has large contributions from the IR region of small momenta q ∼ 0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' but for any dimension D ≥ 4 has a much larger contribution form large the UV region of large momenta,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' which requires the introduction of a UV cutoff Λ in momentum space (or a lattice spacing a in real space by defining the theory on a hypercubic lattice).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In quantum field theory one then has to require that somehow one takes the limit a → 0 (or Λ → ∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To take this limit in the field theory is very much analogous to the definition of a conventional integral in terms of a limit of a Riemann sum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The difference is that this is a functional integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' While for a function of bounded variation in a finite interval (a, b) the limit of a partition of the interval into N steps each of length ∆x, such that N∆x = b − a, exists and defines the integral of the function lim ∆x→0 lim N→∞ N � j=1 f(x j)∆x j = � b a dx f(x), (10) the analogous statement does not obviously exists in general for a functional integral, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' an integral over a space of functions which is what is required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In fact, although thousands of integrals of a function are known to exist, there are extremely few examples for a functional integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Moreover, in order to take the continuum limit the lattice spacing must approach zero, a → 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This means that physical scales, such as the correlation length ξ, must diverge in lattice units so that they can be fixed in physical units.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' But to do that one has to be asymptotically close to a continuous phase transition!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Hence, the problem of defining a quantum field theory is equivalent to the problem of critical phenomena at a continuous phase transition!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wilson gave a systematic formulation to the Renormalization Group by generalizing the ear- lier ideas introduced by Kadanoff and the earlier work by Gell-Mann and Low.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wilson’s key contribution was the introduction of the concept of a fixed point of the Renormalization Group transformation [28, 29, 30, 31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' As we saw, the block-spin transformation is a procedure for coarse graining the degrees of freedom of a physical system resulting in a renormalization of the coupling constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Upon the repeated action of the RG transformation its effect can be pictured as a flow in the space of coupling constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, in addition of integrating-out short dis- tance degrees of freedom one needs to restore the units of length which have changed under that process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This requires a rescaling of lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Once this is done, Wilson showed that the resulting RG flows necessarily have fixed points, special values of the couplings which are invariant (fixed) under the action of the RG transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' He then deduced that at a fixed point the theory has no scales, aside from the linear size L of the system and the microscopic UV cutoff (the lattice spacing a in a spin system).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This analysis means that for length scales long compared to a → 0 but short compared to L → ∞ the theory acquired a new, emergent, symmetry: scale invariance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Therefore, at a fixed point the correlators of all local observables must be homogeneous functions (hence, must scale).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Universality A crucial consequence of the concept if the fixed point is that phase transitions can be clas- sified into universality classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Universality means that a large class of physical systems with different microscopic properties have fixed points with the same properties, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' the same scaling dimensions, operator product expansions and correlation functions at long distances independent on how they are defined microscopically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Although the renormalization group transformation is a transformation scheme that we define and, because of that the location in coupling constant 7 space of the fixed point itself does depends on the scheme we choose, its universal properties are the same.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Thus, universality classes depend only on features such as the space (and spacetime) dimension and the global symmetries of the system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' But the systems themselves may be quite different.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This we speak if the Ising universality class in 2D, on the superfluid (or XY) transi- tion class in 3D, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This concept, which originated in the theory of phase transition, has been adopted and generalized in the development of conformal field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' RG flows Combined with the condition that the correlators decay at long separations, homogeneity implies that the correlators must have the form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='(3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In addition, this equation also implies that at a fixed point the operators (the local observables) have certain scaling dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let us consider a theory close to a fixed point whose action we will denote by S ∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let {O j(x)} be a complete set of local observables whose scaling dimensions are {∆j}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The total action of the theory close to the fixed point then can be expanded as a linear combination of the operators with dimensionless coupling constants {g j} S = S ∗ + � dDx � j g ja∆j−DO j(x) (11) Under a change of length scale x → x′ = bx, with b > 1, the operators (which must transform homogeneously)change as O j(bx) = b−∆jO j(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since the phase space changes as dDx′ = bDddx, we can keep the form of the action provided the coupling constants also change to compensate for these changes as g′ j = bD−∆jg j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let b = |x′|/|x| = 1+da/a, where da is an infinitesimal change of the UV cutoff a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Then, if we integrate-out the degrees of freedom in the range a < |x| < a+da, the rate of change of the coupling constants {g j} under this rescaling is adg j da ≡ β(g j) = (D − ∆j)g j + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (12) which we recognize as a Gell-Mann Low beta function for each coupling constant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This result says that if the scaling dimension ∆j < D, then the renormalized coupling will increase as we increase the length scale, g′ j > g j, and along this direction in coupling constant space the RG flows away from the fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Conversely, if ∆j > D the renormalized coupling flows to smaller values, g′ j < g j and the RG flows into the fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We then say that an operator is relevant if its scaling dimension satisfies ∆j < D, and that it is irrelevant if ∆j > D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' If ∆j = D then we say that operator is marginal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To go beyond this simple dimensional analysis one has to include the effects of fluctuations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To lowest orders in the couplings one finds [45] adg j da = (D − ∆j)g j + � k,l C jkl gkgl + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (13) where {C jkl} are the coefficients of the OPE shown in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='(6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This expression is the general form of a perturbative renormalization group and it is valid close enough to a fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wilson and Fisher [30] used a similar approach to analyze how fluctuations alter the results of the Landau-Ginzburg theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' They considered the partition function of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (7) with the action of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='(8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Instead of working in real space they considered the problem in momentum space and partitioned the field configurations into slow and fast modes φ(x) = φ<(x) + φ>(x) (14) where φ>(x) are configurations whose Fourier components have momenta in the range bΛ < |p| < Λ, where Λ is a UV momentum cutoff and b < 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Hence, if we choose b → 1, the fast modes φ > (x) have components in a thin momentum shell near the UV cutoff Λ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Conversely, the slow modes φ<(x) have momenta in the range 0 ≤ |p| < bΛ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' One can then use Feynman diagrams to integrate out the fast modes and derive an effective low-energy action with renormalized couplings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the case of a free field theory (with λ = 0) the scaling dimension of the φ4 operator is ∆4 = 2(D − 2) whereas the φ2 operator has dimension ∆2 = D − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Upon defining a dimensionless mass and coupling constant by m2 = tΛ2 and λ = gΛ4−D, the beta functions are found to be [10] β(t) = − Λ dt dΛ = 2t + g 2 − gt 2 + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (15) β(g) = − Λ dg dΛ = (4 − D)g − 3 2g2 + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (16) 8 (where we absorbed an uninteresting factor if the definition of the coupling constant).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The RG flows of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (16) show that the free-field (Gaussian) fixed point at g = 0 is stable for D > 4 and the asymptotic IR behavior is the same as predicted by the Landau-Ginzburg theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, for D < 4, the free-field fixed point becomes unstable and a new fixed point arises at g∗ = 2 3ǫ + O(ǫ2), where we have set ǫ = 4 − D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This is the Wilson-Fisher fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' At this fixed point the correlation length diverges with an exponent ν = 1 2 + ǫ 12 + O(ǫ2), which deviates from the predictions of the Landau-Ginzburg theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The small parameter of this expansion is ǫ, and this is known as the ǫ expansion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Wilson-Fisher (WF) fixed point is an example of a non-trivial fixed point at which the correlation length is divergent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It has only one relevant operator, the mass term, which in the IR flows into the symmetric phase for t > 0 and flows to the broken symmetry for t < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Conversely, in the UV it flows into the WF fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For these reasons condensed matter physicists say that this is an IR unstable (or critical) fixed point while high-energy physicists say that it is the UV fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' At this fixed point a non-trivial field theory can be defined with non-trivial interactions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' UV fixed points also define examples of what in high-energy physics are called renormalizable field theories and can be used to define a continuum field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The D = 4-dimensional theory is special in that the φ4 operator is marginal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' As can be seen in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (16), at D = 4 the beta function for the dimensionless coupling constant g does not have a linear term and is quadratic in g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this case the operator is marginally irrelevant, and its beta function has the same behavior as the beta function of Gell-Mann and Low for QED.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Such theories are said to have a “triviality problem” since, up to logarithmic corrections to scaling, there are no interactions in the IR and, conversely, become large in the UV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' There are also fixed points at which the correlation length ξ → 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These fixed points are IR stable (and in a sense trivial).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These stable fixed points are sinks of the IR RG flows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Such fixed points define stable phases of matter, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' the broken symmetry state, the symmetric (or unbroken state), etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However in the UV they are unstable and in high-energy physics such fixed points correspond to non-renormalizable field theories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' More sophisticated methods are needed to go beyond the lowest order beta functions of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (13), and the computation of critical exponents beyond the leading non-trivial order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Pos- sibly the record high-precision calculations have been done for φ4 theory for which the beta function is know to O(ǫ5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This has been achieved using the method of dimensional regulariza- tion [46, 47, 48] (with minimal subtraction).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Special resummation methods (Borel-Pad´e) have been used to do these calculations in D = 3 dimensions [49].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Remarkably, these results are so precise that in the case of the superfluid transition, which is well described by a φ4 theory with a complex field, the results could only be tested in the microgravity environment of the International Space Station!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Asymptotic Freedom There are several physical systems systems of great interest whose beta function has the form β(g) = Ag2 + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (17) The coupling constant has a different interpretation in each theory and the constant A > 0, opposite to the sign of the beta function found in QED and φ4 theory in D = 4 dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This beta function means that while the associated operator is marginal, with this sign is actually marginally relevant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This also means that the fixed point is unstable in the IR but the departure from the fixed point is logarithmically small.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Conversely, the in the UV the RG flows into the fixed point and the effective constant is weak at short distances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This is the origin of the term asymptotic freedom [50].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The paradigmatic examples of theories with a beta function of this form are the Kondo problem, the 2D non-linear sigma model, and the D = 4 dimensional Yang- Mills non-abelian gauge theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Kondo problem is the theory of a localized spin-1/2 degree of freedom in a metal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' the electrons of the metal couple to this quantum impurity through an exchange interaction of the impurity and the magnetic moment density of the mobile electrons in the metal with coupling constant J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This problem is actually one dimensional since only the s wave channel of the mobile (conduction band) electrons actually couple to the localized impurity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In 1970 Philip Anderson developed a theory of the Kondo problem in terms of the renormalization of the Kondo coupling constant g as a function of the energy scale [51].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Anderson used perturbation theory in J to progressively integrated out the modes of the conduction electrons close to an effective 9 bandwidth Ec and found that the beta function has the form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (17) Ec dJ dEc = −ρJ2 + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (18) where ρ is the density of states at the Fermi energy of the conduction electrons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This work implied that the free-impurity fixed point is IR unstable and that the effective coupling constant J increases as the energy cutoff Ec is lowered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' He argued that at some energy scale, the Kondo scale, perturbation theory breaks down and that there is a crossover to a strong coupling regime which is not accessible in perturbation theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Shortly thereafter, in 1973 Wilson developed a numerical renormalization group approach which showed that the Kondo problem is indeed a crossover from the free impurity fixed point to the “renormalized” Fermi liquid [32].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In addition, Wilson use the numerical renormalization group to examine the approach to the strong coupling fixed point and showed that it is charac- terized by a Wilson ratio, a universal number obtained from the low temperature specific heat and the impurity magnetic susceptibility (in suitable units).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wilson’s numerical RG predicted a number close to 2π for the this ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In 1980 N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Andrei and P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Wiegmann showed (indepen- dently) that the Kondo problem is an example of an integrable field theory that can be solved by the Bethe ansatz [52, 53].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Their exact result was consistent with Wilson’s RG, including the numerical value of the Wilson ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In 1972 Gerard ’t Hooft and Martinus Veltman showed that Yang-Mills gauge theory is renor- malizable [46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This groundbreaking result opened the door to use quantum field theory to de- velop the theory of strong interactions in particle physics known as Quantum Chromodynamics (QCD).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In 1973 David Gross and Frank Wilczek [50] and, independently, David Politzer [54] computed the renormalization group beta function of Yang-Mills theory with gauge group G and found it to be of the same form as Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (17), Λ dg dΛ = − g3 16π2 11 3 C2(G) + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (19) where g is the Yang-Mills coupling constant and Λ is a UV momentum scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here C2(G) is the quadratic Casimir for a gauge group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For S U(3), the case of physical interest, C2(S U(3)) = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This result implies that under the RG at large momenta (short distances) the Yang-Mills coupling constant flows to zero (up to logarithmic corrections).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This result holds in the presence of quarks provided the number of quark flavors is less than a critical value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Hence at short distances the effective coupling is weak.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Gross and Wilczek called this phenomenon asymptotic freedom.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This behavior was consistent with the observation of weakly coupled quarks in deep inelastic scattering experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, the flip side of asymptotic freedom is that at low energies (long distances) the coupling constant grows without limit, which implies that at low energies perturbation theory is not applicable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This strong infrared behavior suggested that in QCD quarks are permanently confined in color neutral bound states (hadrons).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, unlike the Kondo problem we just discussed, QCD is not an integrable theory (so far as we know) and to show that it confines has required the development of Lattice Gauge Theory [55, 56].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To this date the best evidence for quark confinement has been obtained using large-scale Monte Carlo simulations in Lattice Gauge Theory [57].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We close this subsection with a discussion of an important case: the non-linear sigma models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The O(N) non-linear sigma model is the continuum limit of the classical Heisenberg model for a spin with N components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Historically, the non-linear sigma model is the effective field theory for pions in particle physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will discuss its role in the theory of quantum antiferromagnets in subsection 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3 and especially in the case of quantum antiferromagnetic spin chains in subsection 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The simplest non-linear sigma model is a theory of an N-component scalar field n(x) which satisfies the unite length local constraint, n2(x) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Euclidean Lagrangian is L = 1 2g(∂µn(x))2 (20) where g is the coupling constant (the temperature in the classical Heisenberg model).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' At the classical level, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' in the broken symmetry phase, where ⟨n⟩ � 0, this model describes the N − 1 massless modes (Goldstone bosons) of the spontaneously broken O(N) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Dimensional analysis shows that the coupling constant has units of ℓD−2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Hence, we expect to find marginal behavior at D = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In 1975 Alexander Polyakov used a momentum shell renormalization group 10 in D = 2 dimensions and showed that the beta function of this model is (here a is the short- distance cutoff) [58] β(g) = adg da = N − 2 2π g2 + O(g3) (21) Hence, in D = 2 dimensions also this theory is asymptotically free.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' As in the other examples we just discussed, asymptotic freedom here also implies that the coupling constant g grows to large values in the low-energy (long-distance) regime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In close analogy with Yang-Mills theory in D = 4 dimensions, Polyakov conjectured that the O(N) non-linera sigma model also undergoes dynamical dimensional transmutation [50], that the global O(N) symmetry is restored and that for all values of the coupling constant g the theory is in a massive with a finite correlation length ξ ∼ exp((N − 2)/2πg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Extensive numerical simulations, used to construct a renormalization group using Monte Carlo simulations [59], showed that there is indeed a smooth crossover from the weak coupling (low temperature) regime to the high temperature regime where the correlation length is finite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The non-linear sigma model is a renormalizable field theory in D = 2 dimensions [60].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For D > 2 dimensions it can be studied using the 2 + ǫ expansion [60, 49], which predicts the existence of a nontrivial UV fixed point and a phase transition from a Goldstone phase to a symmetric phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It turns out that there is a significant number of asymptotically free non-linear sigma models in D = 2 dimensions, many of physical interest [61], in particular non-linear sigma models whose target manifold is a coset space, a quotient of a group G and a subgroup H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The O(N) non linear sigma model is an example since the broken symmetry space leaves the O(N −1) subgroup unbroken (the manifold of the Goldstone bosons).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In that case the quotient is O(N)/O(N − 1) which is isomorphic to the N −1 dimensional sphere S N−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In later sections we will discuss other examples in which more general non-linear sigma models play an important role.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Models on coset spaces arise in the theory of Anderson localization in D = 2 dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Anderson localization is the problem of a fermion (an electron) in a disordered system in which the electron experiences a random electrostatic potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the limit of strong disorder Philip Anderson showed that all one-particle states are exponentially localized and the diffusion con- stant (and the conductivity) vanishes[62].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' There was still the question of when it is possible for the electron to have a finite diffusion constant (and conductivity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In D = 2 dimensions the conductivity is a dimensionless number which suggests that this may be the critical dimen- sion for diffusion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Abrahams, Anderson, Licciardello and Ramakrishnan used a weak disorder calculation to construct a scaling theory that implied that in D = 2 dimensions the RG flow of the conductivity at long distances (large samples) flows to zero and all states are localized [63].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Shortly thereafter Wegner gave strong arguments that showed that the existence of diffu- sion implied that there are low-energy “diffusson” modes which behaved as Goldstone modes of a non-linear sigma model on the quotient manifold O(N+ + N−)/O(N+) × O(N−) in the “replica limit” N± → 0 [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A field theory approach to this non-linear sigma model was developed by McKane and Stone [65] and by Hikami [66].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Quantum Criticality Quantum criticality is the theory of a phase transition of a system (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' a magnetic system) at zero temperature that occurs as a coupling constant (or parameter) is varied continuously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Although not necessarily under that name, this question has existed as a conceptual problem for a long time, In particular, already in 1973 Wilson considered the problem of the behavior of quantum filed theories blow four spacetime dimensions and their phase transitions [67].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The modern interest in condensed matter physics stems from discoveries made since the late 1980s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since that time he behavior of condensed matter systems at a quantum critical point has emerged as a major focus in the field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' There were several motivations for this problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' One was (and still is) to understand the behavior of quantum antiferromagnets in the presence of frustrating interactions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Frustrating interactions are interactions which favor incompatible types of antiferromagnetic orders.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The result is the presence of intermediate non-magnetic “valence bond” phases that favor the formation of spin singlets between nearby spins.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' these phases typ- ically either break the point group symmetry of the lattice or are spin liquids (which will be discussed below).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Another motivation is that doped quantum antiferromagnets typically harbor superconducting phases (among others) whose high-temperature behavior is a “strange” metal that violates the basic assumptions (and behaviors) of Fermi liquids.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The most studied version of this problem is the case of the copper oxide high temperature superconductors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It was con- jectured that there is a quantum critical point inside the superconducting phase at which the 11 antiferromagnetic order (or other orders) disappears and which may be the reason for the strange metal behavior above the superconducting critical temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Many of these questions are discussed in depth by Sondhi and coworkers [68] and in the textbook by Sachdev [69].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Dynamic Scaling We will consider a general quantum phase transition and assume that it is scale invariance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, except for the case of relativistic quantum field theories, in condensed matter systems space and time do not need to scale in the same way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let us assume that the system of interest has just one coupling constant g and that the system of interest has a quantum phase transition (at zero temperature) at some critical value gc between two phases, for instance one with a spontaneously broken symmetry and a symmetric phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' If the quantum phase transition is continuous then the correlation length ξ will diverge at gc and so will the correlation time ξt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However these two scales are in general different and do not necessarily diverge at the same rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' So, in general, if some physical quantity is measured at the quantum critical point at some momentum p and frequency ω, the length scale of the measurement is 2π/|p| and at a frequency is ω ∼ |p|z, where z is the dynamic critical exponent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let us say that we measure the observable O at momentum p and frequency ω at gc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Scale invariance in both space and time means that at gc the observable O(p, ω) at momentum p and frequency ω must scale as O(p, ω) = |p|−∆O ˜O(|p|z/ω) (22) where ∆O is the scaling dimension of the observable O.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The situation changes at finite temperature T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A quantum field theory at temperature T is described by a path integral on a manifold which along the imaginary time direction τ is finite of length 2π/T and periodic for a theory bosonic fields and anti-periodic for fermionic fields [10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since the imaginary time direction is finite, the behavior for correlation times ξτ < 2π/T and ξτ > 2π/T must be different.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Indeed, in the first regime the behavior is essentially the same as at T = 0, while in the second it should be given by the classical theory in the same space dimension.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='At the quantum critical point gc there is only one time scale ξτ ∼ 2π/T and only one length scale ξ ∼ (2π/T)1/z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Ising Model in a Transverse Field The prototype of the quantum phase transition is the Ising model in a transverse field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This model describes a system of spin-1/2 degrees of freedom with ferromagnetic interactions with uniaxial anisotropy in the presence of a transverse uniform magnetic field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Hamiltonian is H = −J � ⟨r,r′⟩ σ3(r)σ3(r′) − h � r σ1(r) (23) where J and h are the exchange coupling constant and the strength of the transverse field, re- spectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here σ1 and σ3 are the two Pauli matrices defined on the sites {r} of a lattice with ferromagnetic interactions between spins on nearest neighboring sites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The Hilbert space is the tensor product of the states of the spins at each site of the lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' At each site there are two nat- ural bases of states: the eigenstates of σ3, which we denote by | ↑⟩ and | ↓⟩ (whose eigenvalues are ±1), and the eigenstates of σ1, which we denote by |±⟩ (whose eigenvalues are also ±1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It is well known that the Ising Model in a Transverse Field on a hypercubic lattice in D dimensions is equivalent to a classical Ising model in D + 1 dimensions [70, 71].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These two models are related through the transfer matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Indeed, a classical Ising model can be regarded as a path integral representation of the quantum model in one dimension less.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For simplicity we will see how this work for the 2D the classical ferromagnetic Ising model of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (1), but the construction is general.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will regard the configuration of spins on a row of the 2D lattice as a state of a quantum system, and the set of states on all rows as the evolution of the state along the perpendicular direction that we will regard as a discretized imaginary time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The contribution from two adjacent rows to the partition function defines the matrix element of a matrix between two arbitrary configurations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Statistical Physics this matrix is known as the Transfer Matrix ˆT and the full partition function (with periodic boundary conditions) is Z = tr ˆT Nτ (24) where Nτ is the number of rows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For the case of the ferromagnetic Ising model (actually, for any unfrustrated model) the transfer matrix can always be constructed to be hermitian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This property 12 holds in fact for any theory that satisfies a property known as reflection positivity which requires that all (suitably defined) correlation functions be positive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For theories of this type, and the Ising model is an example, the matrix elements of the transfer matrix can be identified with the matrix element of the evolution operator of a quantum theory for a small imaginary time step [70].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Also, the positivity of the correlators is equivalent to the condition of positivity of the norm of states in the quantum theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For the classical models that satisfy these properties, all directions of the lattice are equiv- alent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Moreover, asymptotically close to the critical point, the behavior of all the correlators becomes isotropic, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' invariant under the symmetries of Euclidean space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This means that the arbitrary choice of the direction for the transfer matrix is irrelevant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Consequently, tin the quantum model its equal-time correlators behave the same way as its correlation functions in imaginary time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In other words space and time behave in the same way and the quantum the- ory is relativistically invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This implies at the quantum critical point the energy ε(p) of its massless excitations should behave as ε(p) = v |p|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In a relativistic theory the dynamical critical exponent must be z = 1 and the coefficient v is the speed of the excitations (the “speed of light”).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We should note that this is not necessarily always the case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' There are in fact classical systems, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' liquid crystals [72], which are spatially anisotropic and map onto quantum mechanical theo- ries in one less dimension for which the dynamical critical exponent z � 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' One such example are the Lifshitz transitions of nematic liquid crystals in three dimensions and the associated quantum Lifshitz model in D = 2 dimensions, for which the dynamical exponent is z = 2 [73].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Just as in the classical counterpart in D + 1 dimensions, the quantum model in D ≥ 1 has two phases: a broken symmetry ferromagnetic phase for J ≫ h and a symmetric paramagnetic phase for h ≫ J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the symmetric phase the ground state is unique (asymptotically is the eigenstate of σ1 with eigenvalue +1), while in the broken symmetry phase the ground state is doubly degenerate (and asymptotically is an eigenstate of σ3) and there is a non-vanishing expectation value of the local order parameter ⟨σ3(r)⟩ � 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the symmetric phase the correlation function of the local order parameter decays exponentially with distance with a correlation length ξ, as does the connected correlation function in the broken symmetry phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The model has a continuous quantum phase transition at a critical value of the ratio h/J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For general space dimensions D > 1 this model is not exactly solvable and much of what we know about it is due to large-scale numerical simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This problem was solved exactly in one-dimension [23] using the Jordan-Wigner transfor- mation that maps a one dimensional quantum spin system to a theory of free fermions [22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The fermion operators at site j are χ1(j) = K(j − 1)σ3(j), χ2(j) = i ˆK(j)σ3(j) (25) where K(j) is the kink creation operator (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' the operator that creates a domain wall between sites j and j + 1 [70], and is given by K(j) = � n≤ j σ1(n) (26) The operators χ1(j) and χ2(j) are hermitian, χ† j(n) = χ j(n), and obey the anticommutation algebra {χ j(n), χ j′(n′)} = 2δ j j′δnn′ (27) Hence, they are fermionic operators are hermitian, anti-commute with each other and square to the identity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Operators of this type are called Majorana fermions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Alternatively, we can use the more conventional (Dirac) fermion operators c(n) and its adjoint c†(n) which are related to the Majorana fermions as c(n) = χ1(n) + iχ2(n), c†(n) = χ1(n) − iχ2(n) (28) which obey the standard anticommutation algebra {c(n), c(n′)} = {c†(n), c†)n′)} = 0, {c(n), c†(n′)} = δ − nn′ (29) In this sense, a Majorana fermion is half of a Dirac fermion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In terms of the Majorana operators the Hamiltonian of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (23) becomes H = i � j χ1(j)χ2(j) + ig � j χ2(j)χ1(j + 1) (30) 13 where we have rescaled the Hamiltonian by a factor of h and the coupling constant is g = J/h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here we have not specified the boundary conditions (which depend on the fermion parity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Qual- itatively, the Majorana fermions can be identified with the domain walls of the classical models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the Ising model the number of domain walls on each row is not conserved but their parity is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Likewise, the number of Majorana fermions NF is not conserved either but the fermion parity, (−1)NF, is conserved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It is an elementary excercise to show that the spectrum of this theory has a gap G(g) which vanishes at gc = 1 as G(g) ∼ |g − gc|ν, with an exponent ν = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since the Hamiltonian of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (30) is quadratic in the Majorana operators, these operators obey linear equations of motion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the scaling regime we take the limit of the lattice spacing a → 0 and the coupling constant g → gc = 1, while keeping the quantity m = (g − gc)/a fixed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this regime, the two-component hermitian spinor field χ = (χ1, χ1), and χ† = χ, satisfies a Dirac equation (i/∂ − m)χ = 0 (31) where we set the speed � = 1, and where defined the 2 × 2 Dirac gamma-matrices γ0 = σ2, γ1 = iσ3, and γ5 = σ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Upon defining ¯χ = χTγ0, we find that the Lagrangian of this field theory is L = ¯χi/∂χ − 1 2m ¯χχ (32) which indeed becomes massless at the quantum phase transition of the Ising spin chain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For these considerations, we say that the phase transition of the Ising model (2D classical or 1D quantum) is in the universality class of massless Majorana fermions where m → 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (32) we have used the standard Feynman slash notation, /a = γµaµ, where aµ is a vector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Quantum Antiferromagnets and Non-Linear Sigma Models As we noted above, the discovery of high temperature superconductors in the copper ox- ide compounds prompted the study of the behavior of these strongly correlated materials at low temperatures and of possible quantum phase transitions which they may host.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The prototypical cuprate material La2CuO4 is a quasi two-dimensional Mott insulator which exhibits long-range antiferromagnetic order below a critical temperature Tc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A simple microscopic model is a spin-S quantum Heisenberg antiferromagnet on the 2D square lattice of the Cu atoms, whose Hamilto- nian is H = 1 2 � r,r′ J(|r − r′|) S(r) · S(r′) (33) where S are the spin-S angular momentum operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will consider the case where the ex- change interaction for nearest neighbors J is dominant and a weaker J′ ≪ J for next nearest neighbors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this section we do not consider the regime J′ ≃ J in which the interactions com- pete for incompatible ground states due to frustration effects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Spin coherent states The simplest way to see the physics of this antiferromagnet is to construct a path-integral representation for a spin-S system using spin coherent states [74, 75, 76].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For details see Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' [9] which we follow here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A coherent state of the (2S + 1-dimensional) spin-S representation of SU(2) is the state |n⟩, labeled by the spin polarization unit vector n |n⟩ = eiθ(n0×n)·S |S, S ⟩ (34) where n2 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The states of the spin-S representation are spanned by the eigenstates of S 3 and S2, S 3 |S, M⟩ = M|S, M⟩, S2|S, M⟩ = S (S + 1)|S, M⟩ (35) and |S, S ⟩ is the highest weight state with eigenvalues S and S (S + 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (34) n0 is a unit vector along the axis of quantization (the direction e3), and θ is the colatitude, such that n · n0 = cos θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Two spin coherent states, |n1⟩ and |n2⟩, are not orthonormal, ⟨n1|n2⟩ = eiΦ(n1,n2,n0) S �1 + n1 · n2) 2 �S (36) where Φ(n1, n2, n0) is the area of the spherical triangle of the unit sphere spanned by the unit vectors n1, n2 and n0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However, there is an ambiguity in the definition of the area of the spherical 14 triangle since the sphere is a 2-manifold without boundaries: if the “inside” triangle has spherical area Φ, the complement (“outside”) triangle has area 4π − Φ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Thus, the ambiguity of the phase prefactor of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (36) is ei4πS = 1 (37) since S is an integer or a half-integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' So, the quantization of the representations of SU(2) makes the ambiguity unobservable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In addition, the spin coherent states |n⟩ satisfy the resolution of the identity I = � |n⟩⟨n| �2S + 1 4π � δ(n2 − 1) d3n (38) and ⟨n|S|n⟩ = S n (39) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Path integral for a spin-S degree of freedom As an example consider problem of a spin-S degree of freedom coupled to an external mag- netic field B(t) that varies slowly in time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The (time-dependent) Hamiltonian is given by the Zeeman coupling H(t) = B(t) · S (40) As usual, the path-integral is obtained by inserting the (over-complete) set of coherent states at a large number of intermediate times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The resulting path integral is a sum of the histories of the spin polarization vector n(t) Z = tr exp � i � T 0 dt H(t) � = � Dn exp (iS[n]) � t δ(n2(t) − 1) (41) where the action is S = S SWZ[n] − S � T 0 dt B(t) · n(t) (42) where SWZ[n] is the Wess-Zumino action SWZ[n] = � T 0 dt A[n] · ∂tn (43) = � 1 0 dτ � T 0 dt n(t,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' τ) · ∂tn(t,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' τ) × ∂τn(t,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' τ) (44) where A[n] is the vector potential of a Dirac magnetic monopole (of unit magnetic charge) at the center of the unit sphere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The vector potential A[n] has a singularity associated with the Dirac string of the monopole.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We can write an equivalent expression which is singularity-free using Stokes Theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We did this in the second line of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (44) which required to extend the circulation of A on the closed path described by n(t) to the flux of the vector potential through the submanifold Σ of the unit sphere S 2 whose boundary is the history n(t), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' the area of Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The smooth (and arbitrary) extension of configuration n(t) to the interior of Σ is done by defining n(t, τ) such that n(t, 1) = n0, n(t, 0) = n(t), and n(0, τ) = n(T, τ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since SWZ is the area of the submanifold Σ of the unit sphere S 2, just as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (37), here too there is an ambiguity of 4π in the definition of the area.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here too, this ambiguity is invisible since the spin S is an integer or a half-integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The path integral of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (41) was derived first by Michael Berry [77] (and extended by Barry Simon [78]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The first term (which we called Wess-Zumino by analogy with its field theoretic versions) is called the Berry Phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The role of this term, which is first order in time derivatives, is to govern the quantum dynamics of the spin which, in presence of a uniform magnetic field, executes a precessional motion of the (Bloch) sphere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It is also apparent from this expression that in the large-S limit, the path integral can be evaluated by means of a semiclassical approximation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The coherent-state construction shows that this problem is equivalent to the path integral of a formally massless non-relativistic particle of unit electric charge on the surface of the unit sphere with a magnetic monopole of magnetic charge S in its interior!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This is not surprising since the Hilbert space of a non-relativistic particle moving on the surface of a sphere with and radial magnetic field (the field of a magnetic monopole) has a Landau level type spectrum with a degeneracy given by the flux.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The condition of a massless particle means that only the lowest Landau level survives and all other levels have an infinite energy gap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The coherent state approach has been used to derive a path integral formulation for ferromag- nets and antiferromagnets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A detailed derivation can be found in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 15 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Quantum Ferromagnet We will consider first the simpler case of a quantum ferromagnet and in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (33) we will set J = −|J| < 0 for nearest neighbors and zero otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The action for the path-integral for the spin-S quantum Heisenberg ferromagnet on a hypercubic lattice is S = S � r SWZ[n(r, t)] − |J|S 2 2 � ⟨r,r′⟩ � T 0 dt �n(r, t) − n(r′, t)�2 (45) where we have subtracted the classical ground state energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The oder parameter for this theory is the expectation value of the local magnetization, n = ⟨n(r)⟩, which is constant in space but points in an arbitrary direction in spin space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In the low energy regime the important configurations are slowly varying in space and we can simply approximate the action of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (45) by its continuum version in d space dimensions S = S ad 0 � ddx SWZ[n(x, t)] − |J|S 2 2ad 0 � ddx � T 0 dt (▽n(x, t))2 (46) where a0 is the lattice spacing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' As before, the path integral;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' is done for a field which satisfies ev- erywhere in space-time the constraint n2(x, t) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This action can be regarded as non-relativistic non-linear sigma model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It is straightforward to show that the classical equations of motion for this theory are the Landau-Lifshitz equations ∂tn = |J|S a2 0 n × ▽2n (47) subject to the constraint n2 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Due to the constraint, the Landau-Lifshitz equation is non-linear.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will a decomposition of the field into a longitudinal and two transverse components, σ and π, respectively n = �σ π � (48) subject to the constraint σ2 +π2 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The linearized Landau-Lifshitz equations become (to linear order in π) ∂tπ1 ≃ −|J|S a2 0 ▽2 π2, ∂tπ2 ≃ +|J|S a2 0 ▽2 π1 (49) The solution to these equations are ferromagnetic spin waves (magnons or Bloch waves) which satisfy the dispersion relation ω(p) ≃ |J|S a2 0p2 + O(p4) (50) which shows that the dynamic exponent for a ferromagnet is z = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Notice that in this case the two transverse components are not independent (they are effectively a dynamical pair).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' These are the Goldstone bosons of a ferromagnet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Quantum Antiferromagnet Formally, the quantum antiferromagnet has a coherent state path integral whose action is S = S � r SWZ[n(r, t)] − JS 2 2 � ⟨r,r′⟩ � T 0 dt n(r, t) · n(r′, t) (51) with J > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' For a bipartite lattice, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' the 1D chain, and the square and cubic lattices, the classi- cal ground state is an antiferromagnet with a N´eel order parameter, the staggered magnetization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let m(r) be the expectation value of the local magnetization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A bipartite lattice is the union of two interpenetrating sublattices, and the local magnetization is staggered, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' it takes values with opposite signs (with equal values) on the two sublattices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Thus, we make the change of variables, n(r, t) → (−1)rn(r, t) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (51) and find S = S � r (−1)rSWZ[n(r, t)] − JS 2 2 � ⟨r,r′⟩ � T 0 dt (n(r, t) − n(r′, t))2 (52) We want to obtain the low energy effective action for the field n(r, t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To this end, we decompose this field into a slowly varying part, that we will call m(r, t), and a small rapidly varying part l(r, t) (which represents ferromagnetic fluctuations) n(r, t) = m(r, t) + (−1)ra0l(r, t) (53) 16 Since n2(r, t) = 1, we will demand that the slowly varying part also obeys the constraint, m2(r, t) = 1, and require that the two components be orthogonal to each other, m · l = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Due to the behavior of the staggered Wess-Zumino terms of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (52), the resulting continuum field theory turns out to have subtle but important differences between one dimension and higher dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here we will state the results for two and higher dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will discuss in detail the one-dimensional below when we discuss the role of topology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' It turns out that if the dimension d > 1, the contribution of the staggered Wess-Zumino terms for smooth field configurations is [75, 79, 80] lim a0→0 S � r (−1)rSWZ[n(r, t)] = S � d3x l(x, t) · m(x, t) × ∂tm(x, t) (54) The continuum limit of the second term of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (52) in the case of a two-dimensional system is lim a0→0 JS 2 2 � ⟨r,r′⟩ � T 0 dt �n(r, t) − n(r′, t)�2 = a0 JS 2 2 � d3x � (▽m(x, t))2 + 4l2(x, t) � (55) The massive field l[x, t] represents ferromagnetic fluctuations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since this is a massive field it can be integrated-out leading to an effective field theory for the antiferromagnetic fluctuations m(x, t) whose Lagrangian is that of a non-linear sigma model L = 1 2g � 1 vs (∂tm(x, t) − vs(▽m(x, t))2 � (56) where the coupling constant is g = 2/S and the spin-wave velocity is vs = 4a0JS .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' If we to allow for a weak next-nearest-neighbor interaction J′ > 0, the coupling constant g and the spin wave velocity vs become renormalized to g′ ≃ g/ √1 − 2J′/J and v′ s ≃ vs √1 − 2J′/J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We conclude that that the quantum fluctuations about a N´eel state are well described by a non- linear sigma model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Provided the frustration effects of the next-nearest-neighbor interactions are weak enough, the long-range antiferromagnetic N´eel order should extend up to a critical value of the coupling constant gc where the RG beta function has a non-trivial zero, which signals a quantum phase transition to a strong coupling phase without long-range antiferromagnetic order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Motivated by the discovery of high temperature superconductivity in the strongly correlated quantum antiferromagnet La2CuO4 (at finite hole doping) in 1988 Chakravarty, Halperin and Nelson [81] utilized a quantum non-linear sigma model to analyze this system and its quantum phase transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' La2CuO4 is a quasi-two-dimensional material and so it exhibits strong quantum and thermal fluctuations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The upshot of this analysis is that while at T = 0 the non-linear sigma model has a quantum phase transition, at T > 0 the long range order is absent in a strictly 2D system but present in the actual material due to the weak-three-dimensional interaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' So, in the strict 2D case there is no phase transition but two different crossover regimes: a renormal- ized classical regime (without long range order), a quantum disordered regime and a quantum critical regime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' La2CuO4 has long range N´eel (antiferromagnetic) order at T = 0 and is in the renormalized classical regime (with long range order due to the weak 3D interaction).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The non-linear sigma model does not describe the nature of the ground state for g > gc beyond saying that there is no long range order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The problem is that, unlike the Ising model in a transverse field, the microscopic tuning parameter is the next nearest neighbor antiferromagnetic coupling J′, and to reach the regime g ≃ gc one has to make J′ ≃ J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This is the regime in which frustration effects become strong.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this regime the assumption that the important configurations are smooth and close to the classical N´eel state is incorrect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The nature of the ground state turns out to depend on the value of S .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Topological Excitations Topology has come to play a crucial role both in Condensed Matter Physics and in Quan- tum Field Theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Topological concepts have been used to classify topological excitations such as vortices and dislocations and to provide a mechanism for phase transitions, quantum num- ber fractionalization, tunneling processes in field theories, and nonperturbative construction of vacuum states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here we will discuss a few representative cases of what has become a very vast subject.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 17 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Topological Excitations: Vortices and Magnetic Monopoles In Condensed Matter Physics topological excitations play a central role in the description of topological defects and on their role in phase transitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here topology integers in the classifi- cation of the configuration space into equivalence classes characterized by topological invariants [82].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The most studied example are vortices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Vortices play a key role in the mixed phase of type II superconductors in a uniform magnetic field [83].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Vortices also play a key role in the Statistical Mechanics of 2D superfluids and the the 2D classical XY model [84, 85] [86, 87] [88].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Disloca- tions and disclinations play an analogous role in the theory of classical melting [84, 89, 90], and 2D and 3D classical liquid crystals [91, 92, 72].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A similar problem occurs in Quantum Field Theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Theories with global symmetries, such as the two-dimensional O(3) non-linear sigma model discussed above, when formulated in Eu- clidean space-time have instantons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Typically instantons are finite Euclidean action configu- rations, which are also classified into equivalence classes (associated with homotopy groups) labeled by topological invariants [93, 94].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Instantons play a central role in understanding the non-perturbative structure of gauge theories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Gauge theories with a compact gauge group cou- pled to matter fields have non-trivial vortex [95] and monopole [96, 97, 98] configurations, as do non-abelian Yang-Mills gauge theories [99].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Instantons have also played a central role in Condensed Matter Physics as well, notably in Haldane’s work on 1D quantum antiferromag- nets (discussed below), and in the problem of macroscopic quantum tunneling and coherence [100, 101].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Vortices in two dimensions In this section I will focus on the the problem of the superfluid transition in 2D and the closely related problem of the phase transition of a magnet with an easy-plane anisotropy, the classical XY model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' A superfluid is described by an order parameter that is a one-component complex field φ(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' If electromagnetic fluctuations are ignored, this description also applies to a superconductor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The complex field can be written in terms of an amplitude |φ(x)|, whose square represents the local superfluid density, and a phase θ(x) = arg(φ(x)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Deep in the superfluid phase the amplitude is essentially constant, that we will set to be a real positive number φ0, while the phase field θ(x) is periodic with period 2π and can fluctuate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Simi- larly, an easy-plane ferromagnet is described by a two-component real order parameter field M(x) = (M1(x), M2(x)) = |M(x)|(cosθ(x), sin θ(x)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Deep in the ferromagnetic phase the ampli- tude |M| is essentially constant but the phase field θ(x) can fluctuate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will assume that we are in a regime where the local superfluid density |φ0|2 is well formed (or, equivalently that |M| is locally well formed) but that the phase field is fluctuating.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this regime the problem at hand is an O(2) ≃ U(1) non-linear sigma model, and its partition function takes the form Z = � Dθ exp � − � d2x 1 2g � ∂µθ(x) �2� (57) where we defined the coupling constant g = T/J|φ0|2, where T is the temperature, J is an in- teraction strength, and |φ0|2 is the magnitude (squared) of the amplitude of the order parameter, which we will take to be constant;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' κ = J|φ0|2 is the phase stiffness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Except for the requirement that the phase field be locally periodic, θ ≃ θ + 2π, superficially this seems to be a trivial free (Gaussian) field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will see that the periodicity (or, com- pactification) condition makes this theory non-trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Indeed, configurations of the phase field that are weak enough that that do not see the periodicity condition, for all practical purposes, can regarded as being non-compact and ranging from −∞ to +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' However there are many configu- rations for which the periodicity condition is essential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Such configurations are called vortices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Even in the absence of vortices, the periodic (compact) nature of the phase field is essential to the physics of this problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In fact the only allowed observables must be invariant under local periodic shifts of the phase field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This implies that the phase field θ itself is not a physical observable but that exponentials of the phase of the form exp(inθ(x)) are physical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' This operator is just the order parameter field of the XY model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Conformal Field theory operators of this type are called vertex operators [102, 103].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We will see below that this theory has a dual field ϑ, associated with vortices, and that there are vertex operators of the dual field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In String Theory the model of a compactified scalar is known as the compactified boson and represents the coordinate of a string on a compactified space, in this case a circle S 1 [104].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' To picture a vortex consider a large closed curve C on the 2D plane.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Hence, topologically a closed curve is isomorphic to a circle, C ≃ S 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The phase field θ(x) is equivalent to a unit 18 circle S 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Therefore the configuration space are maps of S 1 (the large circle) onto S 1 (the unit circle of the order parameter space).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The configurations can be classified by the number of times the phase winds on the large circle C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The winding number is an integer called the topological charge of the configuration, the vorticity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Thus, a vortex is a configuration of the phase field θ(x) that winds by 2πm (where m is an integer): (∆θ)C 2π = 1 2π � C dx · ▽θ(x) ≡ i � 2π 0 dϕ 2π eiθ(ϕ)∂ϕe−iθ(ϕ) = m (58) where ϕ ∈ (0, 2π] is the azimuthal angle for a vector at the center of the large circle C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Here n is the vorticity or winding number of the configuration;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' m > 0 is a vortex and m < 0 is an anti-vortex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The vorticity is a topological invariant of the field the configuration θ(x) which does not change under smooth changes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The winding number of a vortex is a topological invariant that classifies the configurations of the phase field as continuous maps of a large circle S 1 onto the unit circle S 1 defined by the phase field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In Topology such continuous maps are called homotopies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The winding number classifies these maps into a discrete set of equivalence classes, which form a homotopy group under the composition of two configurations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In this case the homotopy group is called Π1(S 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Since the equivalence classes are classified by a topological invariant that takes integer values, the homotopy group Π1(S 1) is isomorphic to the group of integers, Z [82].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The field jµ(x) = ∂µθ(x) is the superfluid current, and the vorticity ω(x) is the curl of the current, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' ω(x) = ǫµν∂µ jν(x) = ǫµν∂µ∂νθ(x) (59) which vanishes unless θ(x) has a branch-cut singularity across which the phase field jumps by 2πn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Let ω(x) be the vorticity field with singularities at the locations {x j} of vortices with topo- logical charge m j ω(x) = 2π � j m jδ2(x − x j) (60) which is satisfied by the phase field configuration θ(x) = � j 2πm jIm ln(z − zj) (61) where we have used the complex coordinates z = x1 + ix2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Away from the singularities {x j}, this configuration obeys the Laplace equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' Hence, it has a Cauchy-Riemann dual field ϑ(x) which satisfies the Cauchy-Riemnann equation ∂µϑ = ǫµν∂νθ (62) which satisfies the Poisson equation − ▽2ϑ(x) = ω(x) (63) whose solution is ϑ(x) = � d2y G(|x − y|) ω(y) (64) where G(|x − y|) is the Green function of the 2D Laplacian − ▽2G(|x − y|) = δ2(x − y) (65) In 2D this Green function is G(|x − y|) = 1 2π ln � a |x − y| � (66) where a is a short distance cutoff (a lattice spacing).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' In what follows we will assume that the Green function of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (66) has been cutoff so that G(|x − y|) = 0 for |x − y| ≤ a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' The energy of a configuration of vortices {n j} with vanishing total vorticity, � j m j = 0, is E[θ] = Jφ2 0 2 � d2x � ∂µθ �2 = Jφ2 0 2 � d2x � d2y ω(x) G(|x − y|) ω(y) = 2πJφ2 0 � j>k m jmk ln � a |x j − xk � (67) 19 where we used that configurations with non-vanishing vorticity do not contribute to the partition function since they have infinite energy in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' We conclude that, up to an unimportant prefactor, that the partition function of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/0dFQT4oBgHgl3EQfDjUj/content/2301.13234v1.pdf'} +page_content=' (57) is the same as the partition function a gas of charges {m j} (the vortices) with total vanishing vorticity, � j m j = 0, Z2DCG = � [{mj}] exp \uf8eb\uf8ec\uf8ec\uf8ec\uf8ec\uf8ec\uf8ec\uf8ed−2π Jφ2 0 T � j 0.05). PSFNet-DT outperforms the closest competing SS +method by 1.2dB PSNR and 1.9% SSIM (p < 0.05). Taken +together, these results clearly suggest that the SS prior in +PSFNet contributes to its improved generalization performance +over the scan-general MoDL method, while the SG prior in +PSFNet enables it to outperform competing SS methods. +C. Sensitivity to Hyperparameters +Parameters of deep networks that implement SS priors are to +be learned from a single test sample, so the resultant models can +show elevated sensitivity to the selection of hyperparameters +compared to SG priors learned from a collection of training +TABLE III: Generalization across acceleration rates. PSNR +and SSIM values (mean±standard error) across test subjects. +Results are shown for scan-specific models (SPIRiT, SPARK, +sRAKI-RNN), target-domain models (MoDL, PSFNet) and +domain-transferred models (MoDL-DT, PSFNet-DT). Domain- +transferred models were trained at R=4x and tested at R=8x. +Target-domain models were trained and tested at R=8x. +SPIRiT +SPARK +sRAKI- +RNN +MoDL +MoDL-DT +PSFNet +PSFNet- +DT +PSNR +cT1 +34.7 +34.8 +34.3 +35.3 +34.5 +36.5 +36.2 +±1.5 +±1.5 +±1.5 +± 1.4 +±1.7 +±1.5 +±1.5 +T2 +33.6 +33.7 +32.6 +34.6 +33.4 +35.6 +34.6 +±1.0 +±1.0 +±0.9 +± 1.0 +±1.2 +±1.1 +±1.2 +SSIM +cT1 +89.8 +90.8 +91.4 +92.1 +92.2 +93.3 +93.3 +±1.9 +±1.6 +±1.4 +±1.5 +±1.4 +±1.4 +±1.4 +T2 +89.0 +90.1 +92.7 +93.5 +93.7 +94.6 +94.5 +±1.3 +±1.1 +±0.9 +±0.8 +±0.8 +±0.7 +±0.7 +samples. Thus, we investigated the sensitivity of PSFNet to key +hyperparameters of its SS prior. SPIRiT, SPARK and PSFNet +methods all embody a linear k-space reconstruction, so the +relevant hyperparameters are the regularization weight and +width for the convolution kernel. Performance was evaluated for +models were trained in the low-data regime (i.e., Nsamples = +10, 1 subject) for varying hyperparameter values. +Figure 9 displays PSNR measurements for SPIRiT, SPARK +and PSFNet across κ in range (10-3-100). While the perfor- +mance of SPIRiT and SPARK is notably influenced by κ, +PSFNet is minimally affected by sub-optimal selection. On +average across contrasts, the difference between the maximum +and minimum PSNR values is 8.4dB for SPIRiT, 4.5dB for +SPARK, and a lower 0.7dB for PSFNet. Note that PSFNet +outperforms competing methods across the entire range of +κ (p < 0.05). Figure 10 shows PSNR measurements for +competing methods across w in range (5-17). In this case, +all methods show relatively limited sensitivity to the selection +of w. On average across contrasts, the difference between the +maximum and minimum PSNR values is 1.5dB for SPIRiT, +0.5dB for SPARK, and 0.2dB for PSFNet. Again, PSFNet +outperforms competing methods across the entire range of +w (p < 0.05). Overall, our results indicate that PSFNet +yields improved reliability against sub-optimal hyperparameter +selection than competing SS methods. +D. Computational Complexity +Next, we assessed the computational complexity of com- +peting methods. Table IV lists the training times of methods +with SG priors, MoDL and PSFNet. Note that the remaining +SS based methods do not involve a pre-training step. As it +involves learning of an SS prior on each training sample, +PSFNet yields elevated training time compared to MoDL. In +return, however, it offers enhanced generalization performance +and data-efficient learning. Table IV also lists the inference +times of SPIRiT, SPARK, sRAKI-RNN, MoDL and PSFNet. +MoDL and PSFNet that employ SG priors with fixed weights +during inference offer fast run times. In contrast, SPARK and + +11 +Fig. 9: PSNR measurements were performed on recovered cT1- +and T2-weighted images at R=4x. Bar plots in blue color show +average PSNR across κ ∈ 10-3-101 (i.e., the regularization +parameter for kernel estimation). Error bars denote the 90% +interval across κ. Bar plots in red color show PSNR for methods +that do not depend on the value of κ. +Fig. 10: PSNR measurements were performed on recovered +cT1- and T2-weighted images at R=4x. Bar plots in blue color +show the average PSNR across w ∈ 5-17 (i.e., the kernel size). +Error bars denote the 90% interval across w. Bar plots in red +color show PSNR for methods that do not depend on the value +of w. +sRAKI-RNN that involve SS priors learned on individual test +samples have a high computational burden. Although PSFNet +also embodies an SS prior, its uses a relatively lightweight +linear prior as opposed to the nonlinear priors in competing +SS methods. Therefore, PSFNet benefits from data-efficient +learning while maintaining computationally-efficient inference. +E. Ablation Analysis +To demonstrate the value of the parallel-stream fusion +strategy in PSFNet over conventional unrolling, PSFNet was +compared against a variant model PSFNetSerial that combined +SS and SG priors through serially alternated projections. +Separate models were trained with number of training samples +in the range Nsamples=[2-500]. Performance in cT1- and T2 +-weighted image reconstruction is displayed in Figure 11. +PSFNet significantly improves reconstruction performance over +PSFNetSerial across the entire range of Nsamples considered +(p < 0.05), and the benefits grow stronger for smaller training +sets. On average across contrasts for Nsamples < 10, PSFNet +TABLE IV: Computational complexity of competing methods. +Training and inference times for data from a single subject, +with 10 cross-sections, imaging matrix size 256x320 and 5 +coils. Run times are listed for SPARK, sRAKI-RNN, MoDL, +and PSFNet. +SPIRiT +SPARK +sRAKI-RNN +MoDL +PSFNet +Training(s) +- +- +- +132 +337 +Inference(s) +0.85 +23.35 +285.00 +0.25 +1.13 +Fig. 11: Average (a) PSNR and (b) SSIM values for cT1- and +T2-weighted image reconstructions at R=4x. Model training was +performed for varying number of training samples (Nsamples, +lower x-axis) and thereby training subjects (Nsubjects, upper +x-axis). Results are shown for PSFNet and PSFNetSerial. +outperforms PSFNetSerial by 1.8dB PSNR and 0.6% SSIM +(p < 0.05). These results indicate that the parallel-stream +fusion of SG and SS priors in PSFNet is superior to the serial +projections in conventional unrolling. +V. DISCUSSION AND CONCLUSION +In this study, we introduced PSFNet for data-efficient training +of deep reconstruction models in accelerated MRI. PSFNet +synergistically fuses SS and SG priors in a parallel-stream +architecture. The linear SS prior improves learning efficiency +while mataining relatively low computational footprint, whereas +the nonlinear SG prior enables improved reconstruction per- +formance. For both supervised and unsupervised training +setups, the resulting model substantially reduces dependence +on the availability of large MRI datasets. Furthermore, it +achieves competitive inference times to SG methods, and + +38 +(dB) +36 +PSNR +34 +32 +30 +MoDL +SPIRiT +SPARK +PSFNet +SRAKI - RNN38 +(dB) +36 +PSNR +34 +32 +30 +MoDL +SPIRiT +SPARK +PSFNet +SRAKI - RNNNsubjects +a +X +40 +39 +PSNR (dB) +38 +37 +PSFNet (cTi) +36 +PSFNet (T2) +PSFNetserial (cTi) +35 +PSFNetserial (T2) +34 +Nsamples +b) +Nsubjects +5 +X +6 +97 +96 +(%) +SSIM +95 +PSFNet (cTi) +PSFNet (T2) +94 +PSFNetserial (cTi) +PSFNetserial (T2) +93 +Nsamples12 +reliably generalizes across tissue contrasts, sampling patterns +and acceleration rates. +Several prominent approaches have been introduced in +the literature to address the training requirements of deep +models based on SG priors. One approach is to pre-train +models on readily available datasets from a separate source +domain and then to fine-tune on several tens of samples +from the target domain [28], [59] or else perform SS fine- +tuning [76]. This transfer learning approach relaxes the domain +requirements for training datasets. However, the domain- +transferred models might be suboptimal when training and +testing data distributions are divergent. In such cases, additional +training for domain-alignment might be necessary to mitigate +performance losses. In contrast, PSFNet contains a SS prior that +allows it to better generalize to out-of-domain data without +further training. Another approach is to build unsupervised +models to alleviate dependency on training datasets with paired +undersampled, fully-sampled acquisitions. Model training can +be performed either directly on undersampled acquisitions +via self-supervision [64] or on unpaired sets of undersampled +and fully-sampled acquisitions via cycle-consistent learning +[77]. This approach can prove beneficial when fully-sampled +acquisitions are costly to collect. Nonetheless, the resulting +models still require relatively large datasets form tens of +subjects during training [64]. Note that our experiments on +self-supervised variants of PSFNet and MoDL suggest that +unsupervised models can be more demanding for data than their +supervised counterparts. Therefore, the data-efficiency benefits +of PSFNet might be particularly useful for unsupervised deep +MRI reconstruction. +A fundamentally different framework to lower requirements +on training datasets while offering improved generalizability +is based on SS priors. In this case, learning can be performed +directly on test data and models can be adapted to each scan +[15], [17]. A group of studies have proposed SS methods based +on relatively compact nonlinear models to facilitate learning +during inference [15], [17], [18], [78]. However, because learn- +ing is performed in central k-space, these methods implicitly +assume that local relationships among spatial frequency samples +are largely invariant across k-space. While the SS prior in +PSFNet also rests on a similar assumption, the SG components +helps correct residual errors that can be introduced due to this +assumption. Another group of studies have alternatively adopted +the deep image prior (DIP) approach to build SS methods +[19], [20], [22], [23]. In DIP, unconditional deep network +models that map latent variables onto images are used as +native priors for MR images. The priors are learned by ensuring +the consistency of reconstructed and acquired data across the +entire k-space. Despite improved generalization, these relatively +more complex models require increased inference times. In +comparison, PSFNet provides faster inference since the weights +for its SG prior are fixed, and its SS prior involves a compact +linear operator that is easier to learn. +Few independent studies on MRI have proposed approaches +related to PSFNet by combining nonlinear and linear recon- +structions [6], [17], [78]. Residual RAKI and SPARK methods +initially perform a linear reconstruction, and then use an SS +method to correct residual errors via minimizing a DC loss in +the calibration region [17], [78]. As local relationships among +data samples might vary across k-space, the learned SS priors +might be suboptimal. Moreover, these methods perform online +learning of nonlinear SS priors that introduces relatively high +computational burden. In contrast, PSFNet incorporates an SG +prior to help improve reliability against sub-optimalities in the +SS prior, and uses a linear SS prior for efficiency. Another +related method is GrappaNet that improves reconstruction per- +formance by cascading GRAPPA and network-based nonlinear +reconstruction steps [6]. While [6] intends to improve image +quality, the main aim of our study is to improve practicality +by lowering training data requirements of deep models, and +improving domain generalizability without elevating inference +times. Note that GrappaNet follows the conventional unrolling +approach by performing serially alternated projections through +linear and nonlinear reconstructions, which can lead to error +propagation under low-data regimes [79]. In contrast, PSFNet +maintains linear and nonlinear reconstructions as two parallel +streams in its architecture, and learns to optimally fuse the +information from the two streams. +The proposed method can be improved along several lines +of technical development. First, to improve the capture of high- +frequency information by the SG prior, an adversarial loss +term along with a discriminator subnetwork can be included +in PSFNet [80]. It remains to be demonstrated whether the +data-efficiency benefits of PSFNet are apparent for adversarial +training setups. Second, nonlinear activation functions can +be included in the SS stream to improve the expressiveness +of the SS prior [78]. While learning of nonlinear priors can +elevate inference complexity, generalization performance might +be further improved. Third, the expressiveness of both SS +and SG priors might be enhanced by incorporating attention +mechanisms as proposed in recent transformer models [81]. +Fourth, using multimodal image fusion approaches can improve +performance in case of having a repository with multimodal +data [82], [83]. Lastly, the benefits of transfer learning and +PSFNet can be aggregated by pre-training the SG prior on +natural images to further lower requirements on training data. +VI. ACKNOWLEDGMENTS +This work was supported in part by a TUBA GEBIP 2015 +fellowship, by a BAGEP 2017 fellowship, and by a TUBITAK +121E488 grant awarded to T. C¸ ukur. +REFERENCES +[1] S. Bauer, R. Wiest, L.-P. Nolte, and M. Reyes, “A survey of mri-based +medical image analysis for brain tumor studies,” Physics in Medicine & +Biology, vol. 58, no. 13, p. R97, 2013. +[2] A. Shoeibi, M. Khodatars, M. Jafari, N. Ghassemi, P. Moridian, +R. Alizadehsani, S. H. Ling, A. Khosravi, H. Alinejad-Rokny, H. Lam, +M. Fuller-Tyszkiewicz, U. R. Acharya, D. Anderson, Y. Zhang, and +J. M. Gorriz, “Diagnosis of brain diseases in fusion of neuroimaging +modalities using deep learning: A review,” Information Fusion, vol. 93, +pp. 85–117, 2023. +[3] M. Hu, X. Qian, S. Liu, A. J. Koh, K. Sim, X. Jiang, C. Guan, +and J. H. 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Liu, “Sgfusion: A saliency guided deep- +learning framework for pixel-level image fusion,” Information Fusion, +vol. 91, pp. 205–214, 2023. + diff --git a/39E0T4oBgHgl3EQfvAGt/content/tmp_files/load_file.txt b/39E0T4oBgHgl3EQfvAGt/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..931dd588250d7189fab3542f1267130fe1e829e1 --- /dev/null +++ b/39E0T4oBgHgl3EQfvAGt/content/tmp_files/load_file.txt @@ -0,0 +1,1563 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf,len=1562 +page_content='1 Learning Deep MRI Reconstruction Models from Scratch in Low-Data Regimes Salman Ul Hassan Dar, S¸ aban ¨Ozt¨urk, Muzaffer ¨Ozbey, and Tolga C¸ ukur∗ Abstract— Magnetic resonance imaging (MRI) is an es- sential diagnostic tool that suffers from prolonged scan times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Reconstruction methods can alleviate this limitation by recovering clinically usable images from accelerated ac- quisitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In particular, learning-based methods promise performance leaps by employing deep neural networks as data-driven priors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A powerful approach uses scan-specific (SS) priors that leverage information regarding the underly- ing physical signal model for reconstruction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SS priors are learned on each individual test scan without the need for a training dataset, albeit they suffer from computationally burdening inference with nonlinear networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' An alterna- tive approach uses scan-general (SG) priors that instead leverage information regarding the latent features of MRI images for reconstruction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SG priors are frozen at test time for efficiency, albeit they require learning from a large training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Here, we introduce a novel parallel-stream fusion model (PSFNet) that synergistically fuses SS and SG priors for performant MRI reconstruction in low-data regimes, while maintaining competitive inference times to SG methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet implements its SG prior based on a nonlinear network, yet it forms its SS prior based on a linear network to maintain efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A pervasive framework for combining multiple priors in MRI reconstruction is algo- rithmic unrolling that uses serially alternated projections, causing error propagation under low-data regimes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To alle- viate error propagation, PSFNet combines its SS and SG priors via a novel parallel-stream architecture with learn- able fusion parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Demonstrations are performed on multi-coil brain MRI for varying amounts of training data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet outperforms SG methods in low-data regimes, and surpasses SS methods with few tens of training samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In both supervised and unsupervised setups, PSFNet re- quires an order of magnitude lower samples compared to SG methods, and enables an order of magnitude faster inference compared to SS methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Thus, the proposed model improves deep MRI reconstruction with elevated learning and computational efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Index Terms— image reconstruction, deep learning, scan specific, scan general, low data, supervised, unsupervised.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' This work was supported in part by a TUBA GEBIP 2015 fellowship, by a BAGEP 2017 fellowship, and by a TUBITAK 121E488 grant awarded to T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' C¸ ukur.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' UH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Dar, S¸ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ¨Ozt¨urk, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ¨Ozbey, and T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' C¸ ukur are with the Department of Electrical and Electronics Engineering, and the Na- tional Magnetic Resonance Research Center, Bilkent University, Ankara, Turkey (e-mails: {salman,muzaffer,cukur}@ee.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='bilkent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='tr, saban.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='ozturk@amasya.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='tr).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' S¸ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ¨Ozt¨urk is also with the Amasya University, Amasya, Turkey.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' INTRODUCTION The unparalleled soft-tissue contrast and non-invasiveness of MRI render it a preferred modality in many diagnostic applications [1], [2], and downstream imaging tasks such as classification [3] and segmentation [4], [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, the adverse effects of low spin polarization at mainstream field strengths on the signal-to-noise ratio make it slower against alternate modalities such as CT [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Since long scan durations inevitably constrain clinical utility, there is an ever-growing interest in accelerated MRI methods to improve scan efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Accelerated MRI involves an ill-posed inverse problem with the aim of mapping undersampled acquisitions in k-space to high- quality images corresponding to fully-sampled acquisitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Conventional frameworks for solving this problem rely on parallel imaging (PI) capabilities of receive coil arrays [7], [8], in conjunction with hand-constructed MRI priors [9], [10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A joint objective is iteratively optimized comprising a data- consistency (DC) term based on the physical signal model, and a regularization term that enforces the MRI prior [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The physical model constrains reconstructed data to be consistent with acquired data while considering coil sensitivities and undersampling patterns [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Meanwhile, the regularization term, often based on a linear transform where data are assumed to be compressible [9], introduces suboptimality when the distribution of MRI data diverges from the hand-constructed prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Deep learning (DL) methods have recently been adopted as a promising framework to improve reconstruction performance [12]–[16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Inspired by traditional methods, a powerful approach is based on scan-specific (SS) priors that leverage the physical signal model to learn a reconstruction specific to each test scan, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' undersampled k-space data from a given test subject.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Similar to autocalibration procedures in PI, a first group of SS methods perform training using a fully-sampled calibration region and then exercise learned dependencies in broader k- space [15]–[18].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Following the deep image prior technique, a second group of methods use unconditional CNNs as a native MRI prior [19]–[21].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' These CNNs map low-dimensional latent variables onto MR images, and latents and network weights are optimized to ensure consistency to acquired data based on the physical signal model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In general, SS priors learned on each subject at test time avoid the need for separate training datasets, and promise improved reliability against atypical anatomy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, they suffer from long inference times that can be prohibitive particularly when nonlinear networks are arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='02613v1 [eess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='IV] 6 Jan 2023 EMB NPS UFFC SignalProcessing Society 0222 adopted [22]–[24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A fundamental alternative is to employ scan-general (SG) priors based on deep nonlinear networks that capture latent fea- tures of MR images [12]–[14], [25]–[33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Numerous successful architectures have been reported including perceptrons [34], basic convolutional neural networks (CNNs) [35]–[38], residual or recurrent CNNs [29], [39]–[41], generative adversarial networks (GANs) [42]–[46], transformers [47], [48] and diffusion models [49], [50].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Physics-guided unrolled methods have received particular attention that combine the physical signal model as in traditional frameworks and regularization via a deep network serving as an SG prior [13], [27], [51]–[53].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Reconstruction is achieved via serially alternated projections through the physical signal model and the SG prior [38], [40], [54]–[56].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, under low-data regimes, the suboptimally trained SG prior introduces errors that are propagated across the unrolled architecture, compromising performance [6], [57], [58].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Furthermore, learning of SG priors requires large training datasets from several tens to hundreds of subjects [28], [59], [60], which can limit practicality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Here, we propose a novel parallel-stream fusion model (PSFNet) that consolidates SS and SG priors to enable data- efficient training and computation-efficient inference in deep MRI reconstruction1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet leverages an SS stream to perform linear reconstruction based on the physical signal model, and an SG stream to perform nonlinear reconstruction based on a deep network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Unlike conventional unrolled methods based on serial projections, here we propose a parallel-stream architecture with learnable fusion of SS and SG priors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Fusion parameters are adapted across cascades and training iterations to emphasize task-critical information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Comprehensive experiments on brain MRI datasets are reported to demonstrate PSFNet under both supervised and unsupervised settings [62]–[66].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet is compared against an unrolled SG method [27], two SS methods [17], [67], and conventional SPIRiT reconstructions [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Compared to the unrolled model, PSFNet lowers training data requirements an order of magnitude.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Compared to SS models, PSFNet offers significantly faster inference times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Our main contributions are summarized below: A novel cascaded network architecture is introduced that adaptively fuses SS and SG priors across cascades and training iterations to improve learning-based MRI reconstruction in low-data regimes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SS prior facilitates learning of the SG prior with limited data, and empowers PSFNet to successfully generalize to out-of-domain samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SG prior improves performance by capturing nonlin- ear residuals, and enhances resilience against suboptimal hyperparameter selection in the SS component.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Parallel-stream fusion of SS and SG priors yields robust performance with limited training data in both supervised and unsupervised settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' THEORY 1see [61] for a preliminary version of this work presented at ISMRM 2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Image Reconstruction in Accelerated MRI MRI reconstruction is an inverse problem that aims to recover an image from a respective undersampled acquisition: MFx = y (1) where F is the Fourier transform, M is the sampling mask defining acquired k-space locations, x is the multi-coil image to be reconstructed and y are acquired multi-coil k-space data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To improve problem conditioning, additional prior information re- garding the expected distribution of MR images is incorporated in the form of a regularization term: ˆx = arg min x λ||MFx − y||2 2 + R(x) (2) where the first term enforces DC between reconstructed and acquired k-space data, R(x) reflects the MRI prior, and λ controls the balance between the DC and regularization terms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The DC term can be implemented by injecting the acquired values of k-space data into the reconstruction [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Thus, mapping through a DC block is given as: fDC(x) = F −1ΛFx + λ 1 + λF −1y (3) where Λ is a diagonal matrix with diagonal entries set to 1 1+λ at acquired k-space locations and set to 1 in unacquired locations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In traditional methods, the regularization term is based on a hand-constructed transform domain where data are assumed to have a sparse representation [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For improved conformation to the distribution of MRI data, recent frameworks instead adopt deep network models to capture either SG priors learned from a large MRI database with hundreds of subjects, or SS priors learned from individual test scans.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Learning procedures for the two types of priors are discussed below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SG priors: In MRI, SG priors are typically adopted to suppress aliasing artifacts in the zero-filled reconstruction (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', inverse Fourier transform) of undersampled k-space acquisitions [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A deep network model that performs de-aliasing can be learned from a large training dataset of undersampled and corresponding fully-sampled k-space acquisitions, and then employed to implement R(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=') in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 2 during inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The regularization term based on an SG prior is given as: RSG (x) = arg min x ||CSG(F −1y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ˆθSG) − x||2 2 (4) where CSG is an image-domain deep network with learned parameters ˆθSG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The formulation in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 4 assumes that CSG recovers multi-coil output images provided multi-coil input images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The parameters θSG for CSG can be learned based on a pixel-wise loss between reconstructed and ground-truth images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Training is conducted offline via an empirical risk minimization approach based on Monte Carlo sampling [13]: LSG(θSG) = N � n=1 ||CSG(F −1yn;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θSG) − ˘xn||p (5) where N is the number of training scans, n is the training scan index, ||.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='||p denotes ℓp norm, ˘xn is the ground-truth multi-coil image derived from the fully-sampled acquisition for the nth scan, and yn are respective undersampled k-space data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 3 A common approach to build CSG is based on unrolled architectures that perform cascaded projections through CNN blocks to regularize the image and DC blocks to ensure conformance to the physical signal model [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Given a total of K cascades with tied CNN parameters across cascades, the mapping through the kth cascade is [13], [68], [69]: xr k = fDC � fSG � xr k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θSG �� (6) where xr k is the image for the rth scan (that could be a training or test scan) at the output of the kth cascade (k ∈ [1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', K]), and xr 0 = F −1yr where yr are the acquired undersampled data for the rth scan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Meanwhile, fSG is the CNN block embedded in the kth cascade with parameters θSG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As the parameters of SG priors are trained offline and then frozen during inference, deeper network architectures can be used for enhanced reconstruction performance along with fast inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, learning deep networks requires substantial training datasets that may be difficult to collect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Moreover, since SG priors learn aggregate representations of MRI data across training subjects, they may show poor generalization to subject-specific variability in anatomy [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SS priors: Unlike SG priors, SS priors are not learned from a dedicated training dataset but instead they are learned directly for individual test scans to improve generalization [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SS prior can also be used to implement R(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=') in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 2 with the respective regularization term expressed as: RSS (x) = arg min x ||CSS(F −1y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ˆθSS) − x||2 2 (7) where CSS is an image-domain network with parameters ˆθSS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In the absence of ground-truth images, the parameters θq SS for the qth test scan can be learned based on proxy k-space losses between reconstructed and acquired undersampled data [22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Learning is conducted online to minimize this proxy loss: LSS(θq SS) = ||MFCSS(F −1yq;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θq SS) − yq||p (8) where yq are acquired undersampled k-space data for the qth scan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' An unrolled architecture can be adopted to build CSS by performing cascaded projections through network and DC blocks, resulting in the following mapping for the kth cascade: xq k = fDC � fSS � xq k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θq SS �� (9) fSS can be operationalized as a linear or nonlinear network [22], [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As the parameters of SS priors are learned independently for each test scan, they promise enhanced generalization to subject-specific anatomy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, since training is performed online during inference, SS priors can introduce substantial computational burden, particularly when deep nonlinear net- works are used that also increase the risk of overfitting [70].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet Here, we propose to combine SS and SG priors to maintain a favorable trade-off between generalization performance and computational efficiency under low-data regimes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In the conventional unrolling framework, this requires computation of serially alternated projections through the SS, SG and DC blocks: xr k = fDC � fSG � fSS � xr k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θr SS � ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θSG �� (10) The unrolled architecture with K cascades can be learned offline using the training set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that scarcely-trained SG blocks under low-data regimes can perform suboptimally, introducing residual errors in their output.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In turn, these errors will accumulate across serial projections to degrade the overall performance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To address this limitation, here we introduce a novel architecture, PSFNet, that performs parallel-stream fusion of SS and SG priors as opposed to the serial combination in conventional unrolled methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet utilizes a nonlinear SG prior for high performance, and a linear SS prior to enhance generalization without excessive computational burden.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The two priors undergo parallel-stream fusion with learnable fusion parameters η and γ, as displayed in Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' These parame- ters adaptively control the relative weighting of information extracted by the SG versus SS streams during the course of training in order to alleviate error accumulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As such, the mapping through the kth cascade in PSFNet is: xr k = ηkfDC(fSS(xr k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θr SS))+γkfDC(fSG(xr k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θSG)) (11) In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 11, the learnable fusion parameters for the SS and SG blocks at the kth cascade are ηk and γk, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To enforce fidelity to acquired data, DC projections are performed on the outputs of SG and SS blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In PSFNet, the SG prior is learned collectively from the set of training scans and then frozen during inference on test scans.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, the SS prior is learned individually for each scan, during both training and inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Training: PSFNet involves a training phase to learn model parameters for the SG prior as well as its fusion with the SS prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For each individual scan in the training set, PSFNet learns a dedicated SS prior for the given scan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Since learning of a nonlinear SS prior has substantial computational burden, we adopt a linear SS prior in PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In particular, the SS block performs dealiasing via convolution with a linear kernel [71]: fSS(xn k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θn SS) = F −1{θn SS ⊛ Fxn k−1} (12) where θn SS ∈ C(z×z×w×w) with n denoting the training scan index, z denoting the number of coil elements, and w denoting the kernel size in k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SS blocks contain unlearned Fourier and inverse Fourier transformation layers as their input and output layers, respectively, and convolution is computed over the spatial frequency dimensions in k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Meanwhile, the SG prior is implemented as a deep CNN operating in image domain: fSG(xn k−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θSG) = CNN(xn k−1) (13) Across the scans in the training set, the training loss for PSFNet 4 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 1: (a) PSFNet comprises a parallel-stream cascade of sub-networks where each sub-network contains (b) a scan-general (SG) block, and (c) a scan-specific (SS) block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The two parallel blocks are each succeeded by (d) a data-consistency (DC) block, and their outputs are aggregated with learnable fusion weights, ηk and γk where k is the cascade index.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' At the end of K cascades, coil-combination is performed on multi-coil data using sensitivity maps estimated via ESPIRiT [71].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SG block is implemented as a deep convolutional neural network (CNN) and the SS block was implemented as a linear projection layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' can then be expressed in constrained form as: LP SF Net(θSG,γγγ,ηηη) = N � n=1 ||ηKfDC(fSS(xn K−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ˆθn SS)) + γKfDC(fSG(xn K−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θSG)) − ˘xn||p s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ˆθn SS = arg min θn SS ||F −1W nyn − fSS(F −1W nyn;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θn SS)||2 2 (14) The constraint in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 14 corresponds to the scan-specific learning of the SS prior ˆθn SS, which is then adopted to calculate the loss.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Assuming that the linear relationships among neighboring spatial frequencies are similarly distributed across k-space [71], ˆθn SS is learned by solving a self-regression problem on the subset of fully-sampled data in central k-space, where W n is a mask operator that selects data within this calibration region.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that, unlike deep reconstruction models purely based on SG priors, the SG prior in PSFNet is not directly trained to remove artifacts in zero-filled reconstructions of undersampled data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Instead, the SG prior is trained to concurrently suppress artifacts in reconstructed images along with the SS prior;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' and the relative importance attributed to the two priors is determined by the fusion parameters at each cascade.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As such, the SS prior can be given higher weight during initial training iterations where the SG prior is scarcely trained, whereas its weight can be relatively reduced during later iterations once the SG prior has been sufficiently trained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' This adaptive fusion approach thereby lowers reliance on the availability of large training sets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Inference: During inference on the qth test scan, the respec- tive SS prior is learned online as: ˆθq SS = arg min θq SS ||F −1W qyq − f q SS(F −1W qyq;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' θq SS)||2 2 (15) Afterwards, the learned ˆθq SS is used along with the previously trained ˆθSG to perform repeated projections through K cas- cades as described in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The multi-coil image recovered by PSFNet at the output of the K cascade is: ˆxq = ηKfDC(fSS(xq K−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ˆθq SS))+γKfDC(fSG(xq K−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ˆθSG)) (16) where ˆxq denotes the recovered image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The final reconstruction can be obtained by performing combination across coils: ˆxq combined = A∗ˆxq (17) where A are coil sensitivities, and A∗ denotes the conjugate of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' METHODS A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Implementation Details In each cascade, PSFNet contained two parallel streams with SG and SS blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SG blocks comprised an input layer followed by a stack of 4 convolutional layers with 64 channels and 3x3 kernel size each, and an output layer with ReLU activation functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' They processed complex images with separate channels for real and imaginary components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The SS blocks comprised a Fourier layer, 5 projection layers with identity activation functions, and an inverse Fourier layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' They processed complex images directly without splitting real and imaginary components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The linear convolution kernel used in the projection layers was learned from the calibration region by solving a Tikhonov regularized self-regression problem [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The DC blocks comprised 3 layers respectively to implement a) Parallel-Stream Fusion Model (PSFNet) Reconstructed Zero-Filled Nk Reconstruction Image Coil Combination Z Z : b) Scan-General c) Scan-Specific d) Data-Consistency: ReLU ReLU Conv ReLU Conv ReLU Conv LU Conv Conv Rel ce oni eLU ReLU Conv Conv Conv Conv Conv Xout-im ReLi ReLi ReL!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' R Yin5 forward Fourier transformation, restoration of acquired k- space data and inverse Fourier transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet was implemented with 5 cascades, K=5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The weights of SG, SS, and DC blocks were tied across cascades to limit model complexity [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The only exception were fusion coefficients that determine the relative weighting of the SG and SS blocks at each stage (γ1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='., γk, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', γ5 η1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='ηk, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', η5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' These fusion parameters were kept distinct across cascades.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Coil-combination on the recovered multi-coil images was performed using sensitivity maps estimated via ESPIRiT [71].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MRI Dataset Experimental demonstrations were performed using brain MRI scans from the NYU fastMRI database [72].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Here, contrast- enhanced T1-weighted (cT1-weighted) and T2-weighted acquisi- tions were considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The fastMRI dataset contains volumetric MRI data with varying image and coil dimensionality across subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that a central aim of this work was to sys- tematically examine the learning capabilities of models for varying number of training samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To minimize potential biases due to across-subject variability in MRI protocols, here we selected subjects with matching imaging matrix size and number of coils.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To do this, we only selected subjects with at least 10 cross-sections and only the central 10 cross-sections were retained in each subject.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' We further selected subjects with an in-plane matrix size of 256x320 for cT1 acquisitions, and of 288x384 for T2 acquisitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Background regions in MRI data with higher dimensions were cropped.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Lastly, we restricted our sample selection to subjects with at least 5 coil elements, and geometric coil compression [73] was applied to unify the number of coils to 5 in all subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Fully-sampled acquisitions were retrospectively undersam- pled to achieve acceleration rates of R=4x and 8x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Random undersampling patterns were designed via either a bi-variate normal density function peaking at the center of k-space, or a uniform density function across k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The standard deviation of the normal density function was adjusted to maintain the expected value of R across k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The fully-sampled calibration region spanned a 40x40 window in central k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Competing Methods PSFNet was compared against several state-of-the-art ap- proaches including SG methods, SS methods, and traditional PI reconstructions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For methods containing SG priors, both supervised and unsupervised variants were implemented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet: A supervised variant of PSFNet was trained using paired sets of undersampled and fully-sampled acquisitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNetUS: An unsupervised variant of PSFNet was im- plemented using self-supervision based on only undersampled training data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Acquired data were split into two non-overlapping sets where 40% of samples was reserved for evaluating the training loss and 60% of samples was reserved to enforce DC [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDL: A supervised SG methods based on an unrolled architecture with tied weights across cascades was used [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDL serially interleaves SG and DC blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The number of cascades and the structure of SG and DC blocks were identical to those in PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDLUS: An unsupervised variant of MoDL was imple- mented using self-supervision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A 40%-60% split was performed on acquired data to evaluate the training loss and enforce data consistency, respectively [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' sRAKI-RNN: An SS method was implemented based on the MoDL architecture [67].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Learning was performed to minimize DC loss on the fully-sampled calibration region.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Calibration data were randomly split with 75% of samples used to define the training loss and 25% of samples reserved to enforce DC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Multiple input-output pairs were produced for a single test sample by utilizing this split.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT: A traditional PI reconstruction was performed using the SPIRiT method [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Reconstruction parameters including the regularization weight for kernel estimation (κ), kernel size (w), and the number of iterations (Niter) were independently optimized for each reconstruction task via cross-validation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPARK: An SS method was used to correct residual errors from an initial SPIRiT reconstruction [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Learning was performed to minimize DC loss on the calibration region.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The learned SS prior was then used to correct residual errors in the remainder of k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Optimization Procedures For all methods, hyperparameter selection was performed via cross-validation on a three-way split of data across subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' There was no overlap among training, validation and test sets in terms of subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Data from 10 subjects were reserved for validation, and data from a separate set of 40 subjects were reserved for testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The number of subjects in the training set was varied from 1 to 50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Hyperparameters that maximized peak signal-to-noise ratio (PSNR) on the validation set were selected for each method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Training was performed via the Adam optimizer with learning rate ζ=10−4, β1=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='90 and β2=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='99 [74].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' All deep learning methods were trained to minimize hybrid ℓ1-ℓ2- norm loss between recovered and target data (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', between reconstructed and ground truth images for PSFNet, between recovered and acquired k-space samples for PSFNetUS) [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For PSFNet and MoDL, the selected number of epochs was 200, batch size was set to 2 for the limited number of training samples (Nsamples <10), and to 5 otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In DC blocks, λ = ∞ was used to enforce strict data consistency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For PSFNet and SPIRiT, the kernel width (w) and regularization parameter (κ) values were set as (κ, w) = (10−2, 9) at R= 4 and (10−2, 9) at R=8 for cT1-weighted reconstructions, and as (100, 17) at R=4 and (10−2, 17) at R=8 for T2-weighted reconstructions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For SPIRiT, the number of iterations Niter was set as 13 at R=4 and 27 at R=8 for cT1-weighted reconstructions, 20 at R=4 and 38 at R=8 for T2-weighted reconstructions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For sRAKI-RNN, the selected number of epochs was 500 and batch size was set to 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' All other optimization procedures were identical to MoDL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For SPARK, network architecture and training procedures were adopted from [17], except for the number of epochs (Nepoch) and learning rate (ζ) which were optimized on the validation set as (Nepoch, ζ)= (100, 10−2) For 6 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 2: Average PSNR across test subjects for (a) cT1- and (b) T2-weighted image reconstructions at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Model training was performed for varying number of training samples (Nsamples, lower x-axis) and thereby training subjects (Nsubjects, upper x-axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Results are shown for SPIRiT, SPARK, sRAKI-RNN, MoDL and PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' cT1-weighted reconstructions, and (Nepoch, ζ)= (250, 10−3) for T2-weighted reconstructions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' All competing methods were executed on an NVidia RTX 3090 GPU, and models were coded in Tensorflow except for SPARK which was implemented in PyTorch.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPARK was implemented using the toolbox at https://github.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='com/ YaminArefeen/spark_mrm_2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The code to imple- ment PSFNet will be available publicly at https://github.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' com/icon-lab/PSFNet upon publication.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Performance Metrics Performance assessments for reconstruction methods were carried out by visual observations and quantitative metrics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSNR and structural similarity index (SSIM) were used for quantitative evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For each method, metrics were computed on coil-combined images from the reconstruction and from the fully-sampled ground truth acquisition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Statistical differences between competing methods were examined via non-parametric Wilcoxon signed-rank tests.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Experiments Several different experiments were conducted to system- atically examine the performance of competing methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Assessments aimed to investigate reconstruction performance under low training data regimes, generalization performance in case of mismatch between training and testing domains, contribution of the parallel-stream design to reconstruction per- formance, sensitivity to hyperparameter selection, performance in unsupervised learning, and computational complexity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Performance in low-data regimes: Deep SG methods for MRI reconstruction typically suffer from suboptimal perfor- mance as the size of the training dataset is constrained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To systematically examine reconstruction performance, we trained supervised variants of PSFNet and MoDL while the number of training samples (Nsamples) was varied in the range [2- 500] cross sections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To attain a given number of samples, sequential selection was performed across subjects and across cross-sections within each subject.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Thus, the number of unique subjects included in the training set roughly corresponded to Nsamples/10 (since there were 10 cross-sections per subject).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SS reconstructions were also performed with sRAKI-RNN, SPIRiT and SPARK.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In the absence of fully-sampled ground truth data to guide the learning of the prior, unsupervised training of deep reconstruction models may prove relatively more difficult compared to supervised training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In turn, this may elevate requirements on training datasets for unsupervised models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To examine data efficiency for unsupervised training, we compared the reconstruction performance of PSFNetUS and MoDLUS as Nsamples was varied in the range of [2-500] cross sections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Comparisons were also provided against sRAKI-RNN, SPIRiT and SPARK.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Generalization performance: Deep reconstruction models can suffer from suboptimal generalization when the MRI data distribution shows substantial variation between the training and testing domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To examine generalizability, PSFNet models were trained on data from a source domain and tested on data from a different target domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The domain-transferred models were then compared to models trained and tested directly in the target domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Three different factors were altered to induce domain variation: tissue contrast, undersampling pattern, and acceleration rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' First, the capability to generalize to different tissue contrasts was evaluated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Models were trained on data from a source contrast and tested on data from a different target contrast.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Domain-transferred models were compared to target-domain models trained on data from the target contrast.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Next, the capability to generalize to different undersampling patterns was assessed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Models were trained on data undersampled with variable-density patterns and tested on data undersampled with uniform-density patterns.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Domain- transferred models were compared to target-domain models trained on uniformly undersampled data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Lastly, the capability to generalize to different acceleration rates was examined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Models were trained on acquisitions accelerated at R=4x and tested on acquisitions accelerated at R=8x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Domain-transferred models were compared to target-domain models trained at R=8x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Sensitivity to hyperparameters: SS priors are learned from individual test scans as opposed to SG priors trained on larger training datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Thus, SS priors might show elevated sensitivity to hyperparameter selection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' We assessed the reliability of reconstruction performance against suboptimal Nsubjects (r X 40 39 PSNR (dB) 38 SPIRiT 37 SPARK 36 SRAKI-RNN MoDL 35 PSFNet 34 Nsamples b) Nsubjects X 6 40 39 38 PSNR (dB) SPIRiT SPARK SRAKI-RNN MoDL 34 PSFNet 33 Nsamples7 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 3: cT1-weighted image reconstructions at R=4x via SPIRiT, SPARK, sRAKI-RNN, MoDL, and PSFNet along with the zero-filled reconstruction (ZF) and the reference image obtained from the fully-sampled acquisition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Error maps for each method are shown in the bottom row.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDL and PSFNet were trained on 10 cross-sections from a single subject.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT, SPARK and sRAKI-RNN directly performed inference on test data without a priori model training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet shows superior performance to competing methods in terms of residual reconstruction errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 4: T2-weighted image reconstructions at R=4x via SPIRiT, SPARK, sRAKI-RNN, MoDL, and PSFNet along with the zero-filled reconstruction (ZF) and the reference image obtained from the fully-sampled acquisition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Error maps for each method are shown in the bottom row.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDL and PSFNet were trained on 10 cross-sections from a single subject.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT, SPARK and sRAKI-RNN directly performed inference on test data without a priori model training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet shows superior performance to competing methods in terms of residual reconstruction errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' hyperparameter selection for SS priors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For this purpose, analyses were conducted on SPIRiT, SPARK and PSFNet that embody SS methods to perform linear reconstructions in k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The set of hyperparameters examined included regularization parameters for kernel estimation (κ) and kernel size (w).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Separate models were trained using κ in range [10-3- 100] and w in range [5-17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Computational complexity: Finally, we assessed the com- putational complexity of competing methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For each method, training and inference times were measured for a single subject with 10 cross-sections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Each cross-section had an imaging matrix size of 256x320 and contained data from 5 coils.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For all methods including SS priors, hyperparameters optimized for cT1-weighted reconstructions at R=4 were used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Ablation analysis: To assess the contribution of the parallel- stream design in PSFNet, a conventional unrolled variant of PSFNet was formed, named as PSFNetSerial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNetSerial combined the SG and SS priors via serial projections as described in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Modeling procedures and the design of SG and SS blocks were kept identical between PSFNet and PSFNetSerial for fair comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Performance was assessed as Nsamples was varied in the range of [2-500] cross sections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' RESULTS A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Performance in Low-Data Regimes Common SG methods for MRI reconstruction are based on deep networks that require copious amounts of training data, so performance can substantially decline on limited training sets [28], [59].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, PSFNet leverages an SG prior to concurrently reconstruct an image along with an SS prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Therefore, we reasoned that its performance should scale favorably under low-data regimes compared to SG methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' We also reasoned that PSFNet should yield elevated performance compared to SS methods due to residual corrections from its SG prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To test these predictions, we trained supervised variants of PSFNet and MoDL along with SPIRiT, sRAKI-RNN, and SPARK while the number of training samples (Nsamples) was ZF SPIRiT SPARK SRAKI-RNN MoDI PSFNet Reference 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='12 Error 0ZF SPIRiT SPARK SRAKI-RNN MoDL PSFNet Reference 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='12 Error 08 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 5: Weighting of the SG (γ) and SS (η) blocks in the final cascade of PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Weights were averaged across models trained for cT1- and T2-weighted reconstructions at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Model training was performed for varying number of training samples (Nsamples, lower x-axis) and thereby training subjects (Nsubjects, upper x-axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Both blocks are equally weighted with very limited training data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As Nsamples increases, the weighting of the SG prior becomes more dominant over the weighting of the SS prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' systematically varied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Figure 2 displays PSNR performance for cT1-weighted and T2-weighted image reconstruction as a function of Nsamples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet outperforms the scan-general MoDL method for all values of Nsamples (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As expected, performance benefits with PSFNet become more prominent towards lower values of Nsamples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet also outperforms traditional SPIRiT and scan-specific sRAKI-RNN and SPARK methods broadly across the examined range of Nsamples (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that while MoDL requires Nsamples = 30 (3 subjects) to offer on par performance to SS methods, PSFNet yields superior performance with as few as Nsamples = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Representative reconstructions for cT1- and T2-weighted images are depicted in Figures 3 and 4, where Nsamples = 10 from a single subject were used for training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet yields lower reconstruction errors compared to all other methods in this low-data regime, where competing methods either show elevated noise or blurring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Naturally, the performance of PSFNet increases as more training samples are available.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Since the SS prior is inde- pendently learned for individual samples, it should not elicit systematic performance variations depending on Nsamples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Thus, the performance gains can be attributed to improved learning of the SG prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In turn, we predicted that PSFNet would put more emphasis on its SG stream as its reliability increases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To examine this issue, we inspected the weightings of the SG (γ) and SS (η) streams as the training set size was varied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Figure 5 displays weightings at the last cascade as a function of Nsamples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For lower values of Nsamples where the quality of the SG prior is relatively limited, the SG and SS priors are almost equally weighted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, as the learning of the SG prior improves with higher Nsamples, the emphasis on the SG prior increases while the SS prior is less heavily Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 6: Average PSNR across test subjects for (a) cT1- and (b) T2-weighted image reconstructions at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Model training was performed for varying number of training samples (Nsamples, lower x-axis) and thereby training subjects (Nsubjects, upper x-axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Results are shown for SPIRiT, SPARK, sRAKI-RNN, MoDLUS and PSFNetUS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' weighted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' We then questioned whether the performance benefits of PSFNet are also apparent during unsupervised training of deep network models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For this purpose, unsupervised variants PSFNetUS and MoDLUS were trained via self-supervision [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNetUS was compared against MoDLUS, SPIRiT, sRAKI- RNN, and SPARK while the number of training samples (Nsamples) was systematically varied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Figure 6 displays PSNR performance for cT1-weighted and T2-weighted image recon- struction as a function of Nsamples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Similar to the supervised setting, PSFNetUS outperforms MoDLUS for all values of Nsamples (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05), and the performance benefits are more noticeable at lower Nsamples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In this case, however, MoDLUS is unable to reach the performance of the best performing SS method (SPARK) even at Nsamples = 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, PSFNetUS starts outperforming SPARK with approximately Nsamples = 50 (5 subjects).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The enhanced reconstruction quality with PSFNetUS is corroborated in representative re- constructions for cT1- and T2-weighted images depicted in Figures 7 and 8, where Nsamples = 100 were used for training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Taken together, these results indicate that the data-efficient nature of PSFNet facilitates the training of both supervised and unsupervised MRI reconstruction models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Nsubjects 5 6 Y (SG) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='60 n (Ss) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='55 Weighting 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='50 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='45 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='40 4 6 8 NsamplesNsubjects a X 40 39 38 37 (dB) 36 SPIRiT 35 PSNR 34 SPARK SRAKI - RNN 33 MoDLus 32 PSFNetus 31 30 2 X Nsamples b) Nsubjects 5 6 40 39 38 37 (dB) 36 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='343 SPIRiT PSNR SPARK SRAKI - RNN MoDLus 32 PSFNetus 31 30 X Nsamples9 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 7: cT1-weighted image reconstructions at R=4x via SPIRiT, SPARK, sRAKI-RNN, MoDLUS, and PSFNetUS along with the zero-filled reconstruction (ZF) and the reference image obtained from the fully-sampled acquisition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Error maps for each method are shown in the bottom row.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDLUS and PSFNetUS were trained on 100 cross-sections (from 10 subjects).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT, SPARK and sRAKI-RNN directly performed inference on test data without a priori model training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNetUS shows superior performance to competing methods in terms of residual reconstruction errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 8: T2-weighted image reconstructions at R=4x via SPIRiT, SPARK, sRAKI-RNN, MoDLUS, and PSFNetUS along with the zero-filled reconstruction (ZF) and the reference image obtained from the fully-sampled acquisition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Error maps for each method are shown in the bottom row.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDLUS and PSFNetUS were trained on 100 cross-sections (from 10 subjects).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT, SPARK and sRAKI-RNN directly performed inference on test data without a priori model training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNetUS shows superior performance to competing methods in terms of residual reconstruction errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Generalization Performance An important advantage of SS priors is that they allow model adaptation to individual test samples, thereby promise enhanced performance in out-of-domain reconstructions [22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Yet, SG priors with fixed parameters might show relatively limited generalizability during inference [23], [75].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' To assess generalization performance, we introduced domain variations by altering three experimental factors: tissue contrast, under- sampling pattern, and acceleration rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For methods comprising SG components, we built both target-domain models that were trained in the target domain, and domain-transferred models that were trained in a non-target domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' We then compared the reconstruction performances of the two models in the target domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' First, we examined generalization performance when the tissue contrast varied between training and testing domains (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', trained on cT1, tested on T2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Table I lists performance metrics for competing methods with Nsamples = 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' While performance losses are incurred for domain-transferred PSFNet- DT and MoDL-DT models that contain SG components, these losses are modest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' On average, MoDL-DT shows a loss of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3dB PSNR and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05), and PSFNet-DT shows a loss of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2dB PSNR and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that PSFNet-DT still outperforms the closest competing SS method by 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2dB PSNR and 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Second, we examined generalization performance when mod- els were trained with variable-density and tested on uniform- density undersampling patterns.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Table II lists performance metrics for competing methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' On average across tissue contrasts, MoDL-DT suffers a notable performance loss of 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6dB PSNR and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, PSFNet- DT shows a relatively limited loss of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4dB PSNR and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that PSFNet-DT again outperforms the closest competing SS method by 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4dB PSNR and 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Third, we examined generalization performance when models were trained at R=4x and tested on R=8x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Table III lists ZF SPIRiT SPARK sRAKI-RNN MoDL PSFNet Reference 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='12 Error 0ZF SPIRiT SPARK sRAKI-RNN MoDL PSFNet Reference 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='12 Error 010 TABLE I: Generalization across tissue contrasts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSNR and SSIM values (mean±standard error) across test subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Results are shown for scan-specific models (SPIRiT, SPARK, sRAKI-RNN), target-domain models (MoDL, PSFNet) and domain-transferred models (MoDL-DT, PSFNet-DT) at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The tissue contrast in the target domain is listed in the left-most column (cT1 or T2), domain-transferred models were trained for the non-target tissue contrast.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT SPARK sRAKI- RNN MoDL MoDL-DT PSFNet PSFNet- DT PSNR cT1 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 ± 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 T2 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ± 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 SSIM cT1 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 T2 90.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 TABLE II: Generalization across undersampling patterns.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSNR and SSIM values (mean±standard error) across test subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Results are shown for Results are shown for scan-specific models (SPIRiT, SPARK, sRAKI-RNN), target-domain models (MoDL, PSFNet) and domain-transferred models (MoDL-DT, PSFNet-DT) at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Domain-transferred models were trained with variable-density undersampling, and tested on uniform- density undersampling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Target-domain models were trained and tested with uniform-density undersampling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT SPARK sRAKI- RNN MoDL MoDL-DT PSFNet PSFNet- DT PSNR cT1 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ± 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 T2 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 31.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ± 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 SSIM cT1 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 ±2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 T2 90.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 97.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 performance metrics for competing methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' On average across tissue contrasts, MoDL-DT suffers a notable performance loss of 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0dB PSNR and performs slightly better in SSIM by 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2%SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05), whereas PSFNet-DT shows a lower loss of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6dB PSNR (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05) and performs similarly in SSIM (p > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet-DT outperforms the closest competing SS method by 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2dB PSNR and 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Taken together, these results clearly suggest that the SS prior in PSFNet contributes to its improved generalization performance over the scan-general MoDL method, while the SG prior in PSFNet enables it to outperform competing SS methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Sensitivity to Hyperparameters Parameters of deep networks that implement SS priors are to be learned from a single test sample, so the resultant models can show elevated sensitivity to the selection of hyperparameters compared to SG priors learned from a collection of training TABLE III: Generalization across acceleration rates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSNR and SSIM values (mean±standard error) across test subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Results are shown for scan-specific models (SPIRiT, SPARK, sRAKI-RNN), target-domain models (MoDL, PSFNet) and domain-transferred models (MoDL-DT, PSFNet-DT).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Domain- transferred models were trained at R=4x and tested at R=8x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Target-domain models were trained and tested at R=8x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT SPARK sRAKI- RNN MoDL MoDL-DT PSFNet PSFNet- DT PSNR cT1 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ± 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 T2 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 ± 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 SSIM cT1 89.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 90.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4 T2 89.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='0 90.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='3 ±1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='1 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='9 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7 samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Thus, we investigated the sensitivity of PSFNet to key hyperparameters of its SS prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT, SPARK and PSFNet methods all embody a linear k-space reconstruction, so the relevant hyperparameters are the regularization weight and width for the convolution kernel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Performance was evaluated for models were trained in the low-data regime (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', Nsamples = 10, 1 subject) for varying hyperparameter values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Figure 9 displays PSNR measurements for SPIRiT, SPARK and PSFNet across κ in range (10-3-100).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' While the perfor- mance of SPIRiT and SPARK is notably influenced by κ, PSFNet is minimally affected by sub-optimal selection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' On average across contrasts, the difference between the maximum and minimum PSNR values is 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='4dB for SPIRiT, 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5dB for SPARK, and a lower 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='7dB for PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that PSFNet outperforms competing methods across the entire range of κ (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Figure 10 shows PSNR measurements for competing methods across w in range (5-17).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In this case, all methods show relatively limited sensitivity to the selection of w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' On average across contrasts, the difference between the maximum and minimum PSNR values is 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5dB for SPIRiT, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='5dB for SPARK, and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='2dB for PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Again, PSFNet outperforms competing methods across the entire range of w (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Overall, our results indicate that PSFNet yields improved reliability against sub-optimal hyperparameter selection than competing SS methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Computational Complexity Next, we assessed the computational complexity of com- peting methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Table IV lists the training times of methods with SG priors, MoDL and PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that the remaining SS based methods do not involve a pre-training step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As it involves learning of an SS prior on each training sample, PSFNet yields elevated training time compared to MoDL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In return, however, it offers enhanced generalization performance and data-efficient learning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Table IV also lists the inference times of SPIRiT, SPARK, sRAKI-RNN, MoDL and PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' MoDL and PSFNet that employ SG priors with fixed weights during inference offer fast run times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, SPARK and 11 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 9: PSNR measurements were performed on recovered cT1- and T2-weighted images at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Bar plots in blue color show average PSNR across κ ∈ 10-3-101 (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', the regularization parameter for kernel estimation).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Error bars denote the 90% interval across κ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Bar plots in red color show PSNR for methods that do not depend on the value of κ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 10: PSNR measurements were performed on recovered cT1- and T2-weighted images at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Bar plots in blue color show the average PSNR across w ∈ 5-17 (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=', the kernel size).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Error bars denote the 90% interval across w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Bar plots in red color show PSNR for methods that do not depend on the value of w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' sRAKI-RNN that involve SS priors learned on individual test samples have a high computational burden.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Although PSFNet also embodies an SS prior, its uses a relatively lightweight linear prior as opposed to the nonlinear priors in competing SS methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Therefore, PSFNet benefits from data-efficient learning while maintaining computationally-efficient inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Ablation Analysis To demonstrate the value of the parallel-stream fusion strategy in PSFNet over conventional unrolling, PSFNet was compared against a variant model PSFNetSerial that combined SS and SG priors through serially alternated projections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Separate models were trained with number of training samples in the range Nsamples=[2-500].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Performance in cT1- and T2 weighted image reconstruction is displayed in Figure 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet significantly improves reconstruction performance over PSFNetSerial across the entire range of Nsamples considered (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05), and the benefits grow stronger for smaller training sets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' On average across contrasts for Nsamples < 10, PSFNet TABLE IV: Computational complexity of competing methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Training and inference times for data from a single subject, with 10 cross-sections, imaging matrix size 256x320 and 5 coils.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Run times are listed for SPARK, sRAKI-RNN, MoDL, and PSFNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' SPIRiT SPARK sRAKI-RNN MoDL PSFNet Training(s) 132 337 Inference(s) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='85 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='35 285.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='25 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='13 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' 11: Average (a) PSNR and (b) SSIM values for cT1- and T2-weighted image reconstructions at R=4x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Model training was performed for varying number of training samples (Nsamples, lower x-axis) and thereby training subjects (Nsubjects, upper x-axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Results are shown for PSFNet and PSFNetSerial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' outperforms PSFNetSerial by 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='8dB PSNR and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='6% SSIM (p < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content='05).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' These results indicate that the parallel-stream fusion of SG and SS priors in PSFNet is superior to the serial projections in conventional unrolling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' DISCUSSION AND CONCLUSION In this study, we introduced PSFNet for data-efficient training of deep reconstruction models in accelerated MRI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' PSFNet synergistically fuses SS and SG priors in a parallel-stream architecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The linear SS prior improves learning efficiency while mataining relatively low computational footprint, whereas the nonlinear SG prior enables improved reconstruction per- formance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' For both supervised and unsupervised training setups, the resulting model substantially reduces dependence on the availability of large MRI datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Furthermore,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' it achieves competitive inference times to SG methods,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' and 38 (dB) 36 PSNR 34 32 30 MoDL SPIRiT SPARK PSFNet SRAKI - RNN38 (dB) 36 PSNR 34 32 30 MoDL SPIRiT SPARK PSFNet SRAKI - RNNNsubjects a X 40 39 PSNR (dB) 38 37 PSFNet (cTi) 36 PSFNet (T2) PSFNetserial (cTi) 35 PSFNetserial (T2) 34 Nsamples b) Nsubjects 5 X 6 97 96 (%) SSIM 95 PSFNet (cTi) PSFNet (T2) 94 PSFNetserial (cTi) PSFNetserial (T2) 93 Nsamples12 reliably generalizes across tissue contrasts,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' sampling patterns and acceleration rates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Several prominent approaches have been introduced in the literature to address the training requirements of deep models based on SG priors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' One approach is to pre-train models on readily available datasets from a separate source domain and then to fine-tune on several tens of samples from the target domain [28], [59] or else perform SS fine- tuning [76].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' This transfer learning approach relaxes the domain requirements for training datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, the domain- transferred models might be suboptimal when training and testing data distributions are divergent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In such cases, additional training for domain-alignment might be necessary to mitigate performance losses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, PSFNet contains a SS prior that allows it to better generalize to out-of-domain data without further training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Another approach is to build unsupervised models to alleviate dependency on training datasets with paired undersampled, fully-sampled acquisitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Model training can be performed either directly on undersampled acquisitions via self-supervision [64] or on unpaired sets of undersampled and fully-sampled acquisitions via cycle-consistent learning [77].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' This approach can prove beneficial when fully-sampled acquisitions are costly to collect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Nonetheless, the resulting models still require relatively large datasets form tens of subjects during training [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that our experiments on self-supervised variants of PSFNet and MoDL suggest that unsupervised models can be more demanding for data than their supervised counterparts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Therefore, the data-efficiency benefits of PSFNet might be particularly useful for unsupervised deep MRI reconstruction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A fundamentally different framework to lower requirements on training datasets while offering improved generalizability is based on SS priors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In this case, learning can be performed directly on test data and models can be adapted to each scan [15], [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' A group of studies have proposed SS methods based on relatively compact nonlinear models to facilitate learning during inference [15], [17], [18], [78].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' However, because learn- ing is performed in central k-space, these methods implicitly assume that local relationships among spatial frequency samples are largely invariant across k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' While the SS prior in PSFNet also rests on a similar assumption, the SG components helps correct residual errors that can be introduced due to this assumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Another group of studies have alternatively adopted the deep image prior (DIP) approach to build SS methods [19], [20], [22], [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In DIP, unconditional deep network models that map latent variables onto images are used as native priors for MR images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The priors are learned by ensuring the consistency of reconstructed and acquired data across the entire k-space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Despite improved generalization, these relatively more complex models require increased inference times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In comparison, PSFNet provides faster inference since the weights for its SG prior are fixed, and its SS prior involves a compact linear operator that is easier to learn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Few independent studies on MRI have proposed approaches related to PSFNet by combining nonlinear and linear recon- structions [6], [17], [78].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Residual RAKI and SPARK methods initially perform a linear reconstruction, and then use an SS method to correct residual errors via minimizing a DC loss in the calibration region [17], [78].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' As local relationships among data samples might vary across k-space, the learned SS priors might be suboptimal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Moreover, these methods perform online learning of nonlinear SS priors that introduces relatively high computational burden.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, PSFNet incorporates an SG prior to help improve reliability against sub-optimalities in the SS prior, and uses a linear SS prior for efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Another related method is GrappaNet that improves reconstruction per- formance by cascading GRAPPA and network-based nonlinear reconstruction steps [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' While [6] intends to improve image quality, the main aim of our study is to improve practicality by lowering training data requirements of deep models, and improving domain generalizability without elevating inference times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Note that GrappaNet follows the conventional unrolling approach by performing serially alternated projections through linear and nonlinear reconstructions, which can lead to error propagation under low-data regimes [79].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' In contrast, PSFNet maintains linear and nonlinear reconstructions as two parallel streams in its architecture, and learns to optimally fuse the information from the two streams.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' The proposed method can be improved along several lines of technical development.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' First, to improve the capture of high- frequency information by the SG prior, an adversarial loss term along with a discriminator subnetwork can be included in PSFNet [80].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' It remains to be demonstrated whether the data-efficiency benefits of PSFNet are apparent for adversarial training setups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Second, nonlinear activation functions can be included in the SS stream to improve the expressiveness of the SS prior [78].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' While learning of nonlinear priors can elevate inference complexity, generalization performance might be further improved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Third, the expressiveness of both SS and SG priors might be enhanced by incorporating attention mechanisms as proposed in recent transformer models [81].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Fourth, using multimodal image fusion approaches can improve performance in case of having a repository with multimodal data [82], [83].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' Lastly, the benefits of transfer learning and PSFNet can be aggregated by pre-training the SG prior on natural images to further lower requirements on training data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/39E0T4oBgHgl3EQfvAGt/content/2301.02613v1.pdf'} +page_content=' ACKNOWLEDGMENTS This work was supported in part by a TUBA GEBIP 2015 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a/4NE0T4oBgHgl3EQfeQCD/content/tmp_files/2301.02388v1.pdf.txt b/4NE0T4oBgHgl3EQfeQCD/content/tmp_files/2301.02388v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..20e1a54f2f9fbc3e6a2312be53c3606c90f24b21 --- /dev/null +++ b/4NE0T4oBgHgl3EQfeQCD/content/tmp_files/2301.02388v1.pdf.txt @@ -0,0 +1,717 @@ +Generating corneal panoramic images from contact specular microscope images +Yusuke Nagira1†, Yuzuha Hara2, Satoru Hiwa2 +Naoki Okumura3, Noriko Koizumi3 and Tomoyuki Hiroyasu2 +1Graduate School of Life and Medical Sciences, Doshisha University, Japan +2Department of Biomedical Sciences and Informatics, Doshisha University, Japan +3Department of Biomedical Engineering, Faculty of Life and Medical Sciences, Doshisha University, Japan +(Tel: +81-774-65-6020, E-mail: tomo@is.doshisha.ac.jp) +Abstract: The contact specular microscope has a wider angle of view than that of the non-contact specular microscope but still +cannot capture an image of the entire cornea. To obtain such an image, it is necessary to prepare film on the parts of the image +captured sequentially and combine them to create a complete image. This study proposes a framework to automatically generate +an entire corneal image from videos captured using a contact specular microscope. Relatively focused images were extracted +from the videos and panoramic compositing was performed. If an entire image can be generated, it is possible to detect guttae +from the image and examine the extent of their presence. The system was implemented and the effectiveness of the proposed +framework was examined. The system was implemented using custom-made composite software, Image Composite Software +(ICS, K.I. Technology Co., Ltd., Japan, internal algorithms not disclosed), and a supervised learning model using U-Net was +used for guttae detection. Several images were correctly synthesized when the constructed system was applied to 94 different +corneal videos obtained from Fuchs endothelial corneal dystrophy (FECD) mouse model. The implementation and application +of the method to the data in this study confirmed its effectiveness. Owing to the minimal quantitative evaluation performed, such +as accuracy with implementation, it may pose some limitations for future investigations. +Keywords: U-Net, Semantic Segmentation, Fuchs Endothelial Corneal Dystrophy, Corneal Endothelial Cell +1. INTRODUCTION +Fuchs endothelial corneal dystrophy (FECD) is a bilat- +eral disease, wherein corneal endothelial cells are unable to +maintain their hexagonal shape. It is characterized by the +accelerated loss of corneal endothelial cells with changes in +Descemet’s membrane, resulting in the formation of an ex- +tracellular matrix called guttae [1]. In the United States, it +is estimated that 4% of people over 40 years of age are af- +fected by the disease, occurring more commonly in women +and more frequently in people in their 40s and 50s. Corneal +endothelial pump function is lost as the disease progresses, +causing corneal edema [2]. Presently, corneal transplanta- +tion is the only reliable treatment, and FECD accounts for +39% of all corneal transplants performed, making it the most +common cause of corneal transplantation worldwide [3]. +Rho kinase inhibitors have been reported to promote cell +proliferation and adhesion to substrates, inhibit corneal en- +dothelial cell apoptosis, and promote wound healing. There- +fore, using Rho kinase inhibitor eye drops is a potential +novel treatment approach alternative to corneal transplanta- +tion [4][5]. +In drug discovery research for FECD, the state of the +corneal endothelium, such as the guttae, is observed before +and after the drug use and evaluated based on the increase +or decrease in the number of cells. Doctors and researchers +widely use specular microscopes to observe the state of the +corneal endothelium. +However, the range of the micro- +scope’s imaging capability is limited and the current practice +estimates the state of the entire cornea from its center. The +endothelial cell density (ECD) is essential for understanding +† Yusuke Nagira is the presenter of this paper. +the pathogenesis of FECD. However, ECD cannot be mea- +sured accurately owing to the presence of guttae; hence, the +number of cells is measured manually [6]. +Using a mouse model to demonstrate the pathogenesis of +FECD, studies have been conducted on the segmentation of +guttae using U-Net and the calculation of cell density in areas +excluding guttae [7][8]. In previous studies on the panoramic +synthesis of the corneal endothelium, focused images were +extracted manually and stitched together. Panoramic com- +positing of the entire cornea is yet to be performed because +the images were localized panoramic images and did not rep- +resent the entire cornea [9]. Conventional panorama synthe- +sis software such as AutoStitch [10] does not consider the +order of the input images used for synthesis. Instead, it ex- +tracts the image features using Scale-Invariant Feature Trans- +form (SIFT) [11] and stitches the matching features together. +When pasting an image, it is deformed and scaled. For im- +ages with similar characteristics, such as corneal endothelial +cells, the position of the image to be pasted may be incor- +rect or the shape of the cells may be deformed owing to the +deformation of the image. In this case, accurate values can- +not be obtained when calculating the area of the cells or the +percentage of guttae. Therefore, the original image needed +to have as minimal deformations as possible in the combined +image. Alternatively, it is necessary to provide a mechanism +to access the original version of the image of interest. +This study proposes a framework for a system that gen- +erates images of the entire corneal endothelium from videos +obtained using a contact specular microscope. In the pro- +posed framework, the focused images are extracted from the +video images, feature extraction is performed, and the im- +ages are synthesized. During synthesis, the system reduces +arXiv:2301.02388v1 [eess.IV] 6 Jan 2023 + +or deforms the original image to the minimum and adds a +feature that allows access to the original image of the area +of interest. This study examined the proposed framework by +building a system using two implementation methods. Fur- +ther, we added a function for automatically detecting guttae +using U-Net, a type of Deep Learning. This study presents a +proposed framework and an example of its implementation. +Quantitative evaluation of whole corneal endothelial images +and gut detection is insufficient, which poses a limitation that +must be addressed in future studies. +2. FRAMEWORK OF CORNEAL PANORAMIC +IMAGE GENERATION FROM CONTACT +SPECULAR MICROSCOPE IMAGES +2.1. Overview of the proposed framework +Fig.1 presents an overview of the proposed framework. +An image of the entire cornea was generated from a video +frame of the cornea captured using a contact-type specu- +lar microscope. First, a focused still image was extracted +from the target video image (dataset 1). Second, the features +of still images were extracted. Third, the matching feature +points were combined to create a panoramic image. Next, +the panoramic image was divided into grid regions and the +most focused image was selected from each region. Guttae +were detected in the combined panoramic images using deep +learning. Additionally, still images of the corneal endothe- +lium containing the guttae and mask images exhibiting the +location of the guttae were used for the model generation +(dataset 2). +2.2. Extraction of in-focus images +A group of still images was extracted from the captured +videos. The entire corneal endothelium was captured and +converted to a single frame-by-frame image. If there were +N frames in the video, N images were the output in total +that were then divided into five groups in chronological order. +The image with the highest in-focus evaluation index was +selected from each group. +2.3. Creating panoramic images +The algorithm for generating a single panoramic image is +accomplished through the following steps. First, characteris- +tic points in the images were extracted. Subsequently, a curve +connecting the characteristic points was obtained. Here, the +optimal curve connecting the extracted characteristic points +was obtained. This curve was then used to enlarge or interpo- +late the image. A panoramic image was generated. In the fol- +lowing experiments, two algorithms were prepared and the +results were compared. +2.4. Image sharpening process +The synthesized panoramic images were mostly over- +lapped images. Additionally, the synthesized image is often +blurred because of the transparency and brightness of the im- +age change. Therefore, a method was developed to obtain +clearer images. The implementation of the sharpening pro- +cess is described in the next section. +2.5. Creating the Guttae Classifier by U-Net +The U-Net is a neural network commonly used for image +segmentation. U-Net uses a convolutional neural network to +encode an input image as a feature map, subsequently decod- +ing that feature map to separate specific objects in the input +image. It is possible to prepare a dataset of corneal images +and train U-Net using this dataset to generate a model for +extracting the guttae. +3. SYSTEM IMPLEMENTATION AND DATA +APPLICATION +3.1. Outline +This study implemented a system to confirm the effec- +tiveness of the proposed framework. +Corneal videos ob- +tained from the FECD mouse model were processed to obtain +panoramic images of the cornea. Tenengrad was used to ob- +tain the in-focus images. Finally, two different applications +were used to generate panoramic images. +3.2. Mouse Model of FECD +This study used images of whole corneal endothelial cells +from the FECD pathology mouse model. A single nucleotide +mutation in COL8A2 generated these genes, and it has been +reported that guttae increase over time. The Tissue Engineer- +ing Laboratory, Graduate School of Biomedical Sciences, +Doshisha University, provided the images. +The images +were taken using a prototype KSSP slit-scanning wide-field +contact specular microscope (Konan Medical, Inc., Nishi- +nomiya, Japan), had a resolution of 1620 × 1080 [pixels] at +a frame rate of 29.9 [fps] in MOV file format. The images +were taken in the following order: 1) starting from the center +of the cornea; 2) moving to the top of the cornea; 3) mov- +ing to the left; 4) filming from the top to the bottom of the +cornea; 5) moving around the right side; 6) filming from the +bottom to the center of the cornea. In this study, 94 videos +were prepared and used. +3.3. Extraction of in-focus images by Tenengrad +The focus evaluation index was calculated as follows: +Tenengrad [12][13] value, which is the gradient of the im- +age based on the pixel value, is calculated for each region, +where Gx and Gy are the convolved values of the Sobel op- +erator of the pixel values in the x-direction and y-direction, +respectively. +Φx,y = +� +(i,j)∈Ω(x,y) +(Gx(i, j)2 + Gy(i, j)2) +(1) +The Sobel operator is expressed as +Kx = +� +� +−1 +0 +1 +−2 +0 +2 +−1 +0 +1 +� +� , Ky = +� +� +−1 +−2 +−1 +0 +0 +0 +1 +2 +1 +� +� +The highest value in the quadratic area of a single image +was considered the focal value for that image. When this +value was calculated for the entire image, the gradient was +smaller in the area containing the edge of the corneal en- +dothelium. In contrast, the gradient increased in the area +containing corneal endothelial cells. Thus, as the area of + +Image integration for +panoramic image of the entire cornea +Learning Phase +… +U-Net +Corneal endothelial +images including Guttae +Mask image annotated +with Guttae locations +Dataset 2 +Prediction Phase +Modeled U-Net +Video of the entire +cornea +Dataset 1 +• Pre-processing +• Focused image +extraction +• Feature extraction +• Image integration +• Sharpen process of +panorama images +Final panoramic image +Guttae prediction +Fig. 1. Overview of the proposed framework +the rim increases, the Tenengrad value for the entire image +becomes smaller. This procedure prevents the corneal en- +dothelium from being excluded from the image even if it is +appropriately captured. +3.4. Creating the idealized panoramic artificial CECs +image data +To confirm the effectiveness of the panorama synthesis +software, a set of idealized panoramic artificial corneal en- +dothelial cell images were created with no blurring or focus +mismatch on the extracted images. These images were ob- +tained using the GNU Image Manipulation Program (GIMP). +These artificial images were created based on the synthesis +results obtained using the panorama synthesis software de- +scribed below. A layer was added to the composite image, +the cell membrane of the corneal endothelium was traced, +and the areas considered to be guttae were painted black. The +color of the surrounding endothelial cells was extracted from +the layer depicting the cell membrane and guttae using the +color picker function. The layers are filled with the same +color. This process was applied to the entire cornea to create +artificial images. For areas where the cell membrane was not +visible owing to issues such as focus mismatch or blurring, +the cell membrane was depicted by referring to another im- +age in which the cell membrane could be observed appropri- +ately. Idealized panoramic artificial corneal endothelial cell +images were created that mimicked the distribution and size +of the guttae, as well as the size and shape of the corneal en- +dothelial cells. The created image was 1870 × 1080 [pixel] +in size and was cropped and stored by moving approximately +10 [pixels] from the center to the top, counterclockwise from +the top, and counterclockwise from top to bottom, mimick- +ing the movement of a motion camera. +3.5. Creating panoramic images +In the composite process, two types of applications were +used; the Image Composite Software (ICS) and the panorama +synthesis algorithm implemented in OpenCV. The algo- +rithms are explained as follows. +3.5.1. Image Composite Software (ICS) +Image Composite Software (K.I. Technology CO., LTD., +Yokohama, Kanagawa, Japan) is a panorama compositive +software created with specifications suitable for image com- +positing corneal endothelial images. This application was +used for the composite process and was custom-made. Since +this is a commercial application, we cannot explain the de- +tails of its contents due to copyright. The original image is +not reduced or enlarged when the images are superimposed. +Additionally, an API to access the original image is provided, +allowing quick access to the original image of the area of in- +terest. A flowchart of the panorama compositing process is +shown in Algorithm 1, where the first image is used as the +reference image, and the regions that match the first image +are searched in order of image number. If no match is ob- +served, the image merged with the reference image is used +as the reference for the subsequent image, and the process is +repeated. The image merging is terminated when ten consec- +utive images are not observed to match the reference image. +3.5.2. Panorama synthesis algorithm implemented in OpenCV +Because the details of the process in ICS are not pub- +licly available, we implemented an algorithm similar to Al- +gorithm 2 that mimics the ICS process, using OpenCV, an +open-source computer vision library. The Kth image was the +closest to the end of the shooting. The jth image and the i+1 +image are matched for SIFT features, and if the two images +have many similar features, the degree of change between +the images is calculated and added to the list. The ith image +is matched to the i + 1 image. If the two images have few + +Algorithm 1 Image Composite Software processing details +1: +i = 0, j = 0 +2: +while i + j + 1 ≤ N do +3: +A = Images[i] +4: +j = 0 +5: +while j ≤ 10 do +6: +B = Images[i+j+1] +7: +if Find matching area with A then +8: +A = Stitch B onto A +9: +i = i + 1, j = 0 +10: +else +11: +j = j + 1 +Algorithm 2 Calculate the difference in coordinates between +images +1: +i = 0 +2: +coord = [], usedImages = [] +3: +while j ≤ N do +4: +j = i +5: +error = 0 +6: +flag = True +7: +while flag do +8: +Extract +SIFT +features +of +Image[j] +and +Image[i+1] +9: +if Two images could be feature matched then +10: +C = cal coord diff(Image[j], Image[i+1]) +11: +coord.append(C) +12: +usedImages.append(Image[j], Image[i+1]) +13: +i += 1 +14: +flag = False +15: +else +16: +error += 1 +17: +if error ≥ 10 then +18: +j += 1 +19: +else +20: +i += 1 +21: usedImages = list(set(usedImages) +22: return coord, usedImages +feature points and cannot be matched, add 1 to the values of +i and f and perform the SIFT feature extraction again. If this +process fails ten times, add 1 to the value of j and perform +the process again taking j equivalent to i, that is, j = i. Us- +ing the above algorithm, the degree of change in coordinates +between the images used for composition and the images can +be calculated. The global coordinates of the entire composite +coordinates can be obtained by setting the smallest values of +the x and y coordinates to zero and calculating the cumula- +tive sum till that point. +3.6. Image sharpening process +We divided the combined panoramic image into 64 × 64 +[pixel] grid regions. The image number of each composite +image and the coordinates of the constituent images were +obtained from the coordinates of the panoramic image. The +coordinates of the constituent images in the upper-left corner +of each grid region were obtained. Tenengrad values were +calculated for the cropped images. The image with the high- +est Tenengrad value among the cropped images was pasted +onto a newly created blank image of the same size as the +panoramic image with the exact extracted coordinates. These +processes were performed in all regions. The image with the +highest Tenengrad value among the multiple overlapping im- +ages was pasted to obtain a clear image. +3.7. Creating the Guttae Classifier +3.7.1. Creating Dataset +A large amount of data is required for training using net- +works. However, since the amount of data provided in this +study was small, it was necessary to augment the data. Ad- +ditionally, due to the large size of the image data, it was nec- +essary to reduce the size of the images to use them in the +dataset. Because image resizing results in a loss of infor- +mation, we developed a new data augmentation method for +small and large image data. The corneal endothelial cell im- +age and mask image showing the location of the guttae were +divided into a grid of 64 × 64 [pixels]. The image was clipped +three times by 16 [pixels] to the right and three times by 16 +[pixels] to the bottom, thereby shifting the image area. Thus, +the images were expanded 16 times for a single-grid region. +Images that did not contain guttae were excluded from the +dataset. +3.7.2. Training and Prediction in CNN +Twenty-one corneal endothelial cell images with a mask +image showing the location of the guttae were prepared +(Fig.1 Dataset 2). The Segmentation model PyTorch, which +is a Python library for implementing segmentation-specific +CNNs, was used in the experiments. The best encoder back- +bone is determined using ResNet18, ResNet34, ResNet50, +VGG11, and VGG16. Twenty-one images were divided into +two sets of eighteen and three images; eighteen were used +to develop this model and three were used to determine the +backbone. The node weights of ImageNet were transferred +to this model, and fine-tuning was performed. The network +of U-Net [14] encoders modified to ResNet50 [15] is the best +backbone. Adam [16] was used as the optimization function +with an initial learning rate of 1e-4, wherein the loss func- +tion is the least squares error. Predictions were made on a 64 +× 64 [pixels] image extracted during the sharpening process, +pasted to the original position, and the location of the guttae +was predicted for the panoramic image. +4. RESULTS AND DISCUSSION +4.1. Comparison of algorithms implemented in ICS and +OpenCV +An example of a mouse corneal endothelial cell is shown +in Fig.2A. The images synthesized using ICS were more cir- +cular than those synthesized using OpenCV. This result indi- +cates that the synthesis was performed correctly. On the other +hand, images synthesized using the OpenCV algorithm were +not circular and were often pasted in incorrect locations. +An example of the synthesis result of the algorithm im- +plemented in OpenCV for artificial cornea data is shown in + +(a) Panoramic images by Image Composite Software +(b) Panoramic images by OpenCV +A. +(a) Truth (Artificial cornea image) +(b) Panoramic image by OpenCV +B. +Fig. 2. +A: Comparison of results with Image Composite Software and software implemented in OpenCV. B: Results with +OpenCV implemented software on artificial cornea data.(a) shows the composite result and (b) shows the overlap of the +component images. +Fig.2B. This is the synthesis result when the focus is per- +fectly aligned and there are no blurred images. The result is +almost the same as the correct data, where there is no unnat- +ural overlap between the composite images, indicating that +compositing was performed correctly. If the in-focus images +are well extracted, they can be integrated well using OpenCV. +Overall, ICS is a more robust method. +4.2. Synthesis results with ICS +As previously mentioned, when taking moving images of +the mouse cornea with the contact specular microscope, the +images are taken in an upward direction from the center of +the cornea, then leftward along the edge of the cornea, and +downward once around the edge. Next, it was photographed +clockwise and then down to the center. For the 94 videos, the +left- and right-rotated portions were split, and for each case, +an integrated image was created using the ICS. The results +are presented in Table1. An image was classified as ”image +dropout” if the center of the image was missing, ”distorted +shape” if the shape was distorted instead of being circular, +and ”unnatural paste” if the image was pasted in an unnat- +ural location. +On the other hand, an image in which the +shape of the cornea in the combined panoramic image was +kept circular, the center was not missing, and there were no +unnaturally pasted parts was classified as a ”success”. The +number of images in which either the right- or left-rotated +part of the image was correctly merged was 75. Fig.3 com- +pares the results of the manual and ICS syntheses. Among +the videos that failed to be synthesized using ICS, those with +distorted shapes or unnatural pasting were verified to contain +frames that deviated from the cornea owing to contamina- +tion on the specular microscope or a shaking camera. It is +considered that the stains themselves became feature points, +and the pasting of the composite part failed. Additionally, +the position of the image was significantly changed because +of significant blurring, resulting in an unnatural position for +Table 1. Synthesis results with ICS +Result +Left +Right +image dropout +15 +20 +distorted shape +6 +12 +unnatural paste +10 +6 +success +63 +56 +pasting and distorting the overall shape of the image. +The results of the ICS and manually composited images +were almost identical, suggesting that there was no problem +with the image-compositing algorithm and that the mouse +cornea was not captured in the first place when the specular +microscope was used. The image was taken from the cen- +ter of the mouse cornea in an upward direction, followed by +leftward rotation along the edge of the cornea, and then a +downward direction was taken at the point where the image +had gone around the edge. If there is an area in the center of +the cornea that has not been photographed at this time, the +image will be missing. +4.3. Segmentation of guttae in panoramic images +The model that detects the guttae location was applied +to the panoramic images of the videos (Fig.1, Dataset 1). +Fig.4 shows two prediction examples of the guttae position +in a panoramic image: (c) and (d) are the prediction results +in (a) and (b), respectively. The original panoramic images +were combined using ICS, and the edges of the corneas were +cropped after sharpening. +Segmentation was performed on the images synthesized +from the entire cornea using ICS. Currently, 21 still images +and a mask image annotated with guttae are used for segmen- +tation into training and validation datasets. The model was +evaluated by comparing the validation data with predicted re- +sults. Fig.4 shows that while the segmentation of the likely + +(c) Panoramic image by manually +(Panoramic image was integrated Successfully.) +(d) Panoramic image by manually +(There is a hole in the center.) +(a) Panoramic image by Image Composite Software +(Panoramic image was integrated Successfully.) +(b) Panoramic image by Image Composite Software +(There is a hole in the center.) +Fig. 3. +Integrated image results by Image Composite Software and manual composite.The left side of each represents the +composite result, and the right side represents the overlap of the component images. +(a) Panoramic image with +corneal rim removed +(b) Prediction results for +guttae location +(c) Panoramic image with +corneal rim removed +(d) Prediction results for +guttae location +Fig. 4. Two examples of panoramic images and guttae loca- +tions. +guttae is successful, it also partially predicts the guttae at the +edges of the cornea. Further quantitative evaluation is es- +sential; however, it may pose some limitations for future re- +search. For this purpose, it is necessary to prepare an image +to which the Grand Truth of the guttae is assigned. +4.4. Discussion +It was observed that the algorithm implemented in +OpenCV could not correctly synthesize results using mouse +corneal endothelial cell images. The results showed that the +images were pasted in unnatural positions compared to those +obtained using artificial cornea data. The significant differ- +ence between the mouse corneal endothelial cell image data +and the artificial cornea data is that, with the artificial cornea +data, all images are in focus and the images themselves are +not blurred. For the image data of mouse corneal endothe- +lial cells, the process of extracting images in focus involved +extracting images at equal intervals in chronological order, +which resulted in the extraction of out-of-focus images. In +contrast, the ICS-based method synthesized the images more +accurately than the OpenCV-based synthesis software did be- +cause ICS uses a feature extraction method appropriate for +corneal endothelial cells. +By contrast, OpenCV synthesis uses SIFT for feature ex- +traction. This synthesis is considered to be progressing well. +Until now, it has not been possible to obtain images of the +entire cornea because of the narrow imaging range of spec- +ular microscopy. This study suggests that it is possible to +obtain a composite image of the entire cornea by extracting +a relatively focused image from a video of the entire cornea. +5. CONCLUSIONS AND FUTURE WORK +The status of the entire cornea is currently inferred from +the center of diagnosis and observation of corneal endothe- +lial cells using specular microscopy. If images of the entire +cornea could be obtained, more studies would be possible. +In this study, we proposed a framework for generating im- +ages of the entire cornea from videos captured using contact +specular microscopy. Focused images were extracted from +the video and a panoramic composite image was generated. +Furthermore, we constructed a learning model, U-Net, to ex- +tract the guttae from the entire image. To study the effec- +tiveness of the proposed framework, we implemented it and +applied it to corneal data from a mouse model of FECD. The +panorama synthesis application used in the implementation +was our custom-built ICS and the OpenCV algorithm, which +is an open-source software. Artificial corneal images were +synthesized with no unnatural aspects in the results. How- + +ever, some of the extracted images were not correctly syn- +thesized if they contained blurred images, and many images +were correctly synthesized using ICS. +After the panorama was merged, the image was divided +into a grid. Majority of the in-focus images were extracted +and pasted, resulting in a sharper image than the previous +output obtained using ICS. Using the extracted images within +the region, we could also predict the guttae location. Al- +though the implementation and application of the method to +the data in this study confirmed its effectiveness, few quanti- +tative evaluations have been performed. Quantitative evalua- +tion, such as the accuracy of implementation, is an issue for +the future. +REFERENCES +[1] +Allen O Eghrari, S Amer Riazuddin, and John D +Gottsch. Fuchs corneal dystrophy. 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Pattern Recognition, 46(5):1415–1432, 2013. +[14] Olaf Ronneberger, Philipp Fischer, and Thomas Brox. +U-net: Convolutional networks for biomedical image +segmentation. In International Conference on Medical +image computing and computer-assisted intervention, +pages 234–241. Springer, 2015. +[15] Kaiming He, Xiangyu Zhang, Shaoqing Ren, and Jian +Sun. Deep residual learning for image recognition. In +Proceedings of the IEEE conference on computer vision +and pattern recognition, pages 770–778, 2016. +[16] Diederik P Kingma and Jimmy Ba. +Adam: +A +method for stochastic optimization. +arXiv preprint +arXiv:1412.6980, 2014. + diff --git a/4NE0T4oBgHgl3EQfeQCD/content/tmp_files/load_file.txt b/4NE0T4oBgHgl3EQfeQCD/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..a6dd7805d42957b6d4a60bc41bdafc7acbb45881 --- /dev/null +++ b/4NE0T4oBgHgl3EQfeQCD/content/tmp_files/load_file.txt @@ -0,0 +1,347 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf,len=346 +page_content='Generating corneal panoramic images from contact specular microscope images Yusuke Nagira1†, Yuzuha Hara2, Satoru Hiwa2 Naoki Okumura3, Noriko Koizumi3 and Tomoyuki Hiroyasu2 1Graduate School of Life and Medical Sciences, Doshisha University, Japan 2Department of Biomedical Sciences and Informatics, Doshisha University, Japan 3Department of Biomedical Engineering, Faculty of Life and Medical Sciences, Doshisha University, Japan (Tel: +81-774-65-6020, E-mail: tomo@is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='doshisha.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='jp) Abstract: The contact specular microscope has a wider angle of view than that of the non-contact specular microscope but still cannot capture an image of the entire cornea.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' To obtain such an image, it is necessary to prepare film on the parts of the image captured sequentially and combine them to create a complete image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This study proposes a framework to automatically generate an entire corneal image from videos captured using a contact specular microscope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Relatively focused images were extracted from the videos and panoramic compositing was performed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If an entire image can be generated, it is possible to detect guttae from the image and examine the extent of their presence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The system was implemented and the effectiveness of the proposed framework was examined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The system was implemented using custom-made composite software, Image Composite Software (ICS, K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Technology Co.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=', Ltd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=', Japan, internal algorithms not disclosed), and a supervised learning model using U-Net was used for guttae detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Several images were correctly synthesized when the constructed system was applied to 94 different corneal videos obtained from Fuchs endothelial corneal dystrophy (FECD) mouse model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The implementation and application of the method to the data in this study confirmed its effectiveness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Owing to the minimal quantitative evaluation performed, such as accuracy with implementation, it may pose some limitations for future investigations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Keywords: U-Net, Semantic Segmentation, Fuchs Endothelial Corneal Dystrophy, Corneal Endothelial Cell 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' INTRODUCTION Fuchs endothelial corneal dystrophy (FECD) is a bilat- eral disease, wherein corneal endothelial cells are unable to maintain their hexagonal shape.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' It is characterized by the accelerated loss of corneal endothelial cells with changes in Descemet’s membrane, resulting in the formation of an ex- tracellular matrix called guttae [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In the United States, it is estimated that 4% of people over 40 years of age are af- fected by the disease, occurring more commonly in women and more frequently in people in their 40s and 50s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Corneal endothelial pump function is lost as the disease progresses, causing corneal edema [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Presently, corneal transplanta- tion is the only reliable treatment, and FECD accounts for 39% of all corneal transplants performed, making it the most common cause of corneal transplantation worldwide [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Rho kinase inhibitors have been reported to promote cell proliferation and adhesion to substrates, inhibit corneal en- dothelial cell apoptosis, and promote wound healing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' There- fore, using Rho kinase inhibitor eye drops is a potential novel treatment approach alternative to corneal transplanta- tion [4][5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In drug discovery research for FECD, the state of the corneal endothelium, such as the guttae, is observed before and after the drug use and evaluated based on the increase or decrease in the number of cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Doctors and researchers widely use specular microscopes to observe the state of the corneal endothelium.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' However, the range of the micro- scope’s imaging capability is limited and the current practice estimates the state of the entire cornea from its center.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The endothelial cell density (ECD) is essential for understanding † Yusuke Nagira is the presenter of this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' the pathogenesis of FECD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' However, ECD cannot be mea- sured accurately owing to the presence of guttae;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' hence, the number of cells is measured manually [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Using a mouse model to demonstrate the pathogenesis of FECD, studies have been conducted on the segmentation of guttae using U-Net and the calculation of cell density in areas excluding guttae [7][8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In previous studies on the panoramic synthesis of the corneal endothelium, focused images were extracted manually and stitched together.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Panoramic com- positing of the entire cornea is yet to be performed because the images were localized panoramic images and did not rep- resent the entire cornea [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Conventional panorama synthe- sis software such as AutoStitch [10] does not consider the order of the input images used for synthesis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Instead, it ex- tracts the image features using Scale-Invariant Feature Trans- form (SIFT) [11] and stitches the matching features together.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' When pasting an image, it is deformed and scaled.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' For im- ages with similar characteristics, such as corneal endothelial cells, the position of the image to be pasted may be incor- rect or the shape of the cells may be deformed owing to the deformation of the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In this case, accurate values can- not be obtained when calculating the area of the cells or the percentage of guttae.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Therefore, the original image needed to have as minimal deformations as possible in the combined image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Alternatively, it is necessary to provide a mechanism to access the original version of the image of interest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This study proposes a framework for a system that gen- erates images of the entire corneal endothelium from videos obtained using a contact specular microscope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In the pro- posed framework, the focused images are extracted from the video images, feature extraction is performed, and the im- ages are synthesized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' During synthesis, the system reduces arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='02388v1 [eess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='IV] 6 Jan 2023 or deforms the original image to the minimum and adds a feature that allows access to the original image of the area of interest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This study examined the proposed framework by building a system using two implementation methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Fur- ther, we added a function for automatically detecting guttae using U-Net, a type of Deep Learning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This study presents a proposed framework and an example of its implementation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Quantitative evaluation of whole corneal endothelial images and gut detection is insufficient, which poses a limitation that must be addressed in future studies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' FRAMEWORK OF CORNEAL PANORAMIC IMAGE GENERATION FROM CONTACT SPECULAR MICROSCOPE IMAGES 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Overview of the proposed framework Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1 presents an overview of the proposed framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' An image of the entire cornea was generated from a video frame of the cornea captured using a contact-type specu- lar microscope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' First, a focused still image was extracted from the target video image (dataset 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Second, the features of still images were extracted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Third, the matching feature points were combined to create a panoramic image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Next, the panoramic image was divided into grid regions and the most focused image was selected from each region.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Guttae were detected in the combined panoramic images using deep learning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Additionally, still images of the corneal endothe- lium containing the guttae and mask images exhibiting the location of the guttae were used for the model generation (dataset 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Extraction of in-focus images A group of still images was extracted from the captured videos.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The entire corneal endothelium was captured and converted to a single frame-by-frame image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If there were N frames in the video, N images were the output in total that were then divided into five groups in chronological order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image with the highest in-focus evaluation index was selected from each group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Creating panoramic images The algorithm for generating a single panoramic image is accomplished through the following steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' First, characteris- tic points in the images were extracted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Subsequently, a curve connecting the characteristic points was obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Here, the optimal curve connecting the extracted characteristic points was obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This curve was then used to enlarge or interpo- late the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' A panoramic image was generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In the fol- lowing experiments, two algorithms were prepared and the results were compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Image sharpening process The synthesized panoramic images were mostly over- lapped images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Additionally, the synthesized image is often blurred because of the transparency and brightness of the im- age change.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Therefore, a method was developed to obtain clearer images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The implementation of the sharpening pro- cess is described in the next section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Creating the Guttae Classifier by U-Net The U-Net is a neural network commonly used for image segmentation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' U-Net uses a convolutional neural network to encode an input image as a feature map, subsequently decod- ing that feature map to separate specific objects in the input image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' It is possible to prepare a dataset of corneal images and train U-Net using this dataset to generate a model for extracting the guttae.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' SYSTEM IMPLEMENTATION AND DATA APPLICATION 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Outline This study implemented a system to confirm the effec- tiveness of the proposed framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Corneal videos ob- tained from the FECD mouse model were processed to obtain panoramic images of the cornea.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Tenengrad was used to ob- tain the in-focus images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Finally, two different applications were used to generate panoramic images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Mouse Model of FECD This study used images of whole corneal endothelial cells from the FECD pathology mouse model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' A single nucleotide mutation in COL8A2 generated these genes, and it has been reported that guttae increase over time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The Tissue Engineer- ing Laboratory, Graduate School of Biomedical Sciences, Doshisha University, provided the images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The images were taken using a prototype KSSP slit-scanning wide-field contact specular microscope (Konan Medical, Inc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=', Nishi- nomiya, Japan), had a resolution of 1620 × 1080 [pixels] at a frame rate of 29.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='9 [fps] in MOV file format.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The images were taken in the following order: 1) starting from the center of the cornea;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2) moving to the top of the cornea;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3) mov- ing to the left;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 4) filming from the top to the bottom of the cornea;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 5) moving around the right side;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 6) filming from the bottom to the center of the cornea.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In this study, 94 videos were prepared and used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Extraction of in-focus images by Tenengrad The focus evaluation index was calculated as follows: Tenengrad [12][13] value, which is the gradient of the im- age based on the pixel value, is calculated for each region, where Gx and Gy are the convolved values of the Sobel op- erator of the pixel values in the x-direction and y-direction, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Φx,y = � (i,j)∈Ω(x,y) (Gx(i, j)2 + Gy(i, j)2) (1) The Sobel operator is expressed as Kx = � � −1 0 1 −2 0 2 −1 0 1 � � , Ky = � � −1 −2 −1 0 0 0 1 2 1 � � The highest value in the quadratic area of a single image was considered the focal value for that image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' When this value was calculated for the entire image, the gradient was smaller in the area containing the edge of the corneal en- dothelium.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In contrast, the gradient increased in the area containing corneal endothelial cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Thus, as the area of Image integration for panoramic image of the entire cornea Learning Phase … U-Net Corneal endothelial images including Guttae Mask image annotated with Guttae locations Dataset 2 Prediction Phase Modeled U-Net Video of the entire cornea Dataset 1 Pre-processing Focused image extraction Feature extraction Image integration Sharpen process of panorama images Final panoramic image Guttae prediction Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Overview of the proposed framework the rim increases, the Tenengrad value for the entire image becomes smaller.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This procedure prevents the corneal en- dothelium from being excluded from the image even if it is appropriately captured.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Creating the idealized panoramic artificial CECs image data To confirm the effectiveness of the panorama synthesis software, a set of idealized panoramic artificial corneal en- dothelial cell images were created with no blurring or focus mismatch on the extracted images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' These images were ob- tained using the GNU Image Manipulation Program (GIMP).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' These artificial images were created based on the synthesis results obtained using the panorama synthesis software de- scribed below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' A layer was added to the composite image, the cell membrane of the corneal endothelium was traced, and the areas considered to be guttae were painted black.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The color of the surrounding endothelial cells was extracted from the layer depicting the cell membrane and guttae using the color picker function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The layers are filled with the same color.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This process was applied to the entire cornea to create artificial images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' For areas where the cell membrane was not visible owing to issues such as focus mismatch or blurring, the cell membrane was depicted by referring to another im- age in which the cell membrane could be observed appropri- ately.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Idealized panoramic artificial corneal endothelial cell images were created that mimicked the distribution and size of the guttae, as well as the size and shape of the corneal en- dothelial cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The created image was 1870 × 1080 [pixel] in size and was cropped and stored by moving approximately 10 [pixels] from the center to the top, counterclockwise from the top, and counterclockwise from top to bottom, mimick- ing the movement of a motion camera.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Creating panoramic images In the composite process, two types of applications were used;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' the Image Composite Software (ICS) and the panorama synthesis algorithm implemented in OpenCV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The algo- rithms are explained as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Image Composite Software (ICS) Image Composite Software (K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Technology CO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=', LTD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=', Yokohama, Kanagawa, Japan) is a panorama compositive software created with specifications suitable for image com- positing corneal endothelial images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This application was used for the composite process and was custom-made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Since this is a commercial application, we cannot explain the de- tails of its contents due to copyright.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The original image is not reduced or enlarged when the images are superimposed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Additionally, an API to access the original image is provided, allowing quick access to the original image of the area of in- terest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' A flowchart of the panorama compositing process is shown in Algorithm 1, where the first image is used as the reference image, and the regions that match the first image are searched in order of image number.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If no match is ob- served, the image merged with the reference image is used as the reference for the subsequent image, and the process is repeated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image merging is terminated when ten consec- utive images are not observed to match the reference image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Panorama synthesis algorithm implemented in OpenCV Because the details of the process in ICS are not pub- licly available, we implemented an algorithm similar to Al- gorithm 2 that mimics the ICS process, using OpenCV, an open-source computer vision library.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The Kth image was the closest to the end of the shooting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The jth image and the i+1 image are matched for SIFT features, and if the two images have many similar features, the degree of change between the images is calculated and added to the list.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The ith image is matched to the i + 1 image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If the two images have few Algorithm 1 Image Composite Software processing details 1: i = 0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' j = 0 2: while i + j + 1 ≤ N do 3: A = Images[i] 4: j = 0 5: while j ≤ 10 do 6: B = Images[i+j+1] 7: if Find matching area with A then 8: A = Stitch B onto A 9: i = i + 1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' j = 0 10: else 11: j = j + 1 Algorithm 2 Calculate the difference in coordinates between images 1: i = 0 2: coord = [],' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' usedImages = [] 3: while j ≤ N do 4: j = i 5: error = 0 6: flag = True 7: while flag do 8: Extract SIFT features of Image[j] and Image[i+1] 9: if Two images could be feature matched then 10: C = cal coord diff(Image[j],' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Image[i+1]) 11: coord.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='append(C) 12: usedImages.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='append(Image[j], Image[i+1]) 13: i += 1 14: flag = False 15: else 16: error += 1 17: if error ≥ 10 then 18: j += 1 19: else 20: i += 1 21: usedImages = list(set(usedImages) 22: return coord, usedImages feature points and cannot be matched, add 1 to the values of i and f and perform the SIFT feature extraction again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If this process fails ten times, add 1 to the value of j and perform the process again taking j equivalent to i, that is, j = i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Us- ing the above algorithm, the degree of change in coordinates between the images used for composition and the images can be calculated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The global coordinates of the entire composite coordinates can be obtained by setting the smallest values of the x and y coordinates to zero and calculating the cumula- tive sum till that point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Image sharpening process We divided the combined panoramic image into 64 × 64 [pixel] grid regions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image number of each composite image and the coordinates of the constituent images were obtained from the coordinates of the panoramic image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The coordinates of the constituent images in the upper-left corner of each grid region were obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Tenengrad values were calculated for the cropped images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image with the high- est Tenengrad value among the cropped images was pasted onto a newly created blank image of the same size as the panoramic image with the exact extracted coordinates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' These processes were performed in all regions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image with the highest Tenengrad value among the multiple overlapping im- ages was pasted to obtain a clear image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Creating the Guttae Classifier 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Creating Dataset A large amount of data is required for training using net- works.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' However, since the amount of data provided in this study was small, it was necessary to augment the data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Ad- ditionally, due to the large size of the image data, it was nec- essary to reduce the size of the images to use them in the dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Because image resizing results in a loss of infor- mation, we developed a new data augmentation method for small and large image data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The corneal endothelial cell im- age and mask image showing the location of the guttae were divided into a grid of 64 × 64 [pixels].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image was clipped three times by 16 [pixels] to the right and three times by 16 [pixels] to the bottom, thereby shifting the image area.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Thus, the images were expanded 16 times for a single-grid region.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Images that did not contain guttae were excluded from the dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Training and Prediction in CNN Twenty-one corneal endothelial cell images with a mask image showing the location of the guttae were prepared (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1 Dataset 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The Segmentation model PyTorch, which is a Python library for implementing segmentation-specific CNNs, was used in the experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The best encoder back- bone is determined using ResNet18, ResNet34, ResNet50, VGG11, and VGG16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Twenty-one images were divided into two sets of eighteen and three images;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' eighteen were used to develop this model and three were used to determine the backbone.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The node weights of ImageNet were transferred to this model, and fine-tuning was performed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The network of U-Net [14] encoders modified to ResNet50 [15] is the best backbone.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Adam [16] was used as the optimization function with an initial learning rate of 1e-4, wherein the loss func- tion is the least squares error.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Predictions were made on a 64 × 64 [pixels] image extracted during the sharpening process, pasted to the original position, and the location of the guttae was predicted for the panoramic image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' RESULTS AND DISCUSSION 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Comparison of algorithms implemented in ICS and OpenCV An example of a mouse corneal endothelial cell is shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The images synthesized using ICS were more cir- cular than those synthesized using OpenCV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This result indi- cates that the synthesis was performed correctly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' On the other hand, images synthesized using the OpenCV algorithm were not circular and were often pasted in incorrect locations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' An example of the synthesis result of the algorithm im- plemented in OpenCV for artificial cornea data is shown in (a) Panoramic images by Image Composite Software (b) Panoramic images by OpenCV A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' (a) Truth (Artificial cornea image) (b) Panoramic image by OpenCV B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' A: Comparison of results with Image Composite Software and software implemented in OpenCV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' B: Results with OpenCV implemented software on artificial cornea data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' (a) shows the composite result and (b) shows the overlap of the component images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This is the synthesis result when the focus is per- fectly aligned and there are no blurred images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The result is almost the same as the correct data, where there is no unnat- ural overlap between the composite images, indicating that compositing was performed correctly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If the in-focus images are well extracted, they can be integrated well using OpenCV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Overall, ICS is a more robust method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Synthesis results with ICS As previously mentioned, when taking moving images of the mouse cornea with the contact specular microscope, the images are taken in an upward direction from the center of the cornea, then leftward along the edge of the cornea, and downward once around the edge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Next, it was photographed clockwise and then down to the center.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' For the 94 videos, the left- and right-rotated portions were split, and for each case, an integrated image was created using the ICS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The results are presented in Table1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' An image was classified as ”image dropout” if the center of the image was missing, ”distorted shape” if the shape was distorted instead of being circular, and ”unnatural paste” if the image was pasted in an unnat- ural location.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' On the other hand, an image in which the shape of the cornea in the combined panoramic image was kept circular, the center was not missing, and there were no unnaturally pasted parts was classified as a ”success”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The number of images in which either the right- or left-rotated part of the image was correctly merged was 75.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='3 com- pares the results of the manual and ICS syntheses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Among the videos that failed to be synthesized using ICS, those with distorted shapes or unnatural pasting were verified to contain frames that deviated from the cornea owing to contamina- tion on the specular microscope or a shaking camera.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' It is considered that the stains themselves became feature points, and the pasting of the composite part failed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Additionally, the position of the image was significantly changed because of significant blurring, resulting in an unnatural position for Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Synthesis results with ICS Result Left Right image dropout 15 20 distorted shape 6 12 unnatural paste 10 6 success 63 56 pasting and distorting the overall shape of the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The results of the ICS and manually composited images were almost identical, suggesting that there was no problem with the image-compositing algorithm and that the mouse cornea was not captured in the first place when the specular microscope was used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The image was taken from the cen- ter of the mouse cornea in an upward direction, followed by leftward rotation along the edge of the cornea, and then a downward direction was taken at the point where the image had gone around the edge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If there is an area in the center of the cornea that has not been photographed at this time, the image will be missing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Segmentation of guttae in panoramic images The model that detects the guttae location was applied to the panoramic images of the videos (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='1, Dataset 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='4 shows two prediction examples of the guttae position in a panoramic image: (c) and (d) are the prediction results in (a) and (b), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The original panoramic images were combined using ICS, and the edges of the corneas were cropped after sharpening.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Segmentation was performed on the images synthesized from the entire cornea using ICS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Currently, 21 still images and a mask image annotated with guttae are used for segmen- tation into training and validation datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The model was evaluated by comparing the validation data with predicted re- sults.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='4 shows that while the segmentation of the likely (c) Panoramic image by manually (Panoramic image was integrated Successfully.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=') (d) Panoramic image by manually (There is a hole in the center.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=') (a) Panoramic image by Image Composite Software (Panoramic image was integrated Successfully.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=') (b) Panoramic image by Image Composite Software (There is a hole in the center.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=') Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Integrated image results by Image Composite Software and manual composite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='The left side of each represents the composite result, and the right side represents the overlap of the component images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' (a) Panoramic image with corneal rim removed (b) Prediction results for guttae location (c) Panoramic image with corneal rim removed (d) Prediction results for guttae location Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Two examples of panoramic images and guttae loca- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' guttae is successful, it also partially predicts the guttae at the edges of the cornea.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Further quantitative evaluation is es- sential;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' however, it may pose some limitations for future re- search.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' For this purpose, it is necessary to prepare an image to which the Grand Truth of the guttae is assigned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Discussion It was observed that the algorithm implemented in OpenCV could not correctly synthesize results using mouse corneal endothelial cell images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The results showed that the images were pasted in unnatural positions compared to those obtained using artificial cornea data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The significant differ- ence between the mouse corneal endothelial cell image data and the artificial cornea data is that, with the artificial cornea data, all images are in focus and the images themselves are not blurred.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' For the image data of mouse corneal endothe- lial cells, the process of extracting images in focus involved extracting images at equal intervals in chronological order, which resulted in the extraction of out-of-focus images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In contrast, the ICS-based method synthesized the images more accurately than the OpenCV-based synthesis software did be- cause ICS uses a feature extraction method appropriate for corneal endothelial cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' By contrast, OpenCV synthesis uses SIFT for feature ex- traction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This synthesis is considered to be progressing well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Until now, it has not been possible to obtain images of the entire cornea because of the narrow imaging range of spec- ular microscopy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' This study suggests that it is possible to obtain a composite image of the entire cornea by extracting a relatively focused image from a video of the entire cornea.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' CONCLUSIONS AND FUTURE WORK The status of the entire cornea is currently inferred from the center of diagnosis and observation of corneal endothe- lial cells using specular microscopy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' If images of the entire cornea could be obtained, more studies would be possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' In this study, we proposed a framework for generating im- ages of the entire cornea from videos captured using contact specular microscopy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Focused images were extracted from the video and a panoramic composite image was generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Furthermore, we constructed a learning model, U-Net, to ex- tract the guttae from the entire image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' To study the effec- tiveness of the proposed framework, we implemented it and applied it to corneal data from a mouse model of FECD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' The panorama synthesis application used in the implementation was our custom-built ICS and the OpenCV algorithm, which is an open-source software.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Artificial corneal images were synthesized with no unnatural aspects in the results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' How- ever, some of the extracted images were not correctly syn- thesized if they contained blurred images, and many images were correctly synthesized using ICS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' After the panorama was merged, the image was divided into a grid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Majority of the in-focus images were extracted and pasted, resulting in a sharper image than the previous output obtained using ICS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Using the extracted images within the region, we could also predict the guttae location.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Al- though the implementation and application of the method to the data in this study confirmed its effectiveness, few quanti- tative evaluations have been performed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' Quantitative evalua- tion, such as the accuracy of implementation, is an issue for the future.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4NE0T4oBgHgl3EQfeQCD/content/2301.02388v1.pdf'} +page_content=' REFERENCES [1] Allen O Eghrari, S Amer Riazuddin, and John D Gottsch.' metadata={'source': 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a/4tE0T4oBgHgl3EQfegAX/content/tmp_files/2301.02390v1.pdf.txt b/4tE0T4oBgHgl3EQfegAX/content/tmp_files/2301.02390v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..32e03da448f9b1bb7bfb2e326a13d99792a6cdb1 --- /dev/null +++ b/4tE0T4oBgHgl3EQfegAX/content/tmp_files/2301.02390v1.pdf.txt @@ -0,0 +1,491 @@ +arXiv:2301.02390v1 [eess.IV] 6 Jan 2023 +Deep-learning models in medical image analysis: +Detection of esophagitis from the Kvasir Dataset +Kyoka Yoshioka1†, Kensuke Tanioka2, Satoru Hiwa2 and Tomoyuki Hiroyasu2 +1Graduate School of Life and Medical Sciences, Doshisha University, Kyoto, Japan +2Department of Biomedical Sciences and Informatics, Doshisha University, Kyoto, Japan +(Tel: +81-774-65-6020; E-mail: tomo@is.doshisha.ac.jp) +Abstract: Early detection of esophagitis is important because this condition can progress to cancer if left untreated. However, +the accuracies of different deep learning models in detecting esophagitis have yet to be compared. Thus, this study aimed to +compare the accuracies of convolutional neural network models (GoogLeNet, ResNet-50, MobileNet V2, and MobileNet V3) in +detecting esophagitis from the open Kvasir dataset of endoscopic images. Results showed that among the models, GoogLeNet +achieved the highest F1-scores. Based on the average of true positive rate, MobileNet V3 predicted esophagitis more confidently +than the other models. The results obtained using the models were also compared with those obtained using SHapley Additive +exPlanations and Gradient-weighted Class Activation Mapping. +Keywords: Kvasir dataset, Deep Learning, Convolutional Neural Networks, Gradient-Weighted Class Activation Mapping, +SHAP, SHapley Additive exPlanation +1. INTRODUCTION +With the development of artificial intelligence (AI), sev- +eral studies have focused on the application of this technol- +ogy in the medical field. +In gastroenterology, AI is used +to detect inflammation, polyps, and stomach cancer and de- +velop systems that can automatically determine the severity +of symptoms [1] [2] [3] [4]. AI models are expected to im- +prove diagnostic accuracy and reduce medical costs by pre- +venting misdiagnosis by humans. +Various deep learning and AI models, including deep +learning convolutional neural network (CNN) models, have +been proposed and used for medical image recognition and +analysis. However, these models differ in accuracy, and com- +paring this aspect is important to identify which model is +suitable for a specific application in endoscopic imaging. +The z-line is an anatomic landmark located posterior to +the stomach and esophagus. Esophagitis is an inflammation +of the esophagus that appears as a break in the esophageal +mucosa relative to the z-line [5]. The z-line and esophagitis +can be described as normal and diseased conditions, respec- +tively. Early detection of esophagitis is necessary because +this condition can cause complications (e.g., esophageal ul- +cer, bleeding, and stricture) and progress to cancer if left +untreated. Therefore, distinguishing between the z-line and +esophagitis is necessary. However, this procedure is difficult +[6]. In addition, the accuracies of various models in detecting +esophagitis have yet to be compared. +Thus, this study aimed to compare the accuracies of sev- +eral CNN models, including GoogLeNet [7], ResNet-50 [8], +MobileNet V2 [9], and MobileNet V3 [10], in identifying +z-lines and esophagitis in endoscopic images from the open +Kvasir dataset. These models have received considerable at- +tention in recent years after winning in the ImageNet Large +Scale Visual Recognition Challenge (ILSVRC), a competi- +tion using a large image recognition dataset. The results ob- +† Kyoka Yoshioka is the presenter of this paper. +tained by the four CNN models were compared. The training +models were also compared with the explainable artificial in- +telligence (XAI) methods Gradient-weighted Class Activa- +tion Mapping (Grad-CAM) [11] and SHapley Additive ex- +Planations (SHAP) [12]. +2. DEEP LEARNING IN MEDICAL IMAGE +ANALYSIS +2.1. Typical architecture for image classification +CNN is a deep learning method specialized for image +recognition. It is widely used for identifying lesion sites in +medical images. It combines a convolutional layer with a +pooling layer and finally iterates through all the combined +layers to generate the results. In this study, we compared +the results of different CNN models used for site identifi- +cation in medical images. The CNN models used included +GoogleNet and ResNet, the successive winning models of +ILSVRC, and MobileNet V2 and MobileNet V3, which have +attracted considerable attention in recent years because of +their small computational and memory. +2.1.1. GoogLeNet +GoogLeNet was the winning model at ILSVRC in 2014 +The model consists of an Inception module, 1×1 convolu- +tion, auxiliary loss, and global average pooling. GoogLeNet +can be multi-layered using the Inception module, but 1×1 +convolution is performed before each convolution calcula- +tion to reduce dimensionality resulting from the large num- +ber of parameters. The Inception module helps process data +using multiple filters in parallel. The fully connected layer +is removed to increase the width and depth of the network, +average pooling is used instead of the fully connected layer +to avoid gradient loss, and class classification is performed +on sub-networks branched from the middle of the network +by auxiliary loss [7]. + +2.1.2. ResNet +ResNet was the winning model at the ILSVRC in 2015. +The problem of learning not progressing due to gradient loss +and degradation problems was solved using a method called +Residual Block, which uses 152 very deep layers to solve the +problem. The key features of this model are residual block +and batch normalization using shortcut connection. ResNet +has several models with different layer depths. ResNet-50 +shows higher accuracy than GoogLeNet in ImageNet clas- +sification [8]. However, ResNet-50 requires about twice as +many parameters as GoogLeNet. +2.1.3. MobileNet V2 +MobileNet is a small computationally and memory model +that can adjust the trade-off between accuracy and compu- +tational load. Depthwise separable convolution decomposes +the convolution layer into depthwise and pointwise convolu- +tion for computation. This mechanism reduces the compu- +tation cost. Furthermore, V2 introduces expand/projection +layers and inverted residual blocks. Expand/projection lay- +ers rapidly increase or decrease the number of channels. Mo- +bileNet V2 achieves comparable accuracy to GoogLeNet and +ResNet-50 in ImageNet classification while significantly re- +ducing the number of parameters [9]. +2.1.4. MobileNet V3 +MobileNet V3 is an improved version of MobileNet V2, +introducing a squeeze-and-excite structure (SE-block) in the +inverted residual block, one of the features of MobileNet +V2. SE-block improves the expressiveness of the model by +weighting information in the channel direction [13]. Com- +pared with V2, MobileNet V3 shows more accurate Im- +ageNet classification while shortening total inference time +[10]. +2.2. Explainable AI (XAI) +The CNN models were compared with XAI methods +Grad-CAM and SHAP. The Discussion section explains the +results obtained using these techniques. +2.2.1. Grad CAM +Grad-CAM displays a color map of the area the CNN is +gazing at for classification [11]. It is based on the fact that +variables with large gradients in the output values of the pre- +dicted class are essential for classification prediction. The +gradient of each input image pixel with respect to the output +value of the prediction class in the last convolution layer is +used. +2.2.2. SHAP +SHAP calculates, for each predicted value, how each char- +acteristic variable affects that prediction [12]. This analysis +allows us to visualize the impact of an increase or decrease +in the value of a given characteristic variable. +3. MATERIALS AND METHODS +CNN models GoogLeNet, ResNet-50, MobileNet V2, and +MobileNet V3 were employed to detect esophagitis from the +open Kvasir dataset of endoscopic images, and their results +were compared. +3.1. Kvasir dataset +The Kvasir dataset is a collection of endoscopic images of +the gastrointestinal tract. It was annotated and validated by +certified endoscopists. The dataset was made available in the +fall of 2017 through the Medical Multimedia Challenge pro- +vided by MediaEval. It includes anatomical landmarks (py- +lorus, z-line, and cecum), disease states (esophagitis, ulcera- +tive colitis, and polyps), and medical procedures (dyed lifted +polyps and dyed resection margins). The resolution of the +images from the Kvasir dataset with these eight classes varies +from 720×576 pixels to 1920×1072 pixels. Each image has +a different shooting angle, resolution, brightness, magnifica- +tion, and center point. +3.2. Prepossessing +Image prepossessing was performed before training the +models. Edge artifacts and annotations that interfere with +learning during the analysis of medical images were re- +moved. A mask image was created, where pixels with lu- +minance values below a certain threshold were set to 0. The +opening process was applied to the mask image to remove the +annotations. The image was cropped using this final mask +image to obtain the target area. This process was performed +on all data. +Each image in the dataset has a different resolution. All +images were resized to 224×224 pixels by bilinear comple- +tion and optimized for deep learning input. In addition to +these processes, data augmentation was performed on the +data used for learning. We applied two types of data aug- +mentation: horizontal and vertical flip. +3.3. Cross Validation +A total of 1000 image data sets containing z-lines and +esophagitis were partitioned into test, training, and validation +data. First, 25% (n = 250) of the total data were randomly se- +lected to generate test data. Of the remaining data (75%, n = +750), 50% (n = 500) was used for training and 25% (n = 250) +for validation. +The inner loop consisted of training and validation data. +The model was trained using the training data, and parame- +ters such as the optimal number of epochs were determined +using the validation data. Thus, four training models were +generated. The test data of each model were evaluated, and +the average of discrimination accuracy of the four times was +used as the evaluation value of the CNN model. The test, +training, and validation data were each partitioned to main- +tain the class proportions. +3.4. CNN models +PyTorch was used for the implementation of GoogLeNet, +ResNet-50, MobileNet V2, and MobileNet V3. +The ini- +tial values of all model parameters were pre-trained by Ima- +geNet, and the models were trained by fine tuning. +For all models, the Adam optimizer was used for training. +The batch size was five, and the maximum number of epochs + +was 100. The cross-entropy error shown in equation (1) was +used as the loss function. +E(x) += +− +N +� +n=1 +K +� +k=1 +dnk log yk(xn; w) +(1) +3.5. Evaluation Function +Five evaluation indices were used in this experiment: ac- +curacy, precision, recall, specificity, and F1-score. These +metrics were calculated using the confusion matrix shown +in Table 1. +Table 1. Confusion matrix for a two-class problem +Predicted Class +(Positive Class) +Predicted Class +(Negative Class) +Actual Class +(Positive Class) +True Positive +False Negative +Actual Class +(Negative Class) +False Positive +True Negative +In this experiment, the z-line and esophagitis were judged +as the negative and positive classes, respectively. In other +words, data judged to be esophagitis and z-line by the learn- +ing model were designated true positive (TP) and false neg- +ative (FN), respectively. +Meanwhile, data determined to +be esophagitis and z-line by the training model were des- +ignated false positive (FP) and true negative (TN), respec- +tively. Based on the values of TP, FP, TN, and FN obtained +from the confusion matrix, the accuracy, precision, recall, +specificity, and F1-score of the models were calculated using +Equations(2) to (6). +Accuracy = +T P + T N +T P + FP + FN + T N +(2) +Precision = +T P +T P + FP +(3) +Recall = +T P +T P + FN +(4) +Specificity = +T N +T N + FP +(5) +F1 score = +2T N +2T P + FP + FN +(6) +4. RESULTS AND DISCUSSIONS +4.1. Performance comparison between different archi- +tecture +The evaluation indices obtained from the experiments are +shown in Table 2. +The F1-score results in Table 2 show that GoogLeNet was +the best among the four models. In other words, GoogLeNet +was more reliable in predicting esophagitis than the other +models. Meanwhile, MobileNet V3 showed the highest pre- +cision and specificity. In other words, MobileNet V3 was +the most accurate among the tested models for z-line predic- +tion. From a medical point of view, an ideal model should be +Table 2. Performance comparison between different +architecture +Model +ACC +PREC +REC +SPEC +F1 +GoogLeNet +0.846 +0.859 +0.830 +0.862 +0.843 +MobileNet V3 +0.842 +0.901 +0.776 +0.908 +0.831 +ResNet-50 +0.833 +0.865 +0.792 +0.874 +0.826 +MobileNet V2 +0.830 +0.852 +0.800 +0.860 +0.825 +likely to distinguish esophagitis with severe symptoms from +the z-line. +The average of TP rate were 0.950, 0.923, 0.892, and +0.841 for MobileNet V3, MobileNet V2, GoogLeNet, and +ResNet-50, respectively. MobileNet V3 predicted esophagi- +tis with more confidence than the other models. +4.2. GoogLeNet analysis +Grad-CAM and SHAP were applied to the learned model, +and what kind of the model was created was discussed. +Fig.1 shows an example of the image results in the case of +TP predicted by GoogLeNet. In the Grad-CAM results, red +indicates the most potent activation, and blue indicates the +weakest activation. In the SHAP results, the SHAP values +of the patches were computed and rendered in a color map: +a positive SHHAP value (red) indicates that the class is sup- +ported. By contrast, a negative SHAP value (blue) indicates +that the class is rejected. +Tearing the esophageal mucosa against the z-line is a +feature of esophagitis. +According to Fig.1, the results of +Grad-CAM and SHAP showed that the learned model of +GoogLeNet can makes predictions focusing on the clinically +significant aspects of esophagitis images. The GoogLeNet +model learned the findings that are important for diagnosing +esophagitis. Comparison results showed that SHAP captured +the location of multiple mucosal tears in the image more ac- +curately than Grad-CAM. +Fig.2 shows the results of applying Grad-CAM and SHAP +in the FN case. The following can be observed from the re- +sults of Grad-CAM and SHAP for Fig.2, respectively. In the +Grad-CAM results, most areas in the image are shown as +activated regions. Areas that provide the basis for the pre- +diction are difficult to identify because of the gradient satu- +ration in the Grad-CAM calculation. In the SHAP results, +the inflammatory areas of the input image are indicated by +blue pixels. Blue pixels indicate features that have a negative +contribution to the prediction. In other words, although the +model incorrectly identified esophagitis as a z-line, the model +recognized that areas in the image negatively contributed to +the z-line decision. +4.3. MobileNet V3 analysis +One hundred images were determined to be TP in the +MobileNet V3 model. +The SHAP results for the images +judged to have the highest and lowest probabilities of being +esophagitis are shown in Fig.3. +As shown in Fig.3, in cases with a high prediction proba- +bility, some features may have a negative contribution to the + +(a) Raw image +(b) Grad-CAM +(c) SHAP +Fig. 1. True Positive Pattern +(a) Raw image +(b) Grad-CAM +(c) SHAP +Fig. 2. False Negative Pattern +Fig. 3. First image predicted positive with 1.000 probability, and second image predicted positive with 0.524 probability. +prediction. Many features showing negative contributions +can be identified in the images with low prediction proba- +bility for Fig.3. In this case, the prediction probability may +be low. +5. CONCLUSIONS +We compared the accuracies of CNN models, including +GoogLeNet, ResNet-50, MobileNet V2, and MobileNet V3, +in identifying z-line and esophagitis in endoscopic images +from the open Kvasir dataset. +Among the four models, +GoogLeNet had the highest F1-score, and MobileNet V3 +had the highest average TP rate. These results suggest that +GoogLeNet performs better than state-of-the-art CNN mod- +els in medical image recognition. In addition, MoblieNet V3 +is a cost-effective model because of its low memory and short +training time. Each model was analyzed and compared with +Grad-CAM, and SHAP. Other models, datasets, and model +analyses are warranted for verification. +REFERENCES +[1] +Peng-Jen Chen, Meng-Chiung Lin, Mei-Ju Lai, Jung- +Chun Lin, Henry Horng-Shing Lu, and Vincent S +Tseng. Accurate classification of diminutive colorectal +polyps using computer-aided analysis. Gastroenterol- +ogy, 154(3):568–575, 2018. +[2] +Toshiaki Hirasawa, Kazuharu Aoyama, Tetsuya Tan- +imoto, Soichiro Ishihara, Satoki Shichijo, Tsuyoshi +Ozawa, Tatsuya Ohnishi, Mitsuhiro Fujishiro, Keigo +Matsuo, Junko Fujisaki, et al. Application of artificial +intelligence using a convolutional neural network for +detecting gastric cancer in endoscopic images. 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In Proceedings of the IEEE conference on +computer vision and pattern recognition, pages 7132– +7141, 2018. + diff --git a/4tE0T4oBgHgl3EQfegAX/content/tmp_files/load_file.txt b/4tE0T4oBgHgl3EQfegAX/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..d5a361939920e95e6d887574be4016bdc485dba3 --- /dev/null +++ b/4tE0T4oBgHgl3EQfegAX/content/tmp_files/load_file.txt @@ -0,0 +1,281 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf,len=280 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='02390v1 [eess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='IV] 6 Jan 2023 Deep-learning models in medical image analysis: Detection of esophagitis from the Kvasir Dataset Kyoka Yoshioka1†, Kensuke Tanioka2, Satoru Hiwa2 and Tomoyuki Hiroyasu2 1Graduate School of Life and Medical Sciences, Doshisha University, Kyoto, Japan 2Department of Biomedical Sciences and Informatics, Doshisha University, Kyoto, Japan (Tel: +81-774-65-6020;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' E-mail: tomo@is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='doshisha.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='jp) Abstract: Early detection of esophagitis is important because this condition can progress to cancer if left untreated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' However, the accuracies of different deep learning models in detecting esophagitis have yet to be compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Thus, this study aimed to compare the accuracies of convolutional neural network models (GoogLeNet, ResNet-50, MobileNet V2, and MobileNet V3) in detecting esophagitis from the open Kvasir dataset of endoscopic images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Results showed that among the models, GoogLeNet achieved the highest F1-scores.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Based on the average of true positive rate, MobileNet V3 predicted esophagitis more confidently than the other models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The results obtained using the models were also compared with those obtained using SHapley Additive exPlanations and Gradient-weighted Class Activation Mapping.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Keywords: Kvasir dataset, Deep Learning, Convolutional Neural Networks, Gradient-Weighted Class Activation Mapping, SHAP, SHapley Additive exPlanation 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' INTRODUCTION With the development of artificial intelligence (AI), sev- eral studies have focused on the application of this technol- ogy in the medical field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In gastroenterology, AI is used to detect inflammation, polyps, and stomach cancer and de- velop systems that can automatically determine the severity of symptoms [1] [2] [3] [4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' AI models are expected to im- prove diagnostic accuracy and reduce medical costs by pre- venting misdiagnosis by humans.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Various deep learning and AI models, including deep learning convolutional neural network (CNN) models, have been proposed and used for medical image recognition and analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' However, these models differ in accuracy, and com- paring this aspect is important to identify which model is suitable for a specific application in endoscopic imaging.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The z-line is an anatomic landmark located posterior to the stomach and esophagus.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Esophagitis is an inflammation of the esophagus that appears as a break in the esophageal mucosa relative to the z-line [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The z-line and esophagitis can be described as normal and diseased conditions, respec- tively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Early detection of esophagitis is necessary because this condition can cause complications (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=', esophageal ul- cer, bleeding, and stricture) and progress to cancer if left untreated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Therefore, distinguishing between the z-line and esophagitis is necessary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' However, this procedure is difficult [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In addition, the accuracies of various models in detecting esophagitis have yet to be compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Thus, this study aimed to compare the accuracies of sev- eral CNN models, including GoogLeNet [7], ResNet-50 [8], MobileNet V2 [9], and MobileNet V3 [10], in identifying z-lines and esophagitis in endoscopic images from the open Kvasir dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' These models have received considerable at- tention in recent years after winning in the ImageNet Large Scale Visual Recognition Challenge (ILSVRC), a competi- tion using a large image recognition dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The results ob- † Kyoka Yoshioka is the presenter of this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' tained by the four CNN models were compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The training models were also compared with the explainable artificial in- telligence (XAI) methods Gradient-weighted Class Activa- tion Mapping (Grad-CAM) [11] and SHapley Additive ex- Planations (SHAP) [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' DEEP LEARNING IN MEDICAL IMAGE ANALYSIS 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Typical architecture for image classification CNN is a deep learning method specialized for image recognition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' It is widely used for identifying lesion sites in medical images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' It combines a convolutional layer with a pooling layer and finally iterates through all the combined layers to generate the results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In this study, we compared the results of different CNN models used for site identifi- cation in medical images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The CNN models used included GoogleNet and ResNet, the successive winning models of ILSVRC, and MobileNet V2 and MobileNet V3, which have attracted considerable attention in recent years because of their small computational and memory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' GoogLeNet GoogLeNet was the winning model at ILSVRC in 2014 The model consists of an Inception module, 1×1 convolu- tion, auxiliary loss, and global average pooling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' GoogLeNet can be multi-layered using the Inception module, but 1×1 convolution is performed before each convolution calcula- tion to reduce dimensionality resulting from the large num- ber of parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The Inception module helps process data using multiple filters in parallel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The fully connected layer is removed to increase the width and depth of the network, average pooling is used instead of the fully connected layer to avoid gradient loss, and class classification is performed on sub-networks branched from the middle of the network by auxiliary loss [7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' ResNet ResNet was the winning model at the ILSVRC in 2015.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The problem of learning not progressing due to gradient loss and degradation problems was solved using a method called Residual Block, which uses 152 very deep layers to solve the problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The key features of this model are residual block and batch normalization using shortcut connection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' ResNet has several models with different layer depths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' ResNet-50 shows higher accuracy than GoogLeNet in ImageNet clas- sification [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' However, ResNet-50 requires about twice as many parameters as GoogLeNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' MobileNet V2 MobileNet is a small computationally and memory model that can adjust the trade-off between accuracy and compu- tational load.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Depthwise separable convolution decomposes the convolution layer into depthwise and pointwise convolu- tion for computation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' This mechanism reduces the compu- tation cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Furthermore, V2 introduces expand/projection layers and inverted residual blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Expand/projection lay- ers rapidly increase or decrease the number of channels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Mo- bileNet V2 achieves comparable accuracy to GoogLeNet and ResNet-50 in ImageNet classification while significantly re- ducing the number of parameters [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' MobileNet V3 MobileNet V3 is an improved version of MobileNet V2, introducing a squeeze-and-excite structure (SE-block) in the inverted residual block, one of the features of MobileNet V2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' SE-block improves the expressiveness of the model by weighting information in the channel direction [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Com- pared with V2, MobileNet V3 shows more accurate Im- ageNet classification while shortening total inference time [10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Explainable AI (XAI) The CNN models were compared with XAI methods Grad-CAM and SHAP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The Discussion section explains the results obtained using these techniques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Grad CAM Grad-CAM displays a color map of the area the CNN is gazing at for classification [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' It is based on the fact that variables with large gradients in the output values of the pre- dicted class are essential for classification prediction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The gradient of each input image pixel with respect to the output value of the prediction class in the last convolution layer is used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' SHAP SHAP calculates, for each predicted value, how each char- acteristic variable affects that prediction [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' This analysis allows us to visualize the impact of an increase or decrease in the value of a given characteristic variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' MATERIALS AND METHODS CNN models GoogLeNet, ResNet-50, MobileNet V2, and MobileNet V3 were employed to detect esophagitis from the open Kvasir dataset of endoscopic images, and their results were compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Kvasir dataset The Kvasir dataset is a collection of endoscopic images of the gastrointestinal tract.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' It was annotated and validated by certified endoscopists.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The dataset was made available in the fall of 2017 through the Medical Multimedia Challenge pro- vided by MediaEval.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' It includes anatomical landmarks (py- lorus, z-line, and cecum), disease states (esophagitis, ulcera- tive colitis, and polyps), and medical procedures (dyed lifted polyps and dyed resection margins).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The resolution of the images from the Kvasir dataset with these eight classes varies from 720×576 pixels to 1920×1072 pixels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Each image has a different shooting angle, resolution, brightness, magnifica- tion, and center point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Prepossessing Image prepossessing was performed before training the models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Edge artifacts and annotations that interfere with learning during the analysis of medical images were re- moved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' A mask image was created, where pixels with lu- minance values below a certain threshold were set to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The opening process was applied to the mask image to remove the annotations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The image was cropped using this final mask image to obtain the target area.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' This process was performed on all data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Each image in the dataset has a different resolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' All images were resized to 224×224 pixels by bilinear comple- tion and optimized for deep learning input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In addition to these processes, data augmentation was performed on the data used for learning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' We applied two types of data aug- mentation: horizontal and vertical flip.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Cross Validation A total of 1000 image data sets containing z-lines and esophagitis were partitioned into test, training, and validation data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' First, 25% (n = 250) of the total data were randomly se- lected to generate test data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Of the remaining data (75%, n = 750), 50% (n = 500) was used for training and 25% (n = 250) for validation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The inner loop consisted of training and validation data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The model was trained using the training data, and parame- ters such as the optimal number of epochs were determined using the validation data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Thus, four training models were generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The test data of each model were evaluated, and the average of discrimination accuracy of the four times was used as the evaluation value of the CNN model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The test, training, and validation data were each partitioned to main- tain the class proportions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' CNN models PyTorch was used for the implementation of GoogLeNet, ResNet-50, MobileNet V2, and MobileNet V3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The ini- tial values of all model parameters were pre-trained by Ima- geNet, and the models were trained by fine tuning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' For all models, the Adam optimizer was used for training.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The batch size was five, and the maximum number of epochs was 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The cross-entropy error shown in equation (1) was used as the loss function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' E(x) = − N � n=1 K � k=1 dnk log yk(xn;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' w) (1) 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Evaluation Function Five evaluation indices were used in this experiment: ac- curacy, precision, recall, specificity, and F1-score.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' These metrics were calculated using the confusion matrix shown in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Confusion matrix for a two-class problem Predicted Class (Positive Class) Predicted Class (Negative Class) Actual Class (Positive Class) True Positive False Negative Actual Class (Negative Class) False Positive True Negative In this experiment, the z-line and esophagitis were judged as the negative and positive classes, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In other words, data judged to be esophagitis and z-line by the learn- ing model were designated true positive (TP) and false neg- ative (FN), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Meanwhile, data determined to be esophagitis and z-line by the training model were des- ignated false positive (FP) and true negative (TN), respec- tively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Based on the values of TP, FP, TN, and FN obtained from the confusion matrix, the accuracy, precision, recall, specificity, and F1-score of the models were calculated using Equations(2) to (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Accuracy = T P + T N T P + FP + FN + T N (2) Precision = T P T P + FP (3) Recall = T P T P + FN (4) Specificity = T N T N + FP (5) F1 score = 2T N 2T P + FP + FN (6) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' RESULTS AND DISCUSSIONS 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Performance comparison between different archi- tecture The evaluation indices obtained from the experiments are shown in Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The F1-score results in Table 2 show that GoogLeNet was the best among the four models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In other words, GoogLeNet was more reliable in predicting esophagitis than the other models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Meanwhile, MobileNet V3 showed the highest pre- cision and specificity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In other words, MobileNet V3 was the most accurate among the tested models for z-line predic- tion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' From a medical point of view, an ideal model should be Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Performance comparison between different architecture Model ACC PREC REC SPEC F1 GoogLeNet 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='846 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='859 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='830 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='862 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='843 MobileNet V3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='842 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='901 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='776 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='908 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='831 ResNet-50 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='833 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='865 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='792 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='874 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='826 MobileNet V2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='830 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='852 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='800 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='860 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='825 likely to distinguish esophagitis with severe symptoms from the z-line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The average of TP rate were 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='950, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='923, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='892, and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='841 for MobileNet V3, MobileNet V2, GoogLeNet, and ResNet-50, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' MobileNet V3 predicted esophagi- tis with more confidence than the other models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' GoogLeNet analysis Grad-CAM and SHAP were applied to the learned model, and what kind of the model was created was discussed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1 shows an example of the image results in the case of TP predicted by GoogLeNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In the Grad-CAM results, red indicates the most potent activation, and blue indicates the weakest activation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In the SHAP results, the SHAP values of the patches were computed and rendered in a color map: a positive SHHAP value (red) indicates that the class is sup- ported.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' By contrast, a negative SHAP value (blue) indicates that the class is rejected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Tearing the esophageal mucosa against the z-line is a feature of esophagitis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' According to Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='1, the results of Grad-CAM and SHAP showed that the learned model of GoogLeNet can makes predictions focusing on the clinically significant aspects of esophagitis images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The GoogLeNet model learned the findings that are important for diagnosing esophagitis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Comparison results showed that SHAP captured the location of multiple mucosal tears in the image more ac- curately than Grad-CAM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2 shows the results of applying Grad-CAM and SHAP in the FN case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The following can be observed from the re- sults of Grad-CAM and SHAP for Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='2, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In the Grad-CAM results, most areas in the image are shown as activated regions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Areas that provide the basis for the pre- diction are difficult to identify because of the gradient satu- ration in the Grad-CAM calculation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In the SHAP results, the inflammatory areas of the input image are indicated by blue pixels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Blue pixels indicate features that have a negative contribution to the prediction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In other words, although the model incorrectly identified esophagitis as a z-line, the model recognized that areas in the image negatively contributed to the z-line decision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' MobileNet V3 analysis One hundred images were determined to be TP in the MobileNet V3 model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' The SHAP results for the images judged to have the highest and lowest probabilities of being esophagitis are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' As shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='3, in cases with a high prediction proba- bility, some features may have a negative contribution to the (a) Raw image (b) Grad-CAM (c) SHAP Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' True Positive Pattern (a) Raw image (b) Grad-CAM (c) SHAP Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' False Negative Pattern Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' First image predicted positive with 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='000 probability, and second image predicted positive with 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='524 probability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' prediction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Many features showing negative contributions can be identified in the images with low prediction proba- bility for Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In this case, the prediction probability may be low.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' CONCLUSIONS We compared the accuracies of CNN models, including GoogLeNet, ResNet-50, MobileNet V2, and MobileNet V3, in identifying z-line and esophagitis in endoscopic images from the open Kvasir dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Among the four models, GoogLeNet had the highest F1-score, and MobileNet V3 had the highest average TP rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' These results suggest that GoogLeNet performs better than state-of-the-art CNN mod- els in medical image recognition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In addition, MoblieNet V3 is a cost-effective model because of its low memory and short training time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Each model was analyzed and compared with Grad-CAM, and SHAP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Other models, datasets, and model analyses are warranted for verification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' REFERENCES [1] Peng-Jen Chen, Meng-Chiung Lin, Mei-Ju Lai, Jung- Chun Lin, Henry Horng-Shing Lu, and Vincent S Tseng.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Accurate classification of diminutive colorectal polyps using computer-aided analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Gastroenterol- ogy, 154(3):568–575, 2018.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' [2] Toshiaki Hirasawa, 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Fehlmann, Frank Lammert, and Markus Casper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Deep-learning based detection of gastric precancerous conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Gut, 69(1):4–6, 2020.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' [4] Yaqiong Zhang, Fengxia Li, Fuqiang Yuan, Kai Zhang, Lijuan Huo, Zichen Dong, Yiming Lang, Yapeng Zhang, Meihong Wang, Zenghui Gao, et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' Diagnosing chronic atrophic gastritis by gastroscopy using artificial intelligence.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} +page_content=' In Proceedings of the IEEE conference on computer vision and pattern recognition, pages 7132– 7141, 2018.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/4tE0T4oBgHgl3EQfegAX/content/2301.02390v1.pdf'} diff --git a/6tAzT4oBgHgl3EQfEvoZ/content/tmp_files/2301.00997v1.pdf.txt b/6tAzT4oBgHgl3EQfEvoZ/content/tmp_files/2301.00997v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..737a4221152ffbf3cb2f8ccff49c9d6417f55e17 --- /dev/null +++ b/6tAzT4oBgHgl3EQfEvoZ/content/tmp_files/2301.00997v1.pdf.txt @@ -0,0 +1,848 @@ +Detector and physics simulation using heavy ion collisions at +NICA-SPD +I. Denisenko1,a) and R. Pandey2,b) +1Joint Institute for Nuclear Research, Joliot-Curie 6, Dubna-141980, +Moscow Region, Russia. +2Graduate Engineer Trainee, Larsen & Toubro Limited, Faridabad, +Haryana, India. +a)iden@jinr.ru +b)rishav160999@gmail.com +Abstract +The space-time picture of hadron formation in high-energy collisions with nuclear +targets is still poorly known. +The tests of hadron formation was suggested for the +first stage of SPD running. +They will require measuring charged pion and proton +spectra with the precision better than 10%. A research has been carried out to check +feasibility of such studies at SPD. In this work, 12C − 12C and 40Ca − 40Ca heavy ion +collisions at center of mass energy of 11 GeV/nucleon were simulated using the SMASH +event generator. Firstly, the generator-level events were studied. The distribution of +track multiplicities and momentum distributions of different types of charged particles +were obtained. Secondly, the generated events passed through the full reconstruction +using the SpdRoot framework. +At this stage particles were identified using dE/dx +measurement and time-of-flight information. It allowed us to estimate charge track +multiplicities in the tracking system and purities of charge particles spectra. The results +on multiplicity are important to estimate occupancies in the tracking system, while the +results on the pion and proton momentum spectra show that particle identification +should be acceptable for validation of hadron formation models. This is the first study +of moderate ion collisions for the SPD Collaboration. +Keywords: +Hadron formation effects, Heavy ion collision, SMASH, NICA-SPD, Rapidity, +Charged track multiplicity, Particle physics event generator. +1 +arXiv:2301.00997v1 [physics.ins-det] 3 Jan 2023 + +1 +INTRODUCTION +The SPD detector is primarily optimized to study spin dependent gluon structure of proton and +deuteron using open charm production, charmonia production and prompt photons. At the same +time, its physics program includes studies of various aspects of QCD. The work is devoted to studies +of hadron formation in nuclear collisions proposed in Ref. [1]. +Hadrons produced in hadron collisions emerge in the form of prehadrons, which interact with +nucleons with reduced strength. This suppression is poorly known and is described in model de- +pendent way. This suppression results in different spectra of final particles as is illustrated in Fig.1 +for rapidity distributions (in a similar way it affects the pT spectrum). Naturally, these spectra can +be used to study hadron formation effects. The required precision of such measurements is 10%. +The aim of this work is to evaluate feasibility of such measurements with MC simulation. Here, +ion collisions of 12C − 12C and 40Ca − 40Ca at √s = 11AGeV were generated using the SMASH +(Simulating Many Accelerated Strongly-interacting Hadrons) event generator. Afterwards, the the +full simulation and reconstruction was performed using the SpdRoot framework. +Figure 1: Rapidity spectra of protons and charged pions in 12C − 12C and 40Ca − 40Ca collisions. +2 + +12C + 12C, s= 11 GeV +40Ca + 40Ca, sN = 11 GeV +105 +106 +Protons +Protons +w/oformation +w/oformation +default +default +QDM +QDM +do/dy, mb +104 +peut = 2 GeV/c - + Peut = 2 GeV/c - +Peut = 1 GeV/c +Peut = 1 GeV/c +103 +104 +102 +103 +4 -3 -2 -1 +0 +1 +2 +3 +4 +4 +-3 -2 -1 +0 +1 +2 +3 +4 +y +y +12C + 12C, sN= 11 GeV +40Ca + 40Ca, sNR = 11 GeV +104 +105 +do/dy, mb +do/dy, mb +103 +104 +w/oformation +w/oformation +default +default +QDM +QDM +Peut = 2 GeV/c +Peut = 2 GeV/c +Pcut = 1 GeV/c +pcut = 1 GeV/c +102 +103 +4 -3 -2 +-1 +0 +1 +2 +3 +4 +4 -3 -2 -1 +0 +1 +2 +3 +4 +y +y2 +NICA FACILITY +The NICA (Nuclotron based Ion Collider fAcility) collider at Joint Institute for Nuclear Research +in Dubna is is being built to provide beams for two experiments. The first experiment, MPD (Multi +Purpose Detector), will study properties of dense baryonic matter (matter present at extreme high +density in QCD phase diagram) like Quark Gluon Plasma. The second experiment, SPD (Spin +Physics Detector), is devoted to study of spin related phonomena and QCD. Once the NICA collider +will be operational, scientists will be able to create a special state of matter in laboratory which +existed for very short interval of time (˜20µ sec) just after the big bang. This special state is called +as QGP (Quark Gluon Plasma) and it filled the entire universe shortly after the big bang. +The main parts of NICA facility consists of two independent injector complex (injector for light +ions, and injector for heavy ions-KRION 6T), Light Ion Linear Accelerator (LU20) for accelerating +light ions like protons (H+), deutrons, and α-particles upto 5 MeV of K.E, then Heavy Ion Linear +Accelerator (HILAC) to accelerate heavy ions upto Au to a maximum K.E of 3.2 MeV/n, then a +Super Conducting (SC) Booster Synchrotron to create ultra high vacuum and to provide complete +stripping of heavy ions, then a SC Heavy Ion Synchrotron Nuclotron to accelerate both light and +heavy ions to required beam energy. The accelerated beams will collide at two different locations +where MPD detector and SPD detector are being built. The schematic view of NICA complex is +shown in Fig.2. +Figure 2: Schematic view of NICA complex. +3 +SPD DETECTOR +The Spin Physics Detector [2,3] is a 4π universal detector optimized to study spin-related phenomena +via open charm, charmonia and promopt photons in the collisions of polarized p-p or d-d beams +with √sNN up to 27 GeV. However, at first stage of NICA-SPD, the expected collision energy +will be from 3.4 up to 10 GeV, and later on after first upgrade, it is expected to reach upto 27 +GeV. The general layout depicting isometric projection of SPD setup is shown in Fig.3. The main +parts involved in advanced tracking and particle identification capabilities have been shown. (i) +The beam pipe passes through the center of the detector, carries the accelerated beams of ions. (ii) +The MicroMegas detector is to improves the momentum resolution and tracking efficiency of the +tracking system. (iii) The Straw Tracker (ST) detector is for the reconstruction of the primary and +3 + +BM@N Detector +SPD +Transport Channel +HILAC +Collider +LU20 +Booster +-MPD +Nuclotronsecondary particle tracks and for determination of their momenta. (iv) The Time Of Flight (TOF) +detector, is a part of Particle Identification (PID) system, and is used for identification of particles +like π, k, and p with long trajectories. (v) The magnet system shown by red color provides 1T +of magnetic field along the beam axis. This setup is limited to first stage of SPD operation, and +will be considered only for the identification of stable charged particles. Neutral particles, like n0, +photons will be detected at later stages. The main parts of SPD first stage have been explained in +detail below. There is a possibility to have TOF system for the first stage studies. +Figure 3: Layout of the SPD setup proposed for first stage at NICA-SPD. +3.1 +CENTRAL TRACKER +The innermost detector of SPD consists of a MicroMegas-based Central Tracker (MCT). Its purpose +is to identify the primary vertex coordinate and to improve momentum resolution and tracking +efficiency. +It is based on MicroMegas (Micro Mesh Gaseous Structure) technology and detects +charged particle by amplifying the charges produced due to ionization of the gas molecules present +in detector volume. When an ionizing particle track passes through detector volume, it ionizes the +gas molecules and creates few hundreds of e−-ion pair. Electrons are accelerated opposite to the +direction of applied electric field of 600 V/cm in ionization gap, while ions are attracted towards +cathode. When the e− crosses micromesh, it faces intense electric field (> 30 KV/cm) and gains +enough energy to ionize other gas molecules in its path. During this process an avalanche of e−-ion +pair is produced (1e− produces 104 e−-ion pairs) which is significant to create an electronic signal +which is read out by readout electrodes. +3.2 +STRAW TRACKER +ST is mainly for the reconstruction of primary and secondary particle tracks and measuring their +momenta, but also participates in identification of π, K, and p on via energy deposit (dE/dx) +measurements. It consists of two major parts - barrel (covers radius from 270 to 850 mm) and two +end-caps. The barrel is divided into 8 modules enclosed in a carbon fiber capsule. Each module has +30 double layers of straw tubes (dia 1cm) which runs parallel (long straw tubes) and perpendicular +4 + +Straw tracker +Magnet +Range system +MicroMegas Endcap +RangesystemEndcap +MicroMegas +Beam-beamcounter +Beam pipe +Strawtracker Endcap +zoomx4 +Zero degree calorimeter(short straw tubes) to the beam axis and contains 1500 and 6000 parallel and perpendicular straw +tubes respectively. Straw tubes are made of polyethylene terephthalate and outer surface is coated +with very thin layer of Cu and Au. Carbon capsule is meant to protect the outer surface of these +tubes from humidity. One side and two opposite ends of capsule are provided with small holes +where end plugs are fixed. FEE are connected to these end plugs to read the detector signal. Any +particle which passes through the long straws will send detector signal to both opposite ends while a +particle passing through short straw will send detector signal to any one side of capsule where FEE +is attached. Thus, long straws will be read from two opposite ends while short straws will be read +from one side. The end-caps of ST are divided into 3 modules and each module has 4 hexadecimal +cameras (U, V, X, Y) to record the four coordinates of any physical quantity like four-momentum. +The FEE to be used can be similar to the one used at NA64 experiment (for the search of dark +matter), or DUNE experiment (to detect and study properties of neutrino). +3.3 +TIME OF FLIGHT DETECTOR +TOF detector is the part of PID system. Similar to ST, the TOF provides identification of π, k, and +p by measuring their flight time. The energy loss data registered by ST can be used together with the +data from TOF for correct identification of particle tracks. The TOF distinguishes charged particles +(mainly π and k) in the momentum range up to 1.5 GeV. The major parts of TOF comprises of a +barrel and two end-caps. For the first stage of NICA-SPD, two different designs of TOF has been +suggested. First one is TOF based on multigap timing Resistive Plate Chambers (mRPC), which +will consist 220 rectangular plate chambers (160 for the barrel and 30 each for end-caps). Second +one is based on Plastic Scintillator Tiles and will comprise 10.1K small scintillator tiles (7.4K for +barrel and 1.4K for each end-caps). Scintillator has a property of emitting light in visible region +when an ionizing radiation passes through it. So, in this design when a particle passes through +TOF, scintillated photons are produced which are detected by four Si Photo Multipliers (SiPMs) +present at each sensor board attached at two extreme ends of scintillator tile. +4 +EVENT GENERATION +12C −12C and 40Ca−40Ca heavy ion collisions at √s = 11 AGeV with maximum impact parameter +set to 8 fm for C-C and 11 fm for Ca-Ca were simulated using SMASH. The fermi motion was +assumed to be “frozen” and 100K events were generated for each heavy ion collision. The SMASH +input file for C-C collision is shown below. +*********** SMASH INPUT ************ +config.yaml file for C-C collision. +Logging: +default: INFO +General: +Modus: +Collider +Time_Step_Mode: Fixed +Delta_Time: +0.1 +End_Time: +200.0 +Randomseed: +-1 +Nevents: +100000 +5 + +Output: +Output_Interval: 10.0 +Particles: +Format: +["Oscar2013"] +Modi: +Collider: +Projectile: +Particles: {2212: 6, 2112: 6} #C-12 +Target: +Particles: {2212: 6, 2112: 6} #C-12 +Sqrtsnn: 11.0 +Impact: +Sample: "quadratic" +Range: [0.0, 8.0] +Fermi_Motion: "frozen" +************************************ +Multiplicity of generated charged particles for C − C and Ca − Ca collisions are shown in +Fig. 4. The peaks at 12 for 12C+12C collisions and at 40 for 40Ca+40Ca collisions correspond to +events where no interaction occurred. The rapidity distributions are shown in Fig. 5. The spectra +obtained from SMASH output show qualitative agreement with the ones in Fig. 1. Peaks for protons +correspond to particles moving close to the initial beam direction. Moreover, fractions of different +particle types can be estimated. It can be seen that for |y| < 2 (i.e. within the acceptance of the +detector) charge particles are dominated by pions. Apart from p±, π±, & K±, marginal numbers +of sigmas, cascades, and omegas were also generated. The PID efficiency depends on the particle +momentum. +The momentum spectra for protons, pions and kaons are shown in Fig. 6 in the +midrapidity region (|y| < 0.5 for which theoretical predictions has been given) Most of the pions +have momentum below 0.8 GeV and protons - below 1 GeV. It means that types of these particles +should be well resolved by dE/dx measurements. When studying pion or proton spectra, there is +high probability of kaon/pion misidentification, but fraction of such events is strongly suppressed +by small initial kaon numbers. +6 + +(a) +(b) +Figure 4: Generator-level multiplicity of charged particles for 12C − 12C collision (a) and 40Ca − 40Ca collisions (b). +(a) +(b) +Figure 5: Rapidity distribution of charged particles in 12C − 12C (a) and 40Ca − 40Ca (b) collision. +7 + +Total Multiplicity of Charged Particles, C-12 + C-12 +104 +No. of events +103 +102 +10 +0 +10 +20 +30 +40 +50 +60 +70 +80 +90 +100 +No. of charged particlesTotal Multiplicity of Charged Particles, Ca-40 + Ca-40 +104 +No. of events +103 +0 +10 +20 +30 +40 +50 +60 +70 +80 +90 +100 +No. of charged particlesRapidity distribution of charged particles, C-12 + C-12 +- protons +105 +.. pions +. kaons +104 +No. of charged particles +103 +102 +10 +3 +2 +3 +5 +Rapidity of charaed particles (yRapidity distribution of charged particles, Ca-40 + Ca-40 +106 +protons +pions +105 +kaons +No. of charged particles +104 +103 +102 +10 +5 +3 +2 +Y +Rapidity of charged particles (y)(a) p distribution of p± in 12C − 12C collision. +(b) p distribution of p± in 40Ca − 40Ca collision. +(c) p distribution of π± in 12C − 12C collision. +(d) p distribution of π± in 40Ca − 40Ca collision. +(e) p distribution of k± in 12C − 12C collision. +(f) p distribution of k± in 40Ca − 40Ca collision. +Figure 6: Total momentum distribution of protons, pions, and kaons at generator level in 12C − 12C and 40Ca− 40Ca collision. +8 + +Total momentum distribution of pions, C-12 + C-12 +16000 +14000 +12000 +pions +10000 +8000 +No. +6000 +4000 +2000 +0 +0 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +Total momentum of pions (p)Total momentum distribution of pions, Ca-40 + Ca-40 +60000 +50000 +40000 +ON +30000 +20000 +10000 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +Total momentum of pions (p)Total momentum distribution of kaons, C-12 + C-12 +1000 +800 + of kaons +600 +No. +400 +200 +0 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +Total momentum of kaons (p)Total momentum distribution of kaons, Ca-40 + Ca-40 +4000 +3500 +3000 +kaons +2500 +2000 +No. +1500 +1000 +500 +0 +0 +0.2 +0.4 +0.6 +0.8 +1.4 +1.6 +1.8 +2 +Total momentum of kaons (p)Total momentum distribution of protons, C-12 + C-12 +1600 +1400 +1200 +protons +1000 +800 +ON +600 +400 +200 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +2.2 +Total momentum of protons (p)Total momentum distribution of protons, Ca-40 + Ca-40 +6000 +5000 + of protons +4000 +No. +3000 +2000 +1000 +0.2 +0.4 +0.6 +0.8 +1.4 +1.6 +1.8 +2 +2.2 +Total momentum of protons (p)5 +DETECTOR SIMULATION AND EVENT RECONSTRUCTION +The detector simulation and reconstruction was performed with the SpdRoot framework. To read +SMASH generated events the SpdRoot code was modified and additional C++ class was added. +During the simulation stage the particles were transported through the detector geometrical model +using Geant4. +At the reconstruction stage, Geant4 tracks and vertices were reconstructed and +particle identification with dE/dx and time of flight measurements was performed. For the PID +three hypotheses were considered: pion, kaon and proton. The reconstructed ionization energy +losses and “measured” time of flight were used to construct conditional probabilities (e.g. p(t|pid), +where t is the measured time and pid is a particle type hypothesis). Out of 100K events generated +by SMASH, first 1K events were considered for detector simulation due to slow data processing in +SpdRoot. +6 +ANALYSIS +A physical analysis was performed using C++ codes and ROOT library based on SpdRoot output. +All tracks reconstructed in the detector with measured momentum were accepted. For the particle +type the one that gives the largest conditional probability is adopted. +Multiplicity, as well as +kinematic distributions for pions, kaons and protons are studied. For particle momentum spectra +there are no notable differences between C − C and for Ca − Ca collisions, so only the first ones +will be considered. +6.1 +CHARGED TRACK MULTIPLICITY +The SPD detector set-up is optimized for p − p and d − d collisions. Thus knowing charged track +multiplicities for ion collisions is important to estimate CT and ST occupancies and feasibility of +such studies. Fig. 7 shows the total multiplicity of charged particles reconstructed by the tracking +system in 12C − 12C and 40Ca − 40Ca collisions. The numbers of reconstructed tracks are much +lower compared to generator-level studies. It is because the geometry of the tracking system is such +that, tracks with polar angle, θ < 10◦ or > 170◦ do not hit the tracker and passes along the beam +pipe itself, so such tracks are ignored. Also, there were events without nuclei interactions which +resulted in no track reconstruction. So, to avoid a large peak at zero due to mentioned reasons, the +X-axis count starts from 1. +6.2 +PION MOMENTUM SPECTRUM (12C − 12C) +The spectra of particles identified as pions separately by ionization losses and by TOF are shown in +Fig. 8 separately. The spectra show resemblance with the generator plot of pion momentum distri- +bution. Based pn MC-truth information backround from misidentification other charged particles +(K±, p±, e±, & µ±) is studied. The obtained distribution for “pions identified as pions” only slightly +deviates from distribution of all selected pion candidates. The estimated relative contamination of +the pion spectra is shown in Fig. 9. It can seen that purity above 90% can be obtained up to +1.2 GeV using either dE/dx or TOF measurements. +9 + +Figure 7: Charged track multiplicity reconstructed by in 12C − 12C (left), 40Ca − 40Ca (right) collisions (shown by red) and +number of particles for which TOF information is available (shown by blue). +(a) Total momentum distribution of reconstructed charged particles +identified as π± by ionization losses. +(b) Total momentum distribution of reconstructed charged particles +identified as π± by TOF. +Figure 8: Total momentum distribution of reconstructed π± candidates in 12C − 12C collision (Detector level). +Figure 9: Purity of the selected pion candidates as a function of their momentum. +10 + +Total multiplicity of charged particles passing through tracking system, C12-C12 +60 +TOF +50 +ST +40 +events +30 +NO. +20 +10 +一 +10 +20 +30 +40 +50 +60 +70 +80 +90 +10090 +TOF +80 +ST +70 +events +60 +50 +No. +40 +30 +20 +10 +0 +10 +20 +30 +40 +50 +60 +70 +80 +90 +100Charged Particles ldentified as Pions by ST, C12-C12 +350 +Pions identified as pions +Kaons identified as pions +Protons identified as pions +300 +Electrons identified as pions +Muons identified as pions +250 +Chargedparticlesidentifiedaspions +200 +150 +100 +50 +0 +.° +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +p(GeV/c)Charged Particles ldentified as Pions by TOF, C12-C12 +Pions identified as pions +300 +Kaons identified as pions +Protons identified as pions +250 +Electrons identified as pions +Muons identified as pions +Charged particles identified as pions +200 +Counts +150 +100 +50 +0 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +p(GeV/c)Pion spectra precision, C12-C12 +0.8 +0.6 +Counts +0.4 +0.2 +Precision recordedbyTOF +Precision recorded by ST +0 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +p(GeV/c)6.3 +KAON MOMENTUM SPECTRUM (12C − 12C) +The kaon momentum spectrum was explicitly mentioned among observables to study hadron for- +mation effects in nuclei. Nevertheless, kaon production may be interesting for the reasons. The +obtained spectra of kaon candidates is shown in Fig. 10 separately for ionization losses and TOF. +First of all, the shown data lack statistics. Secondly, it can bee seen that there is a huge contamina- +tion from misidentified pions. This is explained by very small fraction of generated kaons and the +fact that probability to select misidentified particle is proportional to their number. The relative +fraction of correctly identified kaons in shown in Fig. 11. +(a) Total momentum distribution of reconstructed charged particles +identified as K± by ionization losses. +(b) Total momentum distribution of reconstructed charged particles +identified as K± by TOF. +Figure 10: Total momentum distribution of reconstructed K± candidates in 12C − 12C collision (Detector level). +Figure 11: Purity of the selected kaon candidates as a function of their momentum. +11 + +Charged Particles ldentified as Kaons by ST, C12-C12 +Kaons identified as kaons +60 +Pions identified as kaons +Protons identified as kaons +Electrons identified as kaons +50 +Muons identified as kaons +Charged particles identified askaons +40 +Counts +30 +20 +10 +0 +0.2 +0.4 +0.6 +0.8 +1.2 +0 +1.4 +1.6 +1.8 +2 +p(GeV/c)Charged Particles ldentified as Kaons by TOF, C12-C12 +25 +Kaons identified as kaons +Pions identified as kaons +Protons identifiedaskaons +20 +Electrons identified as kaons +Muons identified as kaons +Charged particles identified as kaons +15 +Counts +10 +5 +0 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +0 +2 +p(GeV/c)Kaon spectra precision, C12-C12 +Precision recorded by TOF +0.9 +Precision recorded by ST +0.8 +0.7 +0.6 +unts +0.5 +Col +0.4 +0.3 +0.2 +0.1 +0 +0.2 +0.4 +0.6 +0.8 +1.2 +1.4 +1.6 +1.8 +2 +p(GeV/c)6.4 +PROTON MOMENTUM SPECTRUM (12C − 12C) +Finally, proton momentum spectra have been considered. In this study protons and antiprotons were +considered together, but the fraction of produced antiprotons is negligible. The proton candidate +distributions and the contributions from misidentification are shown in Fig. 12. The purity of the +selected samples is shown in Fig. 13. It can be seen dE/dx measurements alone will not allow +precise determination of proton spectrum. The reasonably good results can be expected only in +case of combined identification by ionization losses and TOF system. +(a) Total momentum distribution of reconstructed charged particles +identified as p± by ionization losses. +(b) Total momentum distribution of reconstructed charged particles +identified as p± by TOF. +Figure 12: Total momentum distribution of reconstructed p± candidates in 12C − 12C collision (Detector level). +Figure 13: Purity of the selected proton candidates as a function of their momentum. +12 + +Charged Particles ldentified as Protons by ST, C12-C12 +90 +Protons identified as protons +Kaons identified as protons +80 +Pions identified as protons +Electrons identified as protons +Muons identified as protons +70 +Charged particles identified as protons +60 +Counts +50 +40 +30 +20 +10 +0 +0.5 +1 +1.5 +2 +2.5 +3 +3.5 +4 +4.5 +0 +5 +p(GeV/c)Charged Particles ldentified as Protons by TOF, C12-C12 +90 +Protons identified as protons +Kaons identified as protons +80 +Pions identified as protons +Electrons identified asprotons +70 +Muons identified as protons +Charged particles identified as protons +60 +Counts +50 +40 +30 +20 +10 +0.5 +1.5 +2 +2.5 +3 +3.5 +4 +4.5 +0 +5 +p(GeV/c)Proton spectra precision, C12-C12 +0.8 +Counts +0.6 +0.4 +0.2 +Precision recorded by TOF +Precision recorded by ST +0.5 +1.5 +2 +2.5 +3 +3.5 +4 +4.5 +5 +p(GeV/c)7 +SUMMARY +The goal of this work was to check the feasibility of hadron formation effects studies at the first +stage of SPD operation. For this purpose an analysis of 12C − 12C and 40Ca − 40Ca collisions were +performed at the generator level and then the full event reconstruction was done at detector level. +The multiplicity distributions indicate that occupancies of tracking detectors should be checks. +Part of the events with high number of charged tracks may not be fully reconstructed. Particle +identification with ionization losses and TOF was considered separately (for future dE/dx only or +their combination can be expected). The purity of the measured charged pion distribution for both +types of ion collisions using dE/dx only is rather good and meets mentioned before requirements. In +case of combination of information from ionization losses and time of flight system purity of proton +distribution may be improved. +References +[1] V. V. Abramov, A. Aleshko, V. A. Baskov, E. Boos, V. Bunichev, O. D. Dalkarov, R. El-Kholy, +A. Galoyan, A. V. Guskov and V. T. Kim, et al. Phys. Part. Nucl. 52 (2021) no.6, 1044-1119 +doi:10.1134/S1063779621060022 [arXiv:2102.08477 [hep-ph]]. +[2] V. M. Abazov et al. [SPD proto], [arXiv:2102.00442 [hep-ex]]. +[3] SPD TDR [unpublished]. +13 + diff --git a/9NE1T4oBgHgl3EQf7wX0/content/tmp_files/2301.03539v1.pdf.txt b/9NE1T4oBgHgl3EQf7wX0/content/tmp_files/2301.03539v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..316bf0f58d7b6968141f04601cb812f0c7d55b6c --- /dev/null +++ b/9NE1T4oBgHgl3EQf7wX0/content/tmp_files/2301.03539v1.pdf.txt @@ -0,0 +1,1782 @@ +1 +Federated Coded Matrix Inversion +Neophytos Charalambidesµ, Mert Pilanciσ, and Alfred O. Hero IIIµ +.µEECS Department University of Michigan .σEE Department Stanford University +Email: neochara@umich.edu, pilanci@stanford.edu, hero@umich.edu +Abstract +Federated learning (FL) is a decentralized model for training data distributed across client devices. Coded computing (CC) is +a method for mitigating straggling workers in a centralized computing network, by using erasure-coding techniques. In this work +we propose approximating the inverse of a data matrix, where the data is generated by clients; similar to the FL paradigm, while +also being resilient to stragglers. To do so, we propose a CC method based on gradient coding. We modify this method so that the +coordinator does not need to have access to the local data, the network we consider is not centralized, and the communications which +take place are secure against potential eavesdroppers. +I. INTRODUCTION AND RELATED WORK +Inverting a matrix is one of the most important operations in numerous applications, such as, signal processing, machine +learning, and scientific computing [2], [3]. A common way of inverting a matrix is to perform Gaussian elimination, which +requires O(N 3) operations for square matrices of order N. In high-dimensional applications, this can be cumbersome. Over the +past few years the machine learning (ML) community has made much progress on federated learning (FL), focusing on iterative +methods. +The objective of FL is to leverage computation, communication and storage resources to perform distributed computations for +ML models, where the data of each federated worker is never shared with the coordinator of the network; that aggregates local +computations in order to update the model parameters. In FL applications it is important that the data is kept private and secure. +Distributed computations in the presence of stragglers (workers who fail to compute their task or have longer response time than +others) must account for the effect of non-responsive workers. Coding-theoretic approaches have been adopted for this purpose +[4], [5], and fall under the framework of coded computing (CC). Data security is also an increasingly important issue in CC [6]. +Despite the fact that multiplication algorithms imply inversion algorithms and vice versa, in the context of CC; matrix inversion +has not been studied as extensively as coded matrix multiplication (CMM) [7]. The main reason for this is the fact that the latter +is non-linear and non-parallelizable as an operator. We point out that distributed inversion algorithms do exist, though these make +assumptions on the matrix, are specific for distributed and parallel computing platforms, and require a matrix factorization; or +heavy and multiple communication instances between the servers and the coordinator. +In [1] a CC method1 was proposed based on gradient coding (GC) [8], which approximates the inverse of a matrix A. In order +to overcome the obstacle of non-linearity, the columns of A−1 are approximated. When assuming floating-point arithmetic, this +CCM introduces no numerical nor approximation errors. Note that GC and not CMM was utilized, as the latter does not require +the encoding to be done locally by the workers. +Though the two areas of FL and CC seem to be closely related, on the surface they appear incompatible. For instance, in CC +one often assumes there is a master server that distributes the data and may perform the encoding (encoding by the master server +is done in CMM, but not in GC), while in FL the central coordinator never has access to the distributed local training data; which +are located at different client nodes or workers. +There are a few recent works that leverage CC in order to devise secure FL methods for distributed regression and iterative +optimization [9]–[14]. In this work, we combine optimization and CC, using erasure coding to protect against stragglers as in +CC and locally approximating the inverse without revealing the data to the coordinator, to design a FL scheme. Our approach, +is based on the coded matrix inversion method (CMIM) we develop, which utilizes balanced Reed-Solomon (BRS) codes [15], +[16]. This results in an efficient decoding in terms of the threshold number of responsive workers needed to perform an error free +computation. We show that the general class of maximum distance separable (MDS) generator matrices could be used to generate +a suitable erasure code (Theorem 6). The focus is on BRS codes, which have the following advantages: +(i) minimum redundancy per job across the network, +(ii) they optimize communication from workers to the master, +(iii) we can efficiently decode the resulting method. +Our CMIM can also be used to compute the Moore–Penrose pseudoinverse Y† of a data matrix Y ∈ RM×N for M ≫ N, +which is more general than inverting a square matrix. By using the fact that Y† = (Y⊤Y)−1Y⊤, the bottleneck is computing +the inverse of A = Y⊤Y. In addition, two more matrix multiplications need to take place distributively: computing A before +the inversion; and � +A−1Y⊤ after the inverse has been approximated. The matrix products can be computed distributively using +A preliminary version also considers approximating A† [1], in the CC setting. This work was partially supported by grants ARO W911NF-15-1-0479 and Dept +of Energy DE-NA0003921. +1We abbreviate ‘coded computing method/methods’ to CCM/CCMs. +arXiv:2301.03539v1 [cs.IT] 9 Jan 2023 + +2 +various CCMS, e.g. we can use a modification of the coded FL approaches of [11] and a CMM from [17]; both of which are based +on GC. For the remainder of the paper, we focus on the generic problem of inverting a square matrix A. +The proposed FL approach applies to general linear regression problems. Compared to previous FL iterative approaches [18], +the difference is that for Yθ = p; with p the label vector and θ the model parameters, the pseudoinverse-regularized regression +solution is ˆθ = � +Y†p. Unlike conventional FL methods, this regularized regression can be computed non-iteratively. The non- +iterative nature of the proposed approach is advantageous in settings such as Kalman filtering, where the matrix inverse must be +updated in real time as measurements come in. +The paper is organized as follows. In II we recall basic facts on matrix inversion, least squares approximation and finite fields. +In III we review BRS codes, and prove two key lemmas regarding their generator matrices. In IV we present the matrix inverse +approximation algorithm we utilize in our CCM. The main contribution is presented in V. Our federated approach is split into four +phases, which we group in pairs of two. First, we discuss information sharing from the coordinator to the workers (we consider +all the clients’ servers as the network’s workers), and then information sharing between the workers. Second, we show how our +inversion algorithm can be incorporated in linear CCMs, and describe how this fits into the FL paradigm. Concluding remarks and +future work are presented in VI. +A. Overview of the Coded Matrix Inversion Method +In CC the computational network is centralized, and is comprised of a master server who communicates with n workers. The +idea behind our approximation is that the workers use a least squares solver to approximate multiple columns of A−1, resulting +in a set of local approximations to submatrices of � +A−1, which we refer to as blocks. We present approximation guarantees and +simulation results for steepest descent (SD) and conjugate gradient (CG) iterative optimization methods. By locally approximating +the columns in this way, the workers can linearly encode the blocks of � +A−1. The clients have a block of data {Aι}k +ι=1, which +constitute the data matrix A = +� +A1 · · · Ak +� +. To simplify our presentation, we assume that each local data block is of the same +size; i.e. Aι ∈ RN×T for T = N/k, and that client i has ni servers. Therefore, the total number of servers is n = �k +j=1 nj. +We assume the blocks are of the same size, so that the encodings carried out by the clients are consistent. In V, we show that this +assumption is not necessary. Moreover, for the CCM, it is not required that the number of blocks equal the number of clients. For +a given natural number γ, assume that γ divides T; denoted γ | T (each local data block Aι is further divided into γ sub-blocks). +In the case where k ∤ N or γ ∤ T, we can pad the blocks of � +A−1 so that these assumptions are met. +A limitation of our proposed CMIM, is the fact that each server needs to have full knowledge of A, in order to estimate columns +of A−1 through a least squares solver. The sensitivity of Gaussian elimination and matrix inversion also requires that all clients +have knowledge of each others’ data [1]. This limitation is shared by other coded federated learning methods, e.g. CodedPaddedFL +[11]. In contrast to CC and GC; where a master server has access to all the data, in FL the data is inherently distributed across +devices, thus GC cannot be applied directly. We also assume that the coordinator does not intercept the communication between +the clients, otherwise she could recover the local data. Also, we trust that the coordinator will not invert � +A−1, to approximate A +— this would be computationally difficult, for N large. +Before broadcasting the data amongst themselves, the clients encode their block Ai, which guarantees security from outside +eavesdroppers. When the clients receive the encoded data, they can decrypt and recover A. Then, their servers act as the workers +of the proposed CMIM and carry out their assigned computations, and directly communicate their computations back to the +coordinator. Once the recovery threshold (the minimum number of responses needed to recover the computation) is met, the +approximation � +A−1 is recoverable. +B. Coded Federated Learning +There are few works that leverage CC to devise secure FL schemes. Most of these works have focused on distributed regression +and iterative methods, which is the primary application for FL [9]–[13]. Below, we describe and compare these approaches to our +work. +The authors of [9] proposed coded federated learning, in which they utilize a CMM scheme. Their security relies on the use +of random linear codes, to define the parity data. Computations are carried out locally on the systematic data, and only the parity +data is sent to the coordinator. The main drawback compared to our scheme is that each worker has to generate a random encoding +matrix and apply a matrix multiplication for the encodings, while we use the same BRS generator matrix across the network, +based on GC, to linearly encode the local computations. The drawback in our case, is that the workers need to securely share their +data with each other. This is an artifact of the operation (inversion) we are approximating, and is inevitable in the general case +where A has no structure. Under the FL setting we are considering, where the data is gathered or generated locally and is not +i.i.d., we cannot make any assumptions on the structure of A. +In [11], two methods were proposed. CodedPaddedFL combines one-time-padding with GC to carry out the FL task. Some +of its disadvantages are that a one-time-pad (OTP) needs to be generated by each worker, and that the OTPs are shared with the +coordinator, which means that if she gets hold of the encrypted data, she can decrypt it, compromising security. Furthermore, +there is a heavy communication load and the coordinator needs to store all the pads in order to recover the computed gradients. In + +3 +the proposed CMIM, the coordinator generates a set of interpolation points, and shares them with the clients. If the coordinator +can intercept the communication between the workers, she can decrypt the encrypted data blocks. The second method proposed +in [11], CodedSecAgg, relies on Shamir’s secret sharing (SSS); which is based on polynomial interpolation over finite fields. In +contrast, our CMIM relies on GC and Lagrange interpolation. +Lastly, we discuss the method proposed in [13], which is based on the McEliece cryptosystem, and moderate-density parity- +check codes. This scheme considers a communication delay model which defines stragglers as the workers who respond slower +than the fastest worker, and time out after a predetermined amount of time ∆. As the iterative SD process carries on, such workers +are continuously disregarded. Due to this, there is a data sharing step at each iteration, at which the new stragglers communicate +encrypted versions of their data to the active workers. Our scheme is non-iterative, and has a fixed recovery threshold. Unlike +some of the works previously mentioned, which guarantee information-theoretic security, the McEliece based systems and our +approach have computational privacy guarantees. +C. Lagrange Interpolation Coded Computing Methods +While there is extensive literature on matrix-vector and matrix-matrix multiplication, and computing the gradient in the presence +of stragglers, there is limited work on computing or approximating the inverse of a matrix [19]. The non-linearity of matrix +inversion prohibits linear or polynomial encoding of the data before the computations are to be performed. Consequently, most +CCMs cannot be directly utilized. GC is the appropriate CC set up to consider [20], precisely because the encoding takes place +once the computation has been completed, in contrast to most CMM methods where the encoding is done by the master, before +the data is distributed. +Here, we give a brief overview of the GC on which our CMIM is based. We also review “Lagrange Coded Computing” (LCC), +which has relations to our approach. Then, we give a summary of our proposed CMIM. All these rely on Lagrange interpolation +over finite fields. +Gradient codes are a class of codes designed to mitigate the effect of stragglers in data centers, by recovering the gradient of +differentiable and additively separable objective functions in distributed first order methods [20]. The proposed CMIM utilizes +BRS generator matrices constructed for GC [8]. The main difference from our work is that in GC the objective is to construct an +encoding matrix G and decoding vectors aI ∈ Ck, such that a⊤ +I G = ⃗1 for any set of non-straggling workers indexed by I. To +do so, the decomposition of the BRS generator matrices GI = HIP is exploited, where HI is a Vandermonde matrix; and the +first row of P is equal to ⃗1. Subsequently a⊤ +I is extracted as the first row of H−1 +I . +In the proposed CMIM framework, the objective is to design an encoding-decoding pair ( ˜G, ˜DI) for which ˜DI ˜G = IN, for +all I ⊊ Nn of size k. The essential reason for requiring this condition, as opposed to that of GC, is that the empirical gradient of a +given dataset is the sum of each individual gradients, while in our scenario if the columns of � +A−1 are summed; they cannot then +be recovered. +The state-of-the art CC framework is LCC, which is used to compute arbitrary multivariate polynomials of a given dataset +[5], [21]. This approach is based on Lagrange interpolation, and it achieves the optimal trade-off between resiliency, security, +and privacy. The problem we are considering is not a multivariate polynomial in terms of A. To securely communicate A to +the workers, we encode it through Lagrange interpolation. Though similar ideas appear in LCC, the purpose and application of +the interpolation is different. Furthermore, LCC is a point-based approach [22] and requires additional interpolation and linear +combination steps after the decoding takes place. +Recall that the workers in the CMIM must compute blocks of � +A−1. Once they complete their computations, they encode them +by computing a linear combination with coefficients determined by a sparsest-balanced MDS generator matrix. Referring to the +advantages claimed for CMIM in Section I, working with MDS generator matrices allows us to meet points (i) and (ii), while BRS +generator matrices also help us satisfy (iii). Once the recovery threshold is met, the coordinator can recover the approximation +� +A−1. The structure of sparsest-balanced generator matrices is also leveraged to optimally allocate tasks to the workers, while +linear encoding is what allows minimal communication load from the workers to the master. Security against eavesdroppers is +guaranteed by encoding the local data through a modified Lagrange interpolation polynomial, before it is shared by the clients. +This CMIM also extends to approximating A† [1]. +II. PRELIMINARY BACKGROUND +The set of N ×N non-singular matrices is denoted by GLN(R). Recall that A ∈ GLN(R) has a unique inverse A−1, such that +AA−1 = A−1A = IN. The simplest way of computing A−1 is by performing Gaussian elimination on +� +A|IN +� +, which gives +� +IN +��A−1] in O(N 3) operations. In Algorithm 1, we approximate A−1 column-by-column. We denote the ith row and column +of A respectively by A(i) and A(i). The condition number of A is κ2 = ∥A∥2∥A−1∥2. For I an index subset of the rows of a +matrix M, the matrix consisting only of the rows indexed by I, is denoted by MI. +In the proposed algorithm we approximate N instances of the least squares minimization problem +θ⋆ +ls = arg min +θ∈RM +� +∥Aθ − y∥2 +2 +� +(1) + +4 +for A ∈ RN×M and y ∈ RN. In many applications N ≫ M, where the rows represent the feature vectors of a dataset. This has +the closed-form solution θ⋆ +ls = A†y. +Computing A† to solve (1) is intractable for large M, as it requires computing the inverse of A⊤A. Instead, we use gradient +methods to get approximate solutions, e.g. SD or CG, which require less operations, and can be done distributively. One could use +second-order methods; e.g. Newton–Raphson, Gauss-Newton, Quasi-Newton, BFGS, or Krylov subspace methods instead. This +would be worthwhile future work. +When considering a minimization problem with a convex differentiable objective function ψ: Θ → R over an open constrained +set Θ ⊆ RM, as in (1), the SD procedure selects an initial θ[0] ∈ Θ, and then updates θ according to: +θ[t+1] = θ[t] − ξt · ∇θψ(θ[t]) +for t = 1, 2, 3, ... +until a termination criterion is met, for ξt the step-size. The CG method is the most used and prominent iterative procedure for +numerically solving systems of positive-definite equations. +Our proposed coding scheme is defined over the finite field of q elements, Fq. We denote its cyclic multiplicative subgroup +by F× +q = Fq\{0Fq}. For implementation purposes, we identify finite fields with their realization in C as a subgroup of the circle +group, since we assume our data is over R. All operations can therefore be carried out over C. Specifically, for β ∈ F× +q a generator, +we identify βj with e2πij/q, and 0Fq with 1. The set of integers between 1 and ν is denoted by Nν. +III. BALANCED REED-SOLOMON CODES +A Reed-Solomon code RSq[n, k] over Fq for q > n > k, is the encoding of polynomials of degree at most k − 1, for k the +message length and n the code length. It represents our message over the defining set of points A = {αi}n +i=1 ⊂ Fq +RSq[n, k] = +�� +f(α1), f(α2), · · · , f(αn) +� ��� +f(X) ∈ Fq[X] of degree ⩽ k − 1 +� +where αi = αi, for α a primitive root of Fq. Hence, each αi is distinct. A natural interpretation of RSq[n, k] is through its encoding +map. Each message (m0, ..., mk−1) ∈ Fk +q is interpreted as f(x) = �k−1 +i=0 mixi ∈ Fq[x], and f is evaluated at each point of A. +From this, RSq[n, k] can be defined through the generator matrix +G = +� +� +� +� +� +1 +α1 +α2 +1 +. . . +αk−1 +1 +1 +α2 +α2 +2 +. . . +αk−1 +2 +... +... +... +... +... +1 +αn +α2 +n +. . . +αk−1 +n +� +� +� +� +� ∈ Fn×k +q +, +thus, RS codes are linear codes over Fq. Furthermore, they attain the Singleton bound, i.e. d = n − k + 1, where d is the code’s +distance, which implies that they are MDS. +Balanced Reed-Solomon codes [15], [16] are a family of linear MDS error-correcting codes with generator matrices G ∈ Fn×k +q +that are: +• sparsest: each column has the least possible number of nonzero entries +• balanced: each row contains the same number of nonzero entries +for the given code parameters k and n. The design of these generators are suitable for our purposes, as: +1) we have balanced loads across homogeneous workers, +2) sparse generator matrices reduce the computation tasks across the network, +3) the MDS property permits an efficient decoding step, +4) linear codes produce a compressed representation of the encoded blocks. +A. Balanced Reed-Solomon Codes for CC +In the proposed CMIM, we leverage BRS generator matrices to approximate A−1. For simplicity, we will consider the case +where d = s + 1 = nw +k is a positive integer2, for n the number of workers and s the number of stragglers. Furthermore, d is +the distance of the code and ∥G(j)∥0 = d for all j ∈ Nk; ∥G(i)∥0 = w for all i ∈ Nn, and d > w since n > k. For decoding +purposes, we require that at least k = n − s workers respond. Consequently, d = s + 1 implies that n − d = k − 1. For simplicity, +we also assume d ⩾ n/2. In our setting, each column of G corresponds to a computation task of � +A−1; which we will denote by +ˆ +Ai, and each row corresponds to a worker. +2The case where nw +k +∈ Q+\Z+ is analysed in [8], and also applies to our approach. We restrict our discussion to the case where nw +k +∈ Z+. + +5 +Our choice of such a generator matrix G ∈ Fn×k +q +, solves +arg +min +G∈Fn×k +q +� +nnzr(G) +� +s.t. +∥G(i)∥0 = w, ∀i ∈ Nn +∥G(j)∥0 = d, ∀i ∈ Nk +rank(GI) = k, ∀I : |I| = k +(2) +which determines an optimal task allocation among the workers of the proposed CMIM. +Under the above assumptions, the entries of the generator matrix of a BRSq[n, k] code meet the following: +• each column is sparsest, with exactly d nonzero entries +• each row is balanced, with w = dk +n nonzero entries +where d equals to the number of workers who are tasked to compute each block, and w is the number of blocks that are computed +by each worker. +Each column G(j) corresponds to a polynomial pj(x), whose entries are the evaluation of the polynomial we define in (3) at +each of the points of the defining set A, i.e. Gij = pj(αi) for (i, j) ∈ Nn × Nk. To construct the polynomials {pj(x)}k +j=1, for +which deg(pj) ⩽ nnzr(G(j)) = n − d = k − 1, we first need to determine a sparsest and balanced mask matrix M ∈ {0, 1}n×k, +which is ρ-sparse for ρ = d +n; i.e. nnzr(G) = ρnk. We use the construction from [8], though it is fairly easy to construct more +general such matrices, by using the Gale-Ryser Theorem [23], [24]. Furthermore, deterministic constructions resemble generator +matrices of cyclic codes. +For our purposes we use B as our defining set of points, where each point corresponds to the worker with the same index. The +objective now is to devise the polynomials pj(x), for which pj(βi) = 0 if and only if Mij = 0. Therefore: +(I) Mij = 0 +=⇒ +(x − βi) | pj(x) +(II) Mij ̸= 0 +=⇒ +pj(βi) ∈ F× +q +for all pairs (i, j). +The construction of BRS[n, k]q from [15] is based on what the authors called scaled polynomials. Below, we summarize the +polynomial construction based on Lagrange interpolation [8]. We then prove a simple but important result that allows us to +efficiently perform the decoding step. +The univariate polynomials corresponding to each column G(j), are defined as: +pj(x) := +� +i:Mij=0 +� x − βi +βj − βi +� += +k +� +ι=1 +pj,ι · xι−1 ∈ Fq[x] +(3) +which satisfy (I) and (II). By the BCH bound [25, Chapter 9], it follows that deg(pj) ⩾ n − d = k − 1 for all j ∈ Nk. Since +each pj(x) is the product of n − d monomials, we conclude that the bound on the degree is satisfied and met with equality, hence +pj,ι ∈ F× +q for all coefficients. +By construction, both G and GI are decomposable into a Vandermonde matrix H ∈ Bn×k and a matrix comprised of the +polynomial coefficients H ∈ (F× +q )k×k [8]. Specifically, G = HP where Hij = βj−1 +i += βi(j−1) and Pij = pj,i are the +coefficients from (3). This can be interpreted as P(j) defining the polynomial pj(x), and H(i) is comprised of the first k positive +powers of βi in ascending order, therefore +pj(βi) = +k +� +ι=1 +pj,ι · βι−1 +i += ⟨H(i), P(j)⟩. +The following lemmas will help us respectively establish in our CC setting the efficiency of our decoding step and the optimality +of the allocated tasks to the workers. For Lemma 1, recall that efficient matrix multiplication algorithms have complexity O(N ω), +for ω < 2.373 the matrix multiplication exponent [26]. +Lemma 1. The restriction GI ∈ Fk×k +q +of G to any of its k rows indexed by I ⊊ Nn, is an invertible matrix. Moreover, its inverse +can be computed online in O(k2 + kω) operations. +Proof. The matrices H and P are of size n × k and k × k respectively. The restricted matrix GI is then equal to HIP, where +HI ∈ Fk×k +q +is a square Vandermonde matrix, which is invertible in O(k2) time [27]. Specifically +HI = +� +� +� +� +� +1 +βI1 +β2 +I1 +. . . +βk−1 +I1 +1 +βI2 +β2 +I2 +. . . +βk−1 +I2 +... +... +... +... +... +1 +βIk +β2 +Ik +. . . +βk−1 +Ik +� +� +� +� +� ∈ Fk×k +q +. + +6 +It follows that +det(HI) = +� +{i N; for M = �k +i=1 Ni, we can select a subset of features and/or samples, so that the resulting +data matrix we consider is square. This can be interpreted as using the surrogate ˜A = SA, where S ∈ RN×M is an appropriate +(sparse) sketching matrix for matrix inversion [32], which the workers agree on. +First, in V-A we argue why all of A needs to be known by each of the workers, in order to recover entries or columns of its +inverse. Then, in V-B we focus on phases (a) and (b), where we utilize Lagrange interpolation to securely share A among the +workers. We discuss the computation tasks the workers are requested to compute, which are blocks of � +A−1; and collectively +correspond to the subroutine problems of Algorithm 1. In V-C we focus on (c) and (d), where we show how the servers encode +their computations, and describe the coordinator’s decoding step. Optimality of BRS generator matrices in terms of the encoded +communication loads is established in V-D. +When assuming floating-point arithmetic, our approach introduces no numerical nor approximation errors. The errors are a +consequence of using iterative solvers to estimate (4), which we utilize to linearly separate the computations. Therefore, if the +workers can recover the optimal solutions to the underlying minimization problems, our scheme would be exact. + +>A-i =[Ai ... Ak +W1 +X +Wn +X +f(×) +f(x) +f(x)10 +Fig. 3. Flowchart of our proposal, where k = ni = 4 for all i ∈ N4. +A. Knowledge of A is necessary +A bottleneck when computing the inverse of a matrix; or estimating its columns, is that the entire matrix needs to be known. +A single change in the matrix’s entries may result in a non-singular matrix, which conveys how sensitive Gaussian elimination is. +Such problems are extensively studied in conditioning and stability of numerical analysis [30], and in perturbation theory. This is +not a focus of our work. +In the case where only one column is not known, one can determine the subspace in which the missing column lies, but without +the knowledge of at least one entry of that column, it would be impossible to recover that column. Even with such an approach or +a matrix completion algorithm, the entire A is determined before we proceed to inverting A; or performing linear regression to +approximate Ab = ei as in (4). +Another example, relating to our FL set up, is the case where one of the blocks is different. This could lead to drastic +miscalculations. In the following example, we consider n = k = 2 and N = 4, where the second server sends a different +block, which are indicated by a different color and font: +A1 = +� +� +� +6 +2 +2 +-5 +0 +−1 +2 +0 +−5 +6 +-1 +-3 +5 +−3 +-4 +3 +� +� +� +A2 = +� +� +� +6 +2 +−1 +−3 +0 +−1 +5 +6 +−5 +6 +3 +−2 +5 +−3 +1 +6 +� +� +� . +It follows that ∥A−1 +1 ∥F ≈ 90.45, ∥A−1 +2 ∥F ≈ 1, and ∥A−1 +1 +− A−1 +2 ∥0 = 16; i.e. no entries of A−1 +1 +and A−1 +2 +are equal. +Furthermore, by the data processing inequality [33, Corollary pg.35], the above imply that no less than N 2 information symbols +can be known by each server, while hoping to approximate a column of A−1. Hence, all clients need full knowledge of each others +information, and cannot communicate less than NT symbols to each other. This is a consequence of the fact that a dense vector is +not recoverable from underdetermined linear measurements. They can however send an encoded version of their respective block +Aι ∈ RN×T to the other clients consisting of NT symbols, determined by a modified Lagrange polynomial, which guarantees +security against eavesdroppers. +Similar cryptographic protocols date back to the SSS algorithm [34], which is also based on RS codes. This idea has extensively +been exploited in LCC [5], yet differs from our approach. +B. Phases (a), (b) — Data Encryption and Sharing +Let k, γ ∈ Z+ be factors of N and T respectively, so that T = N +k and Γ = T +γ .3 The coordinator constructs a set of distinct +interpolation points B = {βj}n +j=1 ⊊ F× +q , for q > n ⩾ γ.4 To construct this set, it suffices to sample β ∈ F× +q ; any one of the +φ(q − 1) primitive roots of Fq (φ is Euler’s totient function), which is a generator of the multiplicative group (F× +q , ·), and define +3If γ ∤ T, append 0T ×1 to the end of the first ˜γ = T(modγ) blocks which are each comprised of ˜Γ = ⌊ T +γ ⌋ columns of Aι, while the remaining γ − ˜γ +blocks are comprised of ˜Γ + 1 columns. Now, each block is of size T × (˜Γ + 1). +4For the encodings of the Aι’s, γ points suffice, and we only need to require q > γ. We select B of cardinality n and require q > n ⩾ γ, in order to reuse B +in our CCM. + +β,H +β,H +B,H +β,H +A +A +88 +fi(x),q1 +f2(x),02 +Clients share their corre +sponding fi(×) and o,-1 +Clients recover A = Ai A2 A3 A4 +Servers carry out computations, and each +client sends back W, to the coordinator += +Once the threshold is met,11 +each point as βj = βj. Then, a random multiset H = {ηj}γ +j=1 ∈ 2F× +q of size γ is generated, i.e. repetitions in H are allowed, +which will be used to remove the structure of the Lagrange coefficients, as the adversaries could exploit their structure to reveal +β. +The element β and set H, are broadcasted securely to all the workers through a public-key cryptosystem, e.g. RSA or McEliece. +Matrices Aι are partitioned into γ blocks +Aι = +� +A1 +ι · · · Aγ +ι +� +where Ai +ι ∈ RN×Γ, ∀i ∈ Nγ, +(11) +and each client generates a PRP σι ∈ Sγ. The blocks {Aι}k +ι=1 are encrypted locally through the univariate polynomials +fι(x) = +γ +� +j=1 +Aj +ι · ησι(j) +� +�� +l̸=j +x − βl +βj − βl +� +� +(12) +for which fι(βj) = ησι(j)Aj +ι. +The clients then broadcast {fι(x), σ−1 +ι +} to each other, and their servers can then recover all Aι’s as follows: +Aι = +� +ησ−1 +ι +(1)f(β1) · · · ησ−1 +ι +(γ)f(βγ) +� +∈ RN×T . +(13) +The coefficients of fι(x) are comprised of NΓ symbols, thus, each polynomial consists of a total of NT symbols, which is the +minimum number of symbols needed to be communicated. The PRP σι is generated locally by the clients, to ensure that each +fι(x) differs by more than just the matrix partitions. +We assume Kerckhoffs’ principle, which states that everyone has knowledge of the system, including the messages fι(x). For +the proposed CMIM, as long as {β, H} and σ−1 +ι +are securely communicated, even if fι(x) is revealed, the block Aι is secure +against polynomial-bounded adversaries (this is the security level assumed by the cryptosystems used for the communication). +Proposition 5. The encryptions of Aι through fι(x), are as secure against eavesdroppers as the public-key cryptosystems which +are used when broadcasting {β, H} and σ−1 +ι +. To recover Aι, an adversary needs to intercept both communications, and break +both cryptosystems. +Proof. We prove this by contradiction. Assume that an adversary was able to reverse the encoding fι(x) of Aι. This implies that +he was able to reveal β and σι(H) := {ησι(j)}γ +j=1. The only way to reveal these elements, is he was able to both intercept and +decipher the public-key cryptosystem used by the coordinator, which contradicts the security of the cryptosystem. +In order to invert the multiplications of σι(H) for each of the evaluations of fι(x), both H and σ−1 +ι +need to be known. To do so, +the adversary needs to intercept both the communication between the coordinator and the clients, and the communication between +the clients, as well as breaking both the cryptosystems used to securely carry out these communications. +■ +C. Phases (c), (d) — Computations, Encoding and Decoding +At this stage, the workers have knowledge of everything they need in order to recover A, before they carry out their computation +tasks. By (13), the recovery is straightforward. +For Algorithm 1, any CCM in which the workers compute an encoding of partitions of the resulting computation E = +� +E1 · · · Ek +� +could be utilized. It is crucial that the encoding takes place on the computed tasks {Ei}k +i=1 in the scheme, and +not the assigned data or partitions of the matrices that are being computed over (such CMM leverage the linearity of matrix +multiplication), otherwise the algorithm could potentially not return the correct approximation. This also means that utilizing such +encryption approaches (e.g. [5]) for guaranteeing security against the workers, is not an option. We face these restrictions due to +the fact that matrix inversion is a non-linear operator. +The computation tasks Ei correspond to a partitioning � +A−1 = +� ˆ +A1 · · · +ˆ +Ak +� +, of our approximation from Algorithm 1. We +propose a linear encoding of the computed blocks { ˆ +Ai}k +i=1 based on generators satisfying (2). Along with the proposed decoding +step, we have a MDS-based CCM for matrix inversion. +We consider the same parameters as in V-B, in order to reuse B in the proposed CMIM. Each ˆ +Ai is comprised of T distinct but +consecutive approximations of (4), i.e. +ˆ +Ai = +�ˆb(i−1)T +1 · · · ˆbiT +� +∈ RN×T +∀i ∈ Nk, +which could also be approximated by iteratively solving +ˆ +Ai ≈ arg min +B∈RN×T +���AB − +� +e(i−1)T +1 · · · eiT +���2 +F +� +. +Without loss of generality, we assume that the workers use the same algorithms and parameters for estimating the columns +{ˆbi}N +i=1. Therefore, workers allocated the same tasks are expected to get equal approximations in the same amount of time. + +12 +For our CCM, we leverage BRS generator matrices for both the encoding and decoding steps. We adapt the GC framework, +so we need an analogous condition to a⊤ +I G = ⃗1 for the CMIM; in order to invoke Algorithm 1. The condition we require is +˜DI ˜G = IN, for an encoding-decoding pair ( ˜G, ˜DI). +From our discussion on BRS codes in III-A, we set ˜G = IT ⊗ G and ˜DI = IT ⊗ (GI)−1 for any given set of k responsive +servers indexed by I. The index set of blocks requested from the ιth worker to compute is denoted by Jι, and has cardinality w. +The workers’ encoding steps correspond to +˜G · ( � +A−1)⊤ = (IT ⊗ G) · +� +�� +ˆ +A⊤ +1 +... +ˆ +A⊤ +k +� +�� = +� +� +� +� +� +� +� +j∈J1 +pj(β1) · ˆ +A⊤ +j +... +� +j∈Jn +pj(βn) · ˆ +A⊤ +j +� +� +� +� +� +� +(14) +which are carried out locally, once they have computed their assigned tasks. We denote the encoding of the ιth worker by Wι ∈ +CT ×N, i.e. Wι = � +j∈Jι pj(βι) · ˆ +A⊤ +j , which are sent to the coordinator. The received encoded computations by any distinct k +servers indexed by I, constitute ˜GI · ( � +A−1)⊤. +Lemma 1 implies that as long as k workers respond, the approximation � +A−1 is recoverable. Moreover, the decoding step +reduces to a matrix multiplication of k × k matrices. Applying HI to a square matrix can be done in O(k2 log k), through the +FFT algorithm. The prevailing computation in our decoding, is applying P−1. The decoding step is +˜DI · +� +˜GI · ( � +A−1)⊤� += +� +IT ⊗ (GI)−1� +· +� +IT ⊗ GI +� +· ( � +A−1)⊤ += (IT · IT ) ⊗ +� +(GI)−1 · GI +� +· ( � +A−1)⊤ += IT ⊗ Ik · ( � +A−1)⊤ += ( � +A−1)⊤ +and our scheme is valid. +The above CCM therefore has a linear encoding done locally by the servers (14), is MDS since s = d − 1, and its decoding +step reduces to computing and applying G−1 +I +(Lemma 1). The security of the encodings rely on the secrecy of B, which were +sent from the coordinator to the workers. For an additional security layer, the interpolation points of B could instead be defined as +βj = βπ(j), for π ∈ Sn a PRP. In this case, π−1 would also need to be securely broadcasted. +0 +1 +2 +3 +4 +5 +6 +7 +8 +106 +0 +20 +40 +60 +80 +100 +120 +4.5 +5 +5.5 +6 +6.5 +7 +0 +20 +40 +60 +80 +100 +120 +Fig. 4. Comparison of decoding complexity, when naive matrix inversion is used (so O(k3)) compared to the decoding step implied by Lemma 1, for n = 200 +and varying s. We also provide a logarithmic scale comparison. +With the above framework, any sparsest-balanced generator MDS matrix [23] would suffice, as long as it satisfies the MDS +theorem [35]. By Lemma 1, if we set k = Ω( +√ +N) (similar to [7]), the decoding step could then be done in O(N ω/2) = o(N 1.187), +which is close to linear in terms of N. +Theorem 6. Let G ∈ Fn×k be a generator matrix of any MDS code over F, for which ∥G(j)∥0 = n − k + 1 and ∥G(i)∥0 = w +for all (i, j) ∈ Nn × Nk. By utilizing Algorithm 1, we can devise a linear MDS coded matrix inversion scheme; through the +encoding-decoding pair ( ˜G, ˜DI). +Proof. The encoding coefficients applied locally by each of the n workers correspond to a row of G. The encodings of all the +workers then correspond to ˜G · ( � +A−1)⊤, for ˜G = IT ⊗ G, as in (14). Consider any set of responsive workers I of size k, whose +encodings constitute ˜GI ·( � +A−1)⊤. By the MDS theorem, GI is invertible. Hence, the decoding step reduces to inverting GI; i.e. +˜DI = IT ⊗ (GI)−1, and is performed online. +■ +Constructions based on cyclic MDS codes, which have been used to devise GC schemes [36], can also be considered. These +encoding matrices are not sparsest-balanced, which makes them suitable when considering heterogeneous workers. +Proposition 7. Any cyclic [n, k] MDS code C over F ∈ {R, C} can be used to devise a coded matrix inversion encoding-decoding +pair ( ˜G, ˜DI). + +13 +Proof. Consider a cyclic [n, n − s] MDS code C over F ∈ {R, C}. Recall that from our assumptions, we have s = n − k. By [36, +Lemma 8], there exists a codeword g1 ∈ C of support d = s + 1, i.e. ∥g1∥0 = d. Since C is cyclic, it follows that the cyclic shifts +of g1 also lie in C. Denote the n − 1 consecutive cyclic shifts of g1 by {gi}n +i=2 ⊊ C ⊊ F1×n, which are all distinct. Define the +cyclic matrix +¯G := +� +� +| +| +| +g⊤ +1 +g⊤ +2 +. . . +g⊤ +n +| +| +| +� +� ∈ Fn×n. +Since ∥gi∥0 = d and gi is a cyclic shift of gi−1 for all i > 1, it follows that ∥ ¯G(i)∥0 = ∥ ¯G(j)∥0 = d for all i, j ∈ Nn, i.e. ¯G +is sparsest and balanced. If we erase any s = n − k columns of ¯G, we get G ∈ Fn×k. By erasing arbitrary columns of ¯G, the +resulting G is not balanced, i.e. we have ∥G(i)∥0 ̸= ∥G(j)∥0 for some pairs i, j ∈ Nn. Similar to our construction based on BRS +generator matrices, we define the encoding matrix to be ˜G = IT ⊗ G. The local encodings are then analogous to (14). +Consider an arbitrary set of k non-straggling workers I ⊊ Nn, and the corresponding matrix GI ∈ Fk×k. By [36, Lemma 12, +B4.], GI is invertible. The decoding matrix is then ˜DI = IT ⊗ (GI)−1, and the condition ˜DI ˜G = IN is met. +■ +D. Optimality of MDS BRS Codes +Under the assumption that k = n − s, by utilizing the BRSq[n, k] generator matrices, we achieved the minimum possible +communication load from the workers to the coordinator. From our discussion in V-A, we cannot hope to receive an encoding +of less than N 2/k symbols; when we require that k workers respond with the same amount of information symbols in order +to recover � +A−1 ∈ RN×N, unless we make further assumptions on the structure of A and A−1. Each encoding Wι consists +of NT = N 2/k symbols, so we have achieved the lower bound on the minimum amount of information needed to be sent to +the coordinator. Hence, Wι ∈ CT ×N for any sparsest-balance generator MDS matrix. This also holds true for other generator +matrices which can be used in Theorem 6, as the encodings are linear (e.g. Proposition 7). +We also require the workers to estimate the least possible number of columns for the given recovery threshold k. For our choice +of parameters, the bound of [20, Theorem 1] is met with equality. That is, for all i ∈ Nn: +∥G(i)∥0 = w = k +n · d = k +n · (n − k + 1) , +which means that for homogeneous workers, we cannot get a sparser generator matrix. This, along with the requirement that GI +should be invertible for all possible I, are what we considered in (2). +VI. CONCLUSION AND FUTURE WORK +In this paper, we addressed the problem of approximate computation of the inverse of a matrix distributively in a FL setting, +under the possible presence of straggling workers. We provided approximation error bounds for our approach, as well as security +and recovery guarantees. We also provided numerical experiments that validated our proposed approach. +There are several interesting future directions. One is looking into the issue of numerical stability of the BRS approach, and +exploring other suitable generator matrices, e.g. circulant permutation and rotation matrices [37]. Another direction, is leveraging +approximate CCMs. The techniques of [22], [38] suggest that carefully selecting interpolation points may lead to more efficient +(approximate) schemes. In terms of coding-theory, it would be interesting to see if it is possible to reduce the complexity of our +decoding step. Specifically, could well-known RS decoding algorithms such as the Berlekamp-Welch algorithm be exploited? +Another important extension is to reduce the communication rounds when computing the pseudoinverse through our approach. +This depends on the CMM which is being utilized, though using different ones for each of the two multiplications may also be +beneficial. +Tribute to Alex Vardy: As this is a special issue dedicated to the memory Alexander Vardy, we mention how this paper relates +to some of his work. Even though Alex had not worked on CC, his contributions to RS codes are immense. A focus of this paper +is to reduce the decoding complexity of the proposed BRS-based CCM, while in [39] it was shown that ML decoding of RS +codes is NP-hard. Another highly innovative work of Vardy’s is [40], in which the ‘Parvaresh-Vardy codes’ were introduced; +and the associated list-decoding algorithm was shown to yield an improvement over the Guruswami–Sudan algorithm. This was +subsequently improved by Guruswami and Rudra [41], whose techniques were exploited in [42] to introduce list-decoding in CC. +APPENDIX A +ADDITIONAL MATERIAL AND BACKGROUND +In this appendix, we include material and background which was used in our derivations. First, we recall what an ϵ-optimal +solution/point is, which was used in the proof of Proposition 4. Next, we state the MDS Theorem and the BCH Bound. We +then give a brief overview of the GC scheme from [8], to show how it differs from our coded matrix inversion scheme. We also +explicitly give their construction of a balanced mask matrix M ∈ {0, 1}n×k, which we use for the construction of the BRS +generator matrices. Lastly, we illustrate a simple example of the encoding matrix. + +14 +Definition 8 ( [43]). A point ¯x is said to be an ϵ-optimal solution/point to a minimization problem with objective function f(x), +if for any x, it holds that f(x) ⩾ f(¯x) − ϵ, where ϵ ⩾ 0. When ϵ = 0, an ϵ-optimal solution is an exact minimizer. +Theorem 9 (MDS Theorem — [35]). Let C be a linear [n, k, d] code over Fq, with G, H the generator and parity-check matrices. +Then, the following are equivalent: +1) C is a MDS code, i.e. d = n − k + 1 +2) every set of n − k columns of H is linearly independent +3) every set of k columns of G is linearly independent +4) C⊥ is a MDS code. +Theorem 10 (BCH Bound — [15], [25]). Let p(x) ∈ Fq[x]\{0} with t cyclically consecutive roots, i.e. p(αj+ι) = 0 for all +ι ∈ Nt. Then, at least t + 1 coefficients of p(x) are nonzero. +Algorithm 2: MaskMatrix(n, k, d) [8] +Input: n, k, d ∈ Z+ s.t. n > d, k and w = kd +n +Output: row-balanced mask matrix M ∈ {0, 1}n×k +M ← 0n×k +for j = 0 to k − 1 do +for i = 0 to d − 1 do +ι ← (i + jd + 1) mod n +Mr,ι ← 1 +end +end +return M +Even though this was not pointed out in [8], Algorithm 2 does not always produce a mask matrix of the given parameters when +we select d < n/2. This is why in our work we require d ⩾ n/2. +The decomposition G = HP is utilized in the GC scheme of [8]. Each column of G corresponds to a partition of the data +whose partial gradient is to be computed. The polynomials are judiciously constructed in this scheme, such that the constant term +of each polynomial is 1 for all polynomials, thus P(1) = ⃗1. By this, the decoding vector a⊤ +I is the first row of G−1 +I , for which +a⊤ +I GI = e⊤ +1 . A direct consequence of this is that a⊤ +I BI = e⊤ +1 T = T(1) = ⃗1, which is the objective for constructing a GC +scheme. +A. Generator Matrix Example +As an example, consider the case where n = 9, k = 6 and d = 6, thus w = kd +n = 4. Then, Algorithm 2 produces +M = +� +� +� +� +� +� +� +� +� +� +� +� +� +� +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +0 +1 +1 +� +� +� +� +� +� +� +� +� +� +� +� +� +� +∈ {0, 1}9×6 . +For our CCM, this means that the ith worker computes the blocks indexed by supp(M(i)), e.g. supp(M(1)) = {1, 2, 4, 5}. We +denote the indices of the respective task allocations by Ji = supp(M(i)). The entries of the generator matrix G are the evaluations +of the constructed polynomials (3) at each of the evaluation points B = {βi}n +i=1, i.e. Gij = pj(αi). This results in: +G = +� +� +� +� +� +� +� +� +� +� +� +� +� +� +p1(β1) +p2(β1) +0 +p4(β1) +p5(β1) +0 +p1(β2) +p2(β2) +0 +p4(β2) +p5(β2) +0 +p1(β3) +p2(β3) +0 +p4(β3) +p5(β3) +0 +p1(β4) +0 +p3(β4) +p4(β4) +0 +p6(β4) +p1(β5) +0 +p3(β5) +p4(β5) +0 +p6(β5) +p1(β6) +0 +p3(β6) +p4(β6) +0 +p6(β6) +0 +p2(β7) +p3(β7) +0 +p5(β7) +p6(β7) +0 +p2(β8) +p3(β8) +0 +p5(β8) +p6(β8) +0 +p2(β9) +p3(β9) +0 +p5(β9) +p6(β9) +� +� +� +� +� +� +� +� +� +� +� +� +� +� +. + +15 +APPENDIX B +DISTRIBUTED PSEUDOINVERSE +For full-rank rectangular matrices A ∈ RN×M where N > M, one resorts to the left Moore–Penrose pseudoinverse A† ∈ +RM×N, for which A†A = IM. In Algorithm 3, we present how to approximate the left pseudoinverse of A, by using the fact that +A† = (A⊤A)−1A⊤; since A⊤A ∈ GLN(R). The right pseudoinverse A† = A⊤(AA⊤)−1 of A ∈ RM×N where M < N, +can be obtained by a modification of Algorithm 3. +Just like the inverse, the pseudoinverse of a matrix also appears in a variety of applications. Computing the pseudoinverse of +A ∈ RN×M for N > M is even more cumbersome, as it requires inverting the Gram matrix A⊤A. For this subsection, we +consider a full-rank matrix A. +One could naively attempt to modify Algorithm 1 in order to retrieve A† such that A†A = IM, by approximating the rows +of A†. This would not work, as the underlying optimization problems would not be strictly convex. Instead, we use Algorithm +3 to estimate the rows of B−1 := (A⊤A)−1, and then multiply the estimate � +B−1 by A⊤. This gives us the approximation +� +A† = � +B−1 · A⊤. +The drawback of Algorithm 3 is that it requires two additional matrix multiplications, A⊤A and � +B−1A⊤. We overcome this +barrier by using a CMM scheme twice, to recover � +A† in a two or three-round communication CC approach. These are discussed +in below. +Bounds on errF ( � +A−1) and errrF ( � +A−1) can be established for both algorithms, specific to the black-box least squares algorithm +being utilized. This is left for future work. +Algorithm 3: Estimating A† +Input: full-rank A ∈ RN×M where N > M +B ← A⊤A +for i=1 to M do +ˆci = arg minc∈R1×M +� +gi(c) := ∥cB − e⊤ +i ∥2 +2 +� +ˆbi ← ˆci · A⊤ +end +return � +A† ← +� +ˆb⊤ +1 · · · ˆb⊤ +M +�⊤ +▷ � +A†(i) = ˆbi +Corollary 11. For full-rank A ∈ RN×M with N > M, we have errF (� +A†) ⩽ +√ +Mϵ·κ2 +√ +2σmin(A)3 and errrF (� +A†) ⩽ +√ +Mϵ·κ2 +√ +2σmin(A)2 when +using SD to solve the subroutine optimization problems of Algorithm 3, with termination criteria ∥∇gi(c[t])∥2 ⩽ ϵ. +Proof. From (10), it follows that +∥B−1ei − ˆc⊤ +i ∥2 ⩽ +ϵ/ +√ +2 +σmin(B)2 = +ϵ/ +√ +2 +σmin(A)4 =: δ . +The above bound implies that for each summand of the Frobenius error; ∥ˆbi − A† +(i)∥2 = ∥ˆciA⊤ − e⊤ +i · B−1A⊤∥2, we have +∥ˆbi − A† +(i)∥2 ⩽ δ∥A⊤∥2. Summing the right hand side M times, we get that +errF (� +A†)2 ⩽ M · (δ∥A⊤∥2)2 += Mϵ2 · σmax(A)2 +σmin(A)8 += Mϵ2 · κ2 +2 +σmin(A)6 . +By taking the square root, we have shown the first claim. +Since 1/σmin(A) = ∥A†∥2 ⩽ ∥A†∥F , it then follows that +errrF (� +A†) = errF (� +A†) +∥A†∥F +⩽ errF (� +A†) +∥A†∥2 +=⩽ +√ +Mϵ · κ2 +√ +2σmin(A)2 , +which completes the proof. +■ +A. Pseudoinverse from Polynomial CMM +One approach to leverage Algorithm 3 in a two-round communication scheme is to first compute B = A⊤A through a CMM +scheme, then share B with all the workers who estimate the rows of � +B−1, and finally use another CMM to locally encode the + +16 +estimated columns with blocks of A⊤; to recover � +A† = � +B−1 · A⊤. Even though there are only two rounds of communication, the +fact that we have a local encoding by the workers results in a higher communication load overall. An alternative approach which +circumvents this issue, uses three-rounds of communication. +For this approach, we use the polynomial CMM scheme from [7] twice, along with our coded matrix inversion scheme. This +CMM has a reduced communication load, and minimal computation is required by the workers. To have a consistent recovery +threshold across our communication rounds, we partition A as in (11) into ¯k = √n − s = +√ +k blocks. Each block is of size +N × ¯T, for ¯T = M +k . The encodings from [7] of the partitions {Aj}¯k +j=1 for carefully selected parameters a, b ∈ Z+ and distinct +elements γi ∈ Fq, are +˜Aa +i = +k +� +j=1 +Ajγ(j−1)a +i +and +˜Ab +i = +k +� +j=1 +Ajγ(j−1)b +i +for each worker indexed by i. Thus, each encoding is comprised of N ¯T symbols. The workers compute the product of their +respective encodings ( ˜Aa +i )⊤ · ˜Ab +i. The decoding step corresponds to an interpolation step, which is achievable when ¯k2 = k many +workers respond5, which is the optimal recovery threshold for CMM. Any fast polynomial interpolation or RS decoding algorithm +can be used for this step, to recover B. +Next, the master shares B with all the workers (from V-A, this is necessary), who are requested to estimate the column-blocks +of � +B−1 +� +B−1 = +� +¯B1 · · · ¯Bk +� +where ¯Bj ∈ RM× ¯T ∀j ∈ Nk +(15) +according to Algorithm 1. We can then recover � +B−1 by our BRS based scheme, once k workers send their encoding. +For the final round, we encode � +B−1 as +˜Ba +i = +k +� +j=1 +¯Bjγ(j−1)a +i +which are sent to the respective workers. The workers already have in their possession the encodings ˜Ab +i. We then carry out the +polynomial CMM where each worker is requested to send back ( ˜Ba +i )⊤ · ˜Ab +i. The master server can then recover � +A†. +Theorem 12. Consider G ∈ Fn×k as in Theorem 6. 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Avestimehr, “List-decodable coded computing: Breaking the adversarial toleration barrier,” IEEE Journal +on Selected Areas in Information Theory, vol. 2, no. 3, pp. 867–878, 2021. +[43] F. Bai, Z. Wu, and D. Zhu, “Sequential Lagrange multiplier condition for ϵ-optimal solution in convex programming,” Optimization, vol. 57, no. 5, pp. +669–680, 2008. + diff --git a/9NE1T4oBgHgl3EQf7wX0/content/tmp_files/load_file.txt b/9NE1T4oBgHgl3EQf7wX0/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..f38c0be2c1c3ddf561645409831fbe6bd94c48f4 --- /dev/null +++ b/9NE1T4oBgHgl3EQf7wX0/content/tmp_files/load_file.txt @@ -0,0 +1,996 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf,len=995 +page_content='1 Federated Coded Matrix Inversion Neophytos Charalambidesµ, Mert Pilanciσ, and Alfred O.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Hero IIIµ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='µEECS Department University of Michigan .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='σEE Department Stanford University Email: neochara@umich.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='edu, pilanci@stanford.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='edu, hero@umich.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='edu Abstract Federated learning (FL) is a decentralized model for training data distributed across client devices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Coded computing (CC) is a method for mitigating straggling workers in a centralized computing network, by using erasure-coding techniques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In this work we propose approximating the inverse of a data matrix, where the data is generated by clients;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' similar to the FL paradigm, while also being resilient to stragglers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' To do so, we propose a CC method based on gradient coding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We modify this method so that the coordinator does not need to have access to the local data, the network we consider is not centralized, and the communications which take place are secure against potential eavesdroppers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' INTRODUCTION AND RELATED WORK Inverting a matrix is one of the most important operations in numerous applications, such as, signal processing, machine learning, and scientific computing [2], [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' A common way of inverting a matrix is to perform Gaussian elimination, which requires O(N 3) operations for square matrices of order N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In high-dimensional applications, this can be cumbersome.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Over the past few years the machine learning (ML) community has made much progress on federated learning (FL), focusing on iterative methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The objective of FL is to leverage computation, communication and storage resources to perform distributed computations for ML models, where the data of each federated worker is never shared with the coordinator of the network;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' that aggregates local computations in order to update the model parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In FL applications it is important that the data is kept private and secure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Distributed computations in the presence of stragglers (workers who fail to compute their task or have longer response time than others) must account for the effect of non-responsive workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Coding-theoretic approaches have been adopted for this purpose [4], [5], and fall under the framework of coded computing (CC).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Data security is also an increasingly important issue in CC [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Despite the fact that multiplication algorithms imply inversion algorithms and vice versa, in the context of CC;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' matrix inversion has not been studied as extensively as coded matrix multiplication (CMM) [7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The main reason for this is the fact that the latter is non-linear and non-parallelizable as an operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We point out that distributed inversion algorithms do exist, though these make assumptions on the matrix, are specific for distributed and parallel computing platforms, and require a matrix factorization;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' or heavy and multiple communication instances between the servers and the coordinator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In [1] a CC method1 was proposed based on gradient coding (GC) [8], which approximates the inverse of a matrix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In order to overcome the obstacle of non-linearity, the columns of A−1 are approximated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' When assuming floating-point arithmetic, this CCM introduces no numerical nor approximation errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Note that GC and not CMM was utilized, as the latter does not require the encoding to be done locally by the workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Though the two areas of FL and CC seem to be closely related, on the surface they appear incompatible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For instance, in CC one often assumes there is a master server that distributes the data and may perform the encoding (encoding by the master server is done in CMM, but not in GC), while in FL the central coordinator never has access to the distributed local training data;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' which are located at different client nodes or workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' There are a few recent works that leverage CC in order to devise secure FL methods for distributed regression and iterative optimization [9]–[14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In this work, we combine optimization and CC, using erasure coding to protect against stragglers as in CC and locally approximating the inverse without revealing the data to the coordinator, to design a FL scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Our approach, is based on the coded matrix inversion method (CMIM) we develop, which utilizes balanced Reed-Solomon (BRS) codes [15], [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This results in an efficient decoding in terms of the threshold number of responsive workers needed to perform an error free computation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We show that the general class of maximum distance separable (MDS) generator matrices could be used to generate a suitable erasure code (Theorem 6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The focus is on BRS codes, which have the following advantages: (i) minimum redundancy per job across the network, (ii) they optimize communication from workers to the master, (iii) we can efficiently decode the resulting method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Our CMIM can also be used to compute the Moore–Penrose pseudoinverse Y† of a data matrix Y ∈ RM×N for M ≫ N, which is more general than inverting a square matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' By using the fact that Y† = (Y⊤Y)−1Y⊤, the bottleneck is computing the inverse of A = Y⊤Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In addition, two more matrix multiplications need to take place distributively: computing A before the inversion;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' and � A−1Y⊤ after the inverse has been approximated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The matrix products can be computed distributively using A preliminary version also considers approximating A† [1], in the CC setting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This work was partially supported by grants ARO W911NF-15-1-0479 and Dept of Energy DE-NA0003921.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' 1We abbreviate ‘coded computing method/methods’ to CCM/CCMs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='03539v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='IT] 9 Jan 2023 2 various CCMS, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' we can use a modification of the coded FL approaches of [11] and a CMM from [17];' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' both of which are based on GC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For the remainder of the paper, we focus on the generic problem of inverting a square matrix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The proposed FL approach applies to general linear regression problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Compared to previous FL iterative approaches [18], the difference is that for Yθ = p;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' with p the label vector and θ the model parameters, the pseudoinverse-regularized regression solution is ˆθ = � Y†p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Unlike conventional FL methods, this regularized regression can be computed non-iteratively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The non- iterative nature of the proposed approach is advantageous in settings such as Kalman filtering, where the matrix inverse must be updated in real time as measurements come in.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In II we recall basic facts on matrix inversion, least squares approximation and finite fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In III we review BRS codes, and prove two key lemmas regarding their generator matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In IV we present the matrix inverse approximation algorithm we utilize in our CCM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The main contribution is presented in V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Our federated approach is split into four phases, which we group in pairs of two.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' First, we discuss information sharing from the coordinator to the workers (we consider all the clients’ servers as the network’s workers), and then information sharing between the workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Second, we show how our inversion algorithm can be incorporated in linear CCMs, and describe how this fits into the FL paradigm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Concluding remarks and future work are presented in VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Overview of the Coded Matrix Inversion Method In CC the computational network is centralized, and is comprised of a master server who communicates with n workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The idea behind our approximation is that the workers use a least squares solver to approximate multiple columns of A−1, resulting in a set of local approximations to submatrices of � A−1, which we refer to as blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We present approximation guarantees and simulation results for steepest descent (SD) and conjugate gradient (CG) iterative optimization methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' By locally approximating the columns in this way, the workers can linearly encode the blocks of � A−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The clients have a block of data {Aι}k ι=1, which constitute the data matrix A = � A1 · · · Ak � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' To simplify our presentation, we assume that each local data block is of the same size;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Aι ∈ RN×T for T = N/k, and that client i has ni servers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Therefore, the total number of servers is n = �k j=1 nj.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We assume the blocks are of the same size, so that the encodings carried out by the clients are consistent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In V, we show that this assumption is not necessary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Moreover, for the CCM, it is not required that the number of blocks equal the number of clients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For a given natural number γ, assume that γ divides T;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' denoted γ | T (each local data block Aι is further divided into γ sub-blocks).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In the case where k ∤ N or γ ∤ T, we can pad the blocks of � A−1 so that these assumptions are met.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' A limitation of our proposed CMIM, is the fact that each server needs to have full knowledge of A, in order to estimate columns of A−1 through a least squares solver.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The sensitivity of Gaussian elimination and matrix inversion also requires that all clients have knowledge of each others’ data [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This limitation is shared by other coded federated learning methods, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' CodedPaddedFL [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In contrast to CC and GC;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' where a master server has access to all the data, in FL the data is inherently distributed across devices, thus GC cannot be applied directly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We also assume that the coordinator does not intercept the communication between the clients, otherwise she could recover the local data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Also, we trust that the coordinator will not invert � A−1, to approximate A — this would be computationally difficult, for N large.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Before broadcasting the data amongst themselves, the clients encode their block Ai, which guarantees security from outside eavesdroppers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' When the clients receive the encoded data, they can decrypt and recover A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Then, their servers act as the workers of the proposed CMIM and carry out their assigned computations, and directly communicate their computations back to the coordinator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Once the recovery threshold (the minimum number of responses needed to recover the computation) is met, the approximation � A−1 is recoverable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Coded Federated Learning There are few works that leverage CC to devise secure FL schemes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Most of these works have focused on distributed regression and iterative methods, which is the primary application for FL [9]–[13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Below, we describe and compare these approaches to our work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The authors of [9] proposed coded federated learning, in which they utilize a CMM scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Their security relies on the use of random linear codes, to define the parity data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Computations are carried out locally on the systematic data, and only the parity data is sent to the coordinator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The main drawback compared to our scheme is that each worker has to generate a random encoding matrix and apply a matrix multiplication for the encodings, while we use the same BRS generator matrix across the network, based on GC, to linearly encode the local computations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The drawback in our case, is that the workers need to securely share their data with each other.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This is an artifact of the operation (inversion) we are approximating, and is inevitable in the general case where A has no structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Under the FL setting we are considering, where the data is gathered or generated locally and is not i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=', we cannot make any assumptions on the structure of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In [11], two methods were proposed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' CodedPaddedFL combines one-time-padding with GC to carry out the FL task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Some of its disadvantages are that a one-time-pad (OTP) needs to be generated by each worker, and that the OTPs are shared with the coordinator, which means that if she gets hold of the encrypted data, she can decrypt it, compromising security.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Furthermore, there is a heavy communication load and the coordinator needs to store all the pads in order to recover the computed gradients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In 3 the proposed CMIM, the coordinator generates a set of interpolation points, and shares them with the clients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' If the coordinator can intercept the communication between the workers, she can decrypt the encrypted data blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The second method proposed in [11], CodedSecAgg, relies on Shamir’s secret sharing (SSS);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' which is based on polynomial interpolation over finite fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In contrast, our CMIM relies on GC and Lagrange interpolation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Lastly, we discuss the method proposed in [13], which is based on the McEliece cryptosystem, and moderate-density parity- check codes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This scheme considers a communication delay model which defines stragglers as the workers who respond slower than the fastest worker, and time out after a predetermined amount of time ∆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' As the iterative SD process carries on, such workers are continuously disregarded.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Due to this, there is a data sharing step at each iteration, at which the new stragglers communicate encrypted versions of their data to the active workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Our scheme is non-iterative, and has a fixed recovery threshold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Unlike some of the works previously mentioned, which guarantee information-theoretic security, the McEliece based systems and our approach have computational privacy guarantees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Lagrange Interpolation Coded Computing Methods While there is extensive literature on matrix-vector and matrix-matrix multiplication, and computing the gradient in the presence of stragglers, there is limited work on computing or approximating the inverse of a matrix [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The non-linearity of matrix inversion prohibits linear or polynomial encoding of the data before the computations are to be performed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Consequently, most CCMs cannot be directly utilized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' GC is the appropriate CC set up to consider [20], precisely because the encoding takes place once the computation has been completed, in contrast to most CMM methods where the encoding is done by the master, before the data is distributed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Here, we give a brief overview of the GC on which our CMIM is based.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We also review “Lagrange Coded Computing” (LCC), which has relations to our approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Then, we give a summary of our proposed CMIM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' All these rely on Lagrange interpolation over finite fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Gradient codes are a class of codes designed to mitigate the effect of stragglers in data centers, by recovering the gradient of differentiable and additively separable objective functions in distributed first order methods [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The proposed CMIM utilizes BRS generator matrices constructed for GC [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The main difference from our work is that in GC the objective is to construct an encoding matrix G and decoding vectors aI ∈ Ck, such that a⊤ I G = ⃗1 for any set of non-straggling workers indexed by I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' To do so, the decomposition of the BRS generator matrices GI = HIP is exploited, where HI is a Vandermonde matrix;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' and the first row of P is equal to ⃗1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Subsequently a⊤ I is extracted as the first row of H−1 I .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In the proposed CMIM framework, the objective is to design an encoding-decoding pair ( ˜G, ˜DI) for which ˜DI ˜G = IN, for all I ⊊ Nn of size k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The essential reason for requiring this condition, as opposed to that of GC, is that the empirical gradient of a given dataset is the sum of each individual gradients, while in our scenario if the columns of � A−1 are summed;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' they cannot then be recovered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The state-of-the art CC framework is LCC, which is used to compute arbitrary multivariate polynomials of a given dataset [5], [21].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This approach is based on Lagrange interpolation, and it achieves the optimal trade-off between resiliency, security, and privacy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The problem we are considering is not a multivariate polynomial in terms of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' To securely communicate A to the workers, we encode it through Lagrange interpolation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Though similar ideas appear in LCC, the purpose and application of the interpolation is different.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Furthermore, LCC is a point-based approach [22] and requires additional interpolation and linear combination steps after the decoding takes place.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Recall that the workers in the CMIM must compute blocks of � A−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Once they complete their computations, they encode them by computing a linear combination with coefficients determined by a sparsest-balanced MDS generator matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Referring to the advantages claimed for CMIM in Section I, working with MDS generator matrices allows us to meet points (i) and (ii), while BRS generator matrices also help us satisfy (iii).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Once the recovery threshold is met, the coordinator can recover the approximation � A−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The structure of sparsest-balanced generator matrices is also leveraged to optimally allocate tasks to the workers, while linear encoding is what allows minimal communication load from the workers to the master.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Security against eavesdroppers is guaranteed by encoding the local data through a modified Lagrange interpolation polynomial, before it is shared by the clients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This CMIM also extends to approximating A† [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' PRELIMINARY BACKGROUND The set of N ×N non-singular matrices is denoted by GLN(R).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Recall that A ∈ GLN(R) has a unique inverse A−1, such that AA−1 = A−1A = IN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The simplest way of computing A−1 is by performing Gaussian elimination on � A|IN � , which gives � IN ��A−1] in O(N 3) operations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In Algorithm 1, we approximate A−1 column-by-column.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We denote the ith row and column of A respectively by A(i) and A(i).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The condition number of A is κ2 = ∥A∥2∥A−1∥2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For I an index subset of the rows of a matrix M, the matrix consisting only of the rows indexed by I, is denoted by MI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In the proposed algorithm we approximate N instances of the least squares minimization problem θ⋆ ls = arg min θ∈RM � ∥Aθ − y∥2 2 � (1) 4 for A ∈ RN×M and y ∈ RN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In many applications N ≫ M, where the rows represent the feature vectors of a dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This has the closed-form solution θ⋆ ls = A†y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Computing A† to solve (1) is intractable for large M, as it requires computing the inverse of A⊤A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Instead, we use gradient methods to get approximate solutions, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' SD or CG, which require less operations, and can be done distributively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' One could use second-order methods;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Newton–Raphson, Gauss-Newton, Quasi-Newton, BFGS, or Krylov subspace methods instead.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This would be worthwhile future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' When considering a minimization problem with a convex differentiable objective function ψ: Θ → R over an open constrained set Θ ⊆ RM, as in (1), the SD procedure selects an initial θ[0] ∈ Θ, and then updates θ according to: θ[t+1] = θ[t] − ξt · ∇θψ(θ[t]) for t = 1, 2, 3, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' until a termination criterion is met, for ξt the step-size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The CG method is the most used and prominent iterative procedure for numerically solving systems of positive-definite equations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Our proposed coding scheme is defined over the finite field of q elements, Fq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We denote its cyclic multiplicative subgroup by F× q = Fq\\{0Fq}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For implementation purposes, we identify finite fields with their realization in C as a subgroup of the circle group, since we assume our data is over R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' All operations can therefore be carried out over C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Specifically, for β ∈ F× q a generator, we identify βj with e2πij/q, and 0Fq with 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The set of integers between 1 and ν is denoted by Nν.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' BALANCED REED-SOLOMON CODES A Reed-Solomon code RSq[n, k] over Fq for q > n > k, is the encoding of polynomials of degree at most k − 1, for k the message length and n the code length.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' It represents our message over the defining set of points A = {αi}n i=1 ⊂ Fq RSq[n, k] = �� f(α1), f(α2), · · · , f(αn) � ��� f(X) ∈ Fq[X] of degree ⩽ k − 1 � where αi = αi, for α a primitive root of Fq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Hence, each αi is distinct.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' A natural interpretation of RSq[n, k] is through its encoding map.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Each message (m0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=', mk−1) ∈ Fk q is interpreted as f(x) = �k−1 i=0 mixi ∈ Fq[x], and f is evaluated at each point of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' From this, RSq[n, k] can be defined through the generator matrix G = � � � � � 1 α1 α2 1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' αk−1 1 1 α2 α2 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' αk−1 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' 1 αn α2 n .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' αk−1 n � � � � � ∈ Fn×k q , thus, RS codes are linear codes over Fq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Furthermore, they attain the Singleton bound, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' d = n − k + 1, where d is the code’s distance, which implies that they are MDS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Balanced Reed-Solomon codes [15], [16] are a family of linear MDS error-correcting codes with generator matrices G ∈ Fn×k q that are: sparsest: each column has the least possible number of nonzero entries balanced: each row contains the same number of nonzero entries for the given code parameters k and n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The design of these generators are suitable for our purposes, as: 1) we have balanced loads across homogeneous workers, 2) sparse generator matrices reduce the computation tasks across the network, 3) the MDS property permits an efficient decoding step, 4) linear codes produce a compressed representation of the encoded blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Balanced Reed-Solomon Codes for CC In the proposed CMIM, we leverage BRS generator matrices to approximate A−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For simplicity, we will consider the case where d = s + 1 = nw k is a positive integer2, for n the number of workers and s the number of stragglers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Furthermore, d is the distance of the code and ∥G(j)∥0 = d for all j ∈ Nk;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' ∥G(i)∥0 = w for all i ∈ Nn, and d > w since n > k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For decoding purposes, we require that at least k = n − s workers respond.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Consequently, d = s + 1 implies that n − d = k − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For simplicity, we also assume d ⩾ n/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' In our setting, each column of G corresponds to a computation task of � A−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' which we will denote by ˆ Ai, and each row corresponds to a worker.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' 2The case where nw k ∈ Q+\\Z+ is analysed in [8], and also applies to our approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We restrict our discussion to the case where nw k ∈ Z+.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' 5 Our choice of such a generator matrix G ∈ Fn×k q , solves arg min G∈Fn×k q � nnzr(G) � s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' ∥G(i)∥0 = w, ∀i ∈ Nn ∥G(j)∥0 = d, ∀i ∈ Nk rank(GI) = k, ∀I : |I| = k (2) which determines an optimal task allocation among the workers of the proposed CMIM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Under the above assumptions, the entries of the generator matrix of a BRSq[n, k] code meet the following: each column is sparsest, with exactly d nonzero entries each row is balanced, with w = dk n nonzero entries where d equals to the number of workers who are tasked to compute each block, and w is the number of blocks that are computed by each worker.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Each column G(j) corresponds to a polynomial pj(x), whose entries are the evaluation of the polynomial we define in (3) at each of the points of the defining set A, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Gij = pj(αi) for (i, j) ∈ Nn × Nk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' To construct the polynomials {pj(x)}k j=1, for which deg(pj) ⩽ nnzr(G(j)) = n − d = k − 1, we first need to determine a sparsest and balanced mask matrix M ∈ {0, 1}n×k, which is ρ-sparse for ρ = d n;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' nnzr(G) = ρnk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We use the construction from [8], though it is fairly easy to construct more general such matrices, by using the Gale-Ryser Theorem [23], [24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Furthermore, deterministic constructions resemble generator matrices of cyclic codes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For our purposes we use B as our defining set of points, where each point corresponds to the worker with the same index.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The objective now is to devise the polynomials pj(x), for which pj(βi) = 0 if and only if Mij = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Therefore: (I) Mij = 0 =⇒ (x − βi) | pj(x) (II) Mij ̸= 0 =⇒ pj(βi) ∈ F× q for all pairs (i, j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The construction of BRS[n, k]q from [15] is based on what the authors called scaled polynomials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Below, we summarize the polynomial construction based on Lagrange interpolation [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' We then prove a simple but important result that allows us to efficiently perform the decoding step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The univariate polynomials corresponding to each column G(j), are defined as: pj(x) := � i:Mij=0 � x − βi βj − βi � = k � ι=1 pj,ι · xι−1 ∈ Fq[x] (3) which satisfy (I) and (II).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' By the BCH bound [25, Chapter 9], it follows that deg(pj) ⩾ n − d = k − 1 for all j ∈ Nk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Since each pj(x) is the product of n − d monomials, we conclude that the bound on the degree is satisfied and met with equality, hence pj,ι ∈ F× q for all coefficients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' By construction, both G and GI are decomposable into a Vandermonde matrix H ∈ Bn×k and a matrix comprised of the polynomial coefficients H ∈ (F× q )k×k [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Specifically, G = HP where Hij = βj−1 i = βi(j−1) and Pij = pj,i are the coefficients from (3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' This can be interpreted as P(j) defining the polynomial pj(x), and H(i) is comprised of the first k positive powers of βi in ascending order, therefore pj(βi) = k � ι=1 pj,ι · βι−1 i = ⟨H(i), P(j)⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The following lemmas will help us respectively establish in our CC setting the efficiency of our decoding step and the optimality of the allocated tasks to the workers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' For Lemma 1, recall that efficient matrix multiplication algorithms have complexity O(N ω), for ω < 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='373 the matrix multiplication exponent [26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Lemma 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The restriction GI ∈ Fk×k q of G to any of its k rows indexed by I ⊊ Nn, is an invertible matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Moreover, its inverse can be computed online in O(k2 + kω) operations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The matrices H and P are of size n × k and k × k respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' The restricted matrix GI is then equal to HIP, where HI ∈ Fk×k q is a square Vandermonde matrix, which is invertible in O(k2) time [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' Specifically HI = � � � � � 1 βI1 β2 I1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' βk−1 I1 1 βI2 β2 I2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' βk−1 I2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' 1 βIk β2 Ik .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' βk−1 Ik � � � � � ∈ Fk×k q .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE1T4oBgHgl3EQf7wX0/content/2301.03539v1.pdf'} +page_content=' 6 It follows that det(HI) = � {i1.0 +Table 2. Metrics test set results for all BNNs architectures. High UCE values indicate miscalibration. MSE +and ELBO are computed only over the cosmological parameters. +calibration error (UCE) in order to quantify the miscalibration +UCE := +K +� +k=1 +|Bk| +m +��var(Bk) − uncert(Bk) +��, +(16) +with number of inputs m and set of indices Bk of inputs, for which the uncertainty falls into the bin k. A +more general approach proposed in (16) consists in computing the expected coverage probabilities defined +as the x% of samples for which the true value of the parameters falls in the x%-confidence region defined +by the joint posterior. Clearly, this option is more precise since it captures higher-order statistics through +the full posterior distribution. However, for simplicity, we will follow the UCE approach. +5 +ANALYSIS AND RESULTS OF PARAMETER INFERENCE WITH BNNS +In this section we discuss the results obtained by comparing three different versions of BNNs, the one +with MNFs, the standard BNN, and the third one using Flipout as estimator. The results reported in this +section were computed on the Test dataset. Table 2. shows the metrics obtained for each BNN approach. +As mentioned, MSE, ELBO and r2 provide well estimates for determining the precision of the model, +while UCE measures the miscalibration. Here, we can observe that VBNNs outperform all experiments, +not only taking into account the average error, but also the precision for each cosmological parameter along +with a good calibration in its uncertainty predictions. Followed by VBBNs, we have the FlipoutBNNs, +however, although this approach yields good cosmological parameter estimation, it understimates their +uncertainties. Therefore, VBNNs avoids indeed the application of an extra post training step in the Machine +Learning pipeline related to calibration. Notice that in all experiments, h becomes hardly predicted for all +model. Figure 2 displays the predicted against true values for Ωm, ωm (instead of h), σ8 and the degeneracy +direction defined as σ8Ω0.25 +m . Error bars report the epistemic plus aleatoric uncertainties predicted by BNNs, +which illustrates the advantages of these probabilistic models where the certainty prediction of the model is +captured instead of traditional DNNs where only point estimates are present. This uncertainty was taken +from the diagonal part of the covariance matrix. +5.1 +Calibration metrics +In figure 3, we analyze the quality of our uncertainty measurement using calibration diagrams. We show +the predicted uncertainty vs observed uncertainty from our model on the Test dataset. Better performing +uncertainty estimates should correlate more accurately with the dashed lines. We can see that estimating +uncertainty from VBNNs reflect better the real uncertainty. Furthermore, the scale for VBNNs is two +orders of magnitude lower than FlipoutBNN, which also implies how reliable is this models according +to their predictions. Notice that the even if we partitioned the variance into K = 10 bins with equal +width, FlipoutBNNs and sBNNs yield underestimate uncertainties (many examples concentrates in lower +bin values), for this reason we see that while VBNNs supply all ten samples in the calibration plots, for +9 + +Hort´ua et al. +Parameter estimation via BNNs +Figure 2. Plots of True vs Predicted values provided by the best experiment VBNNs, for Ωm, σ8, and +some derivative parameters. Points are the mean of the predicted distributions, and error bars stand for the +heteroscedastic uncertainty associated to epistemic plus aleatoric uncertainty at 1σ. +the others we have just 3-4 of them. Next, we employed the σ-scaling methodology for calibrating the +FlipoutBNNs predictions (31). For doing so, we optimize uniquely the loss function described in Eq. 12 +where all parameters related to the BNNs where frozen, i.e., the only trainable parameter was s. After +training, we got s ∼ 0.723, reducing UCE only up to 10%, and the number of samples in the calibration +diagrams enlarged to 4-5. This minor performance enhancement means that σ-scaling is not suitable to +calibrate all BNNs, and alternative re-calibration techniques must be taken into account in order to build +reliable intervals. At this point, we have noticed the advantages of working with methods that leading with +networks already well-calibrated after the training step (17). +5.2 +Joint analysis for Cosmological parameters +In order to show the parameter intervals and contours from the N-body simulations, we choose randomly +an example from the test set with true values shown in table 3. The two-dimensional posterior distribution +of the cosmological parameters are shown in figure 4 and the parameter 95% intervals are reported in +table 3. We can observe that VBNNs provides considerably tighter and well constraints on all parameters +10 + +0.6 +perfectmatch +1.1 +perfectmatch +0.5 +1.0 +8 +0.9 +Predicted +Predicted +0.3 +0.8 +0.2 +0.7 +0.1 +0.6 +0.2 +0.3 +0.4 +0.7 +0.8 +0.9 +True08 +perfect match +perfect match +0.40 +0.8 +0.35 +0.7 +ywu +0.30 +0.25 +Predicted +0.6 +0.20 +0.5 +0.15 +0.10 +0.4 +0.05 +0.4 +0.5 +0.6 +0.7 +0.8 +0.1 +0.2 +0.3 +True Ωmh?Hort´ua et al. +Parameter estimation via BNNs +Figure 3. Calibration diagrams for the best experiments, VBNNs and FlipoutBNNs. The lower is the +UCE value, the higher is the calibration of the model. Dashes lines stand for the perfect calibration, so, the +discrepancy to this identity curve reveals miscalibration. +with respect to the sBNNs (18). Most important, this technique offers also the correlation among parameters +and the measurement about how reliable the model in their predictions. +6 +CONCLUSIONS +N-body simulations offer one of the most powerful ways to understand the initial conditions of the +Universe and improve our knowledge on fundamental physics. In this paper we used QUIJOTE dataset, in +order to show how convolutional DNNs capture non-Gaussian patters without requiring a specifying the +summary statistic (such as PS). Additionally, we have show how we can build probabilistic DNNs to obtain +uncertainties which account for the reliability in their predictions. One of the main goals of this paper was +11 + +CalibrationforQm withVBNN +Calibrationforo:withVBNN +1e-3 +1e-3 +UCE=0.0008 +UCE=0.0008 +4 +2 +m +2 +1 +0 +0.5 +1.0 +1.5 +2.0 +2.5 +3.0 +3.5 +0.2 +0.4 +0.6 +0.8 +1.0 +1.2 +Expecteduncertainty +1e-3 +Expecteduncertainty +1e-3 +le-2 Calibration for h with VBNN +Calibration for Qm with FlipoutBNNs +0.3 +rtainty +2.5 +UCE=0.0105 +Observed uncertainty +UCE=0.1095 +2.0 +uncer +0.2 +1.5 +Observed +0.1 +1.0 +0.5 +0.0 +0.6 +0.7 +0.8 +0.9 +1.0 +1.1 +0.00 +0.05 +0.10 +0.15 +0.20 +0.25 +0.30 +Expected uncertainty +1e-2 +Expecteduncertainty +CalibrationforO: withFlipoutBNNs +CalibrationforhwithFlipoutBNNs +Observed uncertainty +20 +UCE=8.099 +UCE=0.2595 +15 +4 +3 +10 +2 +5 +1 +0 +5 +10 +15 +20 +0 +1 +2 +3 +4 +5 +Expected uncertainty +ExpecteduncertaintyHort´ua et al. +Parameter estimation via BNNs +Figure 4. 68% and 95% parameter constraint contours from one example of Quijote test dataset using +VBNNs and FlipoutBNNs. The diagonal plots are the marginalized parameter constraints, the dashed lines +stand for the the true values. This plot was made using Getdist (42). +also reporting how improves these BNNs when we integrate them with techniques such as a Multiplicative +normalizing flows to enhance the variational posterior complexity. We found that VBNNs not only provides +considerably tighter and well constraints on all cosmological parameters as we observed in figure 4, but +also yields with well-calibrated estimate uncertainties as it was shown in figure 3. Nevertheless, some +limitations in this research includes simple prior assumptions (mean-field approximations), lower resolution +in the simulations, and absence of additional calibration techniques. These restrictions will be analysed in +detail in a future paper. +12 + +0.6 +D +0.5 +m +0.4 +0.3 +0.8 +0o 0.7 +b +0.6 +1.0 +60.8 +0.6 +0.65 +.25 +0.60 +0.55 +0.50 +0.6 +2 +0.4 +0.2 +0.3 +0.4 +0.5 +0.6 +0.6 +0.7 +0.8 +0.6 +0.8 +1.0 +0.50 0.55 0.60 0.65 +0.2 +0.4 +0.6 +Qm +h +0:Q0.25 +Qmh2 +m +VBNNs +FlipoutBNNsHort´ua et al. +Parameter estimation via BNNs +Parameter +95% limits VBNNs +95% limits FlipoutBNNs +True Value +Ωm +0.47+0.10 +−0.10 +0.45+0.11 +−0.11 +0.495 +σ8 +0.697+0.038 +−0.038 +0.699+0.059 +−0.060 +0.699 +h +0.81+0.17 +−0.17 +0.78+0.20 +−0.19 +0.800 +σ8Ω0.25 +m +0.577+0.051 +−0.052 +0.573+0.063 +−0.064 +0.587 +Ωmh2 +0.31+0.19 +−0.18 +0.573+0.063 +−0.064 +0.317 +Table 3. Parameter 95% intervals taken from the parameter constraint contours (figure 4) from one example +of Quijote test dataset using VBNN and FlipoutBNN. +ACKNOWLEDGMENTS +This paper is based upon work supported by the Google Cloud Research Credits program with the award +GCP19980904. +Leonardo Casta˜neda was supported by patrimonio aut´onomo fondo Nacional de financiamiento para +la ciencia y la tecnolog´ıa y la innovacion Francisco Jos´e de Caldas (Minciencias Colombia) grant No +110685269447 RC-80740-465-2020 projects 69723. H. J. Hort´ua acknowledges the support from cr´editos +educaci´on de doctorados nacionales y en el exterior- colciencias, and the grant provided by the Google +Cloud Research Credits program. +REFERENCES +1 .Stefano B, Kravtsov A. Cosmological simulations of galaxy clusters. Advanced Science Letters 4 +(2011) 204–227. doi:10.1166/asl.2011.1209. +2 .Dodelson S. 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GetDist: a Python package for analysing Monte Carlo samples (2019). +15 + diff --git a/9NE2T4oBgHgl3EQflwcz/content/tmp_files/load_file.txt b/9NE2T4oBgHgl3EQflwcz/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..ec7392dc63f6d96300b4fc4b4163fa19e3147c0c --- /dev/null +++ b/9NE2T4oBgHgl3EQflwcz/content/tmp_files/load_file.txt @@ -0,0 +1,880 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf,len=879 +page_content='Constraining cosmological parameters from N-body simulations with Variational Bayesian Neural Networks H´ector J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Hort´ua 1,2,∗, Luz ´Angela Garc´ıa 3 and Leonardo Casta˜neda C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4 1 Grupo Signos, Departamento de Matem´aticas, Universidad el Bosque, Bogot´a, Colombia.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2 Maestr´ıa en Ciencia de Datos, Universidad Escuela Colombiana de Ingenier´ıa Julio Garavito Bogot´a, Colombia.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 3 Universidad ECCI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Cra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 19 No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 49-20, Bogot´a, Colombia, C´odigo Postal 111311.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4Observatorio Astron´omico Nacional, Universidad Nacional de Colombia, Bogot´a, Colombia.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Correspondence*: hjhortuao@unal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='co ABSTRACT Methods based on Deep Learning have recently applied on astrophysical parameter recovery thanks to their ability to capture information from complex data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' One of these methods are the approximate Bayesian Neural Networks (BNNs) which have demonstrated to yield consistent posterior distribution into the parameter space, helpful for uncertainty quantification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' However, as any modern neural networks, they tend to produce overly confident uncertainty estimates, and can introduce bias when BNNs are applied to data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In this work, we implement multiplicative normalizing flows (MNFs), a family of approximate posteriors for the parameters of BNNs with the purpose of enhancing the flexibility of the variational posterior distribution, to extract Ωm, h, and σ8 from the QUIJOTE simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We have compared this method with respect to the standard BNNs, and the flipout estimator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We found that MNFs combined with BNNs outperform the other models obtaining predictive performance with almost one order of magnitude larger that standard BNNs, σ8 extracted with high accuracy (r2 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='99), and precise uncertainty estimates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The latter implies that MNFs provide more realistic predictive distribution closer to the true posterior mitigating the bias introduced by the variational approximation, and allowing to work with well calibrated networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Keywords: cosmology, N-body simulations, parameter estimation, artificial intelligence, deep neural networks 1 INTRODUCTION Cosmological simulations offer one of the most powerful ways to understand the initial conditions of the Universe and improve our knowledge on fundamental physics (1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' They open also the possibility to fully explore the growth of structure in both the linear and non-linear regime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Currently, the concordance cosmological model, Λ-CDM, gives an accurate description of most of the observations from early to late stages of the Universe using a set of few parameters (2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Recent observations from Cosmic Microwave Background (CMB) have provided such accurate estimation for the cosmological parameters, and prompted a tension with respect to local scales measurement, along with a well-known degeneracy on the total non-relativistic matter density parameters (3, 4, 5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Conventionally, the way to capture information from 1 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='03991v1 [astro-ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='IM] 9 Jan 2023 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs astronomical observations is to compare summary statistics from data against theory predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' However, two major difficulties arise: First, it is not well understood what kind of estimator, or at which degree of approximation of order statistic should be better to extract the maximum information from observations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In fact, the most common choice is the power spectrum(PS) which has shown to be a powerful tool for making inference (2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' However, It is well known that PS is not able to fully characterize the statistical properties of non-Gaussian density fields, yielding that it would not be suitable for upcoming Large Scale Structure (LSS) or 21-cm signals which are highly non-Gaussian (6, 7, 8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Then, PS will miss relevant information if only this statistic is used for parameter recovery (9).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Second, Cosmologists will require to store and process a large number of data, which can be very expensive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Clearly, sophisticated computational tools along with new perspectives on data collection, storage, and analysis must be developed in order to interpret these observations (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In recent years, artificial intelligence (AI), and Deep Neural Networks (DNNs) have emerged as promising tools to tackle the aforementioned difficulties in the cosmological context due to its capability for learning relationships between variables in complex data, outperform traditional estimators, and handle the demanding computational needs in Astrophysics and Cosmology (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' These standard DNNs have been used on a variety of tasks because of their potential for solving inverse problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' However, they are prone to overfitting due to the excessive number of parameters to be adjusted, and the lack of explanations of their predictions for given instances (11).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The latter is crucial for cosmological analysis where assessing robustness and reliability of the model predictions are imperative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This problem can be addressed by endowing DNNs with probabilistic properties that permit quantifying posterior distributions on their outcomes, and provide them with predictive uncertainties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' One of these approaches is the use of Bayesian Neural Networks (BNNs) comprised of probabilistic layers that capture uncertainty over the network parameters (weights), and trained using Bayesian inference (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Several works have utilized BNNs in cosmological scenarios where the combination of DNNs (through Convolutional Neural Networks, CNNs) and probabilistic properties, allow to build models adapted to non-Gaussian data without requiring a priori choice summary statistic (9, 13, 14, 15), along with quantifying predictive uncertainties (16, 17, 18, 19, 20, 21).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Indeed, BNNs permit to infer posterior distributions instead of point estimates for the weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' These distributions capture the parameter uncertainty, and by subsequently integrating over them, we acquire uncertainties related to the network outputs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Nevertheless, obtaining the posterior distributions is an intractable task, and approximate techniques such as a Variational Inference(VI) must be used in order to put them into practice (22).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Despite the approximate posterior distribution over the weights employed in VI clearly providing fast computations for inference tasks, they can also introduce a degree of bias depending on how complex(or simple) the choice of the approximate distribution family is (23).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This issue yields overconfident uncertainty predictions and an unsatisfactory closeness measurement with respect to the true posterior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In (17, 18), the authors included normalizing flows on the top of BNNs to give the joint parameter distribution more flexibility.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' However, that approach is not implemented into the Bayesian framework, preserving the bias.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In this paper, we attempt to enhance the flexibility of the approximate posterior distribution over the weights of the network by employing multiplicative normalizing flows, resulting in accurate and precise uncertainty estimates provided by BNNs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We apply this approach to N-body simulations taken from QUIJOTE dataset (24) in order to show how BNNs can take not only advantage of non-Gaussian signals without requiring a specifying the summary statistic (such as PS) but also, increase the posterior complexity, as they yield much larger performance improvements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Section 2 offers a summary of the BNNs framework and a detailed description of Normalizing flow implementation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Section 3 describes the dataset and analysis tools used in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Numerical implementation and configuration for 2 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs BNNs are described in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Section 5 presents the results we obtained by training BNNs taking into account different approaches and we display the inference of cosmological parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' It also outlines the calibration diagrams to determine the accuracy of the uncertainty estimates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Finally, Section 6 draws the main conclusions of this work and possible further directions to the use of BNNs in Cosmology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2 VARIATIONAL BAYESIAN NEURAL NETWORKS Here we go into detail about Bayesian Neural Networks (BNNs), and their implementation to perform parameter inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We start with a brief introduction, before focusing on improving the variational approximation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We remind the reader to refer to (25, 26, 22) for further details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 Approximate BNNs The goal of BNNs is to infer the posterior distribution p(w|D) over the weights w of the network after observing the data D = (X, Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This posterior can be obtained from Bayes law: p(w|D) ∼ p(D|w)p(w), given a likelihood function p(D|w), and a prior on the weights p(w).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Once the posterior has been computed, the probability distribution on a new test example x∗ is given by p(y∗|x∗, D) = � w p(y∗|x∗, w)p(w|D)dw, (1) where p(y∗|x∗, w) is the predictive distribution for a given value of the weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' For neural networks, however, computing the exact posterior is intractable, so one must resort to approximate BNNs for inference (26).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' A popular method to approximate the posterior is variational inference(VI) (22).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Let q(w|θ) be a family of simple distributions parameterized by θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' So, the goal of VI is to select a distribution q(w|θ∗) such that θ∗ minimizes KL � q(w|θ) ��p(w|D) � , being KL[·∥·] the Kullback-Leibler divergence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This minimization is equivalent to maximizing the evidence lower bound (ELBO) (26) ELBO(θ) = Eq(w|θ) � log p(Y |X, w) � − KL � q(w|θ) ��p(w) � , (2) where Eq(w|θ)[log p(Y |X, w)] is the expected log-likelihood with respect to the variational posterior and KL[q(w|θ)||p(w)] is the divergence of the variational posterior from the prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We can observe from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2 that the KL divergence acts as a regularizer that encourages the variational posterior moves towards the modes of the prior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' A common choice for the variational posterior is a product of independent (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=', mean-field) Gaussian distributions, one distribution for each parameter w in the network (25) q(w|θ) = � ij N(w;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' µij, σ2 ij) (3) being i and j the indices of the neurons from the previous layer and the current layer respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Applying the reparametrization trick we arrive at wij = µij + σij ∗ ϵij, where ϵij is drawn from a standard normal distribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Furthermore, if the prior is also a product of independent Gaussians, the KL divergence between the prior and the variational posterior be computed analytically, which makes this approach computationally efficient.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 Flipout In case where sampling from q(w|θ) is not fully independently for different examples in a mini-batch, we well obtain gradient estimates with high variance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Flipout method provides an alternative to decorrelate the 3 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs gradients within a mini batch by implicitly sampling pseudo-independent weights for each example (27).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The method requires two assumptions about the properties of q(w|θ): symmetric with respect to zero, and the weights of the network are independent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Under these assumptions, the distribution is invariant to element wise multiplication by a random sign matrix ˆr, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=', ˆw = w◦ˆr, implies that w ∼ q(w) ≈ ˆw ∼ ˆq( ˆw).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Therefore, the marginal distribution over gradients computed for individual examples will be identical to the distribution computed using shared weights samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Hence, Flipout achieves much lower variance updates when averaging over a mini batch.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We validate this approach experimentally by comparing against Multiplicative normalizing flows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 Uncertainty in BNNs BNNs offer a groundwork to incorporate from the posterior distribution both, the uncertainty inherent to the data (aleatoric uncertainty), and the uncertainty in the model parameters due to a limited amount of training data (epistemic uncertainty) (28).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Following (16), assuming that the top of the BNNs consist of a mean vector µ ∈ RN and a covariance matrix Σ ∈ RN(N+1)/21, and for a given fixed input x∗, T forward passes of the network are computed, obtaining for each of their mean µt and covariance matrix Σt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Then, an estimator for approximate the predictive covariance can be written as � Cov(y∗, y∗|x∗) ≈ 1 T T � t=1 Σt � �� � Aleatoric + 1 T T � t=1 (µt − µ)(µt − µ)T � �� � Epistemic , (4) with µ = 1 T �T t=1 µt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Notice that in case Σ is diagonal, and σ2 = diag(Σ), the last equation reduces to the results obtained in (29, 30) � Var(y∗|x∗) ≈ 1 T T � t=1 σ2 t � �� � Aleatoric + 1 T T � t=1 (µt − ¯µ)2 � �� � Epistemic .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (5) In this scenario, BNNs can be used to learn the correlations between the the targets and produce estimates of their uncertainties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Unfortunately, the uncertainty computed from Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4, 5, tends to be miscalibrated, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=', the predicted uncertainty (taking into account both epistemic and aleatoric uncertainty) is underestimated and does not allow robust detection of uncertain predictions at inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Therefore, calibration diagrams along with methods to jointly calibrate aleatoric and epistemic uncertainties, must be employed before inferring predictions from BNNs (31).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We come back to this point in Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3 Multiplicative normalizing flows As mentioned previously, the most common family for the variational posterior used in BNNs is the mean-field Gaussian distributions defined in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This simple distribution is unable to capture the complexity of the true posterior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Therefore, we expect that increasing the complexity of the variational posterior, BNNs achieve significant performance gains since we are now able to sample from a complicate distribution that more closely resembles the true posterior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Certainly, transforming the variational posterior must be followed with fast computations and still being numerically tractable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We now describe in detail the Multiplicative Normalizing Flows (MNFs) method that provides flexible posterior distributions in an 1 Where the targets y ∈ RN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs efficient way by employing auxiliary random variables and normalizing flows proposed by (32).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' MNFs propose that the variational posterior can be expressed as an infinite mixture of distributions q(w|θ) = � q(w|z, θ)q(z|θ)dz (6) where θ is the learnable posterior parameter, and z ∼ q(z|θ) ≡ q(z)2 is a vector with the same dimension on the input layer, which plays the role of an auxiliary latent variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Moreover, allowing local reparametrizations, the variational posterior for fully connected layers become a modification of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 3 written as w ∼ q(w|z) = � ij N(w;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' ziµij, σ2 ij).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (7) Notice that by enhancing the complexity of q(z), we can increase the flexibility of the variational posterior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This can be done using Normalizing Flows since the dimensionality of z is much lower compared to the weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Starting from samples z0 ∼ q(z0) from fully factorized Gaussian Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 3, a rich distribution q(zK) can be obtained by applying a successively invertible K-transformations fK on z0 zK = NF(z0) = fK ◦ · · · ◦ f1(z0);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' log q(zK) = log q(z0) − K � k=1 log ����det ∂fk ∂zk−1 ���� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (8) Unfortunately, the KL divergence in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2 becomes generally intractable as the posterior q(w) is an infinite mixture as shown in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This is addressed also in (33) by evoking Bayes law q(zK)q(w|zK) = q(w)q(zK|w) and introducing an auxiliary distribution r(zK|w, φ) parameterized by φ, with the purpose of approximating the posterior distribution of the original variational parameters q(zK|w) to further lower bound the KL divergence term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Therefore,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' KL divergence term can be bounded as follows − KL � q(w) ��p(w) � = −Eq(w) � log �q(w) p(w) �� ≥ −Eq(w) � log �q(w) p(w) � + KL � q(zK|w) ��r(zK|w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' φ) �� = −Eq(w) � log �q(w) p(w) � + Eq(zK|w) � log � q(zK|w) r(zK|w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' φ) ��� = −Eq(w) � Eq(zK|w) � log �q(w) p(w) �� + Eq(zK|w) � log � q(zK|w) r(zK|w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' φ) ��� = −Eq(w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='zK) � log �q(w) p(w) � + log � q(zK|w) r(zK|w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' φ) �� = Eq(w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='zK) [− log (q(w)q(zK|w)) + log r(zK|w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' φ) + log p(w)] ⇒ − KL � q(w) ��p(w) � ≥ Eq(w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='zK) � − KL � q(w|zK) ��p(w) � + log q(zK) + log r(zK|w,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' φ) � ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (9) where we have taken into account that KL[P∥Q] ≥ 0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' and the equality is satisfied iff P = Q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In the last line, the first term can be analytically computed since it will be the KL divergence between two Gaussian distributions, while the second term is given by the Normalizing flow generated by fK as we observe in 2 The parameter θ will be omitted in this section for clarity of notation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 5 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Finally, the auxiliary posterior term is parameterized by inverse normalizing flows as follows (34) z0 = NF−1(zK) = g−1 1 · · · ◦ g−1 K (zK);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' log r(zK|w, φ) = log r(z0|w, φ) + K � k=1 log �����det ∂g−1 k ∂zk ����� , (10) where one can parameterize g−1 K as another normalizing flow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In the paper (32), the authors also propose a flexible parametrization of the auxiliary posterior as z0 ∼ r(zK|w, φ) = � i N(z0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' ˜µi(w, φ), ˜σ2 i (w, φ)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (11) We will use the parameterization of the mean ˜µ, and the variance ˜σ2 as in the original paper as well as the masked RealNVP (35) as choice of Normalizing flows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 3 N-BODY SIMULATIONS DATASET In this work, we leverage 2000 hypercubes simulation taken from The Quijote project (24).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' They have been run using the TreePM code Gadget-III (36), and their initial conditions were generated at z = 127 using 2LPT (37).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The set chosen for this work is made of standard simulations with different random seeds with the intention of emulating the cosmic variance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Each instance corresponds to a three- dimensional distribution of the density field with size 643.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The cosmological parameters vary according to Ωm ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5], Ωb ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='03, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='07], h ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='9], ns ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8, 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2], σ8 ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6, 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0], while neutrino mass (Mν = 0eV) and the equation of state parameter (w = −1) are kept fixed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The dataset was split into training(70%), validation (10%), and test (20%), while hypercubes were logarithmic transformed and the cosmological parameters normalized between 0 and 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In this paper we will build BNNs with the ability to predict three out of five aforementioned parameters, Ωm, σ8 and h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4 BNNS IMPLEMENTATION We will consider three different BNNs architectures based on the discussion presented in Section 2: standard BNNs (prior and variational posterior defined as a mean-field Normal distributions) [sBNNs];' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' BNNs with Flipout estimator [FlipoutBNNs];' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' and Multiplicative normalizing flows [VBNNs].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The experiments were implemented using the TensorFlow v:2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='9 and TensorFlow-probability v:0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='19 (38).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' All BNNs designed in this paper are comprised of three parts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' First, all experiments start with a 643-voxel input layer corresponding to the normalised 3D density field followed by the fully-convolutional ResNet-18 backbone as it is presented schematically in table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' All the Resblock are fully pre-activated and their representation can be seen in figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The repository Classification models 3D was used to build the backbone of BNNs (39).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Subsequently, the second part of BNNs represents the stochasticity of the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This is comprised of just one layer and it depends on the type of BNN used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' For sBNNs, we employ the dense variational layer which uses variational inference to fit an approximate posterior to the distribution over both the kernel matrix and the bias terms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Here, we use as posterior and prior(no-trainable) Normal distributions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Experiments with FlipoutBNNs for instance, are made via Flipout dense layer where the mean field normal distribution are also utilized to parameterize the distributions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' These two layers are already implemented in the package TF-probability (38).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' On the other hand, for VBNNs we have adapted the class DenseMNF implemented in the repositories TF-MNF, MNF-VBNN (32) to our model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Here, we use 50 layers for the masked RealNVP NF, and the maximum variance for layer weights is around the unity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Finally, the last 6 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs ResNet-18 backbone Layer Name Input Shape Output Shape Batch Norm (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 64,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 64,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3) 3D Convolutional (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 70,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='70,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='70,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) Batch Norm+ReLU (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='32,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) Max Pooling 3D (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 34,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='34,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='34,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) Batch Norm+ReLU (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) Resblock 1 � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 64) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 64) � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) Batch Norm+ReLU (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='64) Resblock 2 � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 16,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 64) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 128) � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='128) Batch Norm+ReLU (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='128 ) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='128) Resblock 3 � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 128) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 256) � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='256) Batch Norm+ReLU (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='256 ) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='256) Resblock 4 � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 256) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 512) � (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='512) Batch Norm+ReLU (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='512 ) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='512) Global Avg Pooling (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='512) (Nbatch,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 512) Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Configuration of the backbone BNNs used for all experiments presented in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' part of all BNNs account for the output of the network, which is dependent on the aleatoric uncertainty parameterization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We use a 3D multivariate Gaussian distribution with nine parameters to be learnt (three means µ for the cosmological parameters, and six elements for the covariance matrix Σ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The loss function to be optimized during training is given by the ELBO 2 where the second term is associated to the negative log-likelihood (NLL) − NLL ∼ 1 2 log |s · Σ| + 1 2(y − µ)⊤ (s · Σ)−1 (y − µ), (12) averaged over the mini-batch.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The scalar variable s is equal to one during the training process, and it becomes a trainable variable during post-training to recalibrate the probability density function (16, 31).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The algorithm used to minimize the objective function is the Adam optimizer with first and second moment exponential decay rates of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='9 and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='999, respectively (40).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The learning rate starts from 10−3 and it will be reduced by a factor of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 in case that any improvement has not been observed after 10 epochs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Furthermore, we have applied warm-up period for which the model turns on progressively the KL term in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This is achieved by introducing a β variable in the ELBO, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=', β · KL � q(w|θ) ��p(w) � , so, this parameter starts being equal to 0 and grows linearly to 1 during 10 epochs (41).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' BNNs were trained with 32 batches and early stopping callback for avoiding over-fitting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The infrastructure used was the Google Cloud Platform (GCP) using a nvidia-tesla-t4 of 16 GB GDDR6 in a N1 machine series shared-core.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 7 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Figure 1a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Illustration of the first skip connection in a residual block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Figure 1b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Illustration of the second skip connection in the residual block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Each Resblock includes both skip connection configurations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (A) The Resblock starts with this configuration applied to the input tensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (B) The output of the previous configuration is fed into this connection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 Metrics We compare all BNN results in terms of performance, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=', the precision of their predictions for the cosmological parameters quantified through Mean Square Error (MSE), ELBO, and plotting the true vs predicted values with its coefficient of determination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Also, it is important to quantify the quality of the uncertainty estimates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' One of the ways to diagnostic the quality of the uncertainty estimates is through reliability diagrams.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Following (31, 11), we can define perfect calibration of regression uncertainty as Eˆσ2 ���� E[(y − µ)2] �� ˆσ2 = α2� − α2��� ∀ � α2 ∈ R �� α2 ≥ 0 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (13) Hence, the predicted uncertainty ˆσ2 is partitioned into K bins with equal width, and the variance per bin is defined as var(Bk) := 1 ��Bk �� � i∈Bm 1 N N � n=1 (µi,n − yi)2, (14) with N stochastic forward passes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' On the other hand, the uncertainty per bin is defined as uncert(Bk) := 1 |Bk| � i∈Bk ˆσ2 i .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' (15) With these two quantities, we can generate reliability diagrams to assess the quality of the estimated uncertainty via plotting var(Bk) vs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' uncert(Bk).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In addition, we can compute the expected uncertainty 8 skip connection (identity) F() + Conv3D BN+ReLU Conv3D + (。' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=') add output F()skip connection (identity) F() + BN+ReLU Conv3D BN+ReLU Conv3D + (,) ppe output F()Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Metrics FlipoutBNNs VBNNs sBNNs Ωm σ8 h Ωmh2 σ8Ω0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 m Ωm σ8 h Ωmh2 σ8Ω0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 m Ωm σ8 h Ωmh2 σ8Ω0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 m MSE 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='063 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='057 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='190 ELBO 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='85 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='71 31.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='57 r2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='82 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='98 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='93 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='85 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='99 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='56 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='95 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='75 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='85 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='23 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='80 UCE 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='109 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='26 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0008 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0008 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='010 >1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Metrics test set results for all BNNs architectures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' High UCE values indicate miscalibration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' MSE and ELBO are computed only over the cosmological parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' calibration error (UCE) in order to quantify the miscalibration UCE := K � k=1 |Bk| m ��var(Bk) − uncert(Bk) ��, (16) with number of inputs m and set of indices Bk of inputs, for which the uncertainty falls into the bin k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' A more general approach proposed in (16) consists in computing the expected coverage probabilities defined as the x% of samples for which the true value of the parameters falls in the x%-confidence region defined by the joint posterior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Clearly, this option is more precise since it captures higher-order statistics through the full posterior distribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' However, for simplicity, we will follow the UCE approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 5 ANALYSIS AND RESULTS OF PARAMETER INFERENCE WITH BNNS In this section we discuss the results obtained by comparing three different versions of BNNs, the one with MNFs, the standard BNN, and the third one using Flipout as estimator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The results reported in this section were computed on the Test dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' shows the metrics obtained for each BNN approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' As mentioned, MSE, ELBO and r2 provide well estimates for determining the precision of the model, while UCE measures the miscalibration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Here, we can observe that VBNNs outperform all experiments, not only taking into account the average error, but also the precision for each cosmological parameter along with a good calibration in its uncertainty predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Followed by VBBNs, we have the FlipoutBNNs, however, although this approach yields good cosmological parameter estimation, it understimates their uncertainties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Therefore, VBNNs avoids indeed the application of an extra post training step in the Machine Learning pipeline related to calibration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Notice that in all experiments, h becomes hardly predicted for all model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Figure 2 displays the predicted against true values for Ωm, ωm (instead of h), σ8 and the degeneracy direction defined as σ8Ω0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 m .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Error bars report the epistemic plus aleatoric uncertainties predicted by BNNs, which illustrates the advantages of these probabilistic models where the certainty prediction of the model is captured instead of traditional DNNs where only point estimates are present.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This uncertainty was taken from the diagonal part of the covariance matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 Calibration metrics In figure 3, we analyze the quality of our uncertainty measurement using calibration diagrams.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We show the predicted uncertainty vs observed uncertainty from our model on the Test dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Better performing uncertainty estimates should correlate more accurately with the dashed lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We can see that estimating uncertainty from VBNNs reflect better the real uncertainty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Furthermore, the scale for VBNNs is two orders of magnitude lower than FlipoutBNN, which also implies how reliable is this models according to their predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Notice that the even if we partitioned the variance into K = 10 bins with equal width, FlipoutBNNs and sBNNs yield underestimate uncertainties (many examples concentrates in lower bin values), for this reason we see that while VBNNs supply all ten samples in the calibration plots, for 9 Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Plots of True vs Predicted values provided by the best experiment VBNNs, for Ωm, σ8, and some derivative parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Points are the mean of the predicted distributions, and error bars stand for the heteroscedastic uncertainty associated to epistemic plus aleatoric uncertainty at 1σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' the others we have just 3-4 of them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Next, we employed the σ-scaling methodology for calibrating the FlipoutBNNs predictions (31).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' For doing so, we optimize uniquely the loss function described in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 12 where all parameters related to the BNNs where frozen, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=', the only trainable parameter was s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' After training, we got s ∼ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='723, reducing UCE only up to 10%, and the number of samples in the calibration diagrams enlarged to 4-5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This minor performance enhancement means that σ-scaling is not suitable to calibrate all BNNs, and alternative re-calibration techniques must be taken into account in order to build reliable intervals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' At this point, we have noticed the advantages of working with methods that leading with networks already well-calibrated after the training step (17).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 Joint analysis for Cosmological parameters In order to show the parameter intervals and contours from the N-body simulations, we choose randomly an example from the test set with true values shown in table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The two-dimensional posterior distribution of the cosmological parameters are shown in figure 4 and the parameter 95% intervals are reported in table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We can observe that VBNNs provides considerably tighter and well constraints on all parameters 10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 perfectmatch 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 perfectmatch 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='9 Predicted Predicted 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='9 True08 perfect match perfect match 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='40 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='35 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='7 ywu 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='30 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 Predicted 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='20 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='15 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3 True Ωmh?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='Hort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Calibration diagrams for the best experiments, VBNNs and FlipoutBNNs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The lower is the UCE value, the higher is the calibration of the model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Dashes lines stand for the perfect calibration, so, the discrepancy to this identity curve reveals miscalibration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' with respect to the sBNNs (18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Most important, this technique offers also the correlation among parameters and the measurement about how reliable the model in their predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 6 CONCLUSIONS N-body simulations offer one of the most powerful ways to understand the initial conditions of the Universe and improve our knowledge on fundamental physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' In this paper we used QUIJOTE dataset, in order to show how convolutional DNNs capture non-Gaussian patters without requiring a specifying the summary statistic (such as PS).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Additionally, we have show how we can build probabilistic DNNs to obtain uncertainties which account for the reliability in their predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' One of the main goals of this paper was 11 CalibrationforQm withVBNN Calibrationforo:withVBNN 1e-3 1e-3 UCE=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0008 UCE=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0008 4 2 m 2 1 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 Expecteduncertainty 1e-3 Expecteduncertainty 1e-3 le-2 Calibration for h with VBNN Calibration for Qm with FlipoutBNNs 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3 rtainty 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 UCE=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0105 Observed uncertainty UCE=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1095 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 uncer 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 Observed 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='15 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='20 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='30 Expected uncertainty 1e-2 Expecteduncertainty CalibrationforO: withFlipoutBNNs CalibrationforhwithFlipoutBNNs Observed uncertainty 20 UCE=8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='099 UCE=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2595 15 4 3 10 2 5 1 0 5 10 15 20 0 1 2 3 4 5 Expected uncertainty ExpecteduncertaintyHort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 68% and 95% parameter constraint contours from one example of Quijote test dataset using VBNNs and FlipoutBNNs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' The diagonal plots are the marginalized parameter constraints, the dashed lines stand for the the true values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' This plot was made using Getdist (42).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' also reporting how improves these BNNs when we integrate them with techniques such as a Multiplicative normalizing flows to enhance the variational posterior complexity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' We found that VBNNs not only provides considerably tighter and well constraints on all cosmological parameters as we observed in figure 4, but also yields with well-calibrated estimate uncertainties as it was shown in figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Nevertheless, some limitations in this research includes simple prior assumptions (mean-field approximations), lower resolution in the simulations, and absence of additional calibration techniques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' These restrictions will be analysed in detail in a future paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 12 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 D 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='5 m 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='8 0o 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='7 b 0.' 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='6 Qm h 0:Q0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 Qmh2 m VBNNs FlipoutBNNsHort´ua et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter estimation via BNNs Parameter 95% limits VBNNs 95% limits FlipoutBNNs True Value Ωm 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='47+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='10 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='45+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='11 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='11 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='495 σ8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='697+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='038 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='038 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='78+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='20 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='19 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='800 σ8Ω0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='25 m 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='577+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='051 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='052 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='573+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='063 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='064 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='587 Ωmh2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='31+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='19 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='18 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='573+0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='063 −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='064 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='317 Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Parameter 95% intervals taken from the parameter constraint contours (figure 4) from one example of Quijote test dataset using VBNN and FlipoutBNN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' ACKNOWLEDGMENTS This paper is based upon work supported by the Google Cloud Research Credits program with the award GCP19980904.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Leonardo Casta˜neda was supported by patrimonio aut´onomo fondo Nacional de financiamiento para la ciencia y la tecnolog´ıa y la innovacion Francisco Jos´e de Caldas (Minciencias Colombia) grant No 110685269447 RC-80740-465-2020 projects 69723.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' J.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' does it matter?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Structural Safety 31 (2009) 105 – 112.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' doi:https://doi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='org/10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1016/j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='strusafe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' doi:10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1016/j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='compbiomed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 105089.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 40 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='Kingma DP, Ba J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Adam: A method for stochastic optimization (2014).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' doi:10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='48550/ARXIV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='1412.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 6980.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 41 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='Sønderby CK, Raiko T, Maaløe L, Sønderby SK, Winther O.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Ladder variational autoencoders.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' Proceedings of the 30th International Conference on Neural Information Processing Systems (Red Hook, NY, USA: Curran Associates Inc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=') (2016), NIPS’16, 3745–3753.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 42 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content='Lewis A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' GetDist: a Python package for analysing Monte Carlo samples (2019).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} +page_content=' 15' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/9NE2T4oBgHgl3EQflwcz/content/2301.03991v1.pdf'} diff --git a/AdE1T4oBgHgl3EQf9Aai/content/tmp_files/2301.03552v1.pdf.txt b/AdE1T4oBgHgl3EQf9Aai/content/tmp_files/2301.03552v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..894c5c245a9c31ea31ac86e19d516881f50c769e --- /dev/null +++ b/AdE1T4oBgHgl3EQf9Aai/content/tmp_files/2301.03552v1.pdf.txt @@ -0,0 +1,1395 @@ +Lieb lattices and pseudospin-1 dynamics under barrier- and +well-like electrostatic interactions +V. Jakubsk´y1 and K. Zelaya1 +1Nuclear Physics Institute, Czech Academy of Science, 250 68 ˇReˇz, Czech Republic +Abstract +This work considers the confining and scattering phenomena of electrons in a Lieb lattice +subjected to the influence of a rectangular electrostatic barrier. +In this setup, hopping +amplitudes between nearest neighbors in orthogonal directions are considered different, and +the next-nearest neighbor interaction describes spin-orbit coupling. This makes it possible to +confine electrons and generate bound states, the exact number of which is exactly determined +for null parallel momentum to the barrier. In such a case, it is proved that one even and one +odd bound state is always generated, and the number of bound states increases for non-null +and increasing values of the parallel momentum. That is, bound states carry current. In the +scattering regime, the exact values of energy are determined where the resonant tunneling +occurs. The existence of perfect tunneling energy in the form of super-Klein tunneling is +proved to exist regardless of the bang gap opening. Finally, it is shown that perfect reflection +appears when solutions are coupled to the intermediate flat-band solution. +1 +Introduction +The theoretical and experimental progress in the physics of graphene and other Dirac materials +has become a trending topic in material science and theoretical physics [1,2]. Many remarkable +properties of these materials follow from the fact that dynamics of low-energy quasi-particles is +described by equations known in relativistic quantum mechanics. It makes it possible to test +relativistic properties such as Klein tunneling [3,4], relativistic Landau levels, and the existence +of pseudoparticles violating the Lorentz invariance [5, 6] (type-II Dirac fermions). Graphene +mono- and multi-layer systems exhibit transport properties such as quantum Hall effect [7] +and anomalous quantum Hall effect in graphene [8], and Josephson effect in twisted cuprate +bilayers [9]. +Graphene has shown to be a helpful benchmark system to test the properties of relativistic +pseudospin-1/2 particles in low-energy systems. +Nevertheless, the family of Dirac materials +contains also other, equally interesting, members. +Their geometries can extend beyond the +honeycomb lattice. +For instance, there are Kagome [10], Dice or α − T3 [11, 12], and Lieb +lattices [13, 14], which lead to effective pseudospin-1 Dirac equations. It was recently showed +that the Kagome lattice can be obtained from a geometrical deformation of the Lieb lattice [15]. +For a recent survey of two-dimensional lattices and their physical properties and realization, +see [16]. +1 +arXiv:2301.03552v1 [cond-mat.mes-hall] 9 Jan 2023 + +Particularly, the Lieb lattice is a two-dimensional array with a periodicity of a square lattice. +The sites are located in the corners of each square and at the midpoints on its sides. To our +best knowledge, the Lieb lattice has not been found in nature. However, it has been prepared +artificially in diverse ways [17, 18]. It was realized in experiments with optical fibers [19–23]. +Furthermore, it was formed by ultracold atoms trapped in optical lattices [24] or by electrons +of Cu(111) atoms confined by an array of CO molecules [25]. It was also prepared in covalent- +organic frameworks [26]. +The tight-binding model can well describe the band structure of the Lieb lattice. It reveals +the existence of two bands with positive and negative energies and an additional so-called flat +band. The latter is associated with the states that have fixed (zero) energy independent of the +value of momentum. It is worth mentioning that the flat band solutions were prepared in the +optical experiments, see [22, 23]. Similarly to graphene, the dynamics of the low-energy quasi- +particles in the Lieb lattice is dictated by a relativistic Dirac-type equation. Nevertheless, these +quasi-particles have pseudospin-1 due to three atoms per unit cell. +In the current article, we investigate the scattering and confinement of the relativistic quasi- +particles by a rectangular electric potential in the Lieb lattice with a gapped band structure. +Gap-opening can be induced by on-site energy that differs on three sublattices or by the phase +acquired by the electron when jumping between the neighboring sites [24], see also [27]. In +the article, we adopt the second approach where a purely imaginary next nearest-neighbor +interaction, attributed to spin-orbital coupling [13], is taken into account. +Effects such as electron confinement and transmission are obtained with the aid of the proper +boundary conditions, which enforce the continuity on two out of the three pseudospin-1 compo- +nents. The third component can be discontinuous, which leads to a spatial discontinuity in the +probability density. Nevertheless, it does not compromise the associated continuity equation. +Electron dynamics for electrostatic interactions in graphene have been discussed in the litera- +ture, such as the transmission properties in square barriers [28,29] and electron confinement with +cylindrical quantum dots [30]. We thus focus on the related properties of the quasi-particle dy- +namics in the Lieb lattice. We further analyze the influence of the flat-band solution in electron +dynamics. As shown in the manuscript, solutions in this regime are described by degenerate +Bloch-wave solutions whose linear combinations can compose wavepackets of arbitrary form. +These are shown to be current-free solutions regardless of the nature of the wavepacket. As a +result, one obtains perfectly reflected waves when they couple to flat-band solutions. +The manuscript is structured as follows. In Sec. 2 we briefly introduce and discuss the main +properties of the Lieb lattice with nearest next-nearest neighbor interactions, from which the +effective low-energy Dirac equation is obtained. +In Sec. 3, we present the general solutions +and the transfer matrix associated with the rectangular electrostatic interaction. The latter +is then exploited in Sec. 4 and Sec. 5 to discuss in full detail the localization of electrons and +scattering dynamics, respectively. Finally, discussions and perspectives are provided in Sec. 7, +and complementary details about the proof of the number of bound states are given in App. A. +2 + +(a) +(b) +Figure 1: (a) Lieb lattice, composed by the atoms A (blue-filled circle), B (green square), and C +(red-filled square). The dashed arrows denote the direction of positive phase hopping parameter +between next-nearest neighbors B − C. (b) Composition of a unit cell of the Lieb lattice. The +unit displacement vectors ⃗δ1 = aˆx and ˆδ2 = aˆy connect the atom A with B and A with C, +respectively. The corresponding nearest hopping parameters are t1, t2, whereas the next-nearest +neighbor hopping parameter is +it3 and −it3 depending if it occurs in the direction denotes by +the arrows. +2 +Lieb lattice and pseudospin-1 Dirac equation +Let us consider an electronic Lieb lattice 1 so that the separation between two nearest atoms is +a, the length of each side of the square is ℓ = 2a. There are three sites in the elementary cell, see +Fig. 1a. The primitive translation vectors are ⃗r1 = 2aˆx and ⃗r2 = 2aˆy. It is customary to denote +the atoms at the corners of the square as A, whereas the atoms at the sides of the square are B +(horizontal) and C (vertical). The lattice vectors ⃗δ1 = aˆx = ⃗r1/2 and ⃗δ2 = aˆy = ⃗r2/2 connect an +atom on the site A to those on the sites B and C, respectively (see Fig. 1b). The atoms A, B and +C form the three sublattices RA = n1⃗r1 +n2⃗r2, RB = ˜RA +⃗δ1, and RC = ⃗RA +⃗δ2, respectively, +with n1, n2 ∈ Z. The reciprocal space is spanned by the translation vectors of the reciprocal +space ˆrk1 and ˆrk2, ˆrp · ˆrkq = 2πδp,q, p, q = 1, 2. This leads to ˆrk1 = π +a ˆx and ˆrk2 = π +a ˆy. The +first Brillouin zone, constructed from the Wigner-Seitz rule, restricts to the region composed by +kx ∈ [− π +2a, π +2a] and ky ∈ [− π +2a, π +2a]. +The band structure of the electrons on the Lieb lattice can be analyzed with the use of the +tight-binding model. There are considered the nearest neighbor (NN) interactions between the +sites A − B and A − C, represented by the hopping parameters t1 and t2, respectively. We take +into account also the next-nearest neighbor (NNN) transition B − C, which can be complex +valued, with the sign of phase dependent on the orientation of the hopping. This emerges due +to external time-dependent driven fields in photonic Lieb lattices [31], and magnon Lieb and +Kagome lattices [32]. +In particular, we consider a purely imaginary NNN hopping parameter e±iπ/2t3, where the +1The results here obtained apply to optical Lieb lattices as well. +3 + +C +A +BA +B(a) t3 = 0 +(b) t3 ̸= 0 +Figure 2: Dispersion bands w+(⃗k) (yellow-upper), w−(⃗k) (green-lower), and w0(⃗k) (blue-middle) +for the gapless (a) and gapped (b) configurations. +hopping phase is positive (+) is the hopping occurs counter-clock-wise, and negative (−) oth- +erwise. Such a hopping dynamics is depicted in Fig. 1a. This type of hopping was introduced +by Haldane in [8] as a model for quantum anomalous Hall effect in graphene without strong +external magnetic fields, which was latter found experimentally in [33]. See also [34] for a recent +review. +The spectral analysis of the tight-binding Hamiltonian reveals that there are three bands in +its spectrum [13], +w0(⃗k) = 0, +w±(⃗k) = ±2 +� +t2 +1 cos2(akx) + t2 +2 cos2(aky) + 4t2 +3 sin2(akx) sin2(aky). +(1) +The bands have linear dependence on the momentum in the four Dirac points that are +situated in the first Brillouin zone. Their explicit position depends on the relative strength of +t3. In this work, we focus on the most relevant situation where t3 < t1 +2 , t3 < t2 +2 . In that case, +the Dirac point is ⃗K = ( π +2a, π +2a), see Fig.2b for illustration. A similar analysis holds for higher +values of t3, where the Dirac points are displaced with respect to ⃗K. For a detailed discussion, +see [13]. +Let us calculate the approximate form of the tight-binding Hamiltonian in the vicinity of the +Dirac point ⃗K. We denote the effective operator as H(⃗k) ≡ H( ⃗K + ⃗k), where |⃗k| is considered +small enough so that we can keep terms up to first-order in ⃗k. The proper expansion of H(⃗k) +at the Dirac point ⃗K can be conveniently written as +H(⃗k) = 2at1kxS1 + 2at2kyS2 + 4t3S3. +(2) +The matrices +S1 = +� +� +0 +1 +0 +1 +0 +0 +0 +0 +0 +� +� , +S2 = +� +� +0 +0 +1 +0 +0 +0 +1 +0 +0 +� +� , +S3 = +� +� +0 +0 +0 +0 +0 +−i +0 +i +0 +� +� , +(3) +form the three-dimensional representation of su(2) algebra, [Sp, Sq] = iεpqrSr, with εpqr the +three-dimensional anti-symmetric tensor. Therefore, the quasi-particles described by the effec- +tive Hamiltonian (2) have pseudospin 1. +4 + +元 +0 +2a +a +2 +w(k) +0 +-2 +0 +元 +2a +ky +a元 +0 +2a +a +2 +w(k) +-2 +0 +元 +2a +ky +aIt is worth noting that, for t3 = 0, the resulting Dirac Hamiltonians in (2) becomes linear +combinations of the spin-1 matrices S1 and S2. In such a case, the matrix �S, +�S = +� +� +−1 +0 +0 +0 +1 +0 +0 +0 +1 +� +� , +(4) +satisfies {�S, Sj} = 0, with j = 1, 2, and represents the chiral symmetry of H as there holds +{�S, H|t3=0} = 0. The later relation implies that the eigenvalues E of H|t3=0 are symmetric +with respect to E = 0. When an eigenstate ΨE of H has energy E, then there is an eigenstate +Ψ−E = �SΨE with the energy of the opposite sign. +2.1 +External electrostatic interaction +Throughout this manuscript, we consider a piece-wise continuous external electric field dis- +tributed in the ˆx direction, while we discard any magnetic interaction. The corresponding effec- +tive Hamiltonian is obtained from (2) through the Peierls transformation [35,36], ⃗k → −iℏ⃗∇ and +iℏ∂t → iℏ∂t − U(⃗x)I, with I the 3 × 3 identity matrix. Since the Hamiltonian becomes invariant +on the ˆy direction, the eigenstates can be cast in the form Ψ(x, y) → e±ik2yΨ(x), where Ψ(x) +solve the following stationary equation: +H(x)Ψ(x) = (−iℏv1S1∂x + ℏv2kyS2 + mS3 + Ua I)Ψ(x) = EΨ(x), +(5) +with Ψ(x) = (ψA(x), ψB(x), ψC(x))T . +In (5), we have used v1 = 2at1, v2 = 2at2 and m = 4t3 to simplify the notation. This allows +us relating v1 and v2 to the Fermi velocities along the ˆx and ˆy directions, respectively, whereas +m plays the role of the mass term in the Dirac equation. Furthermore, we have considered +a constant electrostatic potential, which is valid for our purposes since we are dealing with +piece-wise continuous interactions. +From the previous considerations, we may decouple the eigensolution components ψA,B,C as +follows: +− ℏ2v2 +1ψ′′ +A + ℏ2v2 +2k2 +yψA = ((E − Ua)2 − m2)ψA, +(6) +ψB = −iℏv1(E − Ua)ψ′ +A + ℏmv2kyψA +(E − Ua)2 − m2 +, +ψC = ℏmv1ψ′ +A + ℏv2ky(E − Ua)ψA +(E − Ua)2 − m2 +, +(7) +where the hopping parameters tj, for j = 1, 2, 3. +The probability current associated with Ψ can be calculated in standard manner from the +continuity equation ∂tρ + ⃗∇ · j = 0. Here, ρ = Ψ†Ψ stands for the probability density, and the +probability current takes the form +j = (2v1 Re ψ∗ +AψB, 2v2 Re ψ∗ +AψC) . +(8) +Let us consider briefly the situation when the potential has a finite discontinuity at x = x0. +It is necessary to specify the behavior of the wave functions at this point. It can be done by +integrating (5) in the vicinity of x0. Alternatively, one can require the component of the density +5 + +current perpendicular to the barrier to be continuous. The second approach is more general and +covers the boundary conditions provided by the integration as the special case that read as +ψA(x− +0 ) = ψA(x+ +0 ), +ψB(x− +0 ) = ψB(x+ +0 ). +(9) +It is worth noting that only two of the three eigensolution components are required to be +continuous in x0, and the third component ψC can have a discontinuity at this point. +The +corresponding probability density is not necessarily continuous. This observation was made in +pseudospin-1 photonic lattices [37]. The boundary conditions obtained in (9) keep the current +of probability density in the ˆx direction continuous, which is the component perpendicular to +the discontinuity. As the component ΨC(x) can be discontinuous at x0, the tangent current and +the probability densities are not necessarily continuous. +3 +Rectangular electrostatic barrier +Let us consider an external electrostatic electric potential homogeneous along the ˆy direction +and piece-wise continuous across the ˆx direction, with +U(x) = +� +0 +|x| > L +2 +U0 +|x| ≤ L +2 +. +(10) +We consider, without loss of generality, U0 > 2m. Solutions of the stationary equation are split +into three regions, namely, the region I (x < L/2), region II (−L/2 ≤ x ≤ L/2), and region III +(x > L/2). The latter are written as +Ξka = eikyyeikax +� +� +� +1 +−iℏmv2ky+ℏv1ka(E−Ua) +(E−Ua)2−m2 +iℏmv1ka+ℏv2ky(E−Ua) +(E−Ua)2−m2 +� +� +� , +a = I, II, III, +(11) +where UI = UIII = 0, UII = U0, and consequently kI = kIII. +We consider ky is fixed as a +real quantity to obtain plane-wave solutions propagating parallel to the barrier. In turn, ka is +considered a complex parameter so that we can distinguish two different regimes (see discussion +below). +The solution (11) satisfies the eigenvalue equation (5) with the eigenvalue +E = Ua ± +� +m2 + ℏ2(v2 +1k2a + v2 +2k2y) = Ua ± +� +˜m2 + ℏ2v2 +1k2a, +(12) +where we have introduced the effective mass term +�m = +� +m2 + ℏ2v2 +2k2y. +(13) +From (11), we distinguish two behaviors, namely, plane-wave solutions for ka ∈ R and +evanescent-wave solutions for ka = −ipa, with pa ∈ R. +In both cases, the wave functions +are associated with real eigenvalues. They are classified as +ka ∈ R, +E(ka, ky) = Ua ± +� +�m + v2 +1ℏ2k2a, +E(pa, ky) ∈ (−∞, U0 − �m) ∪ (Ua + �m, ∞), +(14) +ka = −i pa, +E(pa, ky) = Ua ± +� +�m − v2 +1ℏ2p2a, +E(pa, ky) ∈ (Ua − �m, U0 + �m). +(15) +6 + +(a) +(b) |E| > m +(c) |E| < m +Figure 3: (a) Sketch of the energy surfaces spanned by the dispersion relations (14) (orange) +and (15) (blue), together with two energy planes located at arbitrary energies |E| > m and +|E| < m. Panel (b) and panel (c) depict the contour plot generated by the interception between +the dispersion relations and the energy planes |E| > m and |E| < m, respectively. In panel (b), +ξ = arctan(ky/kI) denotes the incidence angle of the plane wave and ky;c = +√ +E2 − m2/ℏv2 the +critical value of ky separating the evanescent-wave and plane-wave regimes. +These dispersion relations span paraboloid and hyperboloid surfaces for plane-wave and evanescent- +wave solutions, respectively. This behavior is depicted in Fig. 3a for UI = 0 (case a = I). +For |E| > m, the behavior of the solutions is classified according to the values of ky, with +ky;c = +√ +E2 − m2/ℏv2 being the critical value. That is, for |ky| < ky;c, the solutions are plane- +wave-like and the momenta kI and ky span an elliptic curve for a fixed energy. For |ky| > ky;c, +the solutions become evanescent waves and pI and ky span a hyperbolic curve for the same fixed +energy. This is sketched in Fig. 3b. For |E| < m, no plane-wave solutions exist for ky ∈ R, +and only evanescent-wave solutions are generated. Here, pI, ky span a rotated hyperbola with +respect to the case |E| > m, as depicted in Fig. 3c. +The partial solutions Ξka at the regions I, II, III have to be combined in order to comply +with the boundary conditions (9) at x0 = ±L and |x| → ∞. The wave function takes the general +form +Ξa(x, y) = αaΞ± +ka(x, y) + βaΞ± +−ka(x, y), +a = I, II, III . +(16) +The boundary conditions (9) impose the continuity of the two upper components of the wave +function, from which we find the set of relations between the coefficients αI, βI and αIII, βIII. +That is, +M +�αI +βI +� += +�αIII +βIII +� +, +M = +�m11 +m12 +m21 +m22 +� +, +(17) +with M being the transfer matrix, whose elements mij are functions of E, ky, m and U0. The +7 + +El>m +E(k,k2) +Ek 0, +(22) +one restricts the energies into the interval E ∈ (− �m, �m), as depicted in all the cases of Fig. 4. +The wave function composed from (16) has an exponentially vanishing behavior for |x| → ∞. +This implies that we fix αI = 0, βI = 1 and βIII = 0, and the relation (17) turns into +m12 = αIII, +m22 = 0. +(23) +The first relation determines the amplitude of the wave function in the region III, whereas +the second relation fixes the energies for the bound states. This can be written, after some +simplifications, in the following form: +tanh +�� +�m2 − (E − U0)2 +ℏv1 +L +� += −E(E − U0) +� +�m2 − (E − U0)2√ +�m2 − E2 +(E − U0)2( �m2 − E2) + �m2U0 +� +E − U0 +2 +� . +(24) +The wave function ΞII in the intermediate region II can be either oscillatory for (E − U0)2 > +˜m2 (we can set kII > 0 without loss of generality) or evanescent for (E − U0)2 < ˜m2 (kII = i pII, +pII > 0), see Fig. 4b and Fig. 4c, respectively. +The transcendental equation (24) allows us +determining the bound state energies as a function of ky for both cases. +Although the explicit solution E = E(ky) of (24) has to be found numerically, some pre- +liminary information can be extracted by considering large values ℏv2ky ≫ U0, m in the tran- +scendental equation (24). Here, �m ≈ ℏv2ky and the dispersion relation reduces to E2 ≈ E2 +∞ = +ℏ2(−v2 +1p2 +I + v2 +2k2 +y). Since pI should be a real quantity in order to remain in the evanescent-wave +regime in the regions I and III, we find that ℏv2|ky| ≥ E(ky) holds for asymptotic values of +ℏv2ky. The behavior of E(ky) is thus bounded for ℏv2ky → ∞ and can be classified into the +following in three asymptotic cases: +9 + +Uo+m +Uo+m +Uo +m +Uo-m +10%m/7/7 +0 +-m +1 +II +III +-mJo+m +Uo +Uo-m +m +E +0 +-m +II +IIIUo+m +Uo +Uo-m +Uo-m +m +m +E +0 +-m +-m +II +III(a) +(b) +Figure 5: (In units of ℏ=1) (a) Bound state energies E(ky), computed from (24), as a function +of the transverse momentum ky for v1 = v2 = L = 1, m = 0.5, and U0 = 1.5. The blue-solid and +red-dashed curves indicate bound state energies for arbitrary ky, whereas green-dot-dashed and +black-dotted curves are energies emerging from a specific ky ̸= 0. The shaded area marks the +scattering-state energy region. (b) Current parallel to the barrier Jy = ∂E(ky)/∂ky associated +with the dispersion relations in (a). +• First, a valid asymptotic behavior may be of the form E(ky → ∞) → C < ∞. Substituting +the latter into (24) leads to a unique solution of the form E(ky → ∞) → C = U0/2. +• Another possible asymptotic behavior is |E(ky)| = ℏv2|ky|, which vanishes both sides +of (24). That is, |E(ky)| = ℏv2|ky| is a valid asymptotic behavior. +• The last possible asymptotic behavior is |E(ky)| < ℏv2|ky|, which leads to a contradiction +once substituted into (24). That is, such an asymptotic behavior is do not generate bound +state solutions. +We thus conclude that the eigenvalues associated with bound states, if they exist, either +converge asymptotically to U0/2 or ℏv2|ky|. Since the current density on the direction parallel +to the barrier is Jy = ∂E(ky)/∂ky ≡ +� +R j(x, y)dx (see [41] or Appendix E in [42]), it converges +either to zero or ±ℏv2 for ky → ∞. +As an illustrative example, let us consider numerical values such that we have homogeneous +Fermi velocities v1 = v2 = 1, a mass term m = 0.5, together with a rectangular potential well +with L/ℏ = 1 and U0 = 1.5. Numerical solutions of (24) reveal the existence of two bound +states for ky = 02, and new bound states appear for increasing values of ky. This is depicted in +Fig. 5a, where one may see that energies indeed converge to either U0 +2 = 0.75 or become linear +in ℏv2ky for large enough ky. Likewise, we depict in Fig. 5b the corresponding current density +parallel to the barrier (Jy), which becomes finite or null for asymptotic ky, as predicted from +our former analysis. +• Further information is available for direct incidence, that is, ky = 0, �m = m. Here, the +effective Hamiltonian possesses the additional symmetry represented [H, Px �S] = 0, with Px is +the parity operator and �S defined in (4). This allows establishing a parity-symmetric criteria for +the wave function �Ξ with respect to Px �S, namely, we classify the solutions fulfilling the condition +Px �SΞ = ±Ξ as even (Ξ(e) for +) and odd (Ξ(e) for −). In this form, the coefficients of ΞII +2This result agrees with the analytic formula presented in (26). +10 + +2 +0 +-4 +-2 +2 +4 +k2(k2 +-8 +-4 +4 +8 +K(a) U0 = 1.5 +(b) +(c) +Figure 6: (In units of ℏ=1) (a) Number of even (dotted) and odd (blue-thick) bound states +as a function of L for v1 = 1, m = 0.5 and U0 = 1.5. (b) Eigensolution component ψC and +(E − U(x))ψC for L = v1 = 1 and U0 = 1.5 and the even bound state energy E ≈ 0.281398. +(c) Probability distribution associated with the eigenvalues E ≈ 0.281398 (blue-solid) and E ≈ +−0.32653 (red-dashing) and the same parameters as in (b). +in (16) are αII = ±βII for even (+) and odd (−) functions, so that after evaluating the boundary +condition at x = L one obtains relations to determine the energies of even and odd states as +tan +�kIIL +2 +� += F(E), +− cot +�kIIL +2 +� += F(E), +F(E) = +E +U0 − E +� +(E − U0)2 − m2 +m2 − E2 +, +(25) +respectively, with kII = +� +(E − U0)2 − m2/ℏv1. +Although the exact values of E cannot be analytically determined for arbitrary L, one can +still determine the exact number of even (N(e)) and odd (N(o)) bound states. The thorough +analysis (see App. A for a detailed proof) leads to +N(e) = +� +L +πℏv1 +� +U0 +2 +� +m + U0 +2 +� ++ 1 +2 +� +− +� +L +πℏv1 +� +U0 +2 +� +−m + U0 +2 +� ++ 1 +2 +� ++ 1, +N(o) = +� +L +πℏv1 +� +U0 +2 +� +m + U0 +2 +�� +− +� +L +πℏv1 +� +U0 +2 +� +−m + U0 +2 +�� ++ 1, +(26) +with ⌊·⌋ the floor function. +From the latter, it is clear that at least one even and one odd bound state always exist, +regardless of the potential width and strength. +Particularly, for small enough L → 0, one +obtains the E → 0 and odd E → −m as the even and odd bound state energies, respectively. +Since the floor function is discontinuous, the number of bound states does not necessarily +grow continuously for increasing values of L. That is, for L = L0 with N(e,o) bound states, there +might be a L = L1 > L0 such that (N(e,o) − 1) are generated. This is indeed depicted in Fig. 6a +for fixed potential depth and different potential length L. +As discussed in Sec. 2.1, the component ψC might not be continuous, which can lead to +discontinuous probability densities. Still, one may verify the validity of the bound state eigen- +values E obtained from (25) by substituting it into (E −U(x))ψC, which should be a continuous +function3. Particularly, from Fig. 6a, one notices that L = 1 and U0 = 1.5 lead to one even +3It follows from kyΨB + (U(x) − E)ΨC = 0, which the third of the coupled equations represented by (5). +11 + +4 +N(e) +N(o) +3 +2 +1 +5 +13 +17 +L0.4 +c +(E-U(x)Wc +0 +-0.4 +-2 +-1 +1 +2 +X0.4 +0.2 +0 +-2 +-1 +1 +2 +X(E(e) +0 +≈ 0.281398) and one odd (E(o) +0 +≈ −0.32653) bound state energy eigenvalue. The compo- +nent ψC and (E −U(x))ψC are depicted in Fig. 6b for E ≈ 0.281398, which verifies the required +continuity condition for the latter function. The same conclusion is drawn for E ≈ −0.32653. +Furthermore, the corresponding probability distributions associated with �Ψ +(e) and �Ψ +(o) are de- +picted in Fig. 6c in blue-solid and red-dashed, respectively, which are discontinuous. +5 +Scattering states and transmission amplitudes +Let us now focus on the scattering of the plane waves on the barrier and the related phenomena. +This is obtained when plane-wave-like solutions are present in the regions I and III, which +corresponds to the eigenvalues E ∈ (−∞, − �m)∪( �m, ∞). Without loss of generality, we consider +only outgoing waves in region III and outgoing together with incoming waves in region I. The +coefficients of the wave function (16) are then fixed in the following manner, +αI = 1, +βI = r, +αIII = t, +βIII = 0. +(27) +The complex constants t and r can be calculated from (17) as +t = +1 +m22 +, +r = −m21 +m22 +. +(28) +The coefficients r and t define the reflection and transmission coefficients R = |r|2 and T = |t|2 +that satisfy R + T = 1. The later expression can be directly verified by substituting from (28) +when taking into account that there holds m11 = m∗ +22 and m12 = m∗ +21. After some calculations, +one obtains, +r = sin(kIIL) +−2A(B − B′) + i +� +A′2 − A2 + (B − B′)2� +2AA′ cos(kIIL) − i sin(kIIL) ((B − B′)2 + A2 + A′2), +(29) +where +A +v1 += +EkI +E2 − m2 , +A′ +v1 += +(E − U0)kII +(E − U0)2 − m2 , +B +v2 += +mky +E2 − m2 , +B′ +v2 += +mky +(E − U0)2 − m2 , +(30) +and kI = +√ +E2− �m2 +ℏv1 +, kII = +√ +(E−U0)2− �m2 +ℏv1 +. This expression also holds in cases where solutions in +the region II are evanescent waves. +Eq. (29) is a handy expression to understand the transmission of incoming waves from the +region I and traveling to the region III. Particular interest is paid to cases in which perfect +tunneling exists, T = 1. Such a tunneling is obtained whenever r = 0, which ensures that t +is a unimodular complex number. In this case, the incident and transmitted waves share their +amplitude, but the later carries a relative phase shift t as a leftover of its interaction with the +barrier. For the sake of clarity, we split our discussion in two cases. +Normal incidence (ky = 0) +In this case, the reflection coefficient becomes simpler since B = B′ = 0, kI = +√ +E2 − m2/ℏv1, +and kII = +� +(E − U0)2 − m2/ℏv1. The numerator in r becomes proportional to m sin(kIIL). +12 + +Therefore, for the gapless lattice setup (m = 0), perfect tunneling occurs for any arbitrary ener- +gies in E ∈ (−∞, −m)∪(m, ∞). This effect was reported in graphene [3,4,43] and pseudospin-1 +lattices [11,44]. +For m ̸= 0, perfect tunneling does exist for specific energies so that kIIL = nπ, with n = 1, . . .. +The exact resonant energies are straightforward to compute and are presented in a much general +case below. However, it is worth to analyze the behavior of T = 1 − |r|2 when the barrier is +large enough, U0 ≫ m, E, for fixed and finite E. The straightforward calculations show that +T ≈ +1 +1 + +m4 +4E2(E2−m2) sin2 � +U0L +ℏv1 +�. +(31) +It reveals that despite the lack of the perfect tunneling, the transmission converges to a non-null +value as the electrostatic barrier increases indefinitely. This is known as Klein paradox [45], and +it is in sharp contrast with the non-relativistic case, where transmission becomes smaller for +larger barrier heights. +Oblique incidence (ky ̸= 0) +• Super-Klein tunneling When B = B′ and A = ±A′ in from (29), the reflection coefficient +vanishes and the transmission becomes perfect (T = 1). This is achieved when E = U0/2. One +thus has perfect tunneling regardless of the incidence angle for E = U0/2. This phenomenon is +called the super-Klein tunneling, already reported for pseudospin-1 lattice models with gapless +dispersion and flat bands [37,44,46], as well as in pseudospin-1/2 graphene lattices [47]. Here, +we note that the presence of the mass term (m ̸= 0) does not break the super-Klein tunneling as +long as U0 > 2m. However, super-Klein tunneling is altogether lost by tuning the electrostatic +barrier such that 0 < U0 < 2m, as no plane-wave solutions exist for E = U0/2. This highlights +the effects of the mass term (band-gap) on the transmission properties. +• Generalized Snell-Descartes law It is convenient to define the two-dimensional momentum +vectors ⃗k = (kI, ky) and ⃗k′ = (kII, ky) that characterize the incident wave and the wave traveling +through the electric barrier, respectively. The incident and transmitted angles are defined as +ξ = arctan(ky/kI) and ξ′ = arctan(ky/kII), respectively, see Fig. 7a. Contrary to the bound +state case of Sec. 4, plane-wave solutions only exist in the region I for bounded values of ky, i.e., +|ky| < ky;c = +√ +E2 − m2/ℏv2. This alternatively implies that scattering phenomenon is available +for restricted values of the effective-mass term �m. This is depicted in Fig. 7b, from which it is +also clear that, for |ky| > ky;c, the shaded are covered by the effective-mass region overlaps with +the energy E, leading to evanescent-wave solutions in the region I. +From the dispersion relations in the regions I and II, together with the fact that ky is constant +across all regions, one can establish a relation between the incident and transmitted angles ξ +and ξ′ of Fig. 7a, +tan ξ′ +tan ξ +� +v2 +1 + v2 +2 tan2 ξ +v2 +1 + v2 +2 tan2 ξ′ = +� +E2 − m2 +(E − U0)2 − m2 . +(32) +For v1 = v2, one recovers the same Snell-Descartes law previously reported for graphene [4], and +to the Snell’s law obtained for pseudospin-1 lattices with m = 0 reported in [46]. +Since we are considering U0 > 2m, we get the following information about the transmitted +angle: +13 + +(a) +(b) +(c) +Figure 7: (b) Scattering configuration (upper-view) for an incident wave ⃗k (region I), with inci- +dent angle ξ, traveling through an electrostatic barrier (green-shaded area). The wave refracts +into region II as a wave with vector ⃗k′ and transmitted angle ξ′. (b) Energy configuration of +the panel (a) with an incident wave with energy E > �m (red-dashed line). (c) Energy curves +spanned by κ, ky (region I and III) and κ′, ky (region II) for E > �m fixed as in panel (b). +• For E ∈ +� +m, U0 +2 +� +, there exists a transmitted angle ξ′ for every incident angle ξ ∈ (−π/2, π/2). +• For E = U0 +2 , the transmitted and incident angles are equal, ξ′ = ξ. +• For E ∈ +� U0 +2 , U0 − m +� +∪ (U0 + m, ∞), there are transmitted angles ξ′ ∈ (−π/2, π/2) only +for ξ ∈ (−ξc, ξc), with the critical angle tan2 ξc = v2 +1 +v2 +2 +(E−U0)2−m2 +2U0 +� +E− U0 +2 +� . For other values of ξ, the +solutions in the region II are evanescent waves. +• For E ∈ (U0 − m, U0 + m), there are only evanescent waves in the region II. +• Fabry-P´erot resonances Perfect transmission occurs for other energies as well, nevertheless, +it gets angle dependent. The reflection coefficient (29) vanishes for kIIL = nπ, with n ∈ Z+. +Since kII is in turn a function of the incidence angle ξ, once may conclude that perfect reflection +appears only for some specific incidence angles. These are usually known as tunneling resonances +or Fabry-P´erot resonances [4], and are given as a function of the incident angles ξ as +E(res) +±;n = +� +1 + v2 +2 +v2 +1 +tan2 ξ +� +� +� +�U0 ± +� +� +� +� +�U 2 +0 − +1 +1 + v2 +2 +v2 +1 tan2 ξ +� +�U 2 +0 − π2v2 +1(n + 1)2 +L2 +− +m2 +1 + v2 +2 +v2 +1 tan2 ξ +� +� +� +� +� , +(33) +with n = 0, 1, . . .. +These resonant energies behave asymptotically as limξ→±π/2 E(res) ++;n → ∞ and limξ→±π/2 E(res) +−;n → +(2U0)−1 � +U 2 +0 − π2 v2 +1(n+1)2 +L2 +� +. Thus, for almost perpendicular incident waves (ξ ∼ ±π/2), one re- +quires larger and larger energies in order to recover the resonances at E(res) ++;n , whereas finite and +well-defined energy values are required for the resonances E(res) +−;n . This behavior is depicted in +Fig. 8a. +14 + +I +I1 +III +k +Ki +k +3 +1KUo+m +Uo+m +Uo +Uo-m +Uo-m +E +m +m +0 +-m +-m +II +IIIRegion +Region +1 +II +K(a) +Figure 8: (Units of ℏ = 1) (a) Tunneling resonance energies E+;n (blue-solid) and E−;n (orange- +dashed) as a function of ξ(−π/2, π/2). The inset depicts the transmission amplitude T as a +function of E for ξ = 0. The shaded area denotes the region where the duple (ξ, E) produces +evanescent waves in the region I. The parameters have been fixed as v1 = v2 = 1, m = 0.5 and +U0 = 1.5. +6 +Remarks on the flat-band solutions +The piece-wise continuous nature of the electrostatic interaction (10) allows the generation of +two flat band energies, one located at E = U0 for the region II, and another one at E = 0 for +the regions I and III. Although the boundary conditions are the same in both cases, the allowed +matching solutions have a different behavior. +Let us first consider E = U0 and ky so that plane-wave solutions exist for the regions I and +III. For generality, we consider incoming and outgoing plane waves in regions I and III, and a +general flat-band solution in II. Here, the waves entering the interaction zone from the left and +right have an amplitude I1 and I2, respectively, with I1,2 ∈ R. Additionally, we fix I2 +1 + I2 +2 = 1. +Under these considerations, we have the general solutions +Ξ = +� +� +� +� +� +I1ΞkI + A1Ξ−kI +x < −L/2 +Ξfb +|x| < L/2 +I2ΞkI + A2Ξ−kI +x > L/2 +(34) +where A1,2 ∈ C, Ξ = (mχ, iℏv2kyχ, −iℏv1χ′)T , with χ a complex-valued function, and Ξ±kI the +solutions (11) evaluated at E = U0. By imposing the boundary conditions (9), one obtains the +relations A1 = I1e−2iφeikIL and A2 = I2e2iφe−ikIL, with φ = arctan(v2kyU0/mv1kI), whereas the +arbitrary function χ is restricted to fulfill the following relations at the boundaries, +χ +� +− L +2 +� += +2v1kII1e−i(φ−kI L) +� +m2v1k2 +I + v2k2yU 2 +0 +, +χ +� L +2 +� += − +2v1kII2ei(φ−kI L) +� +m2v1k2 +I + v2k2yU 2 +0 +. +(35) +Given the arbitrary nature of χ, one may alternatively rewrite it as χ = 2v1kIei(φ−kI L)2x/L +√ +m2v1k2 +I +v2k2yU2 +0 �χ, where +�χ(−L/2) = I1 and �χ(L/2) = −I2. +15 + +20 +10 +-20 +E +20 +E(res) +n +-10 +-20 +爪 +3 +2 +4 +4 +2Thus, the coupling of incident waves to the flat-band solution leads to a scattering problem +in which the waves entering the interaction region are completely reflected inside their respective +regions. Still, the flat band solutions allowed during such a process must fulfill the boundary +conditions (35). Note that one also has the conservation property |A1|2 + |A2|2 = I2 +1 + I2 +2 = 1. +The latter results hold whenever waves enter from only one region, say I1 = 1 and I2 = 0. In +such a case, we have a perfect reflection in region I, up to a phase in the reflected wave. +Flat-band solutions also occur for E = 0 in regions I and III. The arbitrary nature of the +solutions in those flat bands can be tuned so that finite-norm solutions appear. The correspond- +ing wave function in region II can be found using the boundary conditions, and the calculations +are as straightforward as the scattering case presented above. +7 +Concluding remarks +In this manuscript, it was shown that the existence of a rectangular electrostatic barrier always +produces at least two bound states for ky = 0, and generates more bound states at different +energies for increasing values of ky. Interestingly, it was found that even for the asymptotic +values ℏv2ky → ∞, the associated current density parallel to the barrier is bounded by ±ℏv2, +where v2 = 2at2. Thus, the current is linear on the hopping amplitude across the ˆy-direction, +as expected. +It is worth remarking that dispersion relations obtained from (24) identify the energies for +which electrons localize in the x-direction, and propagation is allowed in the ˆy-direction is still +possible. However, by exploiting the separability of free-particle solutions, one can always con- +struct linear combinations so that electrons localize in the ˆy-direction as well. Such a procedure +has been discussed in [48] for graphene. For instance, in the example provided in Fig. 5a, one +can take the energies associated with blue-solid and red-dashed curves as they exist for any +ky ∈ R. From the relations (26), one can ensure that at least two of such dispersion relations +always exist. Additional caution must be taken for the other dispersion relations, as they only +exist for intervals ky ∈ S ⊆ R, and the linear combination must be constructed accordingly to +that interval. Devising such packages is a task beyond the scope of the current work and will +be discussed elsewhere, as it deserves attention by itself. +On the one hand, for the scattering-wave regime, we have proved that even in the gapped +case (m ̸= 0), the Lieb lattice supports super-Klein tunneling for an energy equal to half of +the electric barrier, E = U0/2, provided that U0 > 2m. For the gapless case, we recover the +same results previously reported for gapless T3 lattices [44] and ultra-cold atoms trapped in +optical lattices [24]. On the other hand, we identified a new modified Snell-like law valid for +anisotropic Fermi velocities v1 ̸= v2. The latter allows us to identify the Fabry-P´erot resonant +transmission, which defines a relation between the incident energy and the incident-wave angle +required to produce perfect tunneling up to a phase factor. Interestingly, for negative energies, +perfect transmission is achievable for finite energies at incident waves almost perpendicular to +the barrier. This is not the case for positive energies, as it is shown that the required energies +diverge. +The existence of flat-band solutions poses an additional case not available in graphene lattices. +The latter allows the coupling of the solutions and determining the transmission properties, +which in this case, leads to perfectly reflected waves. Since the flat-band solutions are defined +16 + +in terms of degenerate Bloch waves, there is an infinite family of solutions that allows such a +reflection, as long as they fulfill the boundary condition (35). +Acknowledgments +K.Z. acknowledges the support from the project “Physicists on the move II” (KINE´O II) +funded by the Ministry of Education, Youth, and Sports of the Czech Republic, Grant No. +CZ.02.2.69/0.0/0.0/18 053/0017163. +A +Determining the number of even and odd bound states +In this appendix, we present the derivation of the number of bound states for even bound +states presented in (26). The procedure applies straightforwardly to the odd case as well. It is +convenient to define the intervals +I0 = +� +0, π +2 +� +, +In = +�π +2 + (n − 1)π, π +2 + nπ +� +, +n = 1, 2, . . . , +(A-1) +so that tan(x) is nonsingular for x ∈ In. Furthermore, if x ∈ ∪k=p2 +k=p1Ik, then tan(x) has (p2 − p1) +singularities. +To determine the number of even bound states, one must find the number of interceptions +of F(E) in (25) and the periodic function tan(kIIL +2 ) in the interval E ∈ (−m, m). To this end, +one may notice that F(E) is a monotonously increasing function of E ∈ (−m, m) that tends to +∓∞ for E → ∓m, and vanishes for E = 0. The latter means that F(E) defines the bijection +F(E) : (−m, m) �→ R. +On the other hand, ∂kII/∂E < 0 for E ∈ (−m, m), and one thus +concludes that tan(kIIL/2) (and also − cot(kIIL/2)) is a monotonously decreasing function of E +in each of the intervals kIIL +2 +∈ In, with n = 0, 1, . . .. This property, combined with the fact that +F(E) : (−m, m) �→ R is a monotonously increasing function, one concludes that interception of +both functions always exist. One must determine the exact number of interceptions. +By exploiting the fact that tan(kII L/2) is a periodic function, one just needs to count the +number of periods inside the interval E ∈ (−m, m) for arbitrary U0 and L, which is equal to the +number of singularities plus one. m is a lattice parameter, so it is assumed to be a fixed value. +Be σ± := kIIL +2 |E=∓m = +L +ℏv1 +� +U0 +2 +� +±m + U0 +2 +� +so that the domain of tan +� +kIIL +2 +� +lies in the interval +(σ−, σ+) for E ∈ (−m, m). +Now, if σ− ∈ Ir1 and σ+ ∈ Ir2, with r2 > r1 and r1,2 = 0, 1, . . ., then, tan(kIIL/2) has +r2 − r1 singularities for E ∈ (−m, m) and intercepts F(E) exactly (r2 − r1 + 1)-times. That is, +N(e) = r2 − r1 + 1. The values of r1,2 are found by exploiting the fact that ⌊ x +π + 1 +2⌋ = r for +x ∈ Ir. 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Tuˇsek, “Dispersionless wave packets in Dirac materials,” Annals of +Physics 378, 171 (2017). +20 + diff --git a/AdE1T4oBgHgl3EQf9Aai/content/tmp_files/load_file.txt b/AdE1T4oBgHgl3EQf9Aai/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..4870422c1d1c3ae84bde569da9e4f28efe4f3ad7 --- /dev/null +++ b/AdE1T4oBgHgl3EQf9Aai/content/tmp_files/load_file.txt @@ -0,0 +1,727 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf,len=726 +page_content='Lieb lattices and pseudospin-1 dynamics under barrier- and well-like electrostatic interactions V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Jakubsk´y1 and K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Zelaya1 1Nuclear Physics Institute, Czech Academy of Science, 250 68 ˇReˇz, Czech Republic Abstract This work considers the confining and scattering phenomena of electrons in a Lieb lattice subjected to the influence of a rectangular electrostatic barrier.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In this setup, hopping amplitudes between nearest neighbors in orthogonal directions are considered different, and the next-nearest neighbor interaction describes spin-orbit coupling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This makes it possible to confine electrons and generate bound states, the exact number of which is exactly determined for null parallel momentum to the barrier.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In such a case, it is proved that one even and one odd bound state is always generated, and the number of bound states increases for non-null and increasing values of the parallel momentum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' That is, bound states carry current.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In the scattering regime, the exact values of energy are determined where the resonant tunneling occurs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The existence of perfect tunneling energy in the form of super-Klein tunneling is proved to exist regardless of the bang gap opening.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Finally, it is shown that perfect reflection appears when solutions are coupled to the intermediate flat-band solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 1 Introduction The theoretical and experimental progress in the physics of graphene and other Dirac materials has become a trending topic in material science and theoretical physics [1,2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Many remarkable properties of these materials follow from the fact that dynamics of low-energy quasi-particles is described by equations known in relativistic quantum mechanics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It makes it possible to test relativistic properties such as Klein tunneling [3,4], relativistic Landau levels, and the existence of pseudoparticles violating the Lorentz invariance [5, 6] (type-II Dirac fermions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Graphene mono- and multi-layer systems exhibit transport properties such as quantum Hall effect [7] and anomalous quantum Hall effect in graphene [8], and Josephson effect in twisted cuprate bilayers [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Graphene has shown to be a helpful benchmark system to test the properties of relativistic pseudospin-1/2 particles in low-energy systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Nevertheless, the family of Dirac materials contains also other, equally interesting, members.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Their geometries can extend beyond the honeycomb lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' For instance, there are Kagome [10], Dice or α − T3 [11, 12], and Lieb lattices [13, 14], which lead to effective pseudospin-1 Dirac equations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It was recently showed that the Kagome lattice can be obtained from a geometrical deformation of the Lieb lattice [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' For a recent survey of two-dimensional lattices and their physical properties and realization, see [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 1 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='03552v1 [cond-mat.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='mes-hall] 9 Jan 2023 Particularly, the Lieb lattice is a two-dimensional array with a periodicity of a square lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The sites are located in the corners of each square and at the midpoints on its sides.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' To our best knowledge, the Lieb lattice has not been found in nature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' However, it has been prepared artificially in diverse ways [17, 18].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It was realized in experiments with optical fibers [19–23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Furthermore, it was formed by ultracold atoms trapped in optical lattices [24] or by electrons of Cu(111) atoms confined by an array of CO molecules [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It was also prepared in covalent- organic frameworks [26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The tight-binding model can well describe the band structure of the Lieb lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It reveals the existence of two bands with positive and negative energies and an additional so-called flat band.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The latter is associated with the states that have fixed (zero) energy independent of the value of momentum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It is worth mentioning that the flat band solutions were prepared in the optical experiments, see [22, 23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Similarly to graphene, the dynamics of the low-energy quasi- particles in the Lieb lattice is dictated by a relativistic Dirac-type equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Nevertheless, these quasi-particles have pseudospin-1 due to three atoms per unit cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In the current article, we investigate the scattering and confinement of the relativistic quasi- particles by a rectangular electric potential in the Lieb lattice with a gapped band structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Gap-opening can be induced by on-site energy that differs on three sublattices or by the phase acquired by the electron when jumping between the neighboring sites [24], see also [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In the article, we adopt the second approach where a purely imaginary next nearest-neighbor interaction, attributed to spin-orbital coupling [13], is taken into account.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Effects such as electron confinement and transmission are obtained with the aid of the proper boundary conditions, which enforce the continuity on two out of the three pseudospin-1 compo- nents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The third component can be discontinuous, which leads to a spatial discontinuity in the probability density.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Nevertheless, it does not compromise the associated continuity equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Electron dynamics for electrostatic interactions in graphene have been discussed in the litera- ture, such as the transmission properties in square barriers [28,29] and electron confinement with cylindrical quantum dots [30].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' We thus focus on the related properties of the quasi-particle dy- namics in the Lieb lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' We further analyze the influence of the flat-band solution in electron dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' As shown in the manuscript, solutions in this regime are described by degenerate Bloch-wave solutions whose linear combinations can compose wavepackets of arbitrary form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' These are shown to be current-free solutions regardless of the nature of the wavepacket.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' As a result, one obtains perfectly reflected waves when they couple to flat-band solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The manuscript is structured as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 2 we briefly introduce and discuss the main properties of the Lieb lattice with nearest next-nearest neighbor interactions, from which the effective low-energy Dirac equation is obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 3, we present the general solutions and the transfer matrix associated with the rectangular electrostatic interaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The latter is then exploited in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 4 and Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 5 to discuss in full detail the localization of electrons and scattering dynamics, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Finally, discussions and perspectives are provided in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 7, and complementary details about the proof of the number of bound states are given in App.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 2 (a) (b) Figure 1: (a) Lieb lattice, composed by the atoms A (blue-filled circle), B (green square), and C (red-filled square).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The dashed arrows denote the direction of positive phase hopping parameter between next-nearest neighbors B − C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (b) Composition of a unit cell of the Lieb lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The unit displacement vectors ⃗δ1 = aˆx and ˆδ2 = aˆy connect the atom A with B and A with C, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The corresponding nearest hopping parameters are t1, t2, whereas the next-nearest neighbor hopping parameter is +it3 and −it3 depending if it occurs in the direction denotes by the arrows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 2 Lieb lattice and pseudospin-1 Dirac equation Let us consider an electronic Lieb lattice 1 so that the separation between two nearest atoms is a, the length of each side of the square is ℓ = 2a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' There are three sites in the elementary cell, see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 1a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The primitive translation vectors are ⃗r1 = 2aˆx and ⃗r2 = 2aˆy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It is customary to denote the atoms at the corners of the square as A, whereas the atoms at the sides of the square are B (horizontal) and C (vertical).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The lattice vectors ⃗δ1 = aˆx = ⃗r1/2 and ⃗δ2 = aˆy = ⃗r2/2 connect an atom on the site A to those on the sites B and C, respectively (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 1b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The atoms A, B and C form the three sublattices RA = n1⃗r1 +n2⃗r2, RB = ˜RA +⃗δ1, and RC = ⃗RA +⃗δ2, respectively, with n1, n2 ∈ Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The reciprocal space is spanned by the translation vectors of the reciprocal space ˆrk1 and ˆrk2, ˆrp · ˆrkq = 2πδp,q, p, q = 1, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This leads to ˆrk1 = π a ˆx and ˆrk2 = π a ˆy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The first Brillouin zone, constructed from the Wigner-Seitz rule, restricts to the region composed by kx ∈ [− π 2a, π 2a] and ky ∈ [− π 2a, π 2a].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The band structure of the electrons on the Lieb lattice can be analyzed with the use of the tight-binding model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' There are considered the nearest neighbor (NN) interactions between the sites A − B and A − C, represented by the hopping parameters t1 and t2, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' We take into account also the next-nearest neighbor (NNN) transition B − C, which can be complex valued, with the sign of phase dependent on the orientation of the hopping.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This emerges due to external time-dependent driven fields in photonic Lieb lattices [31], and magnon Lieb and Kagome lattices [32].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In particular, we consider a purely imaginary NNN hopping parameter e±iπ/2t3, where the 1The results here obtained apply to optical Lieb lattices as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 3 C A BA B(a) t3 = 0 (b) t3 ̸= 0 Figure 2: Dispersion bands w+(⃗k) (yellow-upper), w−(⃗k) (green-lower), and w0(⃗k) (blue-middle) for the gapless (a) and gapped (b) configurations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' hopping phase is positive (+) is the hopping occurs counter-clock-wise, and negative (−) oth- erwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Such a hopping dynamics is depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 1a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This type of hopping was introduced by Haldane in [8] as a model for quantum anomalous Hall effect in graphene without strong external magnetic fields, which was latter found experimentally in [33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' See also [34] for a recent review.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The spectral analysis of the tight-binding Hamiltonian reveals that there are three bands in its spectrum [13], w0(⃗k) = 0, w±(⃗k) = ±2 � t2 1 cos2(akx) + t2 2 cos2(aky) + 4t2 3 sin2(akx) sin2(aky).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (1) The bands have linear dependence on the momentum in the four Dirac points that are situated in the first Brillouin zone.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Their explicit position depends on the relative strength of t3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In this work, we focus on the most relevant situation where t3 < t1 2 , t3 < t2 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In that case, the Dirac point is ⃗K = ( π 2a, π 2a), see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='2b for illustration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' A similar analysis holds for higher values of t3, where the Dirac points are displaced with respect to ⃗K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' For a detailed discussion, see [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Let us calculate the approximate form of the tight-binding Hamiltonian in the vicinity of the Dirac point ⃗K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' We denote the effective operator as H(⃗k) ≡ H( ⃗K + ⃗k), where |⃗k| is considered small enough so that we can keep terms up to first-order in ⃗k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The proper expansion of H(⃗k) at the Dirac point ⃗K can be conveniently written as H(⃗k) = 2at1kxS1 + 2at2kyS2 + 4t3S3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (2) The matrices S1 = � � 0 1 0 1 0 0 0 0 0 � � , S2 = � � 0 0 1 0 0 0 1 0 0 � � , S3 = � � 0 0 0 0 0 −i 0 i 0 � � , (3) form the three-dimensional representation of su(2) algebra, [Sp, Sq] = iεpqrSr, with εpqr the three-dimensional anti-symmetric tensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Therefore, the quasi-particles described by the effec- tive Hamiltonian (2) have pseudospin 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 4 元 0 2a a 2 w(k) 0 2 0 元 2a ky a元 0 2a a 2 w(k) 2 0 元 2a ky aIt is worth noting that, for t3 = 0, the resulting Dirac Hamiltonians in (2) becomes linear combinations of the spin-1 matrices S1 and S2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In such a case, the matrix �S, �S = � � −1 0 0 0 1 0 0 0 1 � � , (4) satisfies {�S, Sj} = 0, with j = 1, 2, and represents the chiral symmetry of H as there holds {�S, H|t3=0} = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The later relation implies that the eigenvalues E of H|t3=0 are symmetric with respect to E = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' When an eigenstate ΨE of H has energy E, then there is an eigenstate Ψ−E = �SΨE with the energy of the opposite sign.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='1 External electrostatic interaction Throughout this manuscript, we consider a piece-wise continuous external electric field dis- tributed in the ˆx direction, while we discard any magnetic interaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The corresponding effec- tive Hamiltonian is obtained from (2) through the Peierls transformation [35,36], ⃗k → −iℏ⃗∇ and iℏ∂t → iℏ∂t − U(⃗x)I, with I the 3 × 3 identity matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Since the Hamiltonian becomes invariant on the ˆy direction, the eigenstates can be cast in the form Ψ(x, y) → e±ik2yΨ(x), where Ψ(x) solve the following stationary equation: H(x)Ψ(x) = (−iℏv1S1∂x + ℏv2kyS2 + mS3 + Ua I)Ψ(x) = EΨ(x), (5) with Ψ(x) = (ψA(x), ψB(x), ψC(x))T .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In (5), we have used v1 = 2at1, v2 = 2at2 and m = 4t3 to simplify the notation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This allows us relating v1 and v2 to the Fermi velocities along the ˆx and ˆy directions, respectively, whereas m plays the role of the mass term in the Dirac equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Furthermore, we have considered a constant electrostatic potential, which is valid for our purposes since we are dealing with piece-wise continuous interactions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' From the previous considerations, we may decouple the eigensolution components ψA,B,C as follows: − ℏ2v2 1ψ′′ A + ℏ2v2 2k2 yψA = ((E − Ua)2 − m2)ψA, (6) ψB = −iℏv1(E − Ua)ψ′ A + ℏmv2kyψA (E − Ua)2 − m2 , ψC = ℏmv1ψ′ A + ℏv2ky(E − Ua)ψA (E − Ua)2 − m2 , (7) where the hopping parameters tj, for j = 1, 2, 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The probability current associated with Ψ can be calculated in standard manner from the continuity equation ∂tρ + ⃗∇ · j = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Here, ρ = Ψ†Ψ stands for the probability density, and the probability current takes the form j = (2v1 Re ψ∗ AψB, 2v2 Re ψ∗ AψC) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (8) Let us consider briefly the situation when the potential has a finite discontinuity at x = x0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It is necessary to specify the behavior of the wave functions at this point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' It can be done by integrating (5) in the vicinity of x0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Alternatively, one can require the component of the density 5 current perpendicular to the barrier to be continuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The second approach is more general and covers the boundary conditions provided by the integration as the special case that read as ψA(x− 0 ) = ψA(x+ 0 ), ψB(x− 0 ) = ψB(x+ 0 ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (9) It is worth noting that only two of the three eigensolution components are required to be continuous in x0, and the third component ψC can have a discontinuity at this point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The corresponding probability density is not necessarily continuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This observation was made in pseudospin-1 photonic lattices [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The boundary conditions obtained in (9) keep the current of probability density in the ˆx direction continuous, which is the component perpendicular to the discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' As the component ΨC(x) can be discontinuous at x0, the tangent current and the probability densities are not necessarily continuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 3 Rectangular electrostatic barrier Let us consider an external electrostatic electric potential homogeneous along the ˆy direction and piece-wise continuous across the ˆx direction, with U(x) = � 0 |x| > L 2 U0 |x| ≤ L 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (10) We consider, without loss of generality, U0 > 2m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Solutions of the stationary equation are split into three regions, namely, the region I (x < L/2), region II (−L/2 ≤ x ≤ L/2), and region III (x > L/2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The latter are written as Ξka = eikyyeikax � � � 1 −iℏmv2ky+ℏv1ka(E−Ua) (E−Ua)2−m2 iℏmv1ka+ℏv2ky(E−Ua) (E−Ua)2−m2 � � � , a = I, II, III, (11) where UI = UIII = 0, UII = U0, and consequently kI = kIII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' We consider ky is fixed as a real quantity to obtain plane-wave solutions propagating parallel to the barrier.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In turn, ka is considered a complex parameter so that we can distinguish two different regimes (see discussion below).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The solution (11) satisfies the eigenvalue equation (5) with the eigenvalue E = Ua ± � m2 + ℏ2(v2 1k2a + v2 2k2y) = Ua ± � ˜m2 + ℏ2v2 1k2a, (12) where we have introduced the effective mass term �m = � m2 + ℏ2v2 2k2y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (13) From (11), we distinguish two behaviors, namely, plane-wave solutions for ka ∈ R and evanescent-wave solutions for ka = −ipa, with pa ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In both cases, the wave functions are associated with real eigenvalues.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' They are classified as ka ∈ R, E(ka, ky) = Ua ± � �m + v2 1ℏ2k2a, E(pa, ky) ∈ (−∞, U0 − �m) ∪ (Ua + �m, ∞), (14) ka = −i pa, E(pa, ky) = Ua ± � �m − v2 1ℏ2p2a, E(pa, ky) ∈ (Ua − �m, U0 + �m).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (15) 6 (a) (b) |E| > m (c) |E| < m Figure 3: (a) Sketch of the energy surfaces spanned by the dispersion relations (14) (orange) and (15) (blue), together with two energy planes located at arbitrary energies |E| > m and |E| < m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Panel (b) and panel (c) depict the contour plot generated by the interception between the dispersion relations and the energy planes |E| > m and |E| < m, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' In panel (b), ξ = arctan(ky/kI) denotes the incidence angle of the plane wave and ky;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='c = √ E2 − m2/ℏv2 the critical value of ky separating the evanescent-wave and plane-wave regimes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' These dispersion relations span paraboloid and hyperboloid surfaces for plane-wave and evanescent- wave solutions, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This behavior is depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 3a for UI = 0 (case a = I).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' For |E| > m, the behavior of the solutions is classified according to the values of ky, with ky;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='c = √ E2 − m2/ℏv2 being the critical value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' That is, for |ky| < ky;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='c, the solutions are plane- wave-like and the momenta kI and ky span an elliptic curve for a fixed energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' For |ky| > ky;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content='c, the solutions become evanescent waves and pI and ky span a hyperbolic curve for the same fixed energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' This is sketched in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 3b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' For |E| < m, no plane-wave solutions exist for ky ∈ R, and only evanescent-wave solutions are generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' Here, pI, ky span a rotated hyperbola with respect to the case |E| > m, as depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' 3c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The partial solutions Ξka at the regions I, II, III have to be combined in order to comply with the boundary conditions (9) at x0 = ±L and |x| → ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The wave function takes the general form Ξa(x, y) = αaΞ± ka(x, y) + βaΞ± −ka(x, y), a = I, II, III .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' (16) The boundary conditions (9) impose the continuity of the two upper components of the wave function, from which we find the set of relations between the coefficients αI, βI and αIII, βIII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' That is, M �αI βI � = �αIII βIII � , M = �m11 m12 m21 m22 � , (17) with M being the transfer matrix, whose elements mij are functions of E, ky, m and U0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/AdE1T4oBgHgl3EQf9Aai/content/2301.03552v1.pdf'} +page_content=' The 7 El>m E(k,k2) Ek10 +Table 2: Comparison of numerical results with experimental data for the impact case scenario of the plate made of T800S/M21 +material. +3.2.2. Coupon made of AS4/8552 material +This second case consists of a coupon made with the AS4/8552 material. +The plate has a stacking +sequence of [454/04/ − 454/904]S with a nominal ply thickness of 0.181 mm resulting a plate thickness of +5.8 mm. This case study has higher energy (19.3 J) than the previous one, and it also includes clusters of four +and eight plies which are potential for extensive matrix cracks and delaminations. The energy of 19.3 J also +falls into BVID analysis. The in-plane element sizes used in [17] and [51] are 0.3 mm and 0.5 mm respectively. +In the present work, two element sizes are studied using the mesh refinement algorithm described in Sec. 2.4, +see Tab. 3. The base mesh for the plate has a total of 335 622 hexahedron elements (≈ 1 million of Degrees +Of Freedom (DOF)). The total time for the simulation is set to 5.0 ms. In this case, the striker has a mass +17 + +of 5 kg, and its radius is 8 mm. The initial velocity of the striker considering the gap previously mentioned +is 2.78 m/s. +Refinement +Element +No. element +No. elem. +No. nodes +Initial stable +level, ndivi +size (mm) +through ply cluster +plate +plate +time increment (s) +0 +0.7250 +1 +335 622 +364 320 +7.378 × 10−8 +1 +0.3625 +2 +2 109 624 +2 219 983 +3.515 × 10−8 +Table 3: Element sizes used on the coupon made of AS4/8552 material system and initial stable time increment for each case +study. +The numerical predictions of the impact force-displacement and energy - time curves are shown in Fig. +8 and Fig. 9 respectively, using different element sizes. The most important physics variables for a proper +validation are summarized in Tab. 4. This table compares the experimental results from [51] with the +numerical predictions. +Case +f c +del (kN) +f c +max (kN) +dmax (mm) +Edis (J) +Aproj +del +(mm2) +Experiment [17] +4.41 +7.74 +3.72 +12.03 +3898.3 +Numerical (le = 0.7250 mm) +4.20 +8.70 +3.60 +7.70 +4723.1 +Numerical (le = 0.3625 mm) +4.30 +8.30 +3.70 +7.90 +5249.20 +Table 4: Comparison of the numerical results obtained with the proposed framework with experimental data from [51]. fc +del is +the delamination threshold force, fc +max is the maximum contact force, dmax is the maximum indentation, Edis is the dissipated +energy and Aproj +del +is the projected delamination area. +The initial elastic deflection of the plate is very well captured for all the meshes (Fig. 8), meaning that +the stiffness of the plate is accurately predicted by the PDN contact algorithm. After that, delamination +onset occurs at the top of the elastic part, around 4.5 kN. This point is also very well captured by the +interlaminar damage model using cohesive elements between each of the ply clustering. Then, a combination +of interlaminar and intralaminar damage occurs until the striker reaches both the maximum load and +displacement, resulting with a pretty good prediction as also shown in Tab. 4. Since damage appears, the +continuum damage models and the characterization of the material properties play a fundamental role in the +simulation of this benchmark case. Despite the delamination threshold, maximum force and displacement +are very well captured; the dissipated energy and the projected delamination area are overpredicted, see +Tab. 4. According to Soto et al. [51], the projected delamination and the corresponding energy dissipated +could be considerably improved when using solid elements with one integration point for the bulk material +and cohesive contact surfaces instead of cohesive elements to be able to better predict the delamination +shapes at each interface of the layup. +18 + +Figure 8: Numerical prediction of the force-displacement curved using two element sizes and correlation with the experiment +from Gonz´alez et al. [17]. +Figure 9: Numerical prediction of the impact energy vs. time using two element sizes and correlation with the experiment from +Gonz´alez et al. [17]. +Fig. 10 depicts and aims to quantify the most important failure mechanisms that appear on the plate. +Fiber damage is represented by damage variable D1, which includes both fiber breakage and fiber kinking, +see Fig. 10a. As we can see, this source of damage is not the most predominant and mostly appears at the +bottom of the striker. Matrix cracking is represented with the damage variable D2, which includes matrix +tension and compression (Fig. 10b). Finally, the last source of damage is delamination (Fig. 10b). Its +prediction is compared with the shape obtained from the experiment, which is represented in dashed lines. +As we discussed previously, this source of damage is overpredicted for all the element sizes studied, see Tab. +4 and further research would be required in that direction as the values of the material properties, and +19 + +the damage models play a fundamental role. Furthermore, the extensive matrix cracks and delamination +predicted for this impact case scenario corroborate the experimental observations by Gonz´alez et al. [18] on +the effect of ply clustering to originate extensive matrix cracks and large delaminations. +3898.3 mm2 +(a) +(b) +(c) +Experiment +Numerical +5248.2 mm2 +10 mm +Dcoh +D1 +D2 +Figure 10: Numerical prediction of the damage occurred in the coupon. (a) Fiber damage, D1. (b) Matrix cracking, D2. (c) +Projected delamination, Dcoh. The numerical result correspond to the most refined mesh. +3.3. Parallel performance +The speedup and the parallel efficiency of the proposed contact algorithm for solving low-velocity impact +events are evaluated in this section. All the executions are conducted in MareNostrum4 supercomputer. A +strong scalability analysis has been conducted using a larger mesh than the ones studied in Sec. 3.2. The +model corresponds to the AS4/8552 impact case scenario. The new mesh has a total of 74M elements with +228M of DOF, which results from a base mesh of 1 472 328 elements using two levels of the mesh refinement +algorithm. Strong scalability consists of fixing the mesh and solving the problem with a different number +of processors, Central Processing Unit (CPU). The strong speedup is calculated as +t0 +tN while the parallel +efficiency is calculated as +t0N0 +tNN , where N is the number of processors and t0 is the reference simulation +time for N0 processors. The number of processors used for this analysis ranges from 192 to 2400. Due to +the resolution of the problem following a multibody/multicode approach, the number of processors for the +striker is fixed to 16 (sufficiently for its mesh) while the number of processors for the plate is changed. It +is worth mentioning that the strong computational effort falls in the resolution (deformation) of the plate +and the localization and exchange of information phases, as explained in [19]. Due to the small time step +in this simulation, 9.261 × 10−9 s, the simulations for the scalability curve are limited to the first 7460 time +20 + +DAM01 +0.0e+00 0.1 +0.2 +0.3 +0.4 +0.5 +0.7 +0.80.9 1.0e+00 +Y +Y +L. +DAM02 +DCOHE +0.0e+00 0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 1.0e+00 +0.0e+00 0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 1.0e+00steps. The end of the execution (last time step) corresponds to an impact force of approximately 1 kN, which +falls into the linear elastic regime of the force-displacement curve shown in Fig. 8. The strong speedup and +parallel efficiency are shown in Fig. 11. The ideal scalability and efficiency are represented with a dashed +line. +Average No. of elements per core +Strong speedup +Parallel Efficiency +Total No. of processors +Total No. of processors +Figure 11: Strong scalability of the low velocity impact test with a plate mesh of 74M hexahedron elements. +The model +corresponds to the benchmark case using AS4/8552 material system. +The results obtained in Fig. 11 show that the scalability of the problem in explicit analysis is really +good up to 2400 processors using a mesh of 74M elements. The parallel efficiency is maintained above 90%, +which demonstrates the good scalability of the proposed framework to deal with large-scale problems. This +linear behavior is also shown in Tab. 5 where we summarize the total CPU time for each execution using a +different number of processors while maintaing fixed the size of the problem. +21 + +No. of CPUs +192 +384 +768 +1536 +1824 +2064 +2400 +17:20 +08:33 +4:15 +02:11 +01:51 +01:39 +01:27 +Table 5: Total CPU time expressed in hh:mm for different executions of the low-velocity impact simulation considering a +fixed mesh of 74M of elements (228M of DOF) with a total of 7460 time steps. This CPU time includes the preprocess part, +where two mesh refinement levels are performed and the solution of the contact problem within the elastic regime of the +force-displacement curve. +It is also worth mentioning that the application of the proposed contact algorithm in explicit dynam- +ics improves both the speedup and the parallel efficiency in comparison to an implicit resolution for the +deformable body (plate), as already studied by the authors in [19]. This improvement in computational per- +formance is mainly attributed to the time integration scheme for the deformable body. In explicit dynamics, +it is not required to invert the global matrix of the system. In this case, the unknown is the acceleration, and +the system is solved directly using the lumped mass matrix and the global force vector on the right-hand +side. The reader is referred to [6] for more details. +4. Conclusions +In this paper, we apply the parallel PDN contact algorithm to simulate low-velocity impact events on +fiber-reinforced polymer composites using a High-Performance Computing environment. Existing damage +models from the literature have been implemented in our multiphysics finite element code Alya to simulate +the material damage. Moreover, we introduce a new capability in the in-house mesh refinement algorithm to +deal with cohesive elements and other element types, such as continuum shell elements. This is really attrac- +tive as we can refine the finite element mesh at the beginning of the simulation with a meager computational +cost. +We validate the whole framework with several benchmark tests. The last example corresponds to a +well-known low-velocity impact test following the ASTM standard for damage resistance analysis. In this +case, we study two impact case scenarios with two different material systems: the T800S/M21 and the +AS4/8552, obtaining excellent predictions for impact behavior and pretty good damage occurrence compared +to experimental data from the literature. Additionally, the mesh refinement algorithm’s capabilities have +been demonstrated for the plate made of AS4/8552 material. +Finally, we evaluate the parallel performance of the impact simulation. Despite not using ”very” large +meshes for the physics validation cases, we have generated a new larger mesh using the mesh refinement +algorithm. The reason behind this is the stable time increment, which becomes smaller as the element size +decrease. The new mesh has 74M hexahedron elements (228M of DOF) using full integration. An excellent +computational efficiency (above 90%) has been obtained up to 2400 CPUs, demonstrating its applicability +to solve large mesh models ranging from micro-scale to macro-scale. +22 + +A further conclusion of this work is that we demonstrate the potential application of the parallel PDN +contact algorithm for low-velocity impact events and its parallel efficiency for large models compared to +traditional Penalty or Lagrange contact-based methods. As we commented previously, we use full integration +elements for all the examples; the use of reduced integration elements, which are more appropriate for +explicit schemes and overcome the well-known locking pathologies from solid brick elements, can considerably +increase the speedup of the simulations. Moreover, the localization of contact nodes and the communication +between subdomains created by the domain decomposition method is a crucial issue for further research as +it is the main bottleneck regarding the computational efficiency of contact algorithms. +Acknowledgements +This work has received funding from the Clean Sky 2 Joint Undertaking (JU) under grant agreements +No. 807083 and No. 945521 (SHERLOC project). The JU receives support from the European Union’s +Horizon 2020 research and innovation program and the Clean Sky 2 JU members other than the Union. +The authors gratefully acknowledge Hellenic Aerospace Industry for manufacturing of the coupons made +of T800S/M21 material and Kirsa Mu˜noz and Miguel ´Angel Jim´enez from Element Materials Technology +Seville for conducting the experimental impact tests and providing all the experimental data. A. Quintanas- +Corominas acknowledges financial support from the European Union-NextGenerationEU and the Ministry +of Universities and Recovery, Transformation and Resilience Plan of the Spanish Government through a call +of the University of Girona (grant REQ2021-A-30). G. Guillamet thankfully acknowledges the computer +resources at MareNostrum and the technical support provided by Barcelona Supercomputing Center (FI- +2019-2-0010). Last but not least, the authors would also like to thank the late Claudio Lopes for all the +interesting discussions and contributions to the simulation of impact events and damage on composites. +Appendix A. Algorithms +Here we summarize the main algorithms of the whole modeling framework to solve low-velocity impact +events for damage resistance of fiber-reinforced polymer composites by making use of High-Performance +Computing. +23 + +Algorithm 1 Main code for the partial Dirichlet-Neumann (PDN) contact algorithm. +This PDN contact algorithm is treated as a coupling problem between two or more body instances. +In the present algorithm, +we describe the contact algorithm between two code instances: a rigid body represented by the domain Ωa and the deformable +body represented by the domain Ωb. +The coupling is performed through the exchange of boundary conditions at the contact +interface following a Gauss-Seidel strategy. At each time step, contact detection is done for both instances, and synchronization +and localization is executed. When contact is detected (at least one boundary node belonging to the deformable body is penetrated +inside the rigid body), the rigid one computes and sends to the deformable body all the information required for the enforcement +of the kinematic boundary conditions. +The reader is referred to the Ph.D. from Rivero [46], or [19] for more details on the +implementation aspects of the proposed contact algorithm. +Require: Ωa, Ωb +1: loop time +2: +Compute time step, tn+1 +3: +loop reset +4: +if Rigid body, Ωa then +5: +Contact detection (localization) +▷ Contact detection & localization, Algo. 1 in [19] +6: +Exchange data: receive f cont from Ωb +▷ Exchange & communication data, Algo. 2 in [19] +7: +call calculateProjections() +▷ Projections & local coordinate system, Algo. 3 in [19] +8: +call RK4Scheme() +▷ Solve system +9: +Exchange data: send projection data to Ωb +▷ Exchange & communication data, Algo. 2 in [19] +10: +end if +11: +if Deformable body, Ωb then +12: +Contact detection (localization) +▷ Contact detection & localization, Algo. 1 in [19] +13: +Exchange data: receive data (projections) from Ωa +▷ Algo. 2 in [19] +14: +call EssentialBoundaryCondition() +▷ Contact nodes & Dirichlet condition, Algo. 4 in [19] +15: +call ExplicitScheme() +▷ Solve system +16: +call ReleaseNodes() +▷ Algo. 2 +17: +Exchange: send f cont to Ωa +▷ Exchange & communication data, Algo. 2 in [19] +18: +end if +19: +if kfl reset = 0 then +20: +exit loop reset +21: +end if +22: +end loop +23: end loop +Algorithm 2 ReleaseNodes() algorithm for explicit time integration schemes +This algorithm is executed concurrently and for each subdomain at the end of the time step tn+1. The kfl reset is the key flag for +the repetition of the current time step tn+1 when exists adhesion contact nodes. The sign of the contact force is checked according +to Eq. 2. The key flag to release the adhesion nodes is called kfl nodes to release. Then the adhesion contact nodes are released +(as free non-contacting nodes), and the time step is repeated, activating the reset key flag. As all the subdomains require to know +if the time step has to be repeated or not, the MPI_MAX is in charge to collect the value of the reset for all the subdomains of the +mesh. +1: kfl reset ← 0 +2: Get contact force f c and mark adhesion nodes +3: if kfl nodes to release then +4: +Adhesion nodes are set to free nodes +5: +kfl reset ← 1 +6: end if +7: call MPI_MAX(kfl reset) +24 + +Algorithm 3 Recursive mesh multiplication algorithm +The level of mesh refinement is set with the parameter ndivi. ne, nn and nb are the total number of elements, nodes and boundaries +of the new mesh. The same parameters with the superscript 0 indicate the initial dimension of the mesh. In order to define the +dimensions of the new mesh is necessary to know the total number of edges (nedgg) and faces nfacg of the initial mesh. Then, +once the dimensions are known, the DivideMesh() subroutine is in charge of doing the following actions: i) divide each edge and +face from the initial mesh, ii) define the new element connectivities, iv) define the new element boundary connectivities and v) +assign the material codes and the corresponding fields such as material coordinate systems. The last step of the mesh division +algorithm is to reconstruct the interface domains through the ReconstructInterfaceDomains() subroutine. The reader is referred +to Houzeuax et al. [22] for more details on the implementation and parallel aspects of the proposed algorithm. +Input n0 +e, n0 +n, n0 +b , ndivi +Output ne, nn, nb +1: for idivi = 1, ndivi do +2: +nedgg = GetEdges() +3: +nfacg = GetFaces() +4: +ne, nn, nb = GetDimensions() +▷ Eq. 14 +5: +call DivideMesh() +▷ Sec. 3.2 [22] +6: +call ReconstructInterfaceDomains() +▷ Sec. 3.2 [22] +7: end for +Algorithm 4 Workflow of the intralaminar damage model. +The strain and stress tensors, ε and σ, are defined in the material coordinate system using compact notation [6]. The superscripts +n and n + 1 define the past and current time steps, respectively. The subscripts N indicate the four damage mechanisms associated +with the loading function φN and internal threshold variables rN (fibre breaking, fibre kinking, tensile matrix cracking, and +compressive matrix cracking). +In turn, the subscript M indicates the five uniaxial damage states DM, represented in 2. +The +required material properties are i) elastic properties (E11, E22, ν12, ν23, G12 ), ii) ply strengths (XT , XC, YT , YC, SL), iii) fracture +toughness (GXT , GXC, GY T , GY C, GSL) associated with the damage mechanism, and iv) yield strength and hardening (Sp, Kp); +all these properties can be obtained through standardised tests or computational micromechanics simulations [30]. The required +parameters are: characteristic element length ℓc [33] and state variables at the past time step, i.e. εn +p , and rt +M. At the initial time +step, the state variables are initialised as εn +p = 0 and rn +M = 1. +Input εn+1, εn +p , rn +M, ℓc, material properties +Output σn+1, εn+1 +p +, rn+1 +M +1: εn+1 +p +(εn +p ) +▷ Plastic strains, yield function in [51] +2: εn+1 +e +← εn+1 − εn+1 +p +▷ Effective elastic strains +3: σn+1 +e +← H−1 · εn+1 +e +▷ Effective compliance matrix H in [30]g +4: φn+1 +M +(σn+1 +e +) +▷ Loading functions (failure criteria), Eqs. 8, 13, 20, 21 in [32] +5: rn+1 +N +(φn+1 +N +, rn +N) +▷ Damage thresholds, Eqs. 24, 26 in [32] +6: Dn+1 +M +(rn+1 +N +) +▷ Damage state variables according [51] and Eq 6 in [32] +7: σn+1 ← H−1(Dn+1 +M +) · εn+1 +e +▷ Nominal compliance matrix H(Dn+1 +M +) in [30] +25 + +Algorithm 5 Workflow of the cohesive zone model. +The displacement jumps and interface tractions, ∆ = {∆1, ∆2, ∆3}T and τ = {τ1, τ2, τ3}T , are defined at the mid-plane being +1 and 2 tangential and 3 normal directions. The superscripts t and t + 1 define the past and current time steps, respectively. In +turn, the subscript M indicates the pure-mode I and II openings associated with the opening directions, I ↔ {3} and II ↔ {1, 2}. +The latter is also referred with the subscript sh in [56]. The required input parameters are i) onset displacement jumps (∆Mo), +ii) critical displacement jumps (∆Mc), iii) penalty stiffness (KM), and iv) Benzeggagh-Kenane exponent for the mixed-mode ratio +(η). The onset and critical jumps can be obtained from the cohesive strengths (τM) and fracture toughness material properties by +∆Mo = τM/KM and ∆Mc = 2GM/τM, respectively. The damage threshold state variable at the past time rn +D, which is initialised +at the initial time step as rn +D = 0, is also required to evaluate the model. +Input ∆n+1, rn +D, material properties +Output τ n+1, rn+1 +D +1: Kn+1 +B +(∆n+1) +▷ Local mixed-mode penatly stiffness, Eq. 13 in [56] +2: Bn+1(∆n+1) +▷ Local mixed-mode ratio, Eq. 17 in [56] +3: λn+1 +o +(Bn+1, Kn+1 +B +) +▷ Local mixed-mode onset jump, Eq. 26 in [56] +4: λn+1 +c +(Bn+1, Kn+1 +B +, λn+1 +o +) +▷ Local mixed-mode propagation jump, Eq. 24 in [56] +5: λt+1(∆t+1) +▷ Local mixed-mode equivalent jump, Eq. 12 in [56] +6: Hn+1(λn+1, λn+1 +o +, λn+1 +c +) +▷ Loading function (failure criteria), Eq. 20 in [56] +7: rn+1 +D +(Hn+1, rn +D) +▷ Damage threshold, Eq. 21 in [56] +8: Dn+1(rn+1 +D +, λn+1 +o +, λn+1 +c +) +▷ Damage state, Eq. 20 in [56] +9: τ n+1 +coh (Dn+1, ∆t+1) +▷ Cohesive tractions, Eq. 7 in [56] +10: τ n+1 +con (∆n+1) +▷ Contact tractions, Eq. 8 in [56] +11: τ n+1 ← τ n+1 +coh + τ n+1 +con +References +[1] Abrate, S., 1994. 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Universitat Polit`ecnica de Catalunya, Departament de F´ısica. +30 + diff --git a/F9E5T4oBgHgl3EQfVg_E/content/tmp_files/load_file.txt b/F9E5T4oBgHgl3EQfVg_E/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..1c11ae52035195b31bf01480aff47bf5a4f4e789 --- /dev/null +++ b/F9E5T4oBgHgl3EQfVg_E/content/tmp_files/load_file.txt @@ -0,0 +1,1512 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf,len=1511 +page_content='Application of the partial Dirichlet-Neumann contact algorithm to simulate low-velocity impact events on composite structures G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Guillameta,∗, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Quintanas-Corominasa,b,c, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Riveroa, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Houzeauxa, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' V´azqueza, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Turonb aBarcelona Supercomputing Center (BSC), Pla¸ca Eusebi G¨uell, 1-3, Barcelona, 08034, Catalonia, Spain bAMADE, Universitat de Girona, Av.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Universitat de Girona 4, Girona, 17003, Catalonia, Spain cDepartment of Civil and Environmental Engineering, Imperial College London, London, SW7 2AZ, UK Abstract Impact simulations for damage resistance analysis are computationally intensive due to contact algo- rithms and advanced damage models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Both methods, which are the main ingredients in an impact event, re- quire refined meshes at the contact zone to obtain accurate predictions of the contact force and damage onset and propagation through the material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This work presents the application of the partial Dirichlet-Neumann contact algorithm to simulate low-velocity impact problems on composite structures using High-Performance Computing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This algorithm is devised for parallel finite element codes running on supercomputers, and it is extended to explicit time integration schemes to solve impact problems including damage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The proposed framework is validated with a standard test for damage resistance on fiber-reinforced polymer matrix com- posites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Moreover, the parallel performance of the proposed algorithm has been evaluated in a mesh of 74M of elements running with 2400 processors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Keywords: Contact mechanics, Damage modeling, Finite element analysis, High-Performance Computing 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Introduction Impacts by foreign objects against any part of the aircraft are a major concern for the aerospace industry because they may compromise the structural integrity of the aircraft.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Impact events can be classified into three main categories: low, high (including ballistics), and hyper-high velocity impacts [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' During the impact, the energy by the foreign object (projectile) is transferred to the target (structure), and consequently, the material can be damaged.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Concretely, low-velocity impact events on composite materials (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', tool drops during maintenance or manufacturing) can drastically reduce the residual strength of the part even for case scenarios of Barely Visible Impact Damage (BVID).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Therefore, designing composite structures with damage resistance cannot be avoided.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Moreover, extensive experimental campaigns particularly focused on the ∗Corresponding author Email address: gerard.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='guillamet@bsc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='es (G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Guillamet) Preprint submitted to Composites Part A: Applied Science and Manufacturing January 16, 2023 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='05552v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='CE] 11 Jan 2023 investigation and evaluation of damage resistance of a specific material may be prohibitive by the industry in terms of costs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thus, virtual testing of impact events is of great interest as mathematical models and technology advance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' However, solving the physics behind this problem, particularly from the material point of view, is still one of the most complex and challenging problems today.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' A review of existing software for composite impact modeling focused on low-velocity events is conducted by Nguyen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [38].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this review, the constitutive damage models play an essential role apart from the methods such as the contact algorithm or temporal integration scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Most of them can capture the trends and peak forces reasonably well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The research community has put and continues to put a lot of effort into developing reliable constitutive damage models for composites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Remarkable progress has been made on specific methodologies and constitutive damage models for predicting the damage resistance and damage tolerance of composite structures [28, 10, 17, 53, 29, 52, 51, 15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' However, in terms of computational performance, the resolution of an impact problem, including different sources of damage, is still computationally demanding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The use of sophisticated contact algorithms and advanced damage models require refined element meshes to accurately predict the onset and propagation of the damage in such materials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The most commonly used contact algorithms for the resolution of an impact problem are the Penalty methods [21], Classical Lagrange multipliers [4, 16] or the Augmented Lagrange multipliers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The latter is often chosen to solve the contact inequality constraints, see [58].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' However, the parallel aspects of these traditional contact algorithms are not trivial, and to the authors’ knowledge, little effort has been invested in the parallel aspects of such algorithms and their scalability in supercomputers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Some research works dealing with the parallel aspects of contact algorithms are [34, 35, 21].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' A completely different approach to the previous algorithms is the method of partial Dirichlet-Neumann (PDN) conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The contact is tackled as a coupled problem, in which the contacting bodies are treated separately, in a staggered way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The coupling is performed through the exchange of boundary conditions at the contact interface following a Gauss-Seidel strategy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The pioneering works using this approach are conducted by Krause and Wohlmuth [24] and Yastrebov [59], showing the capabilities of solving nonlinear contact problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' To the authors’ knowledge, one of the first applications of this method for explicit dynamics is made by Lapeer et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [25], where the PDN method was used to simulate natural childbirth using explicit dynamics and executed in a hybrid system with Central Processing Units (CPU) and Graphics Processing Unit (GPU) architectures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' However, little attention is dedicated to the computational performance and the parallel aspects of dealing with large-scale models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' More recently, this method has been adapted and implemented in parallel in the Alya multiphysics code [57] by Rivero [46] and published by the authors in [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The mathematical and the parallel aspects are described in detail in these works, demonstrating the benefits of the PDN contact algorithm in High-Performance Computing (HPC) systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this paper, we present the application of the aforementioned method proposed by the authors in [46, 19] 2 for the resolution of low-velocity impact problems for composite materials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Existing time integration schemes and constitutive models from the literature have also been adapted and implemented within a parallel framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' So the main contribution of the present paper is focused on the extension of the PDN contact algorithm for explicit time integration schemes and its use in HPC systems involving impact events in the field of composite materials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Additionally, a new mesh multiplication algorithm is presented to deal with cohesive elements and element technologies such as continuum shell elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The content of this paper is structured as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Firstly, the methods for the resolution of low-velocity impact events on composite materials including damage are explained with a strong emphasis on the contact algorithm and its implementation in parallel codes based on the finite element method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Then, the algorithm is validated through three benchmark tests.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The first one consists of a quasi-static indentation test to verify that the contact pressure is well captured by using implicit and explicit time integration schemes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The second and the third examples correspond to a low-velocity impact on a composite plate following the ASTM International standard to measure the damage resistance of fiber-reinforced polymers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' These last examples, use different material systems which are quite used by the aerospace industry, the T800S/M21 and the AS4/8552 carbon/epoxy systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The numerical predictions obtained are correlated with experiments, and the computational performance is analyzed and discussed for the coupon made of AS4/8552 material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Finally, the conclusions of this work are commented on together with future work to improve the simulation of impact events including damage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Modeling framework for low velocity impact events using High-performance systems This section describes the modeling framework and the application of the partial Dirichlet-Neumann (PDN) contact algorithm for the simulation of impact events.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Particular emphasis is put on the extension of such contact algorithm for explicit dynamic analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' All the methods presented here are implemented in the Alya multiphysics code [57] based on the Finite Element Method (FEM).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This parallel code is based on high- performance programming techniques for distributed and shared memory supercomputers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Moreover, the methods are programmed using the total Langrangian formulation, where stresses and strains are measured with respect to the original configuration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The Green strain measure and the 2nd Piola-Kirchoff stress are used, and we follow the notation from Belytschko et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [6] throughout the paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As an impact event is a complex and computationally demanding engineering problem is very attractive to be solved using High- Performance Computing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is worth highlighting that all the methods described here can be implemented in other parallel FEM codes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Partial Dirichlet-Neumann contact algorithm The low-velocity impact event proposed in this paper can be assumed as a non-linear contact problem, where the striker is considered as a rigid body and the plate as a deformable body.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Let’s assume that both 3 body instances are of arbitrary shape, and we do not consider friction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Therefore, this contact problem can be written as a boundary value problem, see Yastrebov [60], which includes the Hertz-Signorini-Moreau law for normal contact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' So the balance of momentum and the contact conditions can be written as follows: ∇ · σ + f v = 0 in Ω σ · n = σ0 on ΓN u = u0 on ΓD g ≥ 0, σn ≤ 0, σn g = 0, σt = 0 on ΓC (1) being σ the Cauchy stress tensor, f v a vector of volumetric forces, σ0 a set of prescribed tractions on the Neumann boundary, ΓN;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' u0 a set of prescribed displacements on the Dirichlet boundary, ΓD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Over the contact boundary, ΓC, we have imposed the following conditions: g represents the gap between contacting bodies, σn is the normal contact pressure, and σt is the tangential stress.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The tangential stress equal to zero (σt = 0) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (1) characterizes a frictionless contact case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In order to satisfy the conditions in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (1), the present paper uses the partial Dirichlet-Neumann contact algorithm proposed by Rivero [46, 19] which is based on the work from Yastrebov [60].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In the works mentioned above, the method was applied for implicit time integration schemes, while in the present work, the algorithm is extended to explicit schemes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The main benefits of the PDN contact algorithm to typical ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='Penalty or Lagrange Multipliers methods are the following: (i) the size of the problem does not increase due ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='to the Lagrange multipliers methods as unknowns (ii) no restriction with respect to the mesh partitioner ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='due to the use of contact elements (iii) absence of contact tangent matrices (implicit schemes) and residual ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='contact force vectors and (iv) easy to be parallelized as it can be treated as a solid-to-solid coupling using ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='existing methods for multiphysics applications such as the Gauss-Seidel scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The iterative process of the PDN contact algorithm in a frictionless problem is shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Let’s assume that the time of the simulation is 0 < t < tE and it is subdivided into nT S time steps ranging from n = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='nT S and tE is the time at the end of the simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' At time step n there is no interaction between both code instances, so no contact is detected (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Then, at time tn+1, contact is detected as we have overlapping between both bodies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' At this step, the non-penetration boundary conditions are treated kinematically, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', as Mulitple Point Constraints (MPC) by the projection of the nodes belonging to the slave surface (deformable’s body) to the master surface (rigid’s body) using a Dirichlet condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Then, a local coordinate system with normal-tangent basis vectors nj and tj is created for each detected node j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The contact node is restricted to only move to the tangent line defined by the vector tj, see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In a hypothetical frictional contact problem, the friction force would be imposed in this direction as a Neumann boundary condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this work, friction is not considered for the low-velocity impact as the relative velocities at the contact zone are sufficiently small.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' After that, the contact algorithm checks the 4 2 (a) (c) (b) (d) Rigid Deformable Contact node Released (free) node (e) Kinematic constraint for node 1 and 2 n2 t2 n1 t1 1 2 f c f c f c f c f c f c Figure 1: Iterative process of the parallel PDN contact algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (a) Interaction;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (b) Overlapping;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (c) Dirichlet boundary conditions (projections) (d) Released nodes and equilibrium.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (e) Kinematic constraint for node 1 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reader is referred to the web version of this paper for the color representation of this figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' presence of adhesion or artificial contact nodes, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', nodes in traction (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reaction contact force f c j has to satisfy the following condition: f c j · nj ≥ 0 (2) Those adhesion nodes have to be released, so the current time step tn+1 has to be repeated;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' the i index shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1c and 1d represents the sub-iterations for node release.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The whole kinematic constraint process is depicted for two of the contacting nodes in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The nodes release algorithm for explicit time schemes is described in Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The condition to distinguish a true contact node or an adhesion (artificial) contact node is by means of the contact force (reaction due to the Dirichlet condition).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The vector of contact forces using total Lagrangian formulation can be expressed as: (f c j)T = � Ω0 BT 0jP dΩ0 (3) where BT 0j is the matrix containing the derivatives of the shape functions with respect to the reference system and P is the nominal stress tensor, see [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' An exciting aspect of the PDN method is that the computational cost of the projections is very small compared to Penalty or Langrange approaches [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' One of the most consuming parts and a vital issue for further research is the contact searching and communication between the subdomains (belonging to different code instances), as stated in the previous work from the authors [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In our case, we use the PLE++ library [61], which is an adaptation of the Parallel Location and Exchange PLE library [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The main algorithm of the PDN contact method is described in Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1 in Appendix A and the nodes release algorithm for 5 explicit schemes is summarized in Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reader is referred to Rivero [46] and Guillamet et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [19] works for more details on the implementation aspects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Time integration schemes 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Deformable body Spurious oscillations may appear when using explicit time schemes for dynamic and wave propagation problems such as impact events.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' These oscillations occur due to the mismatch of two different types of wave components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thus, dissipative explicit time schemes are often used to reduce the numerical instabilities induced by the spatial and time discretization procedures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Among the many dissipative methods available, the Tchamwa–Wielgosz (TW) explicit scheme [31] is beneficial because it damps out the spurious oscillations occurring in the highest frequency domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This is the time integration scheme selected in this work, but any other explicit time scheme such as the Central Difference (CD) [6] including bulk viscosity could also be used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The motion described by the TW scheme is the following: ˙d n+1 = ˙d n + ∆t¨d n (4) dn+1 = dn + ∆t ˙d n + ϕ(∆t)2¨d n (5) where d, ˙d, ¨d are the displacement, velocity and acceleration nodal vectors, respectively;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' ∆t is the time increment or step size;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' and ϕ is a numerical viscous parameter, which in the current work is set to 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='033 [31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The key to the computational efficiency of explicit time integration schemes is the use of the lumped mass matrix for the resolution of the linear system of equations, which is simplified as an easy inversion of the diagonal mass matrix [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The global stiffness matrix is not required to be assembled as it is needed for implicit time integration schemes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The explicit time integration scheme solves accelerations,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' so their values at the beginning of the increment are computed by making use of the equation of motion of the system: m ¨d n = f n(dn,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' tn) = f e(dn,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' tn) − f i(dn,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' tn) − f c(dn,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' tn) (6) where m is the vector representation of the lumped mass matrix,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' f e is the global vector of external forces,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' f i is the global vector of the internal forces,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' and f c is the global vector of the contact forces from the Dirichlet condition imposed on that nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thanks to m, the acceleration can be computed without invoking any solver as: ¨d n = m−1(f e − f i − f c) (7) 6 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Rigid body The striker in the present work is considered as a rigid body.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The resolution of the equations of motion for the rigid bodies we use a 4th order Runge Kutta scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Let’s consider the following differential equation where the right hand side is a function of both time and another function dependent on time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' dy dt = f(t,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' y(t)) (8) From this equation,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' the Runge-Kutta method estimates the solution at n + 1 taking into account four evaluations of the right hand side step dt as follows,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' k1 = dt · f(t,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' y(t)) k2 = dt · f(t + dt 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' y(t) + k1 2 ) k3 = dt · f(t + dt 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' y(t) + k2 2 ) k4 = dt · f(t + dt,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' y(t) + k3) yn+1 = y(t + dt) = y(t) + k1 6 + k2 3 + k3 4 + k4 6 (9) In the present paper,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' the motion of the striker is solved by making use of the following differential equation: m · ¨d = m · g − f e (10) where m is a scalar value of the mass of the rigid body,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' g is the gravity force vector at the center of mass,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' ¨d is the linear acceleration,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' and f e is the external force also at the center of mass from the rigid body.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is worth mentioning that the rigid body is represented by a point (center or mass), so the above vectors have a dimension of 2 for 2-d problems and 3 for 3-d problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' When contact occurs the external force from the rigid body is calculated by f e = �nc j=1 f c j, where j denotes a contact node and nc is the total contact nodes belonging to the deformable body.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Mesoscale damage modeling for fiber-reinforced composites The mesoscopic length scale is the most suitable for virtual testing of low-velocity impacts on structures made of composite materials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' At this scale, the numerical predictions have a good trade-off between infor- mation about the damage mechanisms driving the failure process and the structural response without the complexity of dealing with intricate microstructures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is worth emphasizing that the mesoscopic length scale is not only appropriate for the bottom levels of the building block approach (coupon and elements) [28, 53, 15, 50] but also for the top levels (sub-components and components) [43, 44, 13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 7 From the constitutive modelling viewpoint, the mesoscopic length scale simplifies the intricate microstruc- ture of long fibre composite laminates by homogenising the properties and mechanisms at the lamina level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The outcome is a layered material with two well-defined regions: intralaminar and interlaminar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The former is modelled as a transversally isotropic material, which can fail due to fibre breaking and matrix cracking according to the loading scenario.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The latter is modelled as a very thin region, usually tending to zero thickness, where delamination can onset and propagate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Regarding the modelling architecture, several strategies exist in the literature suitable for modelling composite at a mesoscopic length scale using FEM [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' We adopt a continuous approach for the intralam- inar region (CDM with linear elements) and a discontinuous one for the interlaminar (CZM with interface elements).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The straightforward implementation of this strategy in a standard FEM code aids in preserv- ing the scalability of Alya multiphysics [41].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thus, the mesoscale damage modeling strategy exploits the computational resources to maximize the accuracy of the impacts thanks to very thin meshes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Intralaminar damage model The intralaminar damage model for predicting ply failure is based on the continuum damage mechanics framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Fiber and matrix cracks are smeared in the continuum and represented by state variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Accordingly, the crack’s kinematics is not explicitly represented, but their effects on the degradation of the capacities of sustaining loads.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In turn, the onset and growth of the damage failure mechanisms are governed by the failure surfaces and evolution laws.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this work, we employ a local damage model based on the constitutive modeling framework for long fiber composite materials proposed by Maim´ı et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [32, 33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This framework has been used widely in the literature, demonstrating outstanding accuracy and performance not only for static scenarios [11, 7, 41] but also for impact [17, 51, 48] and fatigue [26, 27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The main ingredients of the intralaminar damage model are: i) transversally isotropic elasto-plastic re- sponse,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' ii) damage activation functions related to the different ply failure mechanisms through the maximum strain criterion for the fiber breaking and the LaRC criteria for the matrix cracking,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' iii) the damage evolution laws are defined to dissipate the fracture energy associated to the opening mode ensuring mesh objectivity by the crack-band theory [5],' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' and iv) the thermodynamic consistency is ensured by imposing irreversibility of the damage variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 illustrates the intralaminar failure modes schematically modelled, while Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4 in Appendix A summarises the material model workflow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Note that a plastic response under shear loads is considered, and five damage mechanisms are modelled: fibre breaking, fibre kinking, tensile and compressive matrix cracking, and shear matrix cracking.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The details of the expressions employed and their justification from a physical standpoint can be found in [32, 33, 51].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Besides the constitutive response, the intralaminar damage model also encloses the computation of the critical time step, which is required by the explicit time integration scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' For the sake of simplicity, we 8 Fibre breaking Fibre kinking Matrix cracking Matrix cracking Matrix cracking Figure 2: Schematic representation of the intralaminar damage mechanisms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Adapted from [26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' utilise the same formula of a transversally isotropic material: ∆t = vsound ℓc = � max Cij ρ (11) where Cij are the components of the effective stiffness matrix, ρ is the density of the material, and ℓc is the characteristic element length.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Considering a structured hexahedral mesh employed, we approximate the characteristic element length with the element volume Ve [33]: ℓc ≈ 3� Ve (12) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Interlaminar damage model The interlaminar damage model for predicting the onset and propagation of delamination is based on the cohesive zone approach and formulated in the context of damage mechanics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Accordingly, a damage state variable is employed to account for the gradual loss of the bearing capacities of the material in the cohesive zone due to the separation of crack surfaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In turn, the separation or opening of the crack is represented by a kinematic quantity noted as displacement jump, which is approximated by employing the interface element technology [2, 39, 9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thus, the interlaminar damage model is a constitutive model that computes the cohesive reactions as a function of displacement jumps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' More details of the mesoscale modeling of delamination using cohesive zone models can be found in Carreras et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this work, we use the cohesive zone model proposed by Turon et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [54, 56], which has been employed extensively in the literature [20, 47, 40, 42].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The main characteristics of this CZ model are: i) linear response 9 125 μm125 μm125 μm125 μm125 μmbefore initiation of the softening, ii) linear relation between the cohesive tractions and crack openings, iii) onset and propagation of the damage in compliance with the Benzeggagh-Kenane criterion, and iv) thermodynamic consistency despite the loading scenario, even when the mix-mode ratio varies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 5 summarizes the cohesive zone model workflow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Regarding the element technology, we employ zero-thickness interface elements for capturing the delam- ination, implemented using the formulation presented in [45].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As standard interface elements are used, the integrals are computed using a Newton-Cotes integration scheme to mitigate the spurious oscillations in the traction profile along the interface [49].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The stable time increment, which is necessary for the explicit time integration scheme is obtained through [51]: ∆tcoh = � ¯ρ Kcoh (13) where ¯ρ and Kcoh are numerical parameters known as cohesive surface density and penalty stiffness, re- spectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The cohesive surface density for zero-thickness elements is approximated by the expression in [52].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In turn, the cohesive penalty stiffness is defined to avoid affecting the compliance of the system as Kcoh ≥ 50ET /tlam, where ET is the transverse elastic modulus and tlam the adjacent laminate thickness [55].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Mesh refinement algorithm for interface elements with a cohesive law The mesh multiplication algorithm proposed by Houzeaux et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [22] has been extended to deal with the presence of interface elements or even continuum shell element formulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Focusing on interface elements, they are zero-thickness elements with a cohesive material law that are inserted between plies in a laminated composite material in order to predict the delamination damage mechanism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is well known that an accurate prediction of the onset and propagation of delamination in composite materials requires very refined meshes, as stated in [54, 55].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' However, depending on the number of interface layers or the geometry size, it can be challenging to place these elements between plies and computationally demanding to solve the problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' On the other hand, mesh generation of large meshes is often a bottleneck in engineering applications to deal with thousands of millions of elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thus, integrated tools for mesh refinement within parallel codes devised for High-Performance systems allow a parallel and fast refinement of the coarse mesh without the need to create the mesh again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Therefore, this paper also introduces a new capability of the mesh multiplication algorithm from [22], which enables the refinement of large-scale problems, including interface elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Let’s assume a configu- ration of two bulk elements together with an interface element between them, as shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 10 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Interface element Solid element 2 3 4 1 6 7 8 5 Original node New edge node New face node New center node 2 3 4 6 8 5 (ne ELINT= 4) Bulk element Interface element (ne BULK = 8) Global numbering Local numbering 1 7 Figure 3: Mesh multiplication between bulk and interface (cohesive) elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The 8-node interface element can only be divided into four elements to avoid the duplication of the element at the interface mid-plane between the bulk elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The criterion used for the correct division is by making use of the element normal, also known as stacking direction, which is required for the proper behaviour of the element due to its kinematics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thus, those parallel planes to the element normal are used to divide the element.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The dimensions of the new mesh can be calculated as follows: ne = 8 · n0 e,BULK − n0 e,ELINT · 4 nn = n0 n + nedges + nfaces + n0 e,BULK − n0 e,ELINT − n0 edges,ELINT − n0 faces,ELINT nb = 4 · n0 b − 2 · n0 b,ELINT (14) where ne, nn and nb are the total number of elements, nodes and boundaries for the new mesh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In order to refine the hybrid mesh is important to know the total number of n0 e, n0 n and n0 b from the original mesh and also information about the edges and faces that have to be divide or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3 summarizes the different steps and functions for the mesh division and reconstruction of the interface domains in a parallel framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Benchmark tests Three benchmark tests are conducted to validate the application of the parallel partial Dirichlet-Neumann contact algorithm using an explicit time integration scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The first example consists of a quasi-static indentation test, which has already been solved using an implicit time integration scheme in [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The solution using explicit analysis is compared with the numerical solution obtained for implicit analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The second and the third examples consist of a low-velocity impact event on two coupons manufactured with two 11 well-known material systems for the damage prediction: T800S/M21 and AS4/8552 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Thanks to the proposed algorithm’s flexibility and generality, we use a multi-code approach, where the motion of each body (rigid and deformable) is solved using different instances of Alya.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Regarding the partitioning of the mesh, we use the Space-Filling Curve (SFC) based partitioner described in [8], which performs the partitioning in parallel and maximizes the load balance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is worth highlighting that all the executions here are in parallel (pre-process, solution, and post-process steps).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In all the examples, the contact bodies are discretized with a refined finite element mesh to assess the geometrical localization between both code instances and to obtain an accurate prediction of the contact force.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' All the simulations are conducted in MareNostrum4 supercomputer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This cluster has 3456 nodes, each of them with 48 processors Intel Xeon Platinum @ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 [GHz], giving a total processor count of 165 888 processors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Quasi-static indentation test This example has already been solved using an implicit time solution scheme in [19, 46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This case is now solved as a quasi-static problem using explicit dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The example consists of a rigid rounded head (indenter) and a deformable beam, see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The geometrical dimensions of the indenter (rigid body) are ri = 1 m and wi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 m, while the beam (deformable body) are hb = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='25 m, lb = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 m and wb = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The relative position of the indenter with respect to the beam is given by the parameters ax = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='25 m, az = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 m and ay = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='01 m (gap).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The beam is modelled with an hyperelastic Neo-Hookean formulation [3] and finite strains, with material properties Eb = 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='896 × 108 Pa (Young modulus), νb = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='32 (Poisson ratio) and density ρ = 1000 kg m−3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The beam is fully clamped at the bottom face, and a prescribed vertical displacement of δ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='11 m is applied at the top surface belonging to the indenter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Both bodies are discretized with finite elements using full integration: 8-node linear solid elements for the beam and 4-node linear tetrahedrons for the indenter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The beam has a base mesh of 3510 elements, while the indenter has 15 960 elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' A non-linear dynamic analysis is performed with a total time of the simulation of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='05 s and a fixed time step of 1 × 10−5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The selected time step value is smaller than the stable time increment, which is 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='796 × 10−5, and no mass scaling is used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In order to perform a quasi-static event and minimize the kinetic energy, a smooth step function (fifth-order polynomial) is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This function has the form A0+(AE −A0)ξ3(10−15ξ+6ξ2) for t0 ≤ t < tE, where A0 and A1 are the initial and final amplitude, t0 and tE are the initial and final time of the simulation and ξ = t−t0 tE−t0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This smooth load rate ensures that the first and second time derivatives are zero at the beginning and the end of the transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 12 Beam (deformable) hb x y z y lb wi wb az ax Indenter (rigid) ri ux = uy = uz = 0 ux = uz = 0, ay uy = Figure 4: Setup for the quasi-static indentation test.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Adapted from [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Displacements and forces obtained at the contact zone are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 5 for two different paths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Line path a is centered and goes from one side to the other in the length direction of the beam, while line path b is also centered in the width direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The numerical prediction using the explicit time integration scheme is compared with the implicit solution obtained in [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' We can observe an excellent agreement between both numerical predictions in terms of the displacements and contact force.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (a) (b) (c) (e) (d) Path b Path a [18] [18] [18] [18] [18] Figure 5: Displacements and contact forces at straight lines path a and b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (a) Tangential displacement in x-direction for path a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (b) Normal displacement in y-direction for path a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (c) Tangential displacement in z-direction for path b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (d) Contact force at line path a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (e) Contact force at line path b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 13 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Low velocity impact on a composite plate The proposed benchmark consists of a drop-weight of a rigid hemispherical striker on a rectangular plate made of composite material, see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Two impact scenarios using different material systems, layups, and impact energies are considered for the validation of the proposed framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The materials selected are the unidirectional prepreg M21/194/34%/T800S (T800S/M21) and the unidirectional prepreg AS4/8552, both carbon-epoxy systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' On the one hand, the coupon made of T800S/M21 is manufactured by Hellenic Aerospace Industry and tested at Element Materials Technology Seville facilities within the framework of the CleanSky2 SHERLOC project.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Most of the material properties from the T800S/M21 are also characterized by Hellenic Aerospace Industry and Element Materials Technology Seville.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' On the other hand, the coupon made of AS4/8552 is chosen from literature through the works conducted by Gonz´alez et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [17] and Soto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [51].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' All the material properties from the aforementioned materials, including damage model parameters, are summarized in Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The intralaminar damage model is fed by the in-situ strengths which are calculated following the works by Furtado et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [15] and Soto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [51].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Rubber clamp (ux = uy = uz = 0) Striker rs = 8 mm (ux = uy = 0) ms = 5 kg Top view 75 mm 125 mm R7 Refined region (75 mm x 75 mm) (uz = 0) Window cut Stacking sequence [454/04/-454/904]s Cohesive elements between clusters tply = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='18125 mm tcoh = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 x 10-4 mm Figure 6: Numerical setup for the low velocity impact test.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The mesh and layup correspond to the coupon made of AS4/8552 material used for the parallel performance analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Both impact case scenarios follow the standard ASTM D7136/D7136M-20 [23] for damage resistance evaluation of fiber-reinforced polymers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Each plate has the same dimensions: 150 mm×100 mm and each of them are supported on a metallic frame with a cut-out of 125 mm×75 mm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Rubber-tipped clamps clamp the plate instance at the four corners.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' We consider equivalent boundary conditions to represent this experiment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As we can see in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 6, the metallic frame and the rubber clamps from the experiment do not exist as physical entities, so we only consider the contact surface from the rubber cylinder-shaped clamps and the contact edges of the cut-out window of the metallic frame, where we apply the boundary conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 14 T800S/M21 AS4/8552 Property Value CV(%) Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Value Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Density (t/mm3) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='59 × 10−9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='59 × 10−9 [51, 17] Elastic E11 (MPa) 138.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4 × 103 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='95 128.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 × 103 [51, 17] E22 = E33 (MPa) 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='54 × 103 3 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='63 × 103 [51, 17] ν12 = ν13 (-) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='311 16 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='35 [51, 17] ν23 (-) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='45 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='45 [51, 17] G12 = G13 (MPa) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='29 × 103 3 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='358 × 103 [51, 17] G23 (MPa) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='945 × 103 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='631 × 103 [51, 17] Strength XT (MPa) 2854.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 4 2300.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 [51, 17] XC (MPa) 1109.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 13 1531.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 [51, 17] YT (MPa) 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 74.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 YC (MPa) 250.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 [15] 199.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 [51, 17] SL (MPa) 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='36a [36] αo (◦) 53 [32] 53 [32] In-situ strengthsc Y is T,int (MPa) 132.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 (1tply) 117.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 (4tply) Y is T,int (MPa) 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7 (2tply) 117.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 (8tply) Y is T,out (MPa) 83.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 (1tply) 74.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 (4tply) Y is C,int (MPa) 250.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 (1tply) 199.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 (4tply) Y is C,int (MPa) 250.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 (2tply) 199.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 (8tply) Y is C,out (MPa) 250.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 (1tply) 199.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 (4tply) Sis L,int (MPa) 116.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 (1tply) 120.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 (4tply) Sis L,int (MPa) 116.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 (2tply) 120.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 (8tply) Sis L,out (MPa) 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7 (1tply) 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4 (4tply) Fracture toughness GXT (N/mm) 340 [15] 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 [51, 17] GXC (N/mm) 60.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 [15] 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 [51, 17] GY T (N/mm) GIc 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 GIc [51, 17] GY C (N/mm) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='38b 20 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='313b [51, 17] GSL (N/mm) GIIc 20 GIIc [51, 17] Traction separation law fXT (-) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 [51, 17] fGT (-) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 [51, 17] fXC (-) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 [51, 17] fGC (-) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 [51, 17] Matrix plasticity Sp (N/mm) 66.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 [15] 62.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0a Kp (N/mm) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='09 [15] 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1936a Interface properties GIc (N/mm) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='308 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='28 [51, 17] GIIc (N/mm) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='828 20 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='79 [51, 17] τI (MPa) 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2d 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 YT [51, 17] τII (MPa) 80.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7d 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 SL [51, 17] η (-) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='75 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='45 [51, 17] Kcoh (M/mm3) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 × 106 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 × 104 [51] a Best fitted based on properties from [36] b GY C = GSL/cos(αo) [32] c Calculated considering plasticity using equations from [51] d Engineering solution by Turon et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2007 [55] using Ne=5 Table 1: Material properties for the M21/194/34%/T800S (T800S/M21) and Hexply AS4/8552 including damage models parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 15 The velocity of the striker is given as an initial condition set in the impact direction, while the remaining degrees of freedom are constrained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The initial velocity of the striker is calculated based on the impact energy of each case study.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The initial position of the striker has a gap of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='01 mm between the striker tip and the top surface of the plate in order to avoid overlapping between bodies at the beginning of the simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Moreover, gravity forces are included in both body instances, considering a gravity value of 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='81 m/s2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' We employ 8-node full integration hexahedron elements for the plate using the inter- and intra-laminar damage models described in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 and Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Cohesive elements are inserted at each interface between different ply angles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is worth highlighting that other constitutive material models and element technologies would also be feasible in combination with the proposed contact algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' With regards to the strikers used for each impact case scenario, they are discretized with 4-node linear tetrahedron elements with a biased mesh of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 mm at the center of the half-sphere and 1 mm at the end of the edge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The total number of elements for the striker used for the T800S/M21 and AS4/8552 materials are 32 685 and 79 934, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Regarding the plates, they both have a refined centered region of 75 mm×75 mm with an in-plane element size equal or multiple to the ply thickness, depending on the material system in order to guarantee an aspect ratio close or equal to 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Coupon made of T800S/M21 material This impact coupon has a stacking sequence of [45/ − 45/02/90/0]S and is made of T800S/M21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The nominal ply thickness is 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='192 mm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This case study is submitted to an impact energy of 10 J, which falls into the Barely Visible Impact Damage (BVID) analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The striker has a diameter of 25 mm and a mass of 2 kg, which is modeled as a rigid body.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The global element size for the plate is 1 mm, and each lamina and the clusters of two plies have one element through the thickness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The in-plane element size is 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='192 mm which is equal to the ply thickness resulting in an aspect ratio of 1 for those elements at plies without clustering and located at the refined region.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The mesh of the plate has a total of 1 042 525 hexahedron elements (≈ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 million of Degrees Of Freedom (DOF)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The total time for this simulation is set to 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The initial velocity of the striker considering the gap previously mentioned is 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='16 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The numerical predictions for this impact case scenario and their comparison with experimental data are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 7 and summarized in Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The experimental test campaign consisted of testing a batch of five coupons to ensure proper repeatability of the results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The force-time for each impact was recorded with a limited number of points (52 points on average for each impact test).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reduced number of points only allows for validation of the global behavior of the impact case scenario.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Energy-time and the force-displacement curves are calculated by integrating once and twice the experimental force history curve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 16 (a) (b) (c) Figure 7: Experimental and numerical curves for the 10J impact on the coupon made of T800S/M21 material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (a) Impact force-time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (b) Impact force-displacement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (c) Energy-time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As we can see either in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 7 and Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 a good agreement is obtained between experiments and numerical predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' On the one hand, the proposed contact algorithm combined with the proposed damage models is able to capture the maximum impact force very well and the maximum displacement pretty well with errors below 10%, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' On the contrary, the different dissipated energies obtained by the experiments show a high dispersity between them, resulting in difficulty in conducting a fair comparison between the predicted value 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 J and the experimental mean value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Experiment Prediction Difference (%) Mean Std.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Maximum impact force, f c max (kN) 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 Maximum displacement, dmax (mm) 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 Dissipated energy, Edis (J) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 >10 Table 2: Comparison of numerical results with experimental data for the impact case scenario of the plate made of T800S/M21 material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Coupon made of AS4/8552 material This second case consists of a coupon made with the AS4/8552 material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The plate has a stacking sequence of [454/04/ − 454/904]S with a nominal ply thickness of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='181 mm resulting a plate thickness of 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 mm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This case study has higher energy (19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 J) than the previous one, and it also includes clusters of four and eight plies which are potential for extensive matrix cracks and delaminations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The energy of 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 J also falls into BVID analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The in-plane element sizes used in [17] and [51] are 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 mm and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 mm respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In the present work, two element sizes are studied using the mesh refinement algorithm described in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4, see Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The base mesh for the plate has a total of 335 622 hexahedron elements (≈ 1 million of Degrees Of Freedom (DOF)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The total time for the simulation is set to 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0 ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this case, the striker has a mass 17 of 5 kg, and its radius is 8 mm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The initial velocity of the striker considering the gap previously mentioned is 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='78 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Refinement Element No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' element No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' elem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' nodes Initial stable level, ndivi size (mm) through ply cluster plate plate time increment (s) 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7250 1 335 622 364 320 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='378 × 10−8 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3625 2 2 109 624 2 219 983 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='515 × 10−8 Table 3: Element sizes used on the coupon made of AS4/8552 material system and initial stable time increment for each case study.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The numerical predictions of the impact force-displacement and energy - time curves are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 8 and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 9 respectively, using different element sizes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The most important physics variables for a proper validation are summarized in Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This table compares the experimental results from [51] with the numerical predictions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Case f c del (kN) f c max (kN) dmax (mm) Edis (J) Aproj del (mm2) Experiment [17] 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='41 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='74 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='72 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='03 3898.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 Numerical (le = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7250 mm) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='20 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='70 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='60 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='70 4723.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 Numerical (le = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3625 mm) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='30 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='30 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='70 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='90 5249.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='20 Table 4: Comparison of the numerical results obtained with the proposed framework with experimental data from [51].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' fc del is the delamination threshold force, fc max is the maximum contact force, dmax is the maximum indentation, Edis is the dissipated energy and Aproj del is the projected delamination area.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The initial elastic deflection of the plate is very well captured for all the meshes (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 8), meaning that the stiffness of the plate is accurately predicted by the PDN contact algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' After that, delamination onset occurs at the top of the elastic part, around 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 kN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This point is also very well captured by the interlaminar damage model using cohesive elements between each of the ply clustering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Then, a combination of interlaminar and intralaminar damage occurs until the striker reaches both the maximum load and displacement, resulting with a pretty good prediction as also shown in Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Since damage appears, the continuum damage models and the characterization of the material properties play a fundamental role in the simulation of this benchmark case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Despite the delamination threshold, maximum force and displacement are very well captured;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' the dissipated energy and the projected delamination area are overpredicted, see Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' According to Soto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [51], the projected delamination and the corresponding energy dissipated could be considerably improved when using solid elements with one integration point for the bulk material and cohesive contact surfaces instead of cohesive elements to be able to better predict the delamination shapes at each interface of the layup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 18 Figure 8: Numerical prediction of the force-displacement curved using two element sizes and correlation with the experiment from Gonz´alez et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Figure 9: Numerical prediction of the impact energy vs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' time using two element sizes and correlation with the experiment from Gonz´alez et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 10 depicts and aims to quantify the most important failure mechanisms that appear on the plate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Fiber damage is represented by damage variable D1, which includes both fiber breakage and fiber kinking, see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 10a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As we can see, this source of damage is not the most predominant and mostly appears at the bottom of the striker.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Matrix cracking is represented with the damage variable D2, which includes matrix tension and compression (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 10b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Finally, the last source of damage is delamination (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 10b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Its prediction is compared with the shape obtained from the experiment, which is represented in dashed lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As we discussed previously, this source of damage is overpredicted for all the element sizes studied, see Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4 and further research would be required in that direction as the values of the material properties, and 19 the damage models play a fundamental role.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Furthermore, the extensive matrix cracks and delamination predicted for this impact case scenario corroborate the experimental observations by Gonz´alez et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [18] on the effect of ply clustering to originate extensive matrix cracks and large delaminations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3898.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 mm2 (a) (b) (c) Experiment Numerical 5248.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 mm2 10 mm Dcoh D1 D2 Figure 10: Numerical prediction of the damage occurred in the coupon.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (a) Fiber damage, D1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (b) Matrix cracking, D2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' (c) Projected delamination, Dcoh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The numerical result correspond to the most refined mesh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Parallel performance The speedup and the parallel efficiency of the proposed contact algorithm for solving low-velocity impact events are evaluated in this section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' All the executions are conducted in MareNostrum4 supercomputer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' A strong scalability analysis has been conducted using a larger mesh than the ones studied in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The model corresponds to the AS4/8552 impact case scenario.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The new mesh has a total of 74M elements with 228M of DOF, which results from a base mesh of 1 472 328 elements using two levels of the mesh refinement algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Strong scalability consists of fixing the mesh and solving the problem with a different number of processors, Central Processing Unit (CPU).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The strong speedup is calculated as t0 tN while the parallel efficiency is calculated as t0N0 tNN , where N is the number of processors and t0 is the reference simulation time for N0 processors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The number of processors used for this analysis ranges from 192 to 2400.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Due to the resolution of the problem following a multibody/multicode approach, the number of processors for the striker is fixed to 16 (sufficiently for its mesh) while the number of processors for the plate is changed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is worth mentioning that the strong computational effort falls in the resolution (deformation) of the plate and the localization and exchange of information phases, as explained in [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Due to the small time step in this simulation, 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='261 × 10−9 s, the simulations for the scalability curve are limited to the first 7460 time 20 DAM01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0e+00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='80.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0e+00 Y Y L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' DAM02 DCOHE 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0e+00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0e+00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0e+00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='0e+00steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The end of the execution (last time step) corresponds to an impact force of approximately 1 kN, which falls into the linear elastic regime of the force-displacement curve shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The strong speedup and parallel efficiency are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The ideal scalability and efficiency are represented with a dashed line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Average No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' of elements per core Strong speedup Parallel Efficiency Total No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' of processors Total No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' of processors Figure 11: Strong scalability of the low velocity impact test with a plate mesh of 74M hexahedron elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The model corresponds to the benchmark case using AS4/8552 material system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The results obtained in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 11 show that the scalability of the problem in explicit analysis is really good up to 2400 processors using a mesh of 74M elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The parallel efficiency is maintained above 90%, which demonstrates the good scalability of the proposed framework to deal with large-scale problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This linear behavior is also shown in Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 5 where we summarize the total CPU time for each execution using a different number of processors while maintaing fixed the size of the problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 21 No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' of CPUs 192 384 768 1536 1824 2064 2400 17:20 08:33 4:15 02:11 01:51 01:39 01:27 Table 5: Total CPU time expressed in hh:mm for different executions of the low-velocity impact simulation considering a fixed mesh of 74M of elements (228M of DOF) with a total of 7460 time steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This CPU time includes the preprocess part, where two mesh refinement levels are performed and the solution of the contact problem within the elastic regime of the force-displacement curve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' It is also worth mentioning that the application of the proposed contact algorithm in explicit dynam- ics improves both the speedup and the parallel efficiency in comparison to an implicit resolution for the deformable body (plate), as already studied by the authors in [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This improvement in computational per- formance is mainly attributed to the time integration scheme for the deformable body.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In explicit dynamics, it is not required to invert the global matrix of the system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this case, the unknown is the acceleration, and the system is solved directly using the lumped mass matrix and the global force vector on the right-hand side.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reader is referred to [6] for more details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Conclusions In this paper, we apply the parallel PDN contact algorithm to simulate low-velocity impact events on fiber-reinforced polymer composites using a High-Performance Computing environment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Existing damage models from the literature have been implemented in our multiphysics finite element code Alya to simulate the material damage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Moreover, we introduce a new capability in the in-house mesh refinement algorithm to deal with cohesive elements and other element types, such as continuum shell elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This is really attrac- tive as we can refine the finite element mesh at the beginning of the simulation with a meager computational cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' We validate the whole framework with several benchmark tests.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The last example corresponds to a well-known low-velocity impact test following the ASTM standard for damage resistance analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In this case, we study two impact case scenarios with two different material systems: the T800S/M21 and the AS4/8552, obtaining excellent predictions for impact behavior and pretty good damage occurrence compared to experimental data from the literature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Additionally, the mesh refinement algorithm’s capabilities have been demonstrated for the plate made of AS4/8552 material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Finally, we evaluate the parallel performance of the impact simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Despite not using ”very” large meshes for the physics validation cases, we have generated a new larger mesh using the mesh refinement algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reason behind this is the stable time increment, which becomes smaller as the element size decrease.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The new mesh has 74M hexahedron elements (228M of DOF) using full integration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' An excellent computational efficiency (above 90%) has been obtained up to 2400 CPUs, demonstrating its applicability to solve large mesh models ranging from micro-scale to macro-scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 22 A further conclusion of this work is that we demonstrate the potential application of the parallel PDN contact algorithm for low-velocity impact events and its parallel efficiency for large models compared to traditional Penalty or Lagrange contact-based methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As we commented previously, we use full integration elements for all the examples;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' the use of reduced integration elements, which are more appropriate for explicit schemes and overcome the well-known locking pathologies from solid brick elements, can considerably increase the speedup of the simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Moreover, the localization of contact nodes and the communication between subdomains created by the domain decomposition method is a crucial issue for further research as it is the main bottleneck regarding the computational efficiency of contact algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Acknowledgements This work has received funding from the Clean Sky 2 Joint Undertaking (JU) under grant agreements No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 807083 and No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 945521 (SHERLOC project).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The JU receives support from the European Union’s Horizon 2020 research and innovation program and the Clean Sky 2 JU members other than the Union.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The authors gratefully acknowledge Hellenic Aerospace Industry for manufacturing of the coupons made of T800S/M21 material and Kirsa Mu˜noz and Miguel ´Angel Jim´enez from Element Materials Technology Seville for conducting the experimental impact tests and providing all the experimental data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Quintanas- Corominas acknowledges financial support from the European Union-NextGenerationEU and the Ministry of Universities and Recovery, Transformation and Resilience Plan of the Spanish Government through a call of the University of Girona (grant REQ2021-A-30).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Guillamet thankfully acknowledges the computer resources at MareNostrum and the technical support provided by Barcelona Supercomputing Center (FI- 2019-2-0010).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Last but not least, the authors would also like to thank the late Claudio Lopes for all the interesting discussions and contributions to the simulation of impact events and damage on composites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Algorithms Here we summarize the main algorithms of the whole modeling framework to solve low-velocity impact events for damage resistance of fiber-reinforced polymer composites by making use of High-Performance Computing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 23 Algorithm 1 Main code for the partial Dirichlet-Neumann (PDN) contact algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' This PDN contact algorithm is treated as a coupling problem between two or more body instances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In the present algorithm, we describe the contact algorithm between two code instances: a rigid body represented by the domain Ωa and the deformable body represented by the domain Ωb.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The coupling is performed through the exchange of boundary conditions at the contact interface following a Gauss-Seidel strategy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' At each time step, contact detection is done for both instances, and synchronization and localization is executed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' When contact is detected (at least one boundary node belonging to the deformable body is penetrated inside the rigid body), the rigid one computes and sends to the deformable body all the information required for the enforcement of the kinematic boundary conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reader is referred to the Ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' from Rivero [46], or [19] for more details on the implementation aspects of the proposed contact algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Require: Ωa, Ωb 1: loop time 2: Compute time step, tn+1 3: loop reset 4: if Rigid body, Ωa then 5: Contact detection (localization) ▷ Contact detection & localization, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1 in [19] 6: Exchange data: receive f cont from Ωb ▷ Exchange & communication data, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 in [19] 7: call calculateProjections() ▷ Projections & local coordinate system, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3 in [19] 8: call RK4Scheme() ▷ Solve system 9: Exchange data: send projection data to Ωb ▷ Exchange & communication data, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 in [19] 10: end if 11: if Deformable body, Ωb then 12: Contact detection (localization) ▷ Contact detection & localization, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1 in [19] 13: Exchange data: receive data (projections) from Ωa ▷ Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 in [19] 14: call EssentialBoundaryCondition() ▷ Contact nodes & Dirichlet condition, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 4 in [19] 15: call ExplicitScheme() ▷ Solve system 16: call ReleaseNodes() ▷ Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 17: Exchange: send f cont to Ωa ▷ Exchange & communication data, Algo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2 in [19] 18: end if 19: if kfl reset = 0 then 20: exit loop reset 21: end if 22: end loop 23: end loop Algorithm 2 ReleaseNodes() algorithm for explicit time integration schemes This algorithm is executed concurrently and for each subdomain at the end of the time step tn+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The kfl reset is the key flag for the repetition of the current time step tn+1 when exists adhesion contact nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The sign of the contact force is checked according to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The key flag to release the adhesion nodes is called kfl nodes to release.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Then the adhesion contact nodes are released (as free non-contacting nodes), and the time step is repeated, activating the reset key flag.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' As all the subdomains require to know if the time step has to be repeated or not, the MPI_MAX is in charge to collect the value of the reset for all the subdomains of the mesh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 1: kfl reset ← 0 2: Get contact force f c and mark adhesion nodes 3: if kfl nodes to release then 4: Adhesion nodes are set to free nodes 5: kfl reset ← 1 6: end if 7: call MPI_MAX(kfl reset) 24 Algorithm 3 Recursive mesh multiplication algorithm The level of mesh refinement is set with the parameter ndivi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' ne, nn and nb are the total number of elements, nodes and boundaries of the new mesh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The same parameters with the superscript 0 indicate the initial dimension of the mesh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In order to define the dimensions of the new mesh is necessary to know the total number of edges (nedgg) and faces nfacg of the initial mesh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Then, once the dimensions are known, the DivideMesh() subroutine is in charge of doing the following actions: i) divide each edge and face from the initial mesh, ii) define the new element connectivities, iv) define the new element boundary connectivities and v) assign the material codes and the corresponding fields such as material coordinate systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The last step of the mesh division algorithm is to reconstruct the interface domains through the ReconstructInterfaceDomains() subroutine.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The reader is referred to Houzeuax et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [22] for more details on the implementation and parallel aspects of the proposed algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Input n0 e, n0 n, n0 b , ndivi Output ne, nn, nb 1: for idivi = 1, ndivi do 2: nedgg = GetEdges() 3: nfacg = GetFaces() 4: ne, nn, nb = GetDimensions() ▷ Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 14 5: call DivideMesh() ▷ Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 [22] 6: call ReconstructInterfaceDomains() ▷ Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2 [22] 7: end for Algorithm 4 Workflow of the intralaminar damage model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The strain and stress tensors, ε and σ, are defined in the material coordinate system using compact notation [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The superscripts n and n + 1 define the past and current time steps, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The subscripts N indicate the four damage mechanisms associated with the loading function φN and internal threshold variables rN (fibre breaking, fibre kinking, tensile matrix cracking, and compressive matrix cracking).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In turn, the subscript M indicates the five uniaxial damage states DM, represented in 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The required material properties are i) elastic properties (E11, E22, ν12, ν23, G12 ), ii) ply strengths (XT , XC, YT , YC, SL), iii) fracture toughness (GXT , GXC, GY T , GY C, GSL) associated with the damage mechanism, and iv) yield strength and hardening (Sp, Kp);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' all these properties can be obtained through standardised tests or computational micromechanics simulations [30].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The required parameters are: characteristic element length ℓc [33] and state variables at the past time step, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' εn p , and rt M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' At the initial time step, the state variables are initialised as εn p = 0 and rn M = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Input εn+1, εn p , rn M, ℓc, material properties Output σn+1, εn+1 p , rn+1 M 1: εn+1 p (εn p ) ▷ Plastic strains, yield function in [51] 2: εn+1 e ← εn+1 − εn+1 p ▷ Effective elastic strains 3: σn+1 e ← H−1 · εn+1 e ▷ Effective compliance matrix H in [30]g 4: φn+1 M (σn+1 e ) ▷ Loading functions (failure criteria), Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 8, 13, 20, 21 in [32] 5: rn+1 N (φn+1 N , rn N) ▷ Damage thresholds, Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 24, 26 in [32] 6: Dn+1 M (rn+1 N ) ▷ Damage state variables according [51] and Eq 6 in [32] 7: σn+1 ← H−1(Dn+1 M ) · εn+1 e ▷ Nominal compliance matrix H(Dn+1 M ) in [30] 25 Algorithm 5 Workflow of the cohesive zone model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The displacement jumps and interface tractions, ∆ = {∆1, ∆2, ∆3}T and τ = {τ1, τ2, τ3}T , are defined at the mid-plane being 1 and 2 tangential and 3 normal directions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The superscripts t and t + 1 define the past and current time steps, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' In turn, the subscript M indicates the pure-mode I and II openings associated with the opening directions, I ↔ {3} and II ↔ {1, 2}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The latter is also referred with the subscript sh in [56].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The required input parameters are i) onset displacement jumps (∆Mo), ii) critical displacement jumps (∆Mc), iii) penalty stiffness (KM), and iv) Benzeggagh-Kenane exponent for the mixed-mode ratio (η).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The onset and critical jumps can be obtained from the cohesive strengths (τM) and fracture toughness material properties by ∆Mo = τM/KM and ∆Mc = 2GM/τM, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' The damage threshold state variable at the past time rn D, which is initialised at the initial time step as rn D = 0, is also required to evaluate the model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Input ∆n+1, rn D, material properties Output τ n+1, rn+1 D 1: Kn+1 B (∆n+1) ▷ Local mixed-mode penatly stiffness, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 13 in [56] 2: Bn+1(∆n+1) ▷ Local mixed-mode ratio, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 17 in [56] 3: λn+1 o (Bn+1, Kn+1 B ) ▷ Local mixed-mode onset jump, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 26 in [56] 4: λn+1 c (Bn+1, Kn+1 B , λn+1 o ) ▷ Local mixed-mode propagation jump, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 24 in [56] 5: λt+1(∆t+1) ▷ Local mixed-mode equivalent jump, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 12 in [56] 6: Hn+1(λn+1, λn+1 o , λn+1 c ) ▷ Loading function (failure criteria), Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 20 in [56] 7: rn+1 D (Hn+1, rn D) ▷ Damage threshold, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 21 in [56] 8: Dn+1(rn+1 D , λn+1 o , λn+1 c ) ▷ Damage state, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 20 in [56] 9: τ n+1 coh (Dn+1, ∆t+1) ▷ Cohesive tractions, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 7 in [56] 10: τ n+1 con (∆n+1) ▷ Contact tractions, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 8 in [56] 11: τ n+1 ← τ n+1 coh + τ n+1 con References 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Computer Methods in Applied Mechanics and Engineering 205-208, 68–82.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' doi:10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1016/j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' cma.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='2011.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='01.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='011.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' special Issue on Advances in Computational Methods in Contact Mechanics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [59] Yastrebov, V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', 2011.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Computational Contact Mechanics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Phd thesis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' MINES ParisTech.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' doi:10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1017/CBO9781107415324.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 004.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' [60] Yastrebov, V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', Breitkopf, P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', 2013.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Numerical Methods in Contact Mechanics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' doi:10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='1002/9781118647974.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 29 [61] Zavala-Ak´e, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content='M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=', 2018.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' A high-performance computing coupling tool for partitioned multi-physics applications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Phd thesis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' Universitat Polit`ecnica de Catalunya, Departament de F´ısica.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} +page_content=' 30' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/F9E5T4oBgHgl3EQfVg_E/content/2301.05552v1.pdf'} diff --git a/FNE0T4oBgHgl3EQfQwDu/content/tmp_files/2301.02199v1.pdf.txt b/FNE0T4oBgHgl3EQfQwDu/content/tmp_files/2301.02199v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..861c797948b34e185ae0227d86f96413599cc9c6 --- /dev/null +++ b/FNE0T4oBgHgl3EQfQwDu/content/tmp_files/2301.02199v1.pdf.txt @@ -0,0 +1,684 @@ +arXiv:2301.02199v1 [math.GR] 5 Jan 2023 +On the Generalized Fitting Height and Nonsoluble +Length of the Mutually Permutable Products of Finite +Groups∗ +Viachaslau I. Murashka1,2 and Alexander F. Vasil’ev3,2 +Abstract +The generalized Fitting height h∗(G) of a finite group G is the least number h such +that F∗ +h(G) = G, where F∗ +(0)(G) = 1, and F∗ +(i+1)(G) is the inverse image of the generalized +Fitting subgroup F∗(G/F∗ +(i)(G)). Let p be a prime, 1 = G0 ≤ G1 ≤ · · · ≤ G2h+1 = G +be the shortest normal series in which for i odd the factor Gi+1/Gi is p-soluble (possibly +trivial), and for i even the factor Gi+1/Gi is a (non-empty) direct product of nonabelian +simple groups. Then h = λp(G) is called the non-p-soluble length of a group G. We proved +that if a finite group G is a mutually permutable product of of subgroups A and B then +max{h∗(A), h∗(B)} ≤ h∗(G) ≤ max{h∗(A), h∗(B)} + 1 and max{λp(A), λp(B)} = λp(G). +Also we introduced and studied the non-Frattini length. +Keywords: Finite group; generalized Fitting subgroup; mutually permutable product +of groups; generalized Fitting height; non-p-soluble length; Plotkin radical. +1 +Introduction and the Main Results +All groups considered here are finite. E.I. Khukhro and P. Shumyatsky introduced and +studied interesting invariants of a group: the generalized Fitting height and the nonsoluble +length [11–13]. The first one is the extension of the well known Fitting height to the class of +all groups and the second one implicitly appeared in [8,20]. +Definition 1.1 (Khukhro, Shumyatsky). (1) The generalized Fitting height h∗(G) of a finite +group G is the least number h such that F∗ +h(G) = G, where F∗ +(0)(G) = 1, and F∗ +(i+1)(G) is the +inverse image of the generalized Fitting subgroup F∗(G/F∗ +(i)(G)). +(2) Let p be a prime, 1 = G0 ≤ G1 ≤ · · · ≤ G2h+1 = G be the shortest normal series +in which for i odd the factor Gi+1/Gi is p-soluble (possibly trivial), and for i even the factor +Gi+1/Gi is a (non-empty) direct product of nonabelian simple groups. Then h = λp(G) is called +the non-p-soluble length of a group G. +(3) Recall that λ2(G) = λ(G) is the nonsoluble length of a group G. +In [12] E.I. Khukhro and P. Shumyatsky showed that in the general case the generalized +Fitting height of a factorized group is not bounded in terms of the generalized Fitting heights +of factors. The same situation is also for the nonsoluble length. +Recall [1, Definition 4.1.1] that a group G is called a mutually permutable product of its +subgroups A and B if G = AB, A permutes with every subgroup of B and B permutes with +1email: mvimath@yandex.ru +2Francisk Skorina Gomel State University, Gomel, Belarus +3email: formation56@mail.ru +∗Supported by BFFR Φ23PHΦ-237 +1 + +every subgroup of A. The products of mutually permutable subgroups is the very interesting +topic of the theory of groups (for example, see [1, Chapter 4]). +The main result of our paper is +Theorem 1.1. Let a group G be the product of the mutually permutable subgroups A and B. +Then +(1) max{h∗(A), h∗(B)} ≤ h∗(G) ≤ max{h∗(A), h∗(B)} + 1. +(2) max{λp(A), λp(B)} = λp(G) for any prime p. In particular, max{λ(A), λ(B)} = λ(G). +If a group G is soluble, then h∗(G) = h(G) is the Fitting height of a group G. +Corollary 1.2 ([10]). If a soluble group G is the product of the mutually permutable subgroups +A and B, then max{h(A), h(B)} ≤ h(G) ≤ max{h(A), h(B)} + 1. +Example 1.1. Note that the symmetric group S3 of degree 3 is the mutually permutable product +of the cyclic groups Z2 and Z3 of orders 2 and 3 respectively. Hence h∗(S3) = max{h∗(Z2), h∗(Z3)}+ +1 = max{h(Z2), h(Z3)} + 1. +2 +The Functorial Method +According to B.I. Plotkin [15] a functorial is a function γ which assigns to each group G its +characteristic subgroup γ(G) satisfying f(γ(G)) = γ(f(G)) for any isomorphism f : G → G∗. +We are interested in functorials with some properties: +(F1) f(γ(G)) ⊆ γ(f(G)) for every epimorphism f : G → G∗. +(F2) γ(N) ⊆ γ(G) for every N ⊴ G. +(F3) γ(G) ∩ N ⊆ γ(N) for every N ⊴ G. +Remark 2.1. (0) Functions F∗ and Rp that assign to every group respectively its the generalized +Fitting subgroup and the p-soluble radical are examples of functorials. It is well known that they +satisfy (F1), (F2), (F3). +(1) Recall that a functorial γ is called a Plotkin radical if it satisfies (F1), idempotent (i.e. +γ(γ(G)) = γ(G)) and N ⊆ γ(G) for every γ(N) = N ⊴ G [5, p. 28]. +(2) A functorial that satisfies (F3) is often called hereditary (nevertheless, the same word +means different in the theory of classes of groups). +(3) A functorial γ is a hereditary Plotkin radical if and only if it satisfies (F1), (F2), (F3). +Let prove it. Assume that γ is a hereditary Plotkin radical. We need only to prove that it satisfies +(F2). If N ⊴ G, then γ(N) char N ⊴ G. So γ(N) ⊴ G. Now γ(N) = γ(γ(N)) ⊆ γ(G). Thus +a hereditary Plotkin radical satisfies (F1), (F2), (F3). Assume that γ satisfies (F1), (F2), (F3). +We need only to prove that it is idempotent. By (F3) we have γ(G) = γ(G) ∩ G ⊆ γ(γ(G)) ⊆ +γ(G). Thus γ(γ(G)) = γ(G). +(4) The functorial Φ which assigns to every group G its Frattini subgroup Φ(G) satisfies +(F1) and (F2) but not (F3). +(5) If γ satisfies (F2) and (F3), then γ(G) ∩ N = γ(N) for every group G and N ⊴ G. +Lemma 2.1. If γ satisfies (F1) and (F2), then γ(G1 × G2) = γ(G1) × γ(G2) for any groups +G1 and G2. +Proof. From Gi ⊴ G1 × G2 it follows that γ(Gi) ⊆ γ(G1 × G2) by (F2) for i ∈ {1, 2}. Note +that γ(G1 × G2)Gi/Gi ⊆ γ((G1 × G2)/Gi) = (γ(G¯i) × Gi)/Gi by (F1) for i ∈ {1, 2}. Now +γ(G1 × G2) ⊆ (γ(G1 × G2)G2) ∩ (γ(G1 × G2)G1) ⊆ +(γ(G1) × G2) ∩ (G1 × γ(G2)) = γ(G1) × γ(G2). +Thus γ(G1 × G2) = γ(G1) × γ(G2). +2 + +Recall [15] that for functorials γ1 and γ2 the upper product γ2 ⋆ γ1 is defined by +(γ2 ⋆ γ1)(G)/γ2(G) = γ1(G/γ2(G)). +Proposition 2.2. Let γ1 and γ2 be functorials. If γ1 and γ2 satisfy (F1) and (F2), then γ2 ⋆γ1 +satisfies (F1) and (F2). Moreover if γ1 and γ2 also satisfy (F3), then γ2 ⋆ γ1 satisfies (F3). +Proof. (1) γ2 ⋆ γ1 satisfies (F1). +Let f : G → f(G) be an epimorphism. From f(γ2(G)) ⊆ γ2(f(G)) it follows that the +following diagram is commutative. +G +f +� +f4 +�P +P +P +P +P +P +P +P +P +P +P +P +P +P +P +f1 +� +f(G) +f3 +� +G/γ2(G) +f2� f(G)/γ2(f(G)) +Let X = γ1(G/γ2(G)) and Y = γ1(f(G)/γ2(f(G))). Note that (γ2 ⋆ γ1)(G) = f −1 +1 (X) and +(γ2 ⋆ γ1)(f(G)) = f −1 +3 (Y ) by the definition of γ2 ⋆ γ1. Since γ1 satisfies (F1), we see that +f2(X) ⊆ Y . Hence X ⊆ f −1 +2 (Y ). Now (γ2 ⋆ γ1)(G) ⊆ f −1 +1 (f −1 +2 (Y )) = f −1 +4 (Y ). So +f((γ2 ⋆ γ1)(G)) ⊆ f(f −1 +4 (Y )) = f −1 +3 (Y ) = (γ2 ⋆ γ1)(f(G)). +Thus γ2 ⋆ γ1 satisfies (F1). +(2) γ2 ⋆ γ1 satisfies (F2). +Let N ⊴ G. From γ2(N) char N ⊴ G it follows that γ2(N) ⊴ G. Since γ2 satisfies (F2), +we see that γ2(N) ⊆ γ2(G). So the following diagram is commutative. +G +f1� +f3 +�❍ +❍ +❍ +❍ +❍ +❍ +❍ +❍ +❍ +❍ +G/γ2(N) +f2 +� +G/γ2(G) +Let X = γ1(G/γ2(N)), Y = γ1(N/γ2(N)) and Z = γ1(G/γ2(G)). Note that (γ2 ⋆ γ1)(G) = +f −1 +3 (Z) and (γ1 ⋆ γ2)(N) ⊆ f −1 +1 (Y ). Since γ1 satisfies (F1) and (F2), we see that f2(X) ⊆ Z +and Y ⊆ X. Now +(γ2 ⋆ γ1)(N) ⊆ f −1 +1 (Y ) ⊆ f −1 +1 (X) ⊆ f −1 +1 (f −1 +2 (Z)) = f −1 +3 (Z) = (γ2 ⋆ γ1)(G). +Hence γ2 ⋆ γ1 satisfies (F2). +(3) If γ1 and γ2 also satisfy (F3), then γ2 ⋆ γ1 satisfies (F3). +Assume that γ1 and γ2 satisfy (F2) and (F3). Let N ⊴ G. +Since Nγ2(G)/γ2(G) ∩ (γ2 ⋆ γ1)(G)/γ2(G) ⊴ (γ2 ⋆ γ1)(G)/γ2(G) = γ1(G/γ2(G)), we see by +(5) of Remark 2.1 that +γ1((Nγ2(G) ∩ (γ2 ⋆ γ1)(G))/γ2(G)) = (Nγ2(G) ∩ (γ2 ⋆ γ1)(G))/γ2(G). +Note that +(Nγ2(G) ∩ (γ2 ⋆ γ1)(G))/γ2(G) = +(N ∩ (γ2 ⋆ γ1)(G))γ2(G)/γ2(G) ≃ (N ∩ (γ2 ⋆ γ1)(G))/(N ∩ γ2(G)) += (N ∩ (γ2 ⋆ γ1)(G))/γ2(N) ⊴ N/γ2(N). +It means that (N ∩ (γ2 ⋆ γ1)(G))/γ2(N) ⊆ γ1(N/γ2(N)). Thus N ∩ (γ2 ⋆ γ1)(G) ⊆ (γ2 ⋆ γ1)(N), +i.e γ2 ⋆ γ1 satisfies (F3). +3 + +Here we introduce the height hγ(G) of a group G which corresponds to a given functorial γ. +Definition 2.1. Let γ be a functorial. Then the γ-series of G is defined starting from γ(0)(G) = +1, and then by induction γ(i+1)(G) = (γ(i) ⋆ γ)(G) is the inverse image of γ(G/γ(i)(G)). The +least number h such that γ(h)(G) = G is defined to be γ-height hγ(G) of G. If there is no such +number, then hγ(G) = ∞. +The following Lemma directly follows from Proposition 2.2. +Lemma 2.3. Let γ be a functorial. If γ satisfies (F1) and (F2), then γ(n) satisfies (F1) and +(F2) for all natural n. Moreover if γ satisfies (F3), then γ(n) satisfies (F3) for all natural n. +Lemma 2.4. Let γ be a functorial. If γ satisfies (F1) and (F2), then hγ(G/N) ≤ hγ(G) ≤ +hγ(N) + hγ(G/N) for every N ⊴ G. Moreover, if γ also satisfies (F3), then hγ(N) ≤ hγ(G). +Proof. Note that γ(n) satisfies (F1) and (F2) for every n by Lemma 2.3. +Since γ(n) satisfies (F1), G/N = γhγ(G)(G)/N ≤ γ(hγ(G))(G/N) ≤ G/N. So γ(hγ(G))(G/N) = +G/N. Thus hγ(G/N) ≤ hγ(G). +Since γ(n) satisfies (F2), we see that N = γ(hγ(N))(N) ⊆ γ(hγ(N))(G). Note that hγ(G/γ(hγ(N))(G)) ≤ +hγ(G/N). Thus hγ(G) ≤ hγ(N) + hγ(G/N). +Assume that γ also satisfies (F3). +Then γ(n) satisfies (F3) by Lemma 2.3. +Now N = +G ∩ N = γ(hγ(G))(G) ∩ N ⊆ γ(hγ(G))(N) ≤ N. So γ(hγ(G))(N) = N. Thus hγ(N) ≤ hγ(G). +If γ = F∗, then hγ(G) = h∗(G) for every group G. The non-p-soluble length can also be +defined with the help of functorials. Here by Rp(G) we denote the p-soluble radical of a group +G. +Lemma 2.5. Let Fp = Rp ⋆F∗ ⋆Rp and G be a non-p-soluble group. Then λp(G) is the smallest +natural i with Fp(i)(G) = G. +Proof. Let 1 = G0 ≤ G1 ≤ · · · ≤ G2h+1 = G be the shortest normal series in which for i odd the +factor Gi+1/Gi is p-soluble (possibly trivial), and for i even the factor Gi+1/Gi is a (non-empty) +direct product of nonabelian simple groups. +Note that G1 ≤ Rp(G) and G2/G1 is quasinilpotent. Hence G2Rp(G)/Rp(G) is quasinilpo- +tent. It means that G2Rp(G)/Rp(G) ≤ F∗(G/Rp(G)). Hence G2 ≤ (Rp ⋆ F∗)(G). Since G3/G2 +is p-soluble, we see that G3(Rp ⋆ F∗)(G)/(Rp ⋆ F∗)(G) is p-soluble. Hence G3(Rp ⋆ F∗)(G)/(Rp ⋆ +F∗)(G) ≤ Rp(G/(Rp ⋆ F∗)(G)). It means that G3 ≤ Fp(G) = Fp(1)(G). +Assume that we proved G2i+1 ≤ Fp(i)(G). Let prove that G2(i+1)+1 ≤ Fp(i+1)(G). +From G2i+1 ≤ Fp(i)(G) it follows that G2i+1 ≤ (Fp(i) ⋆ Rp)(G). +Note that G2i+2/G2i+1 +is quasinilpotent. It means that G2i+2(Fp(i) ⋆ Rp)(G)/(Fp(i) ⋆ Rp)(G) is quasinilpotent. Hence +G2i+2 ≤ ((Fp(i)⋆Rp)⋆F∗)(G). Since G2(i+1)+1/G2i+2 is p-soluble, we see that G2(i+1)+1(Fp(i)⋆Rp⋆ +F∗)(G)/(Fp(i)⋆Rp⋆F∗)(G) is p-soluble. Hence G2(i+1)+1(Fp(i)⋆Rp⋆F∗)(G)/((Fp(i)⋆Rp⋆F∗)(G) ≤ +Rp(G/(Fp(i) ⋆ Rp ⋆ F∗)(G)). It means that G2(i+1)+1 ≤ (Fp(i) ⋆ Rp ⋆ F∗ ⋆ Rp)(G) = Fp(i+1)(G). +Therefore λp(G) ≥ n where n is the smallest integer with Fp(n)(G) = n. Since Rp ⋆Rp = Rp, +we see that Fp(n)(G) presents a normal series 1 ≤ F1 ≤ F2 ≤ · · · ≤ F2n+1 in which for i odd the +factor Fi+1/Fi is p-soluble (possibly trivial), and for i even the factor Fi+1/Fi is a (non-empty) +direct product of nonabelian simple groups. So λp(G) ≤ n. Thus λp(G) = n. +Now we are able to estimate the γ-height of the direct product subgroups and of the join +of subnormal subgroups: +4 + +Theorem 2.6. Let γ be a functorial with γ(H) > 1 for every group H that satisfies (F1) +and (F2). +(1) If G = ×n +i=1Ai is the direct product of its normal subgroups Ai, then hγ(G) = max{hγ(Ai) | +1 ≤ i ≤ n}. +(2) Let G = ⟨Ai | 1 ≤ i ≤ n⟩ be the join of its subnormal subgroups Ai. Then hγ(G) ≤ +max{hγ(Ai) | 1 ≤ i ≤ n}. If γ satisfies (F3), then hγ(G) = max{hγ(Ai) | 1 ≤ i ≤ n}. +Proof. Note that γ(n) satisfies (F1) and (F2) for every n by Proposition 2.2. +(1) From Lemma 2.1 it follows that if G = ×n +i=1Ai, then γ(n)(G) = ×n +i=1γ(n)(Ai). It means +that hγ(G) = max{hγ(Ai) | 1 ≤ i ≤ n}. +(2) Assume that G = ⟨Ai | 1 ≤ i ≤ n⟩ is the join of its subnormal subgroups Ai, h1 = +max{hγ(Ai) | 1 ≤ i ≤ n} and h2 = hγ(G). Since γ(n) satisfies (F2), we see that γ(n)(N) ⊆ +γ(n)(G) for every subnormal subgroup N of G and every n. Now +G = ⟨Ai | 1 ≤ i ≤ n⟩ = ⟨γ(h1)(Ai) | 1 ≤ i ≤ n⟩ ⊆ γ(h1)(G) ⊆ G. +Hence γ(h1)(G) = G. It means that h2 ≤ h1. +Suppose that γ satisfies (F3). Now γ(n) satisfies (F3) for every n by Proposition 2.2. From +(5) of Remark 2.1 it follows that γ(n)(G) ∩ N = γ(n)(N) for every subnormal subgroup N of G. +Now Ai = Ai ∩ G = Ai ∩ γ(h2)(G) = γ(h2)(Ai). It means that hγ(Ai) ≤ h2 for every i. Hence +h1 ≤ h2. Thus h1 = h2. +Corollary 2.7. Let a group G = ⟨Ai | 1 ≤ i ≤ n⟩ be the join of its subnormal subgroups Ai. +Then h∗(G) = max{h∗(Ai) | 1 ≤ i ≤ n} and λp(G) = max{λp(Ai) | 1 ≤ i ≤ n}. +3 +The Classes of Groups Method +Recall that a formation is a class F of groups with the following properties: (a) every +homomorphic image of an F-group is an F-group, and (b) if G/M and G/N are F-groups, then +also G/(M ∩ N) ∈ F. Recall that the F-residual of a group G is the smallest normal subgroup +GF of G with G/GF ∈ F. +A formation is called Fitting if (a) from N ⊴ G ∈ F it follows that N ∈ F and (b) a group +G ∈ F whenever it is a product of normal F-subgroups. Recall that the F-radical GF of a group +G is the greatest normal F-subgroup. +The classes N∗ of all quasinilpotent groups and Sp of all p-soluble groups are Fitting for- +mations. +From [3, IX, Remarks 1.11 and Theorem 1.12] and [3, IV, Theorem 1.8] follows +Lemma 3.1. Let F and H be non-empty Fitting formations. Then +FH = (G | GF ∈ H) = (G | G/GH ∈ F) +is a Fitting formation. +Corollary 3.2. The class Hp = (G | Fp(G) = G) is a Fitting formation. +It is straightforward to check that for a Fitting formation F, the F-radical can be considered +as a functorial γ which satisfies (F1), (F2) and (F3). For convenience in this case denote hγ by +hF. Now h∗(G) = hF∗(G) = hN∗(G) and for a non-p-soluble group λp(G) = hFp(G) = hHp(G). +Lemma 3.3. Let F be a Fitting formation. If H ̸= 1 and hF(H) < ∞, then hF(HF) = hF(H)−1. +Proof. Let prove that if H ̸= 1 and hF(H) < ∞, then hF(HF) = hF(H) − 1. Let hF(H) = n +and hF(HF) = k. Then HF(n−1)(H) < H and H/HF(n−1) ∈ F. It means that HF ≤ HF(n−1). +Since HF(n−1) satisfies (F3), we see that (HF)F(n−1) = HF. Hence k ≤ n − 1. +Note that HF = (HF)F(k) ≤ HF(k). It means that H/HF(k) ∈ F. Hence k ≥ n − 1. Thus +k = n − 1. +5 + +If F, H, K ̸= ∅ are formations, then (FH)K = F(HK) by [3, IV, Theorem 1.8]. That is why +the class Fn = F . . . F +� �� � +n +is a well defined formation. +Lemma 3.4. For a natural number n and a Fitting formation F holds Fn = (G | hF(G) ≤ n). +Proof. From Lemma 3.3 it follows that if G ∈ (G | hF(G) ≤ n), then GFn = 1. It means that +(G | hF(G) ≤ n) ⊆ Fn. Assume that there is a group G ∈ Fn with hF(G) > n. Note that +G +F ̸= G for every quotient group G ̸≃ 1 of G. Then hF(GFn) > 0 by Lemma 3.3. It means that +GFn ̸= 1, a contradiction. Therefore Fn ⊆ (G | hF(G) ≤ n). Thus Fn = (G | h(G) ≤ n). +In the next lemma we recall the key properties of mutually permutable products +Lemma 3.5. Let a group G = AB be a mutually permutable product of subgroups A and B. +Then +(1) [1, Lemma 4.1.10] G/N = (AN/N)(BN/N) is a mutually permutable product of sub- +groups AN/N and BN/N for every normal subgroup N of G. +(2) [1, Lemma 4.3.3(4)] If N is a minimal normal subgroup of a group G, then {N ∩A, N ∩ +B} ⊆ {1, N}. +(3) [1, Lemma 4.3.3(5)] If N is a minimal normal subgroup of G contained in A and B∩N = +1, then N ≤ CG(A) or N ≤ CG(B). If furthermore N is not cyclic, then N ≤ CG(B). +(4) [1, Theorem 4.3.11] AGBG ̸= 1. +(5) [1, Corollary 4.1.26] A′ and B′ are subnormal in G. +Recall that π(G) is the set of all prime divisors of |G|, π(F) = ∪ +G∈Fπ(G) and Nπ denote the +class of all nilpotent π-groups. +Lemma 3.6. Let F be a Fitting formation. Assume that hF(G) ≤ h + 1 for every mutually +permutable product G of two F-subgroups. Then +max{hF(A), hF(B)} − 1 ≤ hF(G) ≤ max{hF(A), hF(B)} + h +for every mutually permutable product G of two subgroups A and B with hF(A), hF(B) < ∞. +Proof. If A = 1 or B = 1, then there is nothing to prove. Assume that A, B ̸= 1. Let a group +G = AB be the product of mutually permutable subgroups A and B. From hF(A), hF(B) < ∞ +it follows that π(G) ⊆ π(F). According to [3, IX, Lemma 1.8] Nπ(F) ⊆ F. Note that A′ and B′ +are subnormal in G by (5) of Lemma 3.5. Since HF ⊴ HNπ(F) ⊴ H′ holds for every π(F)-group +H, subgroups AF and BF are subnormal in G. Let C = ⟨AF, BF⟩G = ⟨{(AF)x | x ∈ G}∪{(BF)x | +x ∈ G}⟩. Then by (2) of Theorem 2.6 and by Lemma 3.3 +hF(C) = max +� +{(hF(AF)x) | x ∈ G} ∪ {(hF(BF)x) | x ∈ G} +� += max{hF(AF), hF(BF)} = max{hF(A), hF(B)} − 1. +Now G/C = (AC/C)(BC/C) is a mutually permutable product of F-subgroups AC/C and +BC/C by (1) of Lemma 3.5. It means that hF(G/C) ≤ h + 1 by our assumption. With the +help of Lemma 2.4 we see that +hF(G) ≤ hF(C) + hF(G/C) ≤ max{hF(A), hF(B)} − 1 + 1 + h = max{hF(A), hF(B)} + h. +From the other hand, hF(G) ≥ hF(C) = max{hF(A), hF(B)} − 1 by (2) of Theorem 2.6. +Lemma 3.7. Let F be a Fitting formation. Assume that a group G is the least order group +with +(1) G is a mutually permutable product of two subgroups A and B with hF(A) ≥ hF(B); +(2) hF(G) = hF(A) − 1. +Then G has the unique minimal normal subgroup N, N ≤ A and hF(A/N) = hF(A) − 1. +6 + +Proof. Let N be a minimal normal subgroup of G. Then N ∩ A ∈ {N, 1} by (2) of Lemma 3.5. +Assume that N ∩ A = 1. Now G/N = (AN/N)(BN/N) is a mutually permutable product +of groups AN/N and BN/N by (1) of Lemma 3.5. By our assumption and hF(G) ≥ hF(G/N) ≥ +hF(AN/N) = hF(A), a contradiction. Hence N ∩ A = N for every minimal normal subgroup N +of G. +Now hF(G) + 1 = hF(A) > hF(G) ≥ hF(G/N) ≥ hF(A/N) ≥ hF(A) − 1. It means that +hF(G) = hF(A/N) = hF(A) − 1. +If G has two minimal normal subgroups N1 and N2, then hF(A/N1) = hF(A/N2) = hF(A)−1. +It means hF(A) < hF(A) − 1 by Lemma 3.4, a contradiction. Hence G has a unique minimal +normal subgroup N. +4 +Proof of Theorem 1.1(1) +Our proof relies on the notion of the X-hypercenter. A chief factor H/K of G is called +X-central in G provided +(H/K) ⋊ (G/CG(H/K)) ∈ X +(see [18, p. 127–128] or [7, 1, Definition 2.2]). A normal subgroup N of G is said to be X- +hypercentral in G if N = 1 or N ̸= 1 and every chief factor of G below N is X-central. The +symbol ZX(G) denotes the X-hypercenter of G, that is, the product of all normal X-hypercentral +in G subgroups. According to [18, Lemma 14.1] or [7, 1, Theorem 2.6] ZX(G) is the largest +normal X-hypercentral subgroup of G. If X = N is the class of all nilpotent groups, then +ZN(G) = Z∞(G) is the hypercenter of G. +Lemma 4.1. Let n be a natural number. +Then (N∗)n = (G | h∗(G) ≤ n) = (G | G = +Z(N∗)n(G)). +Proof. First part follows from Lemma 3.4. It is well known that the class of all quasinilpotent +groups is a composition (or Baer-local, or solubly saturated) formation (see [2, Example 2.2.17]). +According to [18, Theorem 7.9] (N∗)n is a composition formation. Now (N∗)n = (G | G = +Z(N∗)n(G)) by [7, 1, Theorem 2.6]. +For a normal section H/K of G the subgroup C∗ +G(H/K) = HCG(H/K) is called an inneriser +(see [2, Definition 1.2.2]). It is the set of all elements of G that induce inner automorphisms +on H/K. +From the definition of the generalized Fitting subgroup it follows that it is the +intersection of innerisers of all chief factors. +Lemma 4.2. Let N be a normal subgroup of a group G. If N is a direct product of isomorphic +simple groups and h∗(G/C∗ +G(N)) ≤ k − 1, then F∗ +(k)(G/N) = F∗ +(k)(G)/N. +Proof. Assume that h∗(G/C∗ +G(N)) ≤ k − 1. +Let F/N = F∗ +(k)(G/N). +Then F∗ +(k)(G) ⊆ F. +Now F/C∗ +F(N) ≃ FC∗ +G(N)/C∗ +G(N) ⊴ G/C∗ +G(N). Therefore h∗(F/C∗ +F(N)) ≤ k − 1. It means +that h∗(F/C∗ +F(H/K)) ≤ k − 1 for every chief factor H/K of F below N. Hence (H/K) ⋊ +(F/CF(H/K)) ∈ (N∗)k for every chief factor H/K of F below N. It means that N ≤ Z(N∗)k(F). +Thus F ∈ (N∗)k by Lemma 4.1. So F ⊆ F∗ +(k)(G). Thus F∗ +(k)(G) = F. +Lemma 4.3. If a group G = AB is a product of mutually permutable quasinilpotent subgroups +A and B, then h∗(G) ≤ 2. +Proof. To prove this lemma we need only to prove that if a group G = AB is a product +of mutually permutable quasinilpotent subgroups A and B, then G ∈ (N∗)2 by Lemma 4.1. +Assume the contrary. Let G be a minimal order counterexample. +(1) G has a unique minimal normal subgroup N and G/N ∈ (N∗)2. +7 + +Note that G/N is a mutually permutable product of quasinilpotent subgroups (AN/N) and +(BN/N) by (1) of Lemma 3.5. Hence G/N ∈ (N∗)2 by our assumption. Since (N∗)2 is a +formation, we see that G has a unique minimal normal subgroup. According to (4) of Lemma +3.5 AGBG ̸= 1. WLOG we may assume that G has a minimal normal subgroup N ≤ A. +(2) N ≤ A ∩ B. +Suppose that N ∩ B = 1. Then A ≤ CG(N) or B ≤ CG(N) by (3) of Lemma 3.5. If A ≤ +CG(N), then N ⋊ G/CG(N) ≃ N ⋊ B/CB(N) ∈ (N∗)2. If B ≤ CG(N), then N ⋊ G/CG(N) ≃ +N ⋊ A/CA(N) ∈ (N∗) ⊆ (N∗)2 by [2, Corollary 2.2.5]. In both cases N ≤ Z(N∗)2(G). It means +that G ∈ (N∗)2, a contradiction. Now N ∩ B ̸= 1. Hence N ≤ A ∩ B by (2) of Lemma 3.5. +(3) N is non-abelian. +Assume that N is abelian. Since A is quasinilpotent, we see that A/CA(N) is a p-group. +By analogy B/CB(N) is a p-group. Note that A/CA(N) ≃ ACG(N)/CG(N) and B/CB(N) ≃ +BCG(N)/CG(N). From G = AB it follows that G/CG(N) is a p-group. Since N is a chief +factor of G, we see that G/CG(N) ≃ 1. So N ≤ Z∞(G) ≤ Z(N∗)2(G). Thus G ∈ (N∗)2, a +contradiction. It means that N is non-abelian. +(4) The final contradiction. +Now N is a direct product of minimal normal subgroups of A. Since A is quasinilpotent, we +see that every element of A induces an inner automorphism on every minimal normal subgroup +of A. Hence every element of A induces an inner automorphism on N. +By analogy every +element of B induces an inner automorphism on N. +From G = AB it follows that every +element of G induces an inner automorphism on N. So NCG(N) = G or G/CG(N) ≃ N. Now +N ⋊ (G/CG(N)) ∈ (N∗)2. It means that N ≤ Z(N∗)2(G). Thus G ∈ (N∗)2 and h∗(G) ≤ 2, the +final contradiction. +Proof of Theorem 1.1(1). Let a group G be a mutually permutable product of subgroups A +and B. From Theorem 2.6 and Lemma 4.3 it follows that +max{h∗(A), h∗(B)} − 1 ≤ h∗(G) ≤ max{h∗(A), h∗(B)} + 1. +Assume that max{h∗(A), h∗(B)} − 1 = h∗(G). WLOG let h∗(A) = h∗(G) − 1. We may +assume that a group G is the least order group with such properties. Then G has the unique +minimal normal subgroup N, N ≤ A and h∗(A/N) = h∗(A) − 1 by Lemma 3.7. +Assume that h∗(A/C∗ +A(N)) < h∗(A) − 1. Then +F∗ +(h∗(A)−1)(A/N) = F∗ +(h∗(A)−1)(A)/N < A/N +by Lemma 4.2. It means that h∗(A) = h∗(A/N), a contradiction. Hence h∗(A/C∗ +A(N)) = +h∗(A) − 1. +Since G/C∗ +G(N) = (AC∗ +G(N)/C∗ +G(N))(BC∗ +G(N)/C∗ +G(N)) is a mutually permutable products +of subgroups AC∗ +G(N)/C∗ +G(N) and BC∗ +G(N)/C∗ +G(N) by (1) of Lemma 3.5 and A/C∗ +A(N) ≃ +AC∗ +G(N)/C∗ +A(N), we see that h∗(G/C∗ +G(N)) ≥ h∗(A/C∗ +A(N)) = h∗(A) − 1 by our assumptions. +Note that F∗(G) ≤ C∗ +G(N). Now h∗(G)−1 = h∗(G/F∗(G)) ≥ h∗(G/C∗ +G(N)) ≥ h∗(A/C∗ +A(N)) = +h∗(A) − 1. It means that h∗(G) ≥ h∗(A), the final contradiction. +5 +Proof of Theorem 1.1(2) +Lemma 5.1. Let p be a prime and H = Hp. If a group G = AB is a product of mutually +permutable H-subgroups A and B, then G ∈ H. +Proof. Assume the contrary. Let G be a minimal order counterexample. +(1) G has a unique minimal normal subgroup N, G/N ∈ H and N is not p-soluble. +Note that G/N is a mutually permutable product of H-subgroups (AN/N) and (BN/N) by +(1) of Lemma 3.5. Hence G/N ∈ H by our assumption. Since H is a formation, we see that G +8 + +has a unique minimal normal subgroup. According to (4) of Lemma 3.5 AGBG ̸= 1. WLOG +we may assume that G has a minimal normal subgroup N ≤ A. +If N is p-soluble, then Fp(G)/N = Fp(G/N) = G, i.e. So Fp(G) = G. Thus G ∈ H, a +contradiction. +(2) N ≤ A ∩ B. +Suppose that N ∩ B = 1. Note that N is not cyclic by (1). Then B ≤ CG(N) by (3) of +Lemma 3.5. Hence N ⋊ G/CG(N) ≃ N ⋊ A/CA(N) ∈ H by [2, Corollary 2.2.5]. It means that +N ≤ ZH(G). Therefore G ∈ H, a contradiction. Now N ∩ B ̸= 1. Hence N ≤ A ∩ B by (2) of +Lemma 3.5. +(4) The final contradiction. +Since N is the unique minimal normal subgroup of G and non-abelian, we see that CG(N) = +1. So CA(N) = CB(N) = 1. Hence Rp(A) = Rp(B) = 1. In particular F(A) = F(B) = 1. +Note that all minimal normal subgroups of A are in N. For B is the same situation. Thus +N = F∗(A) = F∗(B). So G/N is a mutually permutable product of p-soluble groups. Since the +class of all p-soluble groups is closed by extensions by p-soluble groups, G/N is p-soluble by (1) +and (4) of Lemma 3.5. From N ≤ F∗(G) it follows that G ∈ H, the contradiction. +Proof of Theorem 1.1(2). Let H = Hp and a group G be a mutually permutable product of +subgroups A and B. First we a going to prove that max{hH(A), hH(B)} = hH(G). +By Lemmas 3.6 and 4.3 we have +max{hH(A), hH(B)} − 1 ≤ hH(G) ≤ max{hH(A), hH(B)}. +Assume that max{hH(A), hH(B)} − 1 = hH(G) for some mutually permutable product G of +A and B. Assume that G is a minimal order group with this property. WLOG let hH(A) = +hH(G) − 1. Then G has the unique minimal normal subgroup N, N ≤ A and hH(A/N) = +hH(A) − 1 by Lemma 3.7. +If N is p-soluble, then Rp(A/N) = Rp(A)/N. It means that Fp(A/N) = Fp(A)/N. Thus +hH(A/N) = hH(A), a contradiction. +It means that Rp(G) = 1. Note that now N is a simple non-abelian group. Since N is a +unique minimal normal subgroup of G, we see that N = F∗(G). Now hH(G/N) = hH(G) − 1. +Therefore +hH(G) − 1 = hH(G/N) ≥ hH(A/N) = hH(A) − 1. +Thus hH(G) ≥ hH(A), the contradiction. +We proved that max{hH(A), hH(B)} = hH(G). +Let G be a mutually permutable product of groups A and B. If A, B are p-soluble, then +G is p-soluble by (1) and (4) of Lemma 3.5. +Hence λp(G) = λp(A) = λp(B) = 0. +Now +assume that at least one of subgroups A, B is not p-soluble. Then G is not p-soluble by (1) +and (4) of Lemma 3.5. WLOG let hH(A) ≥ hH(B). Hence A is not p-soluble. We proved +that hH(A) = hH(G). Note that hH(G) = λp(G), hH(A) = λp(A), hH(B) = λp(B) if B is not +p-soluble by Lemma 2.5 and 0 = λp(B) < 1 = hH(B) ≤ hH(A) = λp(A) otherwise. Thus +max{λp(A), λp(B)} = λp(G). +6 +Non-Frattini length +The Frattini subgroup Φ(G) play an important role in the theory of classes of groups. One +of the useful properties of the Fitting subgroup of a soluble group is that it is strictly greater +than the Frattini subgroup of the same group. Note that the generalized Fitting subgroup is +non-trivial in every group but there are groups in which it coincides with the Frattini subgroup. +That is why the following length seems interesting. +9 + +Definition 6.1. Let 1 = G0 ≤ G1 ≤ · · · ≤ G2h = G be a shortest normal series in which for i +even Gi+1/Gi ≤ Φ(G/Gi), and for i odd the factor Gi+1/Gi is a (non-empty) direct product of +simple groups. Then h = ˜h(G) will be called the non-Frattini length of a group G. +Note that if G is a soluble group, then ˜h(G) = h(G). Another reason that leads us to this +length is the generalization of the Fitting subgroup ˜F(G) introduced by P. Schmid [16] and +L.A. Shemetkov [17, Definition 7.5] and defined by +Φ(G) ⊆ ˜F(G) and ˜F(G)/Φ(G) = Soc(G/Φ(G)). +P. F¨orster [4] showed that ˜F(G) can be defined by +Φ(G) ⊆ ˜F(G) and ˜F(G)/Φ(G) = F∗(G/Φ(G)). +Let Φ and ˜F be functorials that assign Φ(G) and ˜F(G) to every group G. Then ˜F = Φ ⋆ F∗. It +is well known that Φ satisfies (F1) and (F2). Hence ˜F satisfies (F1) and (F2) by Proposition +2.2. +Note that Φ(G/Φ(G)) ≃ 1. By analogy with the proof of Lemma 2.5 one can show that the +non-Frattini length ˜h(G) of a group G and h˜F(G) coincide for every group G. The following +theorem shows connections between the non-Frattini length and the generalized Fitting height. +Theorem 6.1. For any group G holds ˜h(G) ≤ h∗(G) ≤ 2˜h(G). There exists a group H with +˜h(H) = n and h∗(H) = 2n for any natural n. +Proof. Since Φ(G) and Soc(G/Φ(G)) are quasinilpotent, we see that F∗(G) ≤ ˜F(G) ≤ F∗ +(2)(G). +Now F∗ +(n)(G) ≤ ˜F(n)(G) ≤ F∗ +(2n)(G). Hence if ˜F(n)(G) = G, then F∗ +(n)(G) ≤ G and F∗ +(2n)(G) = G. +It means ˜h(G) ≤ h∗(G) ≤ 2˜h(G). +Let K be a group, K1 be isomorphic to the regular wreath product of A5 and K. Note +that the base B of it is the unique minimal normal subgroup of K1 and non-abelian. According +to [6], there is a Frattini F3K1-module A which is faithful for K1 and a Frattini extension +A ֌ K2 ։ K1 such that A +K1 +≃ Φ(K2) and K2/Φ(K2) ≃ K1. +Let denote K2 by f(K). Now f(K)/˜F(f(K)) ≃ K. From the definition of h˜F = ˜h it follows +that ˜h(f(K)) = ˜h(K) + 1. +Note that Φ(f(K)) ⊆ F∗(f(K)). +Assume that Φ(f(K)) ̸= F∗(f(K)). +It means that +F∗(f(K)) = ˜F(f(K)) is quasinilpotent. By [9, X, Theorem 13.8] it follows that Φ(f(K)) ⊆ +Z(F∗(f(K))). It means that 1 < B ≤ CK1(A). Thus A is not faithful, a contradiction. +Thus Φ(f(K)) = F∗(f(K)) and f(K)/F∗(f(K)) ≃ K1. +Since K1 has a unique mini- +mal normal subgroup B and it is non-abelian, we see that F∗(K1) = B. +It means that +f(K)/F∗ +(2)(f(K)) ≃ K. From the definition of h∗ it follows that h∗(f(K)) = h∗(K) + 2. +As usual, let f(1)(K) = f(K) and f(i+1)(K) = f(f(i)(K)). +Then ˜h(f(n)(1)) = n and +h∗(f(n)(1)) = 2n for any natural n. +The following proposition directly follows from Theorem 2.6. +Proposition 6.2. Let a group G = ⟨Ai | 1 ≤ i ≤ n⟩ be the join of its subnormal subgroups Ai. +Then ˜h(G) ≤ max{˜h(Ai) | 1 ≤ i ≤ n}. +One of the main differences between the non-Frattini length and the generalized Fitting +height is that the non-Frattini length of a normal subgroup can be greater than the non-Frattini +length of a group. +Example 6.1. Let E ≃ A5. There is an F5E-module V such that R = Rad(V ) is a faithful +irreducible F5E-module and V/R is an irreducible trivial F5E-module (how to construct such +module, for example, see [14]). Let G = V ⋋ E. Now Φ(G) = R by [3, B, Lemma 3.14]. Note +10 + +that G/Φ(G) = G/R ≃ Z5 × E. So ˜F(G) = G and ˜h(G) = 1. Note that G = V (RE) where V +and RE are normal subgroups of G. Since V is abelian, we see that ˜h(V ) = 1. Note that R +is a unique minimal normal subgroup of RE and Φ(RE) = 1. It means that ˜F(RE) = R and +˜h(RE) = 2. Thus ˜h(G) < max{˜h(V ), ˜h(RE)} and ˜F does not satisfy (F3). +Recall [1, Definition 4.1.1] that a group G is called a totally permutable product of its +subgroups A and B if G = AB and every subgroup of A permutes with every subgroup of B. +Theorem 6.3. Let a group G = AB be a totally permutable product of subgroups A and B. +Then +max{˜h(A), ˜h(B)} − 1 ≤ ˜h(G) ≤ max{˜h(A), ˜h(B)} + 1. +Proof. If A = 1 or B = 1, then max{˜h(A), ˜h(B)} = ˜h(G). Assume that A, B ̸= 1. +According to [1, Proposition 4.1.16] A ∩ B ≤ F(G). Hence A ∩ B ≤ F∗(G). Now G = +G/F∗(G) is a totally permutable product of A = AF∗(G)/F∗(G) and B = BF∗(G)/F∗(G) +by [1, Corollary 4.1.11]. Note that A ∩ B ≃ 1. According to [1, Lemma 4.2.2] [A, B] ≤ F(G). +So [A, B] ≤ F∗(G). It means that +G/F∗(G) = (AF∗(G)/F∗(G)) × (BF∗(G)/F∗(G)). +Note that for the formation U of all supersoluble groups we have U ⊂ N2 ⊂ (N∗)2. Hence +if H = H1H2 is a product of totally permutable (N∗)2-subgroups H1 and H2, then H ∈ (N∗)2 +by [1, Theorem 5.2.1]. Analyzing the proof of [1, Theorem 5.2.2] we see that this theorem is +true not only for saturated formation, but for formations F = (G | G = ZF(G)). In particular, +it is true for (N∗)2. Thus if H = H1H2 ∈ (N∗)2 is a product of totally permutable subgroups +H1 and H2, then H1, H2 ∈ (N∗)2. Now (N∗)2 satisfies conditions of [1, Proposition 5.3.9]. +Therefore A ∩ F∗ +(2)(G) = F∗ +(2)(A) and B ∩ F∗ +(2)(G) = F∗ +(2)(B). Note that +AF∗(G)/F∗(G) ≃ AF∗ +(2)(G)/F∗ +(2)(G) ≃ A/F∗ +(2)(A). +By analogy BF∗(G)/F∗(G) ≃ B/F∗ +(2)(B). Hence +G/F∗ +(2)(G) ≃ (A/F∗ +(2)(A)) × (B/F∗ +(2)(B)). +By Theorem 2.6 and ˜h = h˜F we have ˜h(G/F∗ +(2)(G)) = max{˜h(A/F∗ +(2)(A)), ˜h(B/F∗ +(2)(B))}. +From ˜F(H) ≤ F∗ +(2)(H) ≤ ˜F(2)(H) and Lemma 2.4 it follows that for any group H ̸= 1 holds +˜h(H) − 1 = ˜h(H/˜F(H)) ≥ ˜h(H/F∗ +(2)(H)) ≥ ˜h(H/˜F(2)(H)) ≥ ˜h(H) − 2. +Therefore +{˜h(G) − ˜h(G/F∗ +(2)(G)), ˜h(A) − ˜h(A/F∗ +(2)(A)), ˜h(B) − ˜h(B/F∗ +(2)(B))} ⊆ {1, 2}. +Thus max{˜h(A), ˜h(B)} − 1 ≤ ˜h(G) ≤ max{˜h(A), ˜h(B)} + 1. +While proving Theorem 6.3 we were not able to answer the following question: +Question 6.1. Let a group G = AB be a totally permutable product of subgroups A and B. Is +max{˜h(A), ˜h(B)} ≤ ˜h(G)? +The following question seems interesting +Question 6.2. Do there exists a constant h with | max{˜h(A), ˜h(B)} − ˜h(G)| ≤ h for any +mutually permutable product G = AB of subgroups A and B? +D.A. Towers [19] defined and studied analogues of F∗(G) and ˜F(G) for Lie algebras. Using +these subgroups and the radical (of a Lie algebra) one can introduce the generalized Fitting +height, the non-soluble length and the non-Frattini length of a (finite dimension) Lie algebra. +Question 6.3. Estimate the generalized Fitting height, the non-soluble length and the non- +Frattini length of a (finite dimension) Lie algebra that is the sum of its two subalgebras (ideals, +subideals, mutually or totally permutable subalgebras). +11 + +References +[1] A. Ballester-Bolinches, R. Esteban-Romero, and M. Asaad. Products of Finite Groups. De +Gruyter, 2010. +[2] A. Ballester-Bollinches and L. M. Ezquerro. Classes of Finite Groups, volume 584 of Math. +Appl. Springer Netherlands, 2006. +[3] K. Doerk and T. O. Hawkes. Finite Soluble Groups, volume 4 of De Gruyter Exp. Math. +De Gruyter, Berlin, New York, 1992. +[4] P. F¨orster. Projektive Klassen endlicher Gruppen: IIa. Ges¨attigte Formationen: Ein all- +gemeiner Satz von Gasch¨utz-Lubeseder-Baer-Typ. Pub, Mat. UAB, 29(2/3):39–76, 1985. +[5] B. J. Gardner and R. Wiegandt. Radical theory of rings. Marcel Dekker New York, 2003. +[6] R. L. Griess and P. Schmid. The Frattini module. Arch. Math., 30(1):256–266, 1978. +[7] W. Guo. Structure Theory for Canonical Classes of Finite Groups. Springer-Verlag, Berlin, +Heidelberg, 2015. +[8] P. Hall and G. Higman. On the p-Length of p-Soluble Groups and Reduction Theorems +for Burnside’s Problem. Proc. London Math. Soc., s3-6(1):1–42, 1956. +[9] B. Huppert and N. Blackburn. Finite groups III, volume 243 of Grundlehren Math. Wiss. +Springer-Verlag, Berlin, Heidelberg, 1982. +[10] E. Jabara. The Fitting length of a product of mutually permutable finite groups. Acta +Math. Hung., 159(1):206–210, 2019. +[11] E. I. Khukhro and P. Shumyatsky. Nonsoluble and non-p-soluble length of finite groups. +Isr. J. Math., 207(2):507–525, 2015. +[12] E. I. Khukhro and P. Shumyatsky. On the length of finite factorized groups. Ann. Mat. +Pura Appl., 194(6):1775–1780, 2015. +[13] E. I. Khukhro and P. Shumyatsky. On the length of finite groups and of fixed points. Proc. +Amer. Math. Soc., 143(9):3781–3790, 2015. +[14] V.I. Murashka. +On one conjecture about supersoluble groups. +Publ. Math. Debrecen, +100(3-4):399–404, 2022. +[15] B. I. Plotkin. Radicals in groups, operations on group classes and radical classes. In Selected +questions of algebra and logic, pages 205–244. Nauka, Novosibirsk, 1973. In Russian. +[16] P. Schmid. ¨Uber die Automorphismengruppen endlicher Gruppen. Arch. Math., 23(1):236– +242, 1972. +[17] L. A. Shemetkov. Formations of finite groups. Nauka, Moscow, 1978. In Russian. +[18] L. A. Shemetkov and A. N. Skiba. Formations of algebraic systems. Nauka, Moscow, 1989. +In Russian. +[19] D. A. Towers. The generalised nilradical of a Lie algebra. J. Algebra, 470:197–218, 2017. +[20] J. S. Wilson. On the structure of compact torsion groups. Monatsh. Math., 96(1):57–66, +1983. +12 + diff --git a/FNE0T4oBgHgl3EQfQwDu/content/tmp_files/load_file.txt b/FNE0T4oBgHgl3EQfQwDu/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..0c3db18f96475d0baf361407bd2975492c69a6b3 --- /dev/null +++ b/FNE0T4oBgHgl3EQfQwDu/content/tmp_files/load_file.txt @@ -0,0 +1,811 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf,len=810 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='02199v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='GR] 5 Jan 2023 On the Generalized Fitting Height and Nonsoluble Length of the Mutually Permutable Products of Finite Groups∗ Viachaslau I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Murashka1,2 and Alexander F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Vasil’ev3,2 Abstract The generalized Fitting height h∗(G) of a finite group G is the least number h such that F∗ h(G) = G, where F∗ (0)(G) = 1, and F∗ (i+1)(G) is the inverse image of the generalized Fitting subgroup F∗(G/F∗ (i)(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let p be a prime, 1 = G0 ≤ G1 ≤ · · · ≤ G2h+1 = G be the shortest normal series in which for i odd the factor Gi+1/Gi is p-soluble (possibly trivial), and for i even the factor Gi+1/Gi is a (non-empty) direct product of nonabelian simple groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then h = λp(G) is called the non-p-soluble length of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We proved that if a finite group G is a mutually permutable product of of subgroups A and B then max{h∗(A), h∗(B)} ≤ h∗(G) ≤ max{h∗(A), h∗(B)} + 1 and max{λp(A), λp(B)} = λp(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Also we introduced and studied the non-Frattini length.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Keywords: Finite group;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' generalized Fitting subgroup;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' mutually permutable product of groups;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' generalized Fitting height;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' non-p-soluble length;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Plotkin radical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 1 Introduction and the Main Results All groups considered here are finite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Khukhro and P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Shumyatsky introduced and studied interesting invariants of a group: the generalized Fitting height and the nonsoluble length [11–13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The first one is the extension of the well known Fitting height to the class of all groups and the second one implicitly appeared in [8,20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Definition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1 (Khukhro, Shumyatsky).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) The generalized Fitting height h∗(G) of a finite group G is the least number h such that F∗ h(G) = G, where F∗ (0)(G) = 1, and F∗ (i+1)(G) is the inverse image of the generalized Fitting subgroup F∗(G/F∗ (i)(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) Let p be a prime, 1 = G0 ≤ G1 ≤ · · · ≤ G2h+1 = G be the shortest normal series in which for i odd the factor Gi+1/Gi is p-soluble (possibly trivial), and for i even the factor Gi+1/Gi is a (non-empty) direct product of nonabelian simple groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then h = λp(G) is called the non-p-soluble length of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (3) Recall that λ2(G) = λ(G) is the nonsoluble length of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' In [12] E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Khukhro and P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Shumyatsky showed that in the general case the generalized Fitting height of a factorized group is not bounded in terms of the generalized Fitting heights of factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The same situation is also for the nonsoluble length.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Recall [1, Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1] that a group G is called a mutually permutable product of its subgroups A and B if G = AB, A permutes with every subgroup of B and B permutes with 1email: mvimath@yandex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='ru 2Francisk Skorina Gomel State University, Gomel, Belarus 3email: formation56@mail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='ru ∗Supported by BFFR Φ23PHΦ-237 1 every subgroup of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The products of mutually permutable subgroups is the very interesting topic of the theory of groups (for example, see [1, Chapter 4]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The main result of our paper is Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G be the product of the mutually permutable subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then (1) max{h∗(A), h∗(B)} ≤ h∗(G) ≤ max{h∗(A), h∗(B)} + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) max{λp(A), λp(B)} = λp(G) for any prime p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' In particular, max{λ(A), λ(B)} = λ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If a group G is soluble, then h∗(G) = h(G) is the Fitting height of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Corollary 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2 ([10]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If a soluble group G is the product of the mutually permutable subgroups A and B, then max{h(A), h(B)} ≤ h(G) ≤ max{h(A), h(B)} + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Example 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that the symmetric group S3 of degree 3 is the mutually permutable product of the cyclic groups Z2 and Z3 of orders 2 and 3 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence h∗(S3) = max{h∗(Z2), h∗(Z3)}+ 1 = max{h(Z2), h(Z3)} + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 2 The Functorial Method According to B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Plotkin [15] a functorial is a function γ which assigns to each group G its characteristic subgroup γ(G) satisfying f(γ(G)) = γ(f(G)) for any isomorphism f : G → G∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We are interested in functorials with some properties: (F1) f(γ(G)) ⊆ γ(f(G)) for every epimorphism f : G → G∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (F2) γ(N) ⊆ γ(G) for every N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (F3) γ(G) ∩ N ⊆ γ(N) for every N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (0) Functions F∗ and Rp that assign to every group respectively its the generalized Fitting subgroup and the p-soluble radical are examples of functorials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It is well known that they satisfy (F1), (F2), (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) Recall that a functorial γ is called a Plotkin radical if it satisfies (F1), idempotent (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' γ(γ(G)) = γ(G)) and N ⊆ γ(G) for every γ(N) = N ⊴ G [5, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) A functorial that satisfies (F3) is often called hereditary (nevertheless, the same word means different in the theory of classes of groups).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (3) A functorial γ is a hereditary Plotkin radical if and only if it satisfies (F1), (F2), (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let prove it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that γ is a hereditary Plotkin radical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We need only to prove that it satisfies (F2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If N ⊴ G, then γ(N) char N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So γ(N) ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now γ(N) = γ(γ(N)) ⊆ γ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus a hereditary Plotkin radical satisfies (F1), (F2), (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that γ satisfies (F1), (F2), (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We need only to prove that it is idempotent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By (F3) we have γ(G) = γ(G) ∩ G ⊆ γ(γ(G)) ⊆ γ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus γ(γ(G)) = γ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (4) The functorial Φ which assigns to every group G its Frattini subgroup Φ(G) satisfies (F1) and (F2) but not (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (5) If γ satisfies (F2) and (F3), then γ(G) ∩ N = γ(N) for every group G and N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If γ satisfies (F1) and (F2), then γ(G1 × G2) = γ(G1) × γ(G2) for any groups G1 and G2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From Gi ⊴ G1 × G2 it follows that γ(Gi) ⊆ γ(G1 × G2) by (F2) for i ∈ {1, 2}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that γ(G1 × G2)Gi/Gi ⊆ γ((G1 × G2)/Gi) = (γ(G¯i) × Gi)/Gi by (F1) for i ∈ {1, 2}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now γ(G1 × G2) ⊆ (γ(G1 × G2)G2) ∩ (γ(G1 × G2)G1) ⊆ (γ(G1) × G2) ∩ (G1 × γ(G2)) = γ(G1) × γ(G2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus γ(G1 × G2) = γ(G1) × γ(G2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 2 Recall [15] that for functorials γ1 and γ2 the upper product γ2 ⋆ γ1 is defined by (γ2 ⋆ γ1)(G)/γ2(G) = γ1(G/γ2(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let γ1 and γ2 be functorials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If γ1 and γ2 satisfy (F1) and (F2), then γ2 ⋆γ1 satisfies (F1) and (F2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Moreover if γ1 and γ2 also satisfy (F3), then γ2 ⋆ γ1 satisfies (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) γ2 ⋆ γ1 satisfies (F1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let f : G → f(G) be an epimorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From f(γ2(G)) ⊆ γ2(f(G)) it follows that the following diagram is commutative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' G f � f4 �P P P P P P P P P P P P P P P f1 � f(G) f3 � G/γ2(G) f2� f(G)/γ2(f(G)) Let X = γ1(G/γ2(G)) and Y = γ1(f(G)/γ2(f(G))).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that (γ2 ⋆ γ1)(G) = f −1 1 (X) and (γ2 ⋆ γ1)(f(G)) = f −1 3 (Y ) by the definition of γ2 ⋆ γ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since γ1 satisfies (F1), we see that f2(X) ⊆ Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence X ⊆ f −1 2 (Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now (γ2 ⋆ γ1)(G) ⊆ f −1 1 (f −1 2 (Y )) = f −1 4 (Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So f((γ2 ⋆ γ1)(G)) ⊆ f(f −1 4 (Y )) = f −1 3 (Y ) = (γ2 ⋆ γ1)(f(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus γ2 ⋆ γ1 satisfies (F1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) γ2 ⋆ γ1 satisfies (F2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From γ2(N) char N ⊴ G it follows that γ2(N) ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since γ2 satisfies (F2), we see that γ2(N) ⊆ γ2(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So the following diagram is commutative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' G f1� f3 �❍ ❍ ❍ ❍ ❍ ❍ ❍ ❍ ❍ ❍ G/γ2(N) f2 � G/γ2(G) Let X = γ1(G/γ2(N)), Y = γ1(N/γ2(N)) and Z = γ1(G/γ2(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that (γ2 ⋆ γ1)(G) = f −1 3 (Z) and (γ1 ⋆ γ2)(N) ⊆ f −1 1 (Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since γ1 satisfies (F1) and (F2), we see that f2(X) ⊆ Z and Y ⊆ X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now (γ2 ⋆ γ1)(N) ⊆ f −1 1 (Y ) ⊆ f −1 1 (X) ⊆ f −1 1 (f −1 2 (Z)) = f −1 3 (Z) = (γ2 ⋆ γ1)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence γ2 ⋆ γ1 satisfies (F2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (3) If γ1 and γ2 also satisfy (F3), then γ2 ⋆ γ1 satisfies (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that γ1 and γ2 satisfy (F2) and (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since Nγ2(G)/γ2(G) ∩ (γ2 ⋆ γ1)(G)/γ2(G) ⊴ (γ2 ⋆ γ1)(G)/γ2(G) = γ1(G/γ2(G)), we see by (5) of Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1 that γ1((Nγ2(G) ∩ (γ2 ⋆ γ1)(G))/γ2(G)) = (Nγ2(G) ∩ (γ2 ⋆ γ1)(G))/γ2(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that (Nγ2(G) ∩ (γ2 ⋆ γ1)(G))/γ2(G) = (N ∩ (γ2 ⋆ γ1)(G))γ2(G)/γ2(G) ≃ (N ∩ (γ2 ⋆ γ1)(G))/(N ∩ γ2(G)) = (N ∩ (γ2 ⋆ γ1)(G))/γ2(N) ⊴ N/γ2(N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that (N ∩ (γ2 ⋆ γ1)(G))/γ2(N) ⊆ γ1(N/γ2(N)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus N ∩ (γ2 ⋆ γ1)(G) ⊆ (γ2 ⋆ γ1)(N), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='e γ2 ⋆ γ1 satisfies (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 3 Here we introduce the height hγ(G) of a group G which corresponds to a given functorial γ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let γ be a functorial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then the γ-series of G is defined starting from γ(0)(G) = 1, and then by induction γ(i+1)(G) = (γ(i) ⋆ γ)(G) is the inverse image of γ(G/γ(i)(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The least number h such that γ(h)(G) = G is defined to be γ-height hγ(G) of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If there is no such number, then hγ(G) = ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The following Lemma directly follows from Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let γ be a functorial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If γ satisfies (F1) and (F2), then γ(n) satisfies (F1) and (F2) for all natural n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Moreover if γ satisfies (F3), then γ(n) satisfies (F3) for all natural n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let γ be a functorial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If γ satisfies (F1) and (F2), then hγ(G/N) ≤ hγ(G) ≤ hγ(N) + hγ(G/N) for every N ⊴ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Moreover, if γ also satisfies (F3), then hγ(N) ≤ hγ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that γ(n) satisfies (F1) and (F2) for every n by Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since γ(n) satisfies (F1), G/N = γhγ(G)(G)/N ≤ γ(hγ(G))(G/N) ≤ G/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So γ(hγ(G))(G/N) = G/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus hγ(G/N) ≤ hγ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since γ(n) satisfies (F2), we see that N = γ(hγ(N))(N) ⊆ γ(hγ(N))(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that hγ(G/γ(hγ(N))(G)) ≤ hγ(G/N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus hγ(G) ≤ hγ(N) + hγ(G/N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that γ also satisfies (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then γ(n) satisfies (F3) by Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now N = G ∩ N = γ(hγ(G))(G) ∩ N ⊆ γ(hγ(G))(N) ≤ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So γ(hγ(G))(N) = N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus hγ(N) ≤ hγ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If γ = F∗, then hγ(G) = h∗(G) for every group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The non-p-soluble length can also be defined with the help of functorials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Here by Rp(G) we denote the p-soluble radical of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let Fp = Rp ⋆F∗ ⋆Rp and G be a non-p-soluble group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then λp(G) is the smallest natural i with Fp(i)(G) = G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let 1 = G0 ≤ G1 ≤ · · · ≤ G2h+1 = G be the shortest normal series in which for i odd the factor Gi+1/Gi is p-soluble (possibly trivial), and for i even the factor Gi+1/Gi is a (non-empty) direct product of nonabelian simple groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that G1 ≤ Rp(G) and G2/G1 is quasinilpotent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G2Rp(G)/Rp(G) is quasinilpo- tent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that G2Rp(G)/Rp(G) ≤ F∗(G/Rp(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G2 ≤ (Rp ⋆ F∗)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since G3/G2 is p-soluble, we see that G3(Rp ⋆ F∗)(G)/(Rp ⋆ F∗)(G) is p-soluble.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G3(Rp ⋆ F∗)(G)/(Rp ⋆ F∗)(G) ≤ Rp(G/(Rp ⋆ F∗)(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that G3 ≤ Fp(G) = Fp(1)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that we proved G2i+1 ≤ Fp(i)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let prove that G2(i+1)+1 ≤ Fp(i+1)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From G2i+1 ≤ Fp(i)(G) it follows that G2i+1 ≤ (Fp(i) ⋆ Rp)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that G2i+2/G2i+1 is quasinilpotent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that G2i+2(Fp(i) ⋆ Rp)(G)/(Fp(i) ⋆ Rp)(G) is quasinilpotent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G2i+2 ≤ ((Fp(i)⋆Rp)⋆F∗)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since G2(i+1)+1/G2i+2 is p-soluble, we see that G2(i+1)+1(Fp(i)⋆Rp⋆ F∗)(G)/(Fp(i)⋆Rp⋆F∗)(G) is p-soluble.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G2(i+1)+1(Fp(i)⋆Rp⋆F∗)(G)/((Fp(i)⋆Rp⋆F∗)(G) ≤ Rp(G/(Fp(i) ⋆ Rp ⋆ F∗)(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that G2(i+1)+1 ≤ (Fp(i) ⋆ Rp ⋆ F∗ ⋆ Rp)(G) = Fp(i+1)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore λp(G) ≥ n where n is the smallest integer with Fp(n)(G) = n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since Rp ⋆Rp = Rp, we see that Fp(n)(G) presents a normal series 1 ≤ F1 ≤ F2 ≤ · · · ≤ F2n+1 in which for i odd the factor Fi+1/Fi is p-soluble (possibly trivial), and for i even the factor Fi+1/Fi is a (non-empty) direct product of nonabelian simple groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So λp(G) ≤ n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus λp(G) = n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now we are able to estimate the γ-height of the direct product subgroups and of the join of subnormal subgroups: 4 Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let γ be a functorial with γ(H) > 1 for every group H that satisfies (F1) and (F2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) If G = ×n i=1Ai is the direct product of its normal subgroups Ai, then hγ(G) = max{hγ(Ai) | 1 ≤ i ≤ n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) Let G = ⟨Ai | 1 ≤ i ≤ n⟩ be the join of its subnormal subgroups Ai.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then hγ(G) ≤ max{hγ(Ai) | 1 ≤ i ≤ n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If γ satisfies (F3), then hγ(G) = max{hγ(Ai) | 1 ≤ i ≤ n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that γ(n) satisfies (F1) and (F2) for every n by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) From Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1 it follows that if G = ×n i=1Ai, then γ(n)(G) = ×n i=1γ(n)(Ai).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that hγ(G) = max{hγ(Ai) | 1 ≤ i ≤ n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) Assume that G = ⟨Ai | 1 ≤ i ≤ n⟩ is the join of its subnormal subgroups Ai, h1 = max{hγ(Ai) | 1 ≤ i ≤ n} and h2 = hγ(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since γ(n) satisfies (F2), we see that γ(n)(N) ⊆ γ(n)(G) for every subnormal subgroup N of G and every n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now G = ⟨Ai | 1 ≤ i ≤ n⟩ = ⟨γ(h1)(Ai) | 1 ≤ i ≤ n⟩ ⊆ γ(h1)(G) ⊆ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence γ(h1)(G) = G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that h2 ≤ h1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Suppose that γ satisfies (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now γ(n) satisfies (F3) for every n by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From (5) of Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1 it follows that γ(n)(G) ∩ N = γ(n)(N) for every subnormal subgroup N of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now Ai = Ai ∩ G = Ai ∩ γ(h2)(G) = γ(h2)(Ai).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that hγ(Ai) ≤ h2 for every i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence h1 ≤ h2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus h1 = h2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G = ⟨Ai | 1 ≤ i ≤ n⟩ be the join of its subnormal subgroups Ai.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then h∗(G) = max{h∗(Ai) | 1 ≤ i ≤ n} and λp(G) = max{λp(Ai) | 1 ≤ i ≤ n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 3 The Classes of Groups Method Recall that a formation is a class F of groups with the following properties: (a) every homomorphic image of an F-group is an F-group, and (b) if G/M and G/N are F-groups, then also G/(M ∩ N) ∈ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Recall that the F-residual of a group G is the smallest normal subgroup GF of G with G/GF ∈ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' A formation is called Fitting if (a) from N ⊴ G ∈ F it follows that N ∈ F and (b) a group G ∈ F whenever it is a product of normal F-subgroups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Recall that the F-radical GF of a group G is the greatest normal F-subgroup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The classes N∗ of all quasinilpotent groups and Sp of all p-soluble groups are Fitting for- mations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From [3, IX, Remarks 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='11 and Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='12] and [3, IV, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='8] follows Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let F and H be non-empty Fitting formations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then FH = (G | GF ∈ H) = (G | G/GH ∈ F) is a Fitting formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Corollary 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The class Hp = (G | Fp(G) = G) is a Fitting formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It is straightforward to check that for a Fitting formation F, the F-radical can be considered as a functorial γ which satisfies (F1), (F2) and (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' For convenience in this case denote hγ by hF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now h∗(G) = hF∗(G) = hN∗(G) and for a non-p-soluble group λp(G) = hFp(G) = hHp(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let F be a Fitting formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If H ̸= 1 and hF(H) < ∞, then hF(HF) = hF(H)−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let prove that if H ̸= 1 and hF(H) < ∞, then hF(HF) = hF(H) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let hF(H) = n and hF(HF) = k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then HF(n−1)(H) < H and H/HF(n−1) ∈ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that HF ≤ HF(n−1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since HF(n−1) satisfies (F3), we see that (HF)F(n−1) = HF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence k ≤ n − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that HF = (HF)F(k) ≤ HF(k).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that H/HF(k) ∈ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence k ≥ n − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus k = n − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 5 If F, H, K ̸= ∅ are formations, then (FH)K = F(HK) by [3, IV, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' That is why the class Fn = F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' F � �� � n is a well defined formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' For a natural number n and a Fitting formation F holds Fn = (G | hF(G) ≤ n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3 it follows that if G ∈ (G | hF(G) ≤ n), then GFn = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that (G | hF(G) ≤ n) ⊆ Fn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that there is a group G ∈ Fn with hF(G) > n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that G F ̸= G for every quotient group G ̸≃ 1 of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then hF(GFn) > 0 by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that GFn ̸= 1, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore Fn ⊆ (G | hF(G) ≤ n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus Fn = (G | h(G) ≤ n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' In the next lemma we recall the key properties of mutually permutable products Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G = AB be a mutually permutable product of subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then (1) [1, Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='10] G/N = (AN/N)(BN/N) is a mutually permutable product of sub- groups AN/N and BN/N for every normal subgroup N of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) [1, Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3(4)] If N is a minimal normal subgroup of a group G, then {N ∩A, N ∩ B} ⊆ {1, N}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (3) [1, Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3(5)] If N is a minimal normal subgroup of G contained in A and B∩N = 1, then N ≤ CG(A) or N ≤ CG(B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If furthermore N is not cyclic, then N ≤ CG(B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (4) [1, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='11] AGBG ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (5) [1, Corollary 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='26] A′ and B′ are subnormal in G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Recall that π(G) is the set of all prime divisors of |G|, π(F) = ∪ G∈Fπ(G) and Nπ denote the class of all nilpotent π-groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let F be a Fitting formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that hF(G) ≤ h + 1 for every mutually permutable product G of two F-subgroups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then max{hF(A), hF(B)} − 1 ≤ hF(G) ≤ max{hF(A), hF(B)} + h for every mutually permutable product G of two subgroups A and B with hF(A), hF(B) < ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If A = 1 or B = 1, then there is nothing to prove.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that A, B ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G = AB be the product of mutually permutable subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From hF(A), hF(B) < ∞ it follows that π(G) ⊆ π(F).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to [3, IX, Lemma 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='8] Nπ(F) ⊆ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that A′ and B′ are subnormal in G by (5) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since HF ⊴ HNπ(F) ⊴ H′ holds for every π(F)-group H, subgroups AF and BF are subnormal in G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let C = ⟨AF, BF⟩G = ⟨{(AF)x | x ∈ G}∪{(BF)x | x ∈ G}⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then by (2) of Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6 and by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3 hF(C) = max � {(hF(AF)x) | x ∈ G} ∪ {(hF(BF)x) | x ∈ G} � = max{hF(AF), hF(BF)} = max{hF(A), hF(B)} − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now G/C = (AC/C)(BC/C) is a mutually permutable product of F-subgroups AC/C and BC/C by (1) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that hF(G/C) ≤ h + 1 by our assumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' With the help of Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='4 we see that hF(G) ≤ hF(C) + hF(G/C) ≤ max{hF(A), hF(B)} − 1 + 1 + h = max{hF(A), hF(B)} + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From the other hand, hF(G) ≥ hF(C) = max{hF(A), hF(B)} − 1 by (2) of Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let F be a Fitting formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that a group G is the least order group with (1) G is a mutually permutable product of two subgroups A and B with hF(A) ≥ hF(B);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) hF(G) = hF(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then G has the unique minimal normal subgroup N, N ≤ A and hF(A/N) = hF(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 6 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let N be a minimal normal subgroup of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then N ∩ A ∈ {N, 1} by (2) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that N ∩ A = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now G/N = (AN/N)(BN/N) is a mutually permutable product of groups AN/N and BN/N by (1) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By our assumption and hF(G) ≥ hF(G/N) ≥ hF(AN/N) = hF(A), a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence N ∩ A = N for every minimal normal subgroup N of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now hF(G) + 1 = hF(A) > hF(G) ≥ hF(G/N) ≥ hF(A/N) ≥ hF(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that hF(G) = hF(A/N) = hF(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If G has two minimal normal subgroups N1 and N2, then hF(A/N1) = hF(A/N2) = hF(A)−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means hF(A) < hF(A) − 1 by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='4, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G has a unique minimal normal subgroup N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 4 Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1(1) Our proof relies on the notion of the X-hypercenter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' A chief factor H/K of G is called X-central in G provided (H/K) ⋊ (G/CG(H/K)) ∈ X (see [18, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 127–128] or [7, 1, Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' A normal subgroup N of G is said to be X- hypercentral in G if N = 1 or N ̸= 1 and every chief factor of G below N is X-central.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The symbol ZX(G) denotes the X-hypercenter of G, that is, the product of all normal X-hypercentral in G subgroups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to [18, Lemma 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1] or [7, 1, Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6] ZX(G) is the largest normal X-hypercentral subgroup of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If X = N is the class of all nilpotent groups, then ZN(G) = Z∞(G) is the hypercenter of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let n be a natural number.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then (N∗)n = (G | h∗(G) ≤ n) = (G | G = Z(N∗)n(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' First part follows from Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It is well known that the class of all quasinilpotent groups is a composition (or Baer-local, or solubly saturated) formation (see [2, Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='17]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to [18, Theorem 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='9] (N∗)n is a composition formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now (N∗)n = (G | G = Z(N∗)n(G)) by [7, 1, Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' For a normal section H/K of G the subgroup C∗ G(H/K) = HCG(H/K) is called an inneriser (see [2, Definition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It is the set of all elements of G that induce inner automorphisms on H/K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From the definition of the generalized Fitting subgroup it follows that it is the intersection of innerisers of all chief factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let N be a normal subgroup of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If N is a direct product of isomorphic simple groups and h∗(G/C∗ G(N)) ≤ k − 1, then F∗ (k)(G/N) = F∗ (k)(G)/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that h∗(G/C∗ G(N)) ≤ k − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let F/N = F∗ (k)(G/N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then F∗ (k)(G) ⊆ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now F/C∗ F(N) ≃ FC∗ G(N)/C∗ G(N) ⊴ G/C∗ G(N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore h∗(F/C∗ F(N)) ≤ k − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that h∗(F/C∗ F(H/K)) ≤ k − 1 for every chief factor H/K of F below N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence (H/K) ⋊ (F/CF(H/K)) ∈ (N∗)k for every chief factor H/K of F below N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that N ≤ Z(N∗)k(F).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus F ∈ (N∗)k by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So F ⊆ F∗ (k)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus F∗ (k)(G) = F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If a group G = AB is a product of mutually permutable quasinilpotent subgroups A and B, then h∗(G) ≤ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' To prove this lemma we need only to prove that if a group G = AB is a product of mutually permutable quasinilpotent subgroups A and B, then G ∈ (N∗)2 by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume the contrary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let G be a minimal order counterexample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) G has a unique minimal normal subgroup N and G/N ∈ (N∗)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 7 Note that G/N is a mutually permutable product of quasinilpotent subgroups (AN/N) and (BN/N) by (1) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G/N ∈ (N∗)2 by our assumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since (N∗)2 is a formation, we see that G has a unique minimal normal subgroup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to (4) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5 AGBG ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' WLOG we may assume that G has a minimal normal subgroup N ≤ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) N ≤ A ∩ B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Suppose that N ∩ B = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then A ≤ CG(N) or B ≤ CG(N) by (3) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If A ≤ CG(N), then N ⋊ G/CG(N) ≃ N ⋊ B/CB(N) ∈ (N∗)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If B ≤ CG(N), then N ⋊ G/CG(N) ≃ N ⋊ A/CA(N) ∈ (N∗) ⊆ (N∗)2 by [2, Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' In both cases N ≤ Z(N∗)2(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that G ∈ (N∗)2, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now N ∩ B ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence N ≤ A ∩ B by (2) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (3) N is non-abelian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that N is abelian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since A is quasinilpotent, we see that A/CA(N) is a p-group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By analogy B/CB(N) is a p-group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that A/CA(N) ≃ ACG(N)/CG(N) and B/CB(N) ≃ BCG(N)/CG(N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From G = AB it follows that G/CG(N) is a p-group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since N is a chief factor of G, we see that G/CG(N) ≃ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So N ≤ Z∞(G) ≤ Z(N∗)2(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus G ∈ (N∗)2, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that N is non-abelian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (4) The final contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now N is a direct product of minimal normal subgroups of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since A is quasinilpotent, we see that every element of A induces an inner automorphism on every minimal normal subgroup of A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence every element of A induces an inner automorphism on N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By analogy every element of B induces an inner automorphism on N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From G = AB it follows that every element of G induces an inner automorphism on N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So NCG(N) = G or G/CG(N) ≃ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now N ⋊ (G/CG(N)) ∈ (N∗)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that N ≤ Z(N∗)2(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus G ∈ (N∗)2 and h∗(G) ≤ 2, the final contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G be a mutually permutable product of subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6 and Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3 it follows that max{h∗(A), h∗(B)} − 1 ≤ h∗(G) ≤ max{h∗(A), h∗(B)} + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that max{h∗(A), h∗(B)} − 1 = h∗(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' WLOG let h∗(A) = h∗(G) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We may assume that a group G is the least order group with such properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then G has the unique minimal normal subgroup N, N ≤ A and h∗(A/N) = h∗(A) − 1 by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that h∗(A/C∗ A(N)) < h∗(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then F∗ (h∗(A)−1)(A/N) = F∗ (h∗(A)−1)(A)/N < A/N by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that h∗(A) = h∗(A/N), a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence h∗(A/C∗ A(N)) = h∗(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since G/C∗ G(N) = (AC∗ G(N)/C∗ G(N))(BC∗ G(N)/C∗ G(N)) is a mutually permutable products of subgroups AC∗ G(N)/C∗ G(N) and BC∗ G(N)/C∗ G(N) by (1) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5 and A/C∗ A(N) ≃ AC∗ G(N)/C∗ A(N), we see that h∗(G/C∗ G(N)) ≥ h∗(A/C∗ A(N)) = h∗(A) − 1 by our assumptions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that F∗(G) ≤ C∗ G(N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now h∗(G)−1 = h∗(G/F∗(G)) ≥ h∗(G/C∗ G(N)) ≥ h∗(A/C∗ A(N)) = h∗(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that h∗(G) ≥ h∗(A), the final contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 5 Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1(2) Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let p be a prime and H = Hp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If a group G = AB is a product of mutually permutable H-subgroups A and B, then G ∈ H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume the contrary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let G be a minimal order counterexample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (1) G has a unique minimal normal subgroup N, G/N ∈ H and N is not p-soluble.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that G/N is a mutually permutable product of H-subgroups (AN/N) and (BN/N) by (1) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G/N ∈ H by our assumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since H is a formation, we see that G 8 has a unique minimal normal subgroup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to (4) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5 AGBG ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' WLOG we may assume that G has a minimal normal subgroup N ≤ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If N is p-soluble, then Fp(G)/N = Fp(G/N) = G, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So Fp(G) = G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus G ∈ H, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (2) N ≤ A ∩ B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Suppose that N ∩ B = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that N is not cyclic by (1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then B ≤ CG(N) by (3) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence N ⋊ G/CG(N) ≃ N ⋊ A/CA(N) ∈ H by [2, Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that N ≤ ZH(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore G ∈ H, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now N ∩ B ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence N ≤ A ∩ B by (2) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' (4) The final contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since N is the unique minimal normal subgroup of G and non-abelian, we see that CG(N) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So CA(N) = CB(N) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence Rp(A) = Rp(B) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' In particular F(A) = F(B) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that all minimal normal subgroups of A are in N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' For B is the same situation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus N = F∗(A) = F∗(B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So G/N is a mutually permutable product of p-soluble groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since the class of all p-soluble groups is closed by extensions by p-soluble groups, G/N is p-soluble by (1) and (4) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From N ≤ F∗(G) it follows that G ∈ H, the contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1(2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let H = Hp and a group G be a mutually permutable product of subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' First we a going to prove that max{hH(A), hH(B)} = hH(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By Lemmas 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6 and 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3 we have max{hH(A), hH(B)} − 1 ≤ hH(G) ≤ max{hH(A), hH(B)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that max{hH(A), hH(B)} − 1 = hH(G) for some mutually permutable product G of A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that G is a minimal order group with this property.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' WLOG let hH(A) = hH(G) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then G has the unique minimal normal subgroup N, N ≤ A and hH(A/N) = hH(A) − 1 by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If N is p-soluble, then Rp(A/N) = Rp(A)/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that Fp(A/N) = Fp(A)/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus hH(A/N) = hH(A), a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that Rp(G) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that now N is a simple non-abelian group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since N is a unique minimal normal subgroup of G, we see that N = F∗(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now hH(G/N) = hH(G) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore hH(G) − 1 = hH(G/N) ≥ hH(A/N) = hH(A) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus hH(G) ≥ hH(A), the contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We proved that max{hH(A), hH(B)} = hH(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let G be a mutually permutable product of groups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If A, B are p-soluble, then G is p-soluble by (1) and (4) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence λp(G) = λp(A) = λp(B) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now assume that at least one of subgroups A, B is not p-soluble.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then G is not p-soluble by (1) and (4) of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' WLOG let hH(A) ≥ hH(B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence A is not p-soluble.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' We proved that hH(A) = hH(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that hH(G) = λp(G), hH(A) = λp(A), hH(B) = λp(B) if B is not p-soluble by Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5 and 0 = λp(B) < 1 = hH(B) ≤ hH(A) = λp(A) otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus max{λp(A), λp(B)} = λp(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 6 Non-Frattini length The Frattini subgroup Φ(G) play an important role in the theory of classes of groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' One of the useful properties of the Fitting subgroup of a soluble group is that it is strictly greater than the Frattini subgroup of the same group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that the generalized Fitting subgroup is non-trivial in every group but there are groups in which it coincides with the Frattini subgroup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' That is why the following length seems interesting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 9 Definition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let 1 = G0 ≤ G1 ≤ · · · ≤ G2h = G be a shortest normal series in which for i even Gi+1/Gi ≤ Φ(G/Gi), and for i odd the factor Gi+1/Gi is a (non-empty) direct product of simple groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then h = ˜h(G) will be called the non-Frattini length of a group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that if G is a soluble group, then ˜h(G) = h(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Another reason that leads us to this length is the generalization of the Fitting subgroup ˜F(G) introduced by P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Schmid [16] and L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Shemetkov [17, Definition 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5] and defined by Φ(G) ⊆ ˜F(G) and ˜F(G)/Φ(G) = Soc(G/Φ(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' F¨orster [4] showed that ˜F(G) can be defined by Φ(G) ⊆ ˜F(G) and ˜F(G)/Φ(G) = F∗(G/Φ(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let Φ and ˜F be functorials that assign Φ(G) and ˜F(G) to every group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then ˜F = Φ ⋆ F∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It is well known that Φ satisfies (F1) and (F2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence ˜F satisfies (F1) and (F2) by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that Φ(G/Φ(G)) ≃ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By analogy with the proof of Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='5 one can show that the non-Frattini length ˜h(G) of a group G and h˜F(G) coincide for every group G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The following theorem shows connections between the non-Frattini length and the generalized Fitting height.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' For any group G holds ˜h(G) ≤ h∗(G) ≤ 2˜h(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' There exists a group H with ˜h(H) = n and h∗(H) = 2n for any natural n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since Φ(G) and Soc(G/Φ(G)) are quasinilpotent, we see that F∗(G) ≤ ˜F(G) ≤ F∗ (2)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now F∗ (n)(G) ≤ ˜F(n)(G) ≤ F∗ (2n)(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence if ˜F(n)(G) = G, then F∗ (n)(G) ≤ G and F∗ (2n)(G) = G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means ˜h(G) ≤ h∗(G) ≤ 2˜h(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let K be a group, K1 be isomorphic to the regular wreath product of A5 and K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that the base B of it is the unique minimal normal subgroup of K1 and non-abelian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to [6], there is a Frattini F3K1-module A which is faithful for K1 and a Frattini extension A \u058c K2 ։ K1 such that A K1 ≃ Φ(K2) and K2/Φ(K2) ≃ K1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let denote K2 by f(K).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now f(K)/˜F(f(K)) ≃ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From the definition of h˜F = ˜h it follows that ˜h(f(K)) = ˜h(K) + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that Φ(f(K)) ⊆ F∗(f(K)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that Φ(f(K)) ̸= F∗(f(K)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that F∗(f(K)) = ˜F(f(K)) is quasinilpotent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By [9, X, Theorem 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='8] it follows that Φ(f(K)) ⊆ Z(F∗(f(K))).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that 1 < B ≤ CK1(A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus A is not faithful, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus Φ(f(K)) = F∗(f(K)) and f(K)/F∗(f(K)) ≃ K1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since K1 has a unique mini- mal normal subgroup B and it is non-abelian, we see that F∗(K1) = B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that f(K)/F∗ (2)(f(K)) ≃ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From the definition of h∗ it follows that h∗(f(K)) = h∗(K) + 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' As usual, let f(1)(K) = f(K) and f(i+1)(K) = f(f(i)(K)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then ˜h(f(n)(1)) = n and h∗(f(n)(1)) = 2n for any natural n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The following proposition directly follows from Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proposition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G = ⟨Ai | 1 ≤ i ≤ n⟩ be the join of its subnormal subgroups Ai.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then ˜h(G) ≤ max{˜h(Ai) | 1 ≤ i ≤ n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' One of the main differences between the non-Frattini length and the generalized Fitting height is that the non-Frattini length of a normal subgroup can be greater than the non-Frattini length of a group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Example 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let E ≃ A5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' There is an F5E-module V such that R = Rad(V ) is a faithful irreducible F5E-module and V/R is an irreducible trivial F5E-module (how to construct such module, for example, see [14]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let G = V ⋋ E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now Φ(G) = R by [3, B, Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note 10 that G/Φ(G) = G/R ≃ Z5 × E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So ˜F(G) = G and ˜h(G) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that G = V (RE) where V and RE are normal subgroups of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Since V is abelian, we see that ˜h(V ) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that R is a unique minimal normal subgroup of RE and Φ(RE) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that ˜F(RE) = R and ˜h(RE) = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus ˜h(G) < max{˜h(V ), ˜h(RE)} and ˜F does not satisfy (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Recall [1, Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1] that a group G is called a totally permutable product of its subgroups A and B if G = AB and every subgroup of A permutes with every subgroup of B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G = AB be a totally permutable product of subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Then max{˜h(A), ˜h(B)} − 1 ≤ ˜h(G) ≤ max{˜h(A), ˜h(B)} + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' If A = 1 or B = 1, then max{˜h(A), ˜h(B)} = ˜h(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Assume that A, B ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to [1, Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='16] A ∩ B ≤ F(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence A ∩ B ≤ F∗(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now G = G/F∗(G) is a totally permutable product of A = AF∗(G)/F∗(G) and B = BF∗(G)/F∗(G) by [1, Corollary 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that A ∩ B ≃ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' According to [1, Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2] [A, B] ≤ F(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' So [A, B] ≤ F∗(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' It means that G/F∗(G) = (AF∗(G)/F∗(G)) × (BF∗(G)/F∗(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that for the formation U of all supersoluble groups we have U ⊂ N2 ⊂ (N∗)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence if H = H1H2 is a product of totally permutable (N∗)2-subgroups H1 and H2, then H ∈ (N∗)2 by [1, Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Analyzing the proof of [1, Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2] we see that this theorem is true not only for saturated formation, but for formations F = (G | G = ZF(G)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' In particular, it is true for (N∗)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus if H = H1H2 ∈ (N∗)2 is a product of totally permutable subgroups H1 and H2, then H1, H2 ∈ (N∗)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Now (N∗)2 satisfies conditions of [1, Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore A ∩ F∗ (2)(G) = F∗ (2)(A) and B ∩ F∗ (2)(G) = F∗ (2)(B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Note that AF∗(G)/F∗(G) ≃ AF∗ (2)(G)/F∗ (2)(G) ≃ A/F∗ (2)(A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By analogy BF∗(G)/F∗(G) ≃ B/F∗ (2)(B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Hence G/F∗ (2)(G) ≃ (A/F∗ (2)(A)) × (B/F∗ (2)(B)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' By Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='6 and ˜h = h˜F we have ˜h(G/F∗ (2)(G)) = max{˜h(A/F∗ (2)(A)), ˜h(B/F∗ (2)(B))}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' From ˜F(H) ≤ F∗ (2)(H) ≤ ˜F(2)(H) and Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='4 it follows that for any group H ̸= 1 holds ˜h(H) − 1 = ˜h(H/˜F(H)) ≥ ˜h(H/F∗ (2)(H)) ≥ ˜h(H/˜F(2)(H)) ≥ ˜h(H) − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Therefore {˜h(G) − ˜h(G/F∗ (2)(G)), ˜h(A) − ˜h(A/F∗ (2)(A)), ˜h(B) − ˜h(B/F∗ (2)(B))} ⊆ {1, 2}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Thus max{˜h(A), ˜h(B)} − 1 ≤ ˜h(G) ≤ max{˜h(A), ˜h(B)} + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' While proving Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3 we were not able to answer the following question: Question 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Let a group G = AB be a totally permutable product of subgroups A and B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Is max{˜h(A), ˜h(B)} ≤ ˜h(G)?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' The following question seems interesting Question 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Do there exists a constant h with | max{˜h(A), ˜h(B)} − ˜h(G)| ≤ h for any mutually permutable product G = AB of subgroups A and B?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Towers [19] defined and studied analogues of F∗(G) and ˜F(G) for Lie algebras.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Using these subgroups and the radical (of a Lie algebra) one can introduce the generalized Fitting height, the non-soluble length and the non-Frattini length of a (finite dimension) Lie algebra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Question 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Estimate the generalized Fitting height, the non-soluble length and the non- Frattini length of a (finite dimension) Lie algebra that is the sum of its two subalgebras (ideals, subideals, mutually or totally permutable subalgebras).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' 11 References [1] A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Ballester-Bolinches, R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Esteban-Romero, and M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Asaad.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Products of Finite Groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' De Gruyter, 2010.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' [2] A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Ballester-Bollinches and L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Ezquerro.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Classes of Finite Groups, volume 584 of Math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Appl.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' Springer Netherlands, 2006.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} +page_content=' [3] K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/FNE0T4oBgHgl3EQfQwDu/content/2301.02199v1.pdf'} 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/dev/null +++ b/HdFJT4oBgHgl3EQfFCyj/content/tmp_files/2301.11440v1.pdf.txt @@ -0,0 +1,809 @@ +Secure synchronization of artificial neural networks +used to correct errors in quantum cryptography +Marcin Niemiec∗, Tymoteusz Widlarz∗, Miralem Mehic†‡ +∗ AGH University of Science and Technology, al. Mickiewicza 30, 30-059 Krakow, Poland +† Department of Telecommunications, Faculty of Electrical Engineering, University of Sarajevo, +Zmaja od Bosne bb, 71000, Sarajevo, Bosnia and Herzegovina +‡ VSB – Technical University of Ostrava, 17. listopadu 2172/15, 708 00 Ostrava, Czechia +∗niemiec@agh.edu.pl †widlarztymoteusz@gmail.com ‡miralem.mehic@ieee.org +Abstract—Quantum cryptography can provide a very high +level of data security. However, a big challenge of this technique +is errors in quantum channels. Therefore, error correction +methods must be applied in real implementations. An example is +error correction based on artificial neural networks. This paper +considers the practical aspects of this recently proposed method +and analyzes elements which influence security and efficiency. +The synchronization process based on mutual learning processes +is analyzed in detail. The results allowed us to determine the +impact of various parameters. Additionally, the paper describes +the recommended number of iterations for different structures of +artificial neural networks and various error rates. All this aims +to support users in choosing a suitable configuration of neural +networks used to correct errors in a secure and efficient way. +Index Terms—quantum cryptography, key reconciliation, error +correction, artificial neural networks +I. INTRODUCTION +The emergence and intensive development of the field of +quantum computing has put many cryptography algorithms at +risk. However, quantum physics also allows to achieve multi- +ple cryptography tasks. One of the most popular is quantum +key distribution [1]. Unfortunately, quantum communication +is not perfect and additional solutions are required to correct +any errors after the key distribution in the quantum channel. +Artificial neural networks can be utilized to correct these errors +[2]. It is a recently proposed solution which provides high +level of security and efficiency comparing to other existing +error correction methods. +This paper analyzes the impact of different neural networks’ +parameters on the synchronization process. These parameters +influence the number of iterations required as well as the +security and efficiency of quantum cryptography. Therefore, +it is important to know which neural network scheme should +be chosen and which should be avoided. Additionally, the syn- +chronization requires the number of iterations to be specified. +Therefore, a recommended number of iterations for a particular +multiple neural network’s scheme is provided. +The paper is structured as follows. Related work is re- +viewed in Section 2. Section 3 presents the basics of quantum +cryptography, the architecture of the tree parity machine, +and error correction using this structure of artificial neural +networks. Analysis of synchronization parameters including +the recommended number of iterations for typical keys and +error rates is described in Section 4. Section 5 concludes the +paper. +II. RELATED WORK +The first quantum key distribution (QKD) protocol, intro- +duced in 1984 by Bennet and Brassard, is BB84 [3]. This +scheme uses the polarization state of a single photon to +transmit information. Since then, several other protocols have +been presented. One of them is the E91 protocol introduced +in 1991 by Ekerd [4]. It utilizes entangled pairs of photons +in the QKD process. However, some errors usually appear +during data exchange in the quantum channel. After the initial +QKD, there is a specific step: quantum bit error rate (QBER) +estimation based on the acquired keys. The QBER value is +usually low [5]. It must to be lower than the chosen threshold +used to detect the eavesdropper. +Several methods of correcting error incurred in the quan- +tum key distribution process have been developed. The first +described method – BBBSS – was proposed in 1992 [6]. +However, the most popular is the Cascade key reconciliation +protocol [7]. It is based on multiple random permutations. +The Winnow protocol, based on the exchange of parity and +Hamming codes, is another method of error correction in the +raw key [8]. Its main improvement is the reduction of the +required communication between both parties. The third most +popular error reconciliation scheme is the low density parity +check approach. It offers a significant reduction of exchanged +information; however, it introduces more computation and +memory costs than the Cascade and Winnow protocols [7]. +In 2019, another method of error correction in quantum +cryptography was proposed by Niemiec in [2]. The solution +uses mutual synchronization of two artificial neural networks +(ANN) to correct the errors. The tree parity machine (TPM) +is proposed as a neural network used in this approach. It is +a well-known structure in cryptography – the synchronization +of two TPMs can be used as a key exchange protocol. TPMs +arXiv:2301.11440v1 [cs.CR] 26 Jan 2023 + +cannot be used as a general method to correct a selected error +because it is not possible to predict the final string of bits after +the synchronization process. However, it is a desirable feature +for shared keys which should be random strings of bits. +III. QUANTUM CRYPTOGRAPHY SUPPORTED BY +ARTIFICIAL NEURAL NETWORKS +Symmetric cryptography uses a single key to encrypt and +decrypt secret messages. Let’s assume that Alice and Bob, the +two characters used in describing cryptography protocols, are +using symmetric encryption. The goal is to send information +from Alice to Bob in a way that provides confidentiality. To +achieve this, Alice and Bob need to agree on a shared secret +key. Alice encrypts confidential data using the previously +chosen key and Bob decrypts it using the same key. The same +key is applied to encrypt and decrypt the information, hence +the name: symmetric-key encryption. It is worth mentioning +only the one-time-pad symmetric scheme has been proven +secure but it requires a key not smaller than the message being +sent. +In general, symmetric-key encryption algorithms – for ex- +ample the Advanced Encryption Standard (AES) [9] – per- +form better than asymmetric-key algorithms [10]. However, +symmetric-key algorithms have an important disadvantage +compared to asymmetric-key schemes. In the symmetric key +encryption scheme, the key needs to be safely distributed +or established between Alice and Bob [11]. The symmetric +key can be exchanged in a number of ways, including via +a trusted third party or by direct exchange between involved +parties. However, both methods introduce some vulnerabili- +ties, including passive scanning of network traffic. A method +where the eavesdropper can be easily detected uses quantum +mechanics to establish keys between Alice and Bob. It is called +the quantum key distribution protocol. +A. Quantum key distribution +Quantum mechanics allows for secure key distribution1 +among network users. Two main principles are the core of +the security of QKD: an unknown quantum state cannot be +copied [12], and the quantum state cannot be estimated without +disturbing it. One of the most popular QKD protocols which +uses those principles is the BB84 scheme [3]. +The BB84 protocol uses photons with two polarization +bases: rectilinear or diagonal. Alice encodes a string of bits +using photons on a randomly chosen basis. After that, all the +photons are sent through a quantum channel. Bob randomly +chooses a basis for each photon to decode the binary 0 or +1. Alice and Bob’s bases are compared through a public +communication channel. Each bit where both parties chose the +same basis should be the same. However, when Bob measures +the photon in a different basis than Alice, this bit is rejected. +The remaining bits are the same for both parties and can be +considered as a symmetric key. Next, the error estimation +1In fact, a key is not distributed but negotiated. However, the term +’distribution’ is consistently used in this paper to be consistent with the +commonly accepted name of the technique. +is performed. Randomly chosen parts of the keys between +Alice and Bob are compared to compute the QBER value. +If the comparison results in a high error rate, it means that +the eavesdropper (Eve) is trying to gain information about +the exchanged photons. However, the quantum channel is not +perfect, and errors are usually detected due to disturbance, +noise in the detectors or other elements. The number of errors +introduced by the quantum channel’s imperfections must be +considered while deciding the maximum acceptable error rate. +The differences between Alice and Bob’s keys need to +be corrected. Several error correction methods are known. +BBBSS is the earliest scheme proposed in [6]. It is mainly +based on parity checks. The most popular method is the +Cascade protocol [13]. It is an improved version of BBBSS +and requires less information to be sent between Alice and +Bob through the public channel. The Cascade protocol and +its predecessor are based on multiple parity checks. The basic +idea is that the keys are divided into blocks of a fixed size. +The number of bits in each block depends on the previously +calculated QBER value. Alice and Bob compare the parities +of each block to allow them to find an odd number of errors. +If errors are detected in a given block, it is split into two. +The process is repeated recursively for each block until all +errors are corrected. It concludes a single iteration after which +Alice and Bob have keys with an even number of errors or +without any errors. Before performing the following iterations, +the keys are scrambled, and the size of the block is increased. +The number of iterations is predetermined. As a result of this +process, Alice and Bob should have the same keys. However, +it is not always the case. A number of iterations or block sizes +can be chosen incorrectly and cause failure in error correction. +Additionally, the algorithm performs multiple parity checks +over the public channel, which can be intercepted by an +eavesdropper (Eve). As a result, Eve can construct a partial +key. Alice and Bob should discard parts of their keys to +increase the lost security. This reduces the performance of +this method since the confidential keys must be shortened in +the process. Another error reconciliation method is based on +mutual synchronization of artificial neural networks. +B. Tree parity machine +An artificial neural network (ANN) is a computing system +inspired by biological neural networks [14]. ANNs are used +to recognize patterns and in many other solutions in the fields +of machine learning. ANNs consist of multiple connected +nodes (artificial neurons), with each neuron representing a +mathematical function [15]. These nodes are divided into three +types of layers: the first (input) layer, at least one hidden layer, +and the output layer. The connections between neurons in each +layer can be characterized by weights. +In cryptography, the most commonly used neural network is +the tree parity machine (TPM) [16]. A scheme of this model +is presented in Fig. 1. There are K ×N input neurons, divided +into K groups. There is a single hidden layer with K nodes. +Each of these nodes has N inputs. The TPM has a single +output neuron. The connections between input neurons and + +hidden layer neurons are described by weights W – integers +in the range [−L, L], thus L is the maximum and −L is +the minimum weight value. The values of σ characterize the +connections between the hidden layer neurons and an output +neuron. The output value of the TPM is described by τ. +The value of σ is calculated using the following formulas: +σk = sgn( +N +� +n=1 +xkn ∗ wkn) +(1) +sgn(z) = +� +−1 +z ≤ 0 +1 +z > 0 +(2) +Due to the usage of the presented signum function, σ can take +two values: 1 or −1. The output value of TPM is calculated +as: +τ = +K +� +k=1 +σk +(3) +This neural network has two possible outcomes: 1 or −1. +For the TPM structure, multiple learning algorithms are +proposed. Most popular are Hebbian, anti-Hebbian, and ran- +dom walk. The leading is the Hebbian rule [17]. The Hebbian +algorithm updates ANN weights in the following manner: +w∗ +kn = vL(wkn + xkn ∗ σk ∗ θ(σk, τ)) +(4) +where θ limits the impact of hidden layer neurons whose value +was different than τ: +θ(σk, τ) = +� +0 +if σk ̸= τ +1 +if σk = τ +(5) +The vL function makes sure that the new weights are kept +within the [−L, L] range: +vL(z) = +� +� +� +� +� +−L +if z ≤ −L +z +if − L < z < L +L +if z ≥ L +(6) +The TPM structure allows for mutual learning of the two +neural networks [18], primarily based on updating weights +only when the outputs from both neural networks are the same. +The input values are random and the same for both Alice and +Bob’s TPMs. Inputs are updated in each iteration. The security +of this process relies on the fact that cooperating TPMs can +achieve convergence significantly faster than Eve’s machine, +which can update weights less frequently. The TPM is most +commonly used in cryptography to exchange a secret key. This +usage is defined as neural cryptography [19]. Alice and Bob +mutually synchronize their TPMs to achieve the same weights. +After the synchronization process, these weights provide a +secure symmetric key. +C. Error correction based on TPMs +TPMs can be utilized during the error correction process +in quantum cryptography [2]. The neural network’s task is to +correct all errors to achieve the same string of confidential bits +at both endpoints. Firstly, Alice and Bob prepare their TPMs. +The number of neurons in the hidden layer (K) and the number +of input neurons (N) is determined by Alice and passed on +to Bob. The value L must also be agreed between the users. +The keys achieved using the QKD protocol are changed into +integer values in the range [−L, L]. These values are used +in the appropriate TPMs as weights between neurons in the +input layer and the hidden layer. Since Alice’s string of bits +is similar to Bob’s (QBER is usually not high), the weights +in the created TPMs are almost synchronized. At this point, +Alice and Bob have constructed TPMs with the same structure +but with a few differences in the weight values. +After establishing the TPM structure and changing bits to +weights, the synchronization process starts. It consists of mul- +tiple iterations, repeated until common weights are achieved +between Alice and Bob. A single iteration starts from Alice +choosing the input string and computing the result using the +TPM. After that, the generated input string is passed on to Bob, +who computes the output of his TPM using the received input. +Then, the results are compared. If the outputs of both TPMs +match, the weights can be updated. Otherwise, the process is +repeated with a different input string. +After an appropriate number of iterations, the TPMs are +synchronized and Alice and Bob can change the weights back +into a string of bits. The resulting bits are the same. However, +the privacy amplification process after error correction is still +recommended [20]. The reduction of the key protecting Alice +and Bob from information leakage is defined as [2]: +Z = log2L+12i +(7) +where i is the number of TPM iterations. +This usage of TPM is safer than the neural cryptography +solution, because weights are similar before the synchroniza- +tion. Therefore, significantly fewer iterations are required to +achieve convergence than the randomly initialized weights +in key establishing algorithms. It is worth mentioning this +method of error correction is characterized by high efficiency, +e.g. requires approximately 30% less iterations than Cascade +algorithm [2]. +IV. ANALYSIS OF THE SYNCHRONIZATION PROCESS +The crucial decision regarding the error detection approach +based on TPMs is the number of iterations during the syn- +chronization process. This value should be as low as possible +for security reasons. However, it cannot be too low, since +neural networks will not be able to correct all errors in the +key otherwise. It is the user’s responsibility to select the +appropriate value for the error correction. The main objective +of the analysis is to determine the impact of various neural +network parameters on the synchronization process. Another +goal is to provide a recommended number of iterations for +users. + +X11 +X12 +X13 +X1N +X21 +X22 +X23 +X2N +XK1 +XK2 +XK3 +XKN +∑ +∏ +∑ +∑ +W11 +W1N +W21 +W2N +WKN= {-L, … ,L} +WK1 +σK= {-1, 1} +σ2 +σ1 +τ={-1, 1} +Fig. 1. Model of tree parity machine. +A. Testbed +The experiments require an application to simulate the error +correction process based on artificial neural networks. The +application for correcting errors arising in quantum key distri- +bution was written in Python and uses the NumPy package – a +library for scientific computing which provides fast operations +on arrays required by the TPM. The functions provided by +NumPy satisfy all necessary calculations to achieve neural +network convergence. Synchronization of TPMs is performed +over sockets to allow real-world usage of this tool. The +Hebbian learning algorithm for updating weights is used. +The developed application makes it possible to correct errors +in the keys using quantum key distribution protocols. The users +are also able to correct simulated keys with the chosen error +rate. It helps if users do not have strings of bits created by a +real QKD system. An important feature of the tool is its ability +to select neural network parameters. The user can personalize +the synchronization process, starting from the key length and +error rate. The least sufficient number of bits was used for +translation into a single integer (values of the weights must be +in the range [−L, L]). It was demonstrated that the number of +hidden neurons and the number of inputs depend on the chosen +key length and L value. Therefore, users need to select these +parameters taking into account the requirements and needs. +During the experiments the minimum number of returned +required iterations for a single TPM configuration was set +to 200. The maximum number of iterations was limited to +1000. Additionally, the maximum number of retries in a single +iteration was limited to 10 to speed up the simulation process. +Finally, 1880 different scenarios were analyzed. All possible +TPM configurations for key lengths varying between 100 and +700 with a 100 bit step are available. Moreover, the data is +available for other keys with lengths varying between 128 and +352 with an 8 bit step. Between 350 and 500 synchronizations +were performed for each TPM. It was assumed that this +number of iterations is sufficient to achieve convergence. +B. Recommended number of iterations +To obtain the recommended number of iterations of TPMs +for successful error correction, the sum of means and standard +deviations of the results was calculated. The median and +variance values were calculated as well for comparison. The +full results are available online2. The selected part – the neural +network configurations where the key length equals 256 bits +with the recommended number of iterations – is presented in +Tab. I. +Fig. 2. Histogram for number of iterations (TPM with a 256 bit key, N = 16, +K = 4, L = 4, QBER = 3%). +2Recommended numbers of iterations for 1880 different scenarios – +TPM structures and QBER values – are available from: http://kt.agh.edu.pl/ +∼niemiec/ICC-2023 This is mainly based on possible key lengths which vary +between 128 and 500 bits with 4 bit steps. Additionally, keys with lengths +between 500 and 700 with 100 bit steps are included. + +180 +160 +140 +120 +Count +100 +80 +60 +40 +20 +0 +[11, 69] +(69, 127) +(127, 185) +(185, 243) +(243, 301) +(301, 359) +(359, 400) +> 400 +Number of iterationsTABLE I +RECOMMENDED NUMBER OF ITERATIONS FOR TPMS GENERATED FOR +256 BIT KEYS +Weights +range +{−L, L} +QBER +[%] +Number +of +inputs +to a single +hidden +neuron +[N] +Number +of +hidden +neurons +[K] +Recommended +number +of +iterations +2 +1 +2 +43 +154 +2 +1 +43 +2 +51 +2 +2 +2 +43 +179 +2 +2 +43 +2 +59 +2 +2 +86 +1 +24 +2 +3 +2 +43 +188 +2 +3 +43 +2 +64 +2 +3 +86 +1 +25 +3 +1 +2 +43 +218 +3 +1 +43 +2 +71 +3 +1 +86 +1 +33 +3 +2 +2 +43 +309 +3 +2 +43 +2 +94 +3 +2 +86 +1 +39 +3 +3 +2 +43 +325 +3 +3 +43 +2 +97 +3 +3 +86 +1 +40 +4 +1 +2 +32 +450 +4 +1 +4 +16 +496 +4 +1 +8 +8 +301 +4 +1 +16 +4 +176 +4 +1 +32 +2 +125 +4 +2 +2 +32 +554 +4 +2 +4 +16 +701 +4 +2 +8 +8 +483 +4 +2 +16 +4 +264 +4 +2 +32 +2 +152 +4 +3 +2 +32 +609 +4 +3 +4 +16 +772 +4 +3 +8 +8 +542 +4 +3 +16 +4 +302 +4 +3 +32 +2 +164 +Fig. 2 shows the histogram of data gathered for a sin- +gle neural network configuration. The distribution is right- +skewed. The mean value is greater than the median. It is a +common characteristic for other tested TPM configurations. If +the distribution is not positively skewed, it is symmetrical. +The recommended number of iterations for the presented +configuration, according to Tab. I, equals 302. It is based on +the sum of the mean and standard deviation values. For all +presented TPM configurations, this sum gives an 84% chance +of successful synchronization, assuming a normal distribution +of results. For the right-skewed distribution, similar to the one +presented in Fig. 2, the probability of success is higher. The +85-th percentile for the given set is equal to 276 – less than +the proposed value. In this case, after choosing the suggested +number of iterations the user has more than an 88% chance +of success. +Knowing the lowest required number of iterations is im- +portant because it reduces the risk of a successful attack by +Eve. The attacker could create independent TPMs and try +to synchronize one of them with Alice or Bob’s machine. +The recommended number of iterations increases the security +of this solution because Alice and Bob require far fewer +iterations to synchronize, compared to Alice (or Bob) and Eve +synchronizing using random weights. +C. Impact of TPM structures +The results of simulations allow us to analyze how TPM +structures affect the number of required iterations during the +synchronization process. Fig. 3 shows the number of required +iterations depending on the K and N parameters. It shows +two different TPM configurations: one with a 144 bit key and +another with a 216 bit key. These configurations were chosen +due to having a similar number of possible K and N pairs. +For a given key length, L value and error rate there is a limited +number of possible N and K values. The K value changes +in inverse proportion to the N value. As presented in Fig. +3 the speed of the TPM synchronization process depends on +the neural network structure (N and K values). The number +of required iterations increases alongside the higher number +of neurons in the hidden layer (K). The trend is similar for +both presented TPMs. After achieving a certain threshold, +the number of recommended iterations increases slowly. The +results fit the logarithmic trend line. It means that after a +certain K value, increasing this parameter further does not +affect the synchronization speed as much as under a certain +threshold. +Fig. 3. Number of iterations for TPMs with 144 and 216 bit keys for different +K value. +Other configurations of the selected TPMs were studied +based on the increasing error rate of the keys. Two configura- +tions with 128 and 256 bit keys were tested. The average of +every possible configuration of the recommended number of it- +erations was calculated for different QBER values. The results +are presented in Fig. 4. This confirms that a greater number +of errors results in a higher average number of recommended +iterations. It confirms the applicability of TPMs to correct +errors emerging in quantum key distribution, where the error +rate should not be higher than a few percent. Therefore, the +eavesdropper needs more iterations to synchronize its TPM. +Additionally, it was verified that value L has an exponential +impact on the average recommended number of iterations. The +data was gathered using a similar approach to the study with + +180 +160 +Recommended number of iterations +140 +120 +100 +144 bits +80 +216 bits +60 +40 +20 +0 +6 +8 +9 +10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 +Number of hidden layer neurons (K)Fig. 4. +Number of iterations for TPMs with 128 and 256 bit keys depended +on the QBER. +the impact of QBER. The average recommended number of +iterations of each configuration for a given L was calculated. +Fig. 5 shows the exponential trend line. It is worth mentioning +that the impact of L value on the synchronization time is +significant. +Fig. 5. +Number of iterations for TPMs with 128 and 256 bit keys dependent +on the L value. +It is the user’s responsibility to choose the best possible +configuration for a given key length and QBER value. The +analysis shows that the L value should be chosen carefully +since it exponentially affects the required number of iterations. +Additionally, the choice of the K value should be made +with caution due to its logarithmic impact on the number of +iterations. +V. SUMMARY +The analysis of the TPM synchronization process used for +error correction purposes was presented in this paper. It shows +that the parameters of the TPM structure have an impact on +the synchronization time and security of this error correction +method. However, different parameters of artificial neural +networks have different effects. Therefore, users should be +aware of how to choose the configuration of neural networks +used to correct errors in a secure and efficient way. One of +the deciding factors which need to be selected is the number +of iterations. The paper describes the recommended number +of iterations for different TPM structures and QBER values +to assist users in this step. The numbers recommended by the +authors are as low as possible but with a high probability of +successful synchronization to ensure secure and efficient error +correction based on artificial neural networks. +ACKNOWLEDGMENT +This work was supported by the ECHO project which has +received funding from the European Union’s Horizon 2020 +research and innovation programme under the grant agreement +no. 830943. +REFERENCES +[1] S. Abidin, A. Swami, E. Ramirez-As´ıs, J. Alvarado-Tolentino, R. K. +Maurya, and N. 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Comput., p. 210–229, 1988. + +300 + iterations +250 +I number of i +200 +150 +●128 bits +●256 bits +100 +50 +0 +1 +2 +3 +QBER [%]400 +300 +200 +·128 bits +·256 bits +100 +0 +2 +3 +4 +7 \ No newline at end of file diff --git a/HdFJT4oBgHgl3EQfFCyj/content/tmp_files/load_file.txt b/HdFJT4oBgHgl3EQfFCyj/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..624446bf7ae332a300d5ca80db54787abbf7fadd --- /dev/null +++ b/HdFJT4oBgHgl3EQfFCyj/content/tmp_files/load_file.txt @@ -0,0 +1,589 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf,len=588 +page_content='Secure synchronization of artificial neural networks used to correct errors in quantum cryptography Marcin Niemiec∗, Tymoteusz Widlarz∗, Miralem Mehic†‡ ∗ AGH University of Science and Technology, al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Mickiewicza 30, 30-059 Krakow, Poland † Department of Telecommunications, Faculty of Electrical Engineering, University of Sarajevo, Zmaja od Bosne bb, 71000, Sarajevo, Bosnia and Herzegovina ‡ VSB – Technical University of Ostrava, 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' listopadu 2172/15, 708 00 Ostrava, Czechia ∗niemiec@agh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='pl †widlarztymoteusz@gmail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='com ‡miralem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='mehic@ieee.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='org Abstract—Quantum cryptography can provide a very high level of data security.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, a big challenge of this technique is errors in quantum channels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, error correction methods must be applied in real implementations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' An example is error correction based on artificial neural networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This paper considers the practical aspects of this recently proposed method and analyzes elements which influence security and efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The synchronization process based on mutual learning processes is analyzed in detail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The results allowed us to determine the impact of various parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, the paper describes the recommended number of iterations for different structures of artificial neural networks and various error rates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' All this aims to support users in choosing a suitable configuration of neural networks used to correct errors in a secure and efficient way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Index Terms—quantum cryptography, key reconciliation, error correction, artificial neural networks I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' INTRODUCTION The emergence and intensive development of the field of quantum computing has put many cryptography algorithms at risk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, quantum physics also allows to achieve multi- ple cryptography tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' One of the most popular is quantum key distribution [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Unfortunately, quantum communication is not perfect and additional solutions are required to correct any errors after the key distribution in the quantum channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Artificial neural networks can be utilized to correct these errors [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is a recently proposed solution which provides high level of security and efficiency comparing to other existing error correction methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This paper analyzes the impact of different neural networks’ parameters on the synchronization process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' These parameters influence the number of iterations required as well as the security and efficiency of quantum cryptography.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, it is important to know which neural network scheme should be chosen and which should be avoided.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, the syn- chronization requires the number of iterations to be specified.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, a recommended number of iterations for a particular multiple neural network’s scheme is provided.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The paper is structured as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Related work is re- viewed in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Section 3 presents the basics of quantum cryptography, the architecture of the tree parity machine, and error correction using this structure of artificial neural networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Analysis of synchronization parameters including the recommended number of iterations for typical keys and error rates is described in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Section 5 concludes the paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' RELATED WORK The first quantum key distribution (QKD) protocol, intro- duced in 1984 by Bennet and Brassard, is BB84 [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This scheme uses the polarization state of a single photon to transmit information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Since then, several other protocols have been presented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' One of them is the E91 protocol introduced in 1991 by Ekerd [4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It utilizes entangled pairs of photons in the QKD process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, some errors usually appear during data exchange in the quantum channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After the initial QKD, there is a specific step: quantum bit error rate (QBER) estimation based on the acquired keys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The QBER value is usually low [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It must to be lower than the chosen threshold used to detect the eavesdropper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Several methods of correcting error incurred in the quan- tum key distribution process have been developed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The first described method – BBBSS – was proposed in 1992 [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, the most popular is the Cascade key reconciliation protocol [7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is based on multiple random permutations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The Winnow protocol, based on the exchange of parity and Hamming codes, is another method of error correction in the raw key [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Its main improvement is the reduction of the required communication between both parties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The third most popular error reconciliation scheme is the low density parity check approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It offers a significant reduction of exchanged information;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' however, it introduces more computation and memory costs than the Cascade and Winnow protocols [7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' In 2019, another method of error correction in quantum cryptography was proposed by Niemiec in [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The solution uses mutual synchronization of two artificial neural networks (ANN) to correct the errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The tree parity machine (TPM) is proposed as a neural network used in this approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is a well-known structure in cryptography – the synchronization of two TPMs can be used as a key exchange protocol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' TPMs arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='11440v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='CR] 26 Jan 2023 cannot be used as a general method to correct a selected error because it is not possible to predict the final string of bits after the synchronization process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, it is a desirable feature for shared keys which should be random strings of bits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' QUANTUM CRYPTOGRAPHY SUPPORTED BY ARTIFICIAL NEURAL NETWORKS Symmetric cryptography uses a single key to encrypt and decrypt secret messages.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Let’s assume that Alice and Bob, the two characters used in describing cryptography protocols, are using symmetric encryption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The goal is to send information from Alice to Bob in a way that provides confidentiality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' To achieve this, Alice and Bob need to agree on a shared secret key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Alice encrypts confidential data using the previously chosen key and Bob decrypts it using the same key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The same key is applied to encrypt and decrypt the information, hence the name: symmetric-key encryption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is worth mentioning only the one-time-pad symmetric scheme has been proven secure but it requires a key not smaller than the message being sent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' In general, symmetric-key encryption algorithms – for ex- ample the Advanced Encryption Standard (AES) [9] – per- form better than asymmetric-key algorithms [10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, symmetric-key algorithms have an important disadvantage compared to asymmetric-key schemes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' In the symmetric key encryption scheme, the key needs to be safely distributed or established between Alice and Bob [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The symmetric key can be exchanged in a number of ways, including via a trusted third party or by direct exchange between involved parties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, both methods introduce some vulnerabili- ties, including passive scanning of network traffic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' A method where the eavesdropper can be easily detected uses quantum mechanics to establish keys between Alice and Bob.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is called the quantum key distribution protocol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Quantum key distribution Quantum mechanics allows for secure key distribution1 among network users.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Two main principles are the core of the security of QKD: an unknown quantum state cannot be copied [12], and the quantum state cannot be estimated without disturbing it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' One of the most popular QKD protocols which uses those principles is the BB84 scheme [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The BB84 protocol uses photons with two polarization bases: rectilinear or diagonal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Alice encodes a string of bits using photons on a randomly chosen basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After that, all the photons are sent through a quantum channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Bob randomly chooses a basis for each photon to decode the binary 0 or 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Alice and Bob’s bases are compared through a public communication channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Each bit where both parties chose the same basis should be the same.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, when Bob measures the photon in a different basis than Alice, this bit is rejected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The remaining bits are the same for both parties and can be considered as a symmetric key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Next, the error estimation 1In fact, a key is not distributed but negotiated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, the term ’distribution’ is consistently used in this paper to be consistent with the commonly accepted name of the technique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' is performed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Randomly chosen parts of the keys between Alice and Bob are compared to compute the QBER value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' If the comparison results in a high error rate, it means that the eavesdropper (Eve) is trying to gain information about the exchanged photons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, the quantum channel is not perfect, and errors are usually detected due to disturbance, noise in the detectors or other elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The number of errors introduced by the quantum channel’s imperfections must be considered while deciding the maximum acceptable error rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The differences between Alice and Bob’s keys need to be corrected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Several error correction methods are known.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' BBBSS is the earliest scheme proposed in [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is mainly based on parity checks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The most popular method is the Cascade protocol [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is an improved version of BBBSS and requires less information to be sent between Alice and Bob through the public channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The Cascade protocol and its predecessor are based on multiple parity checks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The basic idea is that the keys are divided into blocks of a fixed size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The number of bits in each block depends on the previously calculated QBER value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Alice and Bob compare the parities of each block to allow them to find an odd number of errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' If errors are detected in a given block, it is split into two.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The process is repeated recursively for each block until all errors are corrected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It concludes a single iteration after which Alice and Bob have keys with an even number of errors or without any errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Before performing the following iterations, the keys are scrambled, and the size of the block is increased.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The number of iterations is predetermined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' As a result of this process, Alice and Bob should have the same keys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, it is not always the case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' A number of iterations or block sizes can be chosen incorrectly and cause failure in error correction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, the algorithm performs multiple parity checks over the public channel, which can be intercepted by an eavesdropper (Eve).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' As a result, Eve can construct a partial key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Alice and Bob should discard parts of their keys to increase the lost security.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This reduces the performance of this method since the confidential keys must be shortened in the process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Another error reconciliation method is based on mutual synchronization of artificial neural networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Tree parity machine An artificial neural network (ANN) is a computing system inspired by biological neural networks [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' ANNs are used to recognize patterns and in many other solutions in the fields of machine learning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' ANNs consist of multiple connected nodes (artificial neurons), with each neuron representing a mathematical function [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' These nodes are divided into three types of layers: the first (input) layer, at least one hidden layer, and the output layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The connections between neurons in each layer can be characterized by weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' In cryptography, the most commonly used neural network is the tree parity machine (TPM) [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' A scheme of this model is presented in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' There are K ×N input neurons, divided into K groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' There is a single hidden layer with K nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Each of these nodes has N inputs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The TPM has a single output neuron.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The connections between input neurons and hidden layer neurons are described by weights W – integers in the range [−L, L], thus L is the maximum and −L is the minimum weight value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The values of σ characterize the connections between the hidden layer neurons and an output neuron.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The output value of the TPM is described by τ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The value of σ is calculated using the following formulas: σk = sgn( N � n=1 xkn ∗ wkn) (1) sgn(z) = � −1 z ≤ 0 1 z > 0 (2) Due to the usage of the presented signum function, σ can take two values: 1 or −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The output value of TPM is calculated as: τ = K � k=1 σk (3) This neural network has two possible outcomes: 1 or −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' For the TPM structure, multiple learning algorithms are proposed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Most popular are Hebbian, anti-Hebbian, and ran- dom walk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The leading is the Hebbian rule [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The Hebbian algorithm updates ANN weights in the following manner: w∗ kn = vL(wkn + xkn ∗ σk ∗ θ(σk,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' τ)) (4) where θ limits the impact of hidden layer neurons whose value was different than τ: θ(σk,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' τ) = � 0 if σk ̸= τ 1 if σk = τ (5) The vL function makes sure that the new weights are kept within the [−L,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' L] range: vL(z) = � � � � � −L if z ≤ −L z if − L < z < L L if z ≥ L (6) The TPM structure allows for mutual learning of the two neural networks [18],' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' primarily based on updating weights only when the outputs from both neural networks are the same.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The input values are random and the same for both Alice and Bob’s TPMs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Inputs are updated in each iteration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The security of this process relies on the fact that cooperating TPMs can achieve convergence significantly faster than Eve’s machine, which can update weights less frequently.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The TPM is most commonly used in cryptography to exchange a secret key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This usage is defined as neural cryptography [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Alice and Bob mutually synchronize their TPMs to achieve the same weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After the synchronization process, these weights provide a secure symmetric key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Error correction based on TPMs TPMs can be utilized during the error correction process in quantum cryptography [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The neural network’s task is to correct all errors to achieve the same string of confidential bits at both endpoints.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Firstly, Alice and Bob prepare their TPMs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The number of neurons in the hidden layer (K) and the number of input neurons (N) is determined by Alice and passed on to Bob.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The value L must also be agreed between the users.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The keys achieved using the QKD protocol are changed into integer values in the range [−L, L].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' These values are used in the appropriate TPMs as weights between neurons in the input layer and the hidden layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Since Alice’s string of bits is similar to Bob’s (QBER is usually not high), the weights in the created TPMs are almost synchronized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' At this point, Alice and Bob have constructed TPMs with the same structure but with a few differences in the weight values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After establishing the TPM structure and changing bits to weights, the synchronization process starts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It consists of mul- tiple iterations, repeated until common weights are achieved between Alice and Bob.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' A single iteration starts from Alice choosing the input string and computing the result using the TPM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After that, the generated input string is passed on to Bob, who computes the output of his TPM using the received input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Then, the results are compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' If the outputs of both TPMs match, the weights can be updated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Otherwise, the process is repeated with a different input string.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After an appropriate number of iterations, the TPMs are synchronized and Alice and Bob can change the weights back into a string of bits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The resulting bits are the same.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, the privacy amplification process after error correction is still recommended [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The reduction of the key protecting Alice and Bob from information leakage is defined as [2]: Z = log2L+12i (7) where i is the number of TPM iterations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This usage of TPM is safer than the neural cryptography solution, because weights are similar before the synchroniza- tion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, significantly fewer iterations are required to achieve convergence than the randomly initialized weights in key establishing algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is worth mentioning this method of error correction is characterized by high efficiency, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' requires approximately 30% less iterations than Cascade algorithm [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' ANALYSIS OF THE SYNCHRONIZATION PROCESS The crucial decision regarding the error detection approach based on TPMs is the number of iterations during the syn- chronization process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This value should be as low as possible for security reasons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, it cannot be too low, since neural networks will not be able to correct all errors in the key otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is the user’s responsibility to select the appropriate value for the error correction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The main objective of the analysis is to determine the impact of various neural network parameters on the synchronization process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Another goal is to provide a recommended number of iterations for users.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' X11 X12 X13 X1N X21 X22 X23 X2N XK1 XK2 XK3 XKN ∑ ∏ ∑ ∑ W11 W1N W21 W2N WKN= {-L, … ,L} WK1 σK= {-1, 1} σ2 σ1 τ={-1, 1} Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Model of tree parity machine.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Testbed The experiments require an application to simulate the error correction process based on artificial neural networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The application for correcting errors arising in quantum key distri- bution was written in Python and uses the NumPy package – a library for scientific computing which provides fast operations on arrays required by the TPM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The functions provided by NumPy satisfy all necessary calculations to achieve neural network convergence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Synchronization of TPMs is performed over sockets to allow real-world usage of this tool.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The Hebbian learning algorithm for updating weights is used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The developed application makes it possible to correct errors in the keys using quantum key distribution protocols.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The users are also able to correct simulated keys with the chosen error rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It helps if users do not have strings of bits created by a real QKD system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' An important feature of the tool is its ability to select neural network parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The user can personalize the synchronization process, starting from the key length and error rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The least sufficient number of bits was used for translation into a single integer (values of the weights must be in the range [−L, L]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It was demonstrated that the number of hidden neurons and the number of inputs depend on the chosen key length and L value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, users need to select these parameters taking into account the requirements and needs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' During the experiments the minimum number of returned required iterations for a single TPM configuration was set to 200.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The maximum number of iterations was limited to 1000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, the maximum number of retries in a single iteration was limited to 10 to speed up the simulation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Finally, 1880 different scenarios were analyzed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' All possible TPM configurations for key lengths varying between 100 and 700 with a 100 bit step are available.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Moreover, the data is available for other keys with lengths varying between 128 and 352 with an 8 bit step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Between 350 and 500 synchronizations were performed for each TPM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It was assumed that this number of iterations is sufficient to achieve convergence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Recommended number of iterations To obtain the recommended number of iterations of TPMs for successful error correction, the sum of means and standard deviations of the results was calculated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The median and variance values were calculated as well for comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The full results are available online2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The selected part – the neural network configurations where the key length equals 256 bits with the recommended number of iterations – is presented in Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Histogram for number of iterations (TPM with a 256 bit key, N = 16, K = 4, L = 4, QBER = 3%).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 2Recommended numbers of iterations for 1880 different scenarios – TPM structures and QBER values – are available from: http://kt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='agh.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='pl/ ∼niemiec/ICC-2023 This is mainly based on possible key lengths which vary between 128 and 500 bits with 4 bit steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, keys with lengths between 500 and 700 with 100 bit steps are included.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 180 160 140 120 Count 100 80 60 40 20 0 [11,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 69] (69,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 127) (127,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 185) (185,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 243) (243,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 301) (301,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 359) (359,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 400) > 400 Number of iterationsTABLE I RECOMMENDED NUMBER OF ITERATIONS FOR TPMS GENERATED FOR 256 BIT KEYS Weights range {−L,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' L} ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='QBER ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='[%] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='Number ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='of ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='inputs ' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='4 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='3 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='32 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='164 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content='Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 2 shows the histogram of data gathered for a sin- gle neural network configuration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The distribution is right- skewed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The mean value is greater than the median.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is a common characteristic for other tested TPM configurations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' If the distribution is not positively skewed, it is symmetrical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The recommended number of iterations for the presented configuration, according to Tab.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' I, equals 302.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is based on the sum of the mean and standard deviation values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' For all presented TPM configurations, this sum gives an 84% chance of successful synchronization, assuming a normal distribution of results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' For the right-skewed distribution, similar to the one presented in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 2, the probability of success is higher.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The 85-th percentile for the given set is equal to 276 – less than the proposed value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' In this case, after choosing the suggested number of iterations the user has more than an 88% chance of success.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Knowing the lowest required number of iterations is im- portant because it reduces the risk of a successful attack by Eve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The attacker could create independent TPMs and try to synchronize one of them with Alice or Bob’s machine.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The recommended number of iterations increases the security of this solution because Alice and Bob require far fewer iterations to synchronize, compared to Alice (or Bob) and Eve synchronizing using random weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Impact of TPM structures The results of simulations allow us to analyze how TPM structures affect the number of required iterations during the synchronization process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 3 shows the number of required iterations depending on the K and N parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It shows two different TPM configurations: one with a 144 bit key and another with a 216 bit key.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' These configurations were chosen due to having a similar number of possible K and N pairs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' For a given key length, L value and error rate there is a limited number of possible N and K values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The K value changes in inverse proportion to the N value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' As presented in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 3 the speed of the TPM synchronization process depends on the neural network structure (N and K values).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The number of required iterations increases alongside the higher number of neurons in the hidden layer (K).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The trend is similar for both presented TPMs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' After achieving a certain threshold, the number of recommended iterations increases slowly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The results fit the logarithmic trend line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It means that after a certain K value, increasing this parameter further does not affect the synchronization speed as much as under a certain threshold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Number of iterations for TPMs with 144 and 216 bit keys for different K value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Other configurations of the selected TPMs were studied based on the increasing error rate of the keys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Two configura- tions with 128 and 256 bit keys were tested.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The average of every possible configuration of the recommended number of it- erations was calculated for different QBER values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The results are presented in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' This confirms that a greater number of errors results in a higher average number of recommended iterations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It confirms the applicability of TPMs to correct errors emerging in quantum key distribution, where the error rate should not be higher than a few percent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, the eavesdropper needs more iterations to synchronize its TPM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, it was verified that value L has an exponential impact on the average recommended number of iterations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The data was gathered using a similar approach to the study with 180 160 Recommended number of iterations 140 120 100 144 bits 80 216 bits 60 40 20 0 6 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 Number of hidden layer neurons (K)Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Number of iterations for TPMs with 128 and 256 bit keys depended on the QBER.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' the impact of QBER.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The average recommended number of iterations of each configuration for a given L was calculated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 5 shows the exponential trend line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is worth mentioning that the impact of L value on the synchronization time is significant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Number of iterations for TPMs with 128 and 256 bit keys dependent on the L value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It is the user’s responsibility to choose the best possible configuration for a given key length and QBER value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The analysis shows that the L value should be chosen carefully since it exponentially affects the required number of iterations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Additionally, the choice of the K value should be made with caution due to its logarithmic impact on the number of iterations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' SUMMARY The analysis of the TPM synchronization process used for error correction purposes was presented in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' It shows that the parameters of the TPM structure have an impact on the synchronization time and security of this error correction method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' However, different parameters of artificial neural networks have different effects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' Therefore, users should be aware of how to choose the configuration of neural networks used to correct errors in a secure and efficient way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' One of the deciding factors which need to be selected is the number of iterations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The paper describes the recommended number of iterations for different TPM structures and QBER values to assist users in this step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' The numbers recommended by the authors are as low as possible but with a high probability of successful synchronization to ensure secure and efficient error correction based on artificial neural networks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' ACKNOWLEDGMENT This work was supported by the ECHO project which has received funding from the European Union’s Horizon 2020 research and innovation programme under the grant agreement no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' 830943.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/HdFJT4oBgHgl3EQfFCyj/content/2301.11440v1.pdf'} +page_content=' REFERENCES [1] S.' metadata={'source': 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mode 100644 index 0000000000000000000000000000000000000000..ba58546d1303c1ff5e39827f8dd2671ed3aa6ebf --- /dev/null +++ b/MtFJT4oBgHgl3EQfzS0r/content/2301.11642v1.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:9b6e90f0ee6cae3b5f4c76db62894a3e01a673b792d933d9b8dc274f1fb769cd +size 573711 diff --git a/NtFQT4oBgHgl3EQfWjbh/content/tmp_files/2301.13305v1.pdf.txt b/NtFQT4oBgHgl3EQfWjbh/content/tmp_files/2301.13305v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..edda5ad47718299d799393ea26f534b5d254035e --- /dev/null +++ b/NtFQT4oBgHgl3EQfWjbh/content/tmp_files/2301.13305v1.pdf.txt @@ -0,0 +1,371 @@ +arXiv:2301.13305v1 [math.CO] 30 Jan 2023 +Graph-Codes +Noga Alon ∗ +Abstract +The symmetric difference of two graphs G1, G2 on the same set of vertices [n] = +{1, 2, . . . , n} is the graph on [n] whose set of edges are all edges that belong to exactly +one of the two graphs G1, G2. Let H be a fixed graph with an even (positive) number +of edges, and let DH(n) denote the maximum possible cardinality of a family of graphs +on [n] containing no two members whose symmetric difference is a copy of H. Is it +true that DH(n) = o(2(n +2)) for any such H? We discuss this problem, compute the +value of DH(n) up to a constant factor for stars and matchings, and discuss several +variants of the problem including ones that have been considered in earlier work. +1 +Introduction +1.1 +The problem +The symmetric difference of two graph G1 = (V, E1) and G2 = (V, E2) on the same set of +vertices V is the graph (V, E1 ⊕ E2) where E1 ⊕ E2 is the symmetric difference between +E1 and E2, that is, the set of all edges that belong to exactly one of the two graphs. Put +V = [n] = {1, 2, . . . , n} and let H be a family of graphs on the set of vertices [n] which is +closed under isomorphism. A collection of graphs F on [n] is called an H-(graph)-code if +it contains no two members whose symmetric difference is a graph in H. For the special +case that H contains all copies of a single graph H on [n] this is called an H-code. Here +we are interested in the maximum possible cardinality of such codes for various families +H. Let DH(n) denote this maximum, and let +dH(n) = DH(n) +2(n +2) +denote the maximum possible fraction of the total number of graphs on [n] in an H-code. +If H consists of all graphs isomorphic to one graph H, we denote dH(n) by dH(n). Note +that if H consists of all graphs with less than d edges, then DH(n) is simply the maximum +∗Princeton University, Princeton, NJ, USA and Tel Aviv University, Tel Aviv, Israel. +Email: +nalon@math.princeton.edu. Research supported in part by NSF grant DMS-2154082 and by USA-Israel +BSF grant 2018267. +1 + +possible cardinality of a binary code of length +�n +2 +� +and minimum distance at least d. This +motivates the terminology “graph-codes” used here. +The case H = K where K is the family of all cliques is of particular interest. This case +is motivated by a conjecture of Gowers raised in his blog post [8] in 2009 and is discussed +briefly in the comments of that blog. If H consists of all graphs with independence number +at most 2, then dH(n) ≥ 1/8 for all n ≥ 3, as shown by the family of all graphs on [n] +containing a triangle on the set of vertices {1, 2, 3}. An interesting result of Ellis, Filmus +and Friedgut [5], settling a conjecture of Simonovits and S´os, asserts that this is tight +for all n ≥ 3. The corresponding result, that dH′(n) = 1/26 for all n ≥ 4, where H′ is +the family of all graphs with independence number at most 3, is proved in [3]. A more +systematic study of the parameters DH(n) and dH(n) for various families of graphs H +appears in the recent paper [1]. The families H considered in this work include the family +of all disconnected graphs, the family of all graphs that are not 2-connected, the family +of all non-Hamiltonian graphs and the family of all graphs that contain or do not contain +a spanning star. Additional families studied are all graphs that contain an induced or +non-induced copy of a fixed graph T, or all graphs that do not contain such a subgraph. +In this note we focus on the case that H consists of a single graph H and the case that +H is the family of all cliques, or all cliques up to a prescribed size. Note that trivially, +if every member of H has an odd number of edges then dH(n) ≥ 1 +2 as the family of all +graphs on [n] with an even number of edges forms an H-code. +This suggests the following intriguing question. +Question 1.1. Let H be a family of graphs closed under isomorphism. Is it true that +dH(n) tends to 0 as n tends to infinity if and only if H contains a graph with an even +number of edges ? Equivalently: is it true that for any fixed graph H with an even number +of edges, dH(n) tends to 0 as n tends to infinity ? +We also study the linear variant of these problems, where the H-codes considered are +restricted to linear subspaces, that is, to families of graphs on [n] closed under symmetric +difference. +1.2 +Results +Recall that K is the family of all cliques. Let K(r) denote the set of all cliques on at most +r vertices. Let K1,t denote the star with t edges and let Mt denote the matching of t edges. +Theorem 1.2. For every positive integer k, +dK1,2k(n) = Θk(1/nk) and +dM1,2k(n) = Θk(1/nk). +Proposition 1.3. For every integer r ≥ 1, +dK(4r+3)(n) ≥ Ω( 1 +nr ). +2 + +Proposition 1.4. For the family K of all cliques, dK(n) ≥ +1 +2[n/2] . +Proposition 1.5. Let H be a fixed graph obtained from two copies of a graph H′ by +identifying the vertices of an independent set of H′. Then +dH(n) ≤ |V (H)| +n +for all n ≥ |V (H)|. +In particular, dH(n) tends to 0 as n tends to infinity. +Remark: +all lower bounds are proved by exhibiting proper colorings of the relevant +Cayley graphs, and in all cases the constructed family is an affine space over Z2. Using +a simple Ramsey-theoretic argument it is not difficult to show that for an affine space +the maximum possible cardinality obtained is at most a fraction O(log log n/ log n) of all +graphs on n vertices whenever the defining family contains a fixed graph with an even +number of edges. +Since all lower bounds are obtained by what may be called linear graph-codes one can +study this separately, as done for standard error correcting codes. For the family of all +cliques K we get here an exact result (strengthening the assertion of Proposition 1.4). +Theorem 1.6. For any n ≥ 2, the minimum possible co-dimension of a linear space of +graphs on n vertices that contains no member of K is exactly [n/2]. +2 +Proofs +2.1 +Upper bounds +For a family of graphs H and an integer n, the Cayley graph C(n, H) is the graph whose +vertices are all graphs on the n vertices [n], where two are adjacent iff their symmetric +difference is a member of H. This is clearly a Cayley graph over the elementary abelian +2-group ZN +2 with N = +�n +2 +� +. The function DH(n) is just the independence number of this +graph, dH(n) is the so called independence ratio. Since the graph C(n, H) is vertex tran- +sitive, its independence ratio is exactly the reciprocal of its fractional chromatic number. +In order to prove an upper bound of α for its independence ratio it suffices to exhibit a +set S of vertices that contains no independent set of size larger than α|S|. This applies +also to weighted sets of vertices, but we will not use weights here. +Proof of Proposition 1.5: Let a + b denote the number of vertices of H′ where b is the +size of its independent set so that H is obtained from two copies of H′ by identifying the +vertices in this independent set. Thus the number of vertices of H is 2a + b. Consider +the following set of m = ⌊(n − b)/a⌋ copies of H′ on subsets of the vertex set [n]. All of +3 + +them contain the same independent set on the vertices {n − b + 1, n − b + 2, . . . , n}, and +the additional vertices of copy number i are the vertices (i − 1)a + 1, (i − 1)a + 2, . . . , ia}, +where 1 ≤ i ≤ m. Each of these copies can be viewed as a vertex of the Cayley graph +C = C(n, {H}). Since the symmetric difference of every pair of such copies forms a copy +of H, this set forms a clique of size m in C, implying that dH(n) ≤ 1 +m ≤ |V (H)|/n. +□ +The proofs of Theorem 1.2 for stars and for matchings are very similar. We describe the +proof for stars and briefly mention the modification needed for matchings. The upper +bound in Theorem 1.2 for the star K1,1 is a special case of the result above (with H′ being +a single edge). The upper bound for any prime k can be proved using the following result +of Frankl and Wilson. +Theorem 2.1 ([7]). Let p be a prime, and let a0, a1, . . . , ar be distinct residue classes +modulo p. Let F be a family of subsets of [n] and suppose that |F| ≡ a0 mod p for all +F ∈ F and that for every two distinct F1, F2 ∈ F, |F1∩F2| ≡ ai mod p for some 1 ≤ i ≤ r. +Then |F| ≤ �r +i=0 +�n +i +� +. +Suppose k is a prime, n ≥ 2k and consider the family G of all stars K1,2k−1 with +center 1 and 2k − 1 leaves among the vertices {2, 3, . . . , n}. Thus |G| = +� n−1 +2k−1 +� +. If two +such stars share exactly k − 1 common leaves then their symmetric difference is a copy of +K1,2k. A subset of G which is independent in the Cayley graph C(n, K1,2k) corresponds to +a collection of subsets of the set {2, 3, . . . , n}, each of size 2k − 1, where the intersection of +no two of these subsets is of cardinality k−1. Therefore, each of these sets is of cardinality +−1 modulo k and no intersection is of cardinality −1 modulo k. By the Frankl-Wilson +Theorem (Theorem 2.1) the cardinality of such a family is at most �k−1 +i=0 +�n−1 +i +� +. Therefore, +for every prime k, +dK1,2k(n) ≤ +�k−1 +i=0 +�n−1 +i +� +� n−1 +2k−1 +� +≤ Ok( 1 +nk ). +In order to prove the upper bound for all k we need the following result of Frankl and +F¨uredi. +Theorem 2.2 ([6]). For every fixed positive integers ℓ > ℓ1 +ℓ2 there exist n0 = n0(ℓ) and +dℓ > 0 so that for all n > n0, if F is a family of ℓ-subsets of [n] in which the intersection +of each pair of distinct members is of cardinality either at least ℓ − ℓ1 or strictly smaller +than ℓ2, then +|F| ≤ dℓ · nmax{ℓ1,ℓ2}. +Proof of Theorem 1.2, upper bound: The proof for stars is essentially identical to +the one described above for prime k, using Theorem 2.2 instead of Theorem 2.1. +Let +G be the family of all stars K1,2k−1 with center 1 and 2k − 1 leaves among the vertices +4 + +{2, 3, . . . , n}. Thus |G| = +� n−1 +2k−1 +� +. If two such stars share exactly k − 1 common leaves +then their symmetric difference is a copy of K1,2k. Therefore, by Theorem 2.2 above with +ℓ = 2k−1, ℓ1 = ℓ2 = k−1, the maximum cardinality of a subset of G which is independent +in the Cayley graph C(n, K1,2k) is at most some ck(n − 1)k−1 for all sufficiently large n. +This supplies the required upper bound +ck(n − 1)k +|G| +≤ Ok( 1 +nk ), +for dK1,2k(n). The proof for matchings is similar, starting with the family of all subsets +of cardinality 2k − 1 of a fixed matching of cardinality ⌊n/2⌋. The symmetric difference +of any two matchings that share exactly k − 1 common edges is a copy of M2k. Thus the +proof can proceed exactly as in the case of stars. +□ +2.2 +Lower bounds +In order to lower bound the independence number of a Cayley graph C = C(n, H) it +suffices to upper bound its chromatic number. One way to do so is to assign to each edge +e of the complete graph on [n] a vector ve ∈ Zr +2 for some r, so that for every H ∈ H, +� +e∈E(H) ve ̸= 0, where the sum is computed in Zr +2. Given these vectors, we can assign +to each graph G on [n] the color � +e∈E(G) ve (computed, of course, in Zr +2). This is clearly +a proper coloring of C by at most 2r colors. Note that the matrix whose columns are +the +�n +2 +� +vectors ve is the analogue of the parity-check matrix of a linear error correcting +code in the traditional theory of codes, and the color defined above is the analogue of the +syndrome of a word, see, e.g., [9] for more information about these basic notions. +Proof of Theorem 1.2, lower bound: For stars, it suffices to show that the chromatic +number of the Cayley graph C = C(n, K1,2k) is at most O(nk). Let s be the smallest +integer so that 2s − 1 ≥ n. As shown by the columns of the parity check matrix of a +BCH-code with designed distance 2k + 1 there is a collection S of 2s − 1 binary vectors +of length r = ks so that no sum of at most 2k of them (in Zks +2 ) is the zero vector. Fix a +proper edge coloring c of Kn by n colors. For each edge e let ve be the vector number c(e) +in S. This gives the desired lower bound for stars. For matchings we use essentially the +same construction, starting with a (non-proper) edge coloring of Kn by n colors in which +each color class forms a star. +□ +Proof of Proposition 1.3, lower bound: +As in the previous proof, but the initial +edge-coloring now is defined by c(ij) = i for all i < j and the binary vectors selected +are taken from the columns of the parity check matrix of a code with designed distance +2r + 2. Let U be the set of vertices of a clique of size at least 2 and at most 4r + 3. Then +U contains at least 1 and at most 2r + 1 vertices i for which there is an odd number of +5 + +vertices of U with index strictly larger than i. Therefore the sum of vectors corresponding +to the edges of the clique on U is equal to a sum of at most 2r + 1 column vectors of the +parity check matrix, which is nonzero. +□ +Proof of Proposition 1.4, lower bound: This follows from the construction in the +proof of Theorem 1.6 described in the next section. +3 +Linear graph-codes +Proof of Theorem 1.6: The theorem is equivalent to the statement that for all n ≥ 2 +the minimum possible r = r(n) so that there are graphs G1, . . . , Gr on the vertex set [n] +such that every clique on a subset of cardinality at least 2 of [n] contains an odd number +of edges of at least one graph Gi, is r = [n/2]. It clearly suffices to prove the upper bound +for odd n (that imply the result for n − 1) and the lower bound for even n (implying the +result for n + 1). The upper bound is described in what follows. Let n ≥ 3 be odd. Split +the numbers [n − 1] = {1, 2, . . . , n − 1} into the (n − 1)/2 blocks Bi = {2i − 1, 2i} for +1 ≤ i ≤ (n − 1)/2. Let Gi be the graph consisting of all edges of the n − 2i triangles with +a common base Bi on the vertices Bi ∪ {j} for 2i < j ≤ n. Our family of graphs is the +set of these (n − 1)/2 graphs Gi. Let K be an arbitrary clique on a subset A of at least +2 vertices in [n]. If A contains a full block Bi for some i, then it contains exactly 2x + 1 +edges of Gi, where x is the cardinality of the intersection of A with {2i + 1, 2i + 2, . . . , n}. +As this is odd for all x ≥ 0 we may assume that A contains no block Bi. In this case, +let j be the second largest element in A (recall that |A| ≥ 2). Clearly j ≤ n − 1, hence +it is contained in one of the blocks Bi. But in this case Gi contains exactly one edge +of the clique K, completing the proof of the upper bound. Note that it is simple to give +additional constructions with the same properties as any set of graphs that spans the same +subspace as the graphs above will do. In particular, we can replace one of the graphs Gi +by the complete graph Kn, which is the sum of all graphs Gi. +To prove the lower bound assume n is even and let G1, . . . Gn/2−1 be a family of n/2−1 +graphs on [n]. We have to show that there is a clique on at least 2 vertices containing an +even number of edges of each Gi. We show that in fact there is such a clique on an even +number of vertices. To do so we apply the classical theorem of Chevalley and Warning +(cf., e.g., [2] or [12]). Recall that it asserts that any system of polynomials with n variables +over a finite field in which the number of variables exceeds the sum of the degrees, which +admits a solution, must admit another one (in fact, the number of solutions is divisible by +the characteristics). Associate each vertex i with a variable xi over Z2 and consider the +following homogeneous system of polynomial equations over Z2. For each graph Gs in our +6 + +family, +� +ij∈E(Gs) +xixj = 0. +In addition, add the linear equation �n +i=1 xi = 0. +The sum of the degrees of the polynomials here is 2(n/2 − 1) + 1 = n − 1, which +is smaller than the number of variables. +Since the system is homogeneous it admits +the trivial solution xi = 0 for all i. Any other solution (which exists by the Chevalley +Warning Theorem) gives a clique on the set of vertices {i : xi = 1} which is nonempty, of +even cardinality, and contains an even number of edges (possibly zero) of each Gi. This +establishes the lower bound and completes the proof of Theorem 1.6. +□ +4 +Concluding remarks and open problems +• Question 1.1, which is equivalent to the problem of deciding whether or not for any +fixed nonempty graph H with an even number of edges dH(n) tends to 0 as n tends +to infinity, remains wide open. +An interesting special case is whether or not dK4(n) = o(1). It is also interesting +to decide whether or not dK4(n) ≥ +1 +no(1) . It is not difficult to show that the latter +would follow from the existence (if true) of an edge coloring of Kn by no(1) colors +with no copy of K4 in which every color appears an even number of times. This may +be related to the construction in [10], see also [4]. +• Gowers conjectured in [8] that any family of a constant fraction of all graphs on [n], +where n is sufficiently large, contains two graphs G1, G2 such that G2 is a subgraph +of G1 and the symmetric difference of the two graphs (that is, the set of all edges of +G1 that are not in G2) forms a clique. This is clearly stronger than the conjecture +that dK(n) tends to 0 as n tends to infinity, which is also open. As explained in +[8] the question of Gowers can be viewed as the first unknown case of a polynomial +version of the density Hales-Jewett Theorem. +• As mentioned in the remark following the statement of Proposition 1.5, it is not +difficult to show that for every graph H with an even number of eges the maximum +possible cardinality of a linear family of graphs on [n] in which no symmetric differ- +ence is a copy of H, is o(2(n +2)). As the proof applies Ramsey’s Theorem, it provides +very weak bounds. It will be interesting to establish tighter bounds for the linear +case. Theorem 1.6 provides an example of a tight result of this form. +• The problem considered above can be extended to hypergraphs. More generally, it +can be extended to other versions of problems about binary codes, where the coordi- +nates of each codeword are indexed by the elements of some combinatorial structure, +7 + +and the forbidden symmetric differences correspond to a prescribed family of sub- +structures. Here is an example of a problem of this type. What is the maximum +possible cardinality of a collection of binary vectors whose coordinates are indexed +by the elements of the ordered set [n], where no symmetric difference of two dis- +tinct members of the collection forms an interval of length which is a cube of an +integer? The corresponding Cayley graph here has 2n vertices, and it is triangle-free +by Fermat’s last Theorem for cubes. Its independece number, which is the answer +to the question above, is o(2n). Indeed, this follows from the Furstenberg-S´ark¨ozy +Theorem and its extensions [11], by considering the maximum possible cardinality +of an independent set in the induced subgraph on the set of all vertices that are +characteristic vectors of an interval [i] = {1, . . . , i} for 0 ≤ i ≤ n. +References +[1] N. Alon, A. Gujgiczer, J. K¨orner, A. Milojevi´c and G. Simonyi, Structured codes of +graphs, SIAM J. Discrete Math., to appear. +[2] Z. I. Borevich and I. R. Shafarevich, Number Theory, Academic Press, New York, +1966. +[3] A. Berger and Y. Zhao, K4-intersecting families of graphs, arXiv:2103.12671, 2021. +[4] D. Conlon, J. Fox, C. Lee and B. Sudakov, The Erd˝os-Gy´arf´as problem on generalized +Ramsey numbers, Proc. London Math. Soc. 110 (2015), 1–18. +[5] D. Ellis, Y. Filmus and E. Friedgut, Triangle-intersecting families of graphs, Journal +of the European Mathematical Society 14 (2012), No. 3, 841–885. +[6] P. Frankl and Z. F¨uredi, Forbidding just one intersection, J. Combin. Theory Ser. A +39 (1985), no. 2, 160–176. +[7] P. Frankl and R. M. Wilson, Intersection theorems with geometric consequences, +Combinatorica 1 (1981), 357–368. +[8] W. T. Gowers, https://gowers.wordpress.com/2009/11/14/the-first-unknown-case-of- +polynomial-dhj/ +[9] F. MacWilliams and N. Sloane, The Theory of Error-Correcting Codes, I. North- +Holland Mathematical Library, Vol. 16. North-Holland Publishing Co., Amsterdam- +New York-Oxford (1977). +[10] D. Mubayi, Edge-coloring cliques with three colors on all 4-cliques, Combinatorica 18 +(1998), no. 2, 293–296. +8 + +[11] A. S´ark¨ozy, On difference sets of sequences of integers. III. Acta Math. Acad. Sci. +Hungar. 31 (1978), no. 3-4, 355–386. +[12] W. M. Schmidt, Equations over Finite Fields, an Elementary Approach, Springer +Verlag Lecture Notes in Math., 1976. +9 + diff --git a/NtFQT4oBgHgl3EQfWjbh/content/tmp_files/load_file.txt b/NtFQT4oBgHgl3EQfWjbh/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..8b9222293ef724e9f91cb9c1035a903c13ba1dab --- /dev/null +++ b/NtFQT4oBgHgl3EQfWjbh/content/tmp_files/load_file.txt @@ -0,0 +1,301 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf,len=300 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='13305v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='CO] 30 Jan 2023 Graph-Codes Noga Alon ∗ Abstract The symmetric difference of two graphs G1, G2 on the same set of vertices [n] = {1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n} is the graph on [n] whose set of edges are all edges that belong to exactly one of the two graphs G1, G2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let H be a fixed graph with an even (positive) number of edges, and let DH(n) denote the maximum possible cardinality of a family of graphs on [n] containing no two members whose symmetric difference is a copy of H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Is it true that DH(n) = o(2(n 2)) for any such H?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' We discuss this problem, compute the value of DH(n) up to a constant factor for stars and matchings, and discuss several variants of the problem including ones that have been considered in earlier work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 1 Introduction 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1 The problem The symmetric difference of two graph G1 = (V, E1) and G2 = (V, E2) on the same set of vertices V is the graph (V, E1 ⊕ E2) where E1 ⊕ E2 is the symmetric difference between E1 and E2, that is, the set of all edges that belong to exactly one of the two graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Put V = [n] = {1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n} and let H be a family of graphs on the set of vertices [n] which is closed under isomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' A collection of graphs F on [n] is called an H-(graph)-code if it contains no two members whose symmetric difference is a graph in H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For the special case that H contains all copies of a single graph H on [n] this is called an H-code.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Here we are interested in the maximum possible cardinality of such codes for various families H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let DH(n) denote this maximum, and let dH(n) = DH(n) 2(n 2) denote the maximum possible fraction of the total number of graphs on [n] in an H-code.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' If H consists of all graphs isomorphic to one graph H, we denote dH(n) by dH(n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Note that if H consists of all graphs with less than d edges, then DH(n) is simply the maximum ∗Princeton University, Princeton, NJ, USA and Tel Aviv University, Tel Aviv, Israel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Email: nalon@math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='princeton.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Research supported in part by NSF grant DMS-2154082 and by USA-Israel BSF grant 2018267.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 1 possible cardinality of a binary code of length �n 2 � and minimum distance at least d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This motivates the terminology “graph-codes” used here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The case H = K where K is the family of all cliques is of particular interest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This case is motivated by a conjecture of Gowers raised in his blog post [8] in 2009 and is discussed briefly in the comments of that blog.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' If H consists of all graphs with independence number at most 2, then dH(n) ≥ 1/8 for all n ≥ 3, as shown by the family of all graphs on [n] containing a triangle on the set of vertices {1, 2, 3}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' An interesting result of Ellis, Filmus and Friedgut [5], settling a conjecture of Simonovits and S´os, asserts that this is tight for all n ≥ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The corresponding result, that dH′(n) = 1/26 for all n ≥ 4, where H′ is the family of all graphs with independence number at most 3, is proved in [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' A more systematic study of the parameters DH(n) and dH(n) for various families of graphs H appears in the recent paper [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The families H considered in this work include the family of all disconnected graphs, the family of all graphs that are not 2-connected, the family of all non-Hamiltonian graphs and the family of all graphs that contain or do not contain a spanning star.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Additional families studied are all graphs that contain an induced or non-induced copy of a fixed graph T, or all graphs that do not contain such a subgraph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In this note we focus on the case that H consists of a single graph H and the case that H is the family of all cliques, or all cliques up to a prescribed size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Note that trivially, if every member of H has an odd number of edges then dH(n) ≥ 1 2 as the family of all graphs on [n] with an even number of edges forms an H-code.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This suggests the following intriguing question.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Question 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let H be a family of graphs closed under isomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Is it true that dH(n) tends to 0 as n tends to infinity if and only if H contains a graph with an even number of edges ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Equivalently: is it true that for any fixed graph H with an even number of edges, dH(n) tends to 0 as n tends to infinity ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' We also study the linear variant of these problems, where the H-codes considered are restricted to linear subspaces, that is, to families of graphs on [n] closed under symmetric difference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 Results Recall that K is the family of all cliques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let K(r) denote the set of all cliques on at most r vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let K1,t denote the star with t edges and let Mt denote the matching of t edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For every positive integer k, dK1,2k(n) = Θk(1/nk) and dM1,2k(n) = Θk(1/nk).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For every integer r ≥ 1, dK(4r+3)(n) ≥ Ω( 1 nr ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 2 Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For the family K of all cliques, dK(n) ≥ 1 2[n/2] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let H be a fixed graph obtained from two copies of a graph H′ by identifying the vertices of an independent set of H′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Then dH(n) ≤ |V (H)| n for all n ≥ |V (H)|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In particular, dH(n) tends to 0 as n tends to infinity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Remark: all lower bounds are proved by exhibiting proper colorings of the relevant Cayley graphs, and in all cases the constructed family is an affine space over Z2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Using a simple Ramsey-theoretic argument it is not difficult to show that for an affine space the maximum possible cardinality obtained is at most a fraction O(log log n/ log n) of all graphs on n vertices whenever the defining family contains a fixed graph with an even number of edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Since all lower bounds are obtained by what may be called linear graph-codes one can study this separately, as done for standard error correcting codes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For the family of all cliques K we get here an exact result (strengthening the assertion of Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For any n ≥ 2, the minimum possible co-dimension of a linear space of graphs on n vertices that contains no member of K is exactly [n/2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 2 Proofs 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1 Upper bounds For a family of graphs H and an integer n, the Cayley graph C(n, H) is the graph whose vertices are all graphs on the n vertices [n], where two are adjacent iff their symmetric difference is a member of H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This is clearly a Cayley graph over the elementary abelian 2-group ZN 2 with N = �n 2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The function DH(n) is just the independence number of this graph, dH(n) is the so called independence ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Since the graph C(n, H) is vertex tran- sitive, its independence ratio is exactly the reciprocal of its fractional chromatic number.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In order to prove an upper bound of α for its independence ratio it suffices to exhibit a set S of vertices that contains no independent set of size larger than α|S|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This applies also to weighted sets of vertices, but we will not use weights here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Proof of Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='5: Let a + b denote the number of vertices of H′ where b is the size of its independent set so that H is obtained from two copies of H′ by identifying the vertices in this independent set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Thus the number of vertices of H is 2a + b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Consider the following set of m = ⌊(n − b)/a⌋ copies of H′ on subsets of the vertex set [n].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' All of 3 them contain the same independent set on the vertices {n − b + 1, n − b + 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n}, and the additional vertices of copy number i are the vertices (i − 1)a + 1, (i − 1)a + 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , ia}, where 1 ≤ i ≤ m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Each of these copies can be viewed as a vertex of the Cayley graph C = C(n, {H}).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Since the symmetric difference of every pair of such copies forms a copy of H, this set forms a clique of size m in C, implying that dH(n) ≤ 1 m ≤ |V (H)|/n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' □ The proofs of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 for stars and for matchings are very similar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' We describe the proof for stars and briefly mention the modification needed for matchings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The upper bound in Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 for the star K1,1 is a special case of the result above (with H′ being a single edge).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The upper bound for any prime k can be proved using the following result of Frankl and Wilson.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1 ([7]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let p be a prime, and let a0, a1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , ar be distinct residue classes modulo p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let F be a family of subsets of [n] and suppose that |F| ≡ a0 mod p for all F ∈ F and that for every two distinct F1, F2 ∈ F, |F1∩F2| ≡ ai mod p for some 1 ≤ i ≤ r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Then |F| ≤ �r i=0 �n i � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Suppose k is a prime, n ≥ 2k and consider the family G of all stars K1,2k−1 with center 1 and 2k − 1 leaves among the vertices {2, 3, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Thus |G| = � n−1 2k−1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' If two such stars share exactly k − 1 common leaves then their symmetric difference is a copy of K1,2k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' A subset of G which is independent in the Cayley graph C(n, K1,2k) corresponds to a collection of subsets of the set {2, 3, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n}, each of size 2k − 1, where the intersection of no two of these subsets is of cardinality k−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Therefore, each of these sets is of cardinality −1 modulo k and no intersection is of cardinality −1 modulo k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' By the Frankl-Wilson Theorem (Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1) the cardinality of such a family is at most �k−1 i=0 �n−1 i � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Therefore, for every prime k, dK1,2k(n) ≤ �k−1 i=0 �n−1 i � � n−1 2k−1 � ≤ Ok( 1 nk ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In order to prove the upper bound for all k we need the following result of Frankl and F¨uredi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 ([6]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For every fixed positive integers ℓ > ℓ1 +ℓ2 there exist n0 = n0(ℓ) and dℓ > 0 so that for all n > n0, if F is a family of ℓ-subsets of [n] in which the intersection of each pair of distinct members is of cardinality either at least ℓ − ℓ1 or strictly smaller than ℓ2, then |F| ≤ dℓ · nmax{ℓ1,ℓ2}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2, upper bound: The proof for stars is essentially identical to the one described above for prime k, using Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 instead of Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let G be the family of all stars K1,2k−1 with center 1 and 2k − 1 leaves among the vertices 4 {2, 3, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Thus |G| = � n−1 2k−1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' If two such stars share exactly k − 1 common leaves then their symmetric difference is a copy of K1,2k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Therefore, by Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 above with ℓ = 2k−1, ℓ1 = ℓ2 = k−1, the maximum cardinality of a subset of G which is independent in the Cayley graph C(n, K1,2k) is at most some ck(n − 1)k−1 for all sufficiently large n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This supplies the required upper bound ck(n − 1)k |G| ≤ Ok( 1 nk ), for dK1,2k(n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The proof for matchings is similar, starting with the family of all subsets of cardinality 2k − 1 of a fixed matching of cardinality ⌊n/2⌋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The symmetric difference of any two matchings that share exactly k − 1 common edges is a copy of M2k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Thus the proof can proceed exactly as in the case of stars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' □ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2 Lower bounds In order to lower bound the independence number of a Cayley graph C = C(n, H) it suffices to upper bound its chromatic number.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' One way to do so is to assign to each edge e of the complete graph on [n] a vector ve ∈ Zr 2 for some r, so that for every H ∈ H, � e∈E(H) ve ̸= 0, where the sum is computed in Zr 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Given these vectors, we can assign to each graph G on [n] the color � e∈E(G) ve (computed, of course, in Zr 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This is clearly a proper coloring of C by at most 2r colors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Note that the matrix whose columns are the �n 2 � vectors ve is the analogue of the parity-check matrix of a linear error correcting code in the traditional theory of codes, and the color defined above is the analogue of the syndrome of a word, see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=', [9] for more information about these basic notions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='2, lower bound: For stars, it suffices to show that the chromatic number of the Cayley graph C = C(n, K1,2k) is at most O(nk).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let s be the smallest integer so that 2s − 1 ≥ n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' As shown by the columns of the parity check matrix of a BCH-code with designed distance 2k + 1 there is a collection S of 2s − 1 binary vectors of length r = ks so that no sum of at most 2k of them (in Zks 2 ) is the zero vector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Fix a proper edge coloring c of Kn by n colors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For each edge e let ve be the vector number c(e) in S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This gives the desired lower bound for stars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For matchings we use essentially the same construction, starting with a (non-proper) edge coloring of Kn by n colors in which each color class forms a star.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' □ Proof of Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='3, lower bound: As in the previous proof, but the initial edge-coloring now is defined by c(ij) = i for all i < j and the binary vectors selected are taken from the columns of the parity check matrix of a code with designed distance 2r + 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let U be the set of vertices of a clique of size at least 2 and at most 4r + 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Then U contains at least 1 and at most 2r + 1 vertices i for which there is an odd number of 5 vertices of U with index strictly larger than i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Therefore the sum of vectors corresponding to the edges of the clique on U is equal to a sum of at most 2r + 1 column vectors of the parity check matrix, which is nonzero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' □ Proof of Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='4, lower bound: This follows from the construction in the proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='6 described in the next section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 3 Linear graph-codes Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='6: The theorem is equivalent to the statement that for all n ≥ 2 the minimum possible r = r(n) so that there are graphs G1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , Gr on the vertex set [n] such that every clique on a subset of cardinality at least 2 of [n] contains an odd number of edges of at least one graph Gi, is r = [n/2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' It clearly suffices to prove the upper bound for odd n (that imply the result for n − 1) and the lower bound for even n (implying the result for n + 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The upper bound is described in what follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let n ≥ 3 be odd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Split the numbers [n − 1] = {1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n − 1} into the (n − 1)/2 blocks Bi = {2i − 1, 2i} for 1 ≤ i ≤ (n − 1)/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let Gi be the graph consisting of all edges of the n − 2i triangles with a common base Bi on the vertices Bi ∪ {j} for 2i < j ≤ n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Our family of graphs is the set of these (n − 1)/2 graphs Gi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Let K be an arbitrary clique on a subset A of at least 2 vertices in [n].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' If A contains a full block Bi for some i, then it contains exactly 2x + 1 edges of Gi, where x is the cardinality of the intersection of A with {2i + 1, 2i + 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' As this is odd for all x ≥ 0 we may assume that A contains no block Bi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In this case, let j be the second largest element in A (recall that |A| ≥ 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Clearly j ≤ n − 1, hence it is contained in one of the blocks Bi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' But in this case Gi contains exactly one edge of the clique K, completing the proof of the upper bound.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Note that it is simple to give additional constructions with the same properties as any set of graphs that spans the same subspace as the graphs above will do.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In particular, we can replace one of the graphs Gi by the complete graph Kn, which is the sum of all graphs Gi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' To prove the lower bound assume n is even and let G1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Gn/2−1 be a family of n/2−1 graphs on [n].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' We have to show that there is a clique on at least 2 vertices containing an even number of edges of each Gi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' We show that in fact there is such a clique on an even number of vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' To do so we apply the classical theorem of Chevalley and Warning (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=', e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=', [2] or [12]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Recall that it asserts that any system of polynomials with n variables over a finite field in which the number of variables exceeds the sum of the degrees, which admits a solution, must admit another one (in fact, the number of solutions is divisible by the characteristics).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Associate each vertex i with a variable xi over Z2 and consider the following homogeneous system of polynomial equations over Z2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' For each graph Gs in our 6 family, � ij∈E(Gs) xixj = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' In addition, add the linear equation �n i=1 xi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The sum of the degrees of the polynomials here is 2(n/2 − 1) + 1 = n − 1, which is smaller than the number of variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Since the system is homogeneous it admits the trivial solution xi = 0 for all i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Any other solution (which exists by the Chevalley Warning Theorem) gives a clique on the set of vertices {i : xi = 1} which is nonempty, of even cardinality, and contains an even number of edges (possibly zero) of each Gi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This establishes the lower bound and completes the proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' □ 4 Concluding remarks and open problems Question 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='1, which is equivalent to the problem of deciding whether or not for any fixed nonempty graph H with an even number of edges dH(n) tends to 0 as n tends to infinity, remains wide open.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' An interesting special case is whether or not dK4(n) = o(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' It is also interesting to decide whether or not dK4(n) ≥ 1 no(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' It is not difficult to show that the latter would follow from the existence (if true) of an edge coloring of Kn by no(1) colors with no copy of K4 in which every color appears an even number of times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This may be related to the construction in [10], see also [4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Gowers conjectured in [8] that any family of a constant fraction of all graphs on [n], where n is sufficiently large, contains two graphs G1, G2 such that G2 is a subgraph of G1 and the symmetric difference of the two graphs (that is, the set of all edges of G1 that are not in G2) forms a clique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' This is clearly stronger than the conjecture that dK(n) tends to 0 as n tends to infinity, which is also open.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' As explained in [8] the question of Gowers can be viewed as the first unknown case of a polynomial version of the density Hales-Jewett Theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' As mentioned in the remark following the statement of Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='5, it is not difficult to show that for every graph H with an even number of eges the maximum possible cardinality of a linear family of graphs on [n] in which no symmetric differ- ence is a copy of H, is o(2(n 2)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' As the proof applies Ramsey’s Theorem, it provides very weak bounds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' It will be interesting to establish tighter bounds for the linear case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content='6 provides an example of a tight result of this form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The problem considered above can be extended to hypergraphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' More generally, it can be extended to other versions of problems about binary codes, where the coordi- nates of each codeword are indexed by the elements of some combinatorial structure, 7 and the forbidden symmetric differences correspond to a prescribed family of sub- structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Here is an example of a problem of this type.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' What is the maximum possible cardinality of a collection of binary vectors whose coordinates are indexed by the elements of the ordered set [n], where no symmetric difference of two dis- tinct members of the collection forms an interval of length which is a cube of an integer?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' The corresponding Cayley graph here has 2n vertices, and it is triangle-free by Fermat’s last Theorem for cubes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Its independece number, which is the answer to the question above, is o(2n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' Indeed, this follows from the Furstenberg-S´ark¨ozy Theorem and its extensions [11], by considering the maximum possible cardinality of an independent set in the induced subgraph on the set of all vertices that are characteristic vectors of an interval [i] = {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' .' 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Fields, an Elementary Approach, Springer Verlag Lecture Notes in Math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=', 1976.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} +page_content=' 9' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/NtFQT4oBgHgl3EQfWjbh/content/2301.13305v1.pdf'} diff --git a/OdAyT4oBgHgl3EQf7PpY/content/tmp_files/2301.00835v1.pdf.txt b/OdAyT4oBgHgl3EQf7PpY/content/tmp_files/2301.00835v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..59514955ae785c5c1d9030ce8c64638fb082cd96 --- /dev/null +++ b/OdAyT4oBgHgl3EQf7PpY/content/tmp_files/2301.00835v1.pdf.txt @@ -0,0 +1,3589 @@ +Timed Model-Based Mutation Operators for Simulink Models +Jian Chen* 1 Manar H. Alalfi 2 Thomas R. Dean 3 +1 Department of Electrical and Computer Engineering, Queen’s University +Kingston, ON, Canada +E-mail: jian.chen@queensu.ca +2 Department of Computer Science, Ryerson University +Toronto, ON, Canada +E-mail: manar.alalfi@cs.ryerson.ca +3 Department of Electrical and Computer Engineering, Queen’s University +Kingston, ON, Canada +E-mail: tom.dean@queensu.ca +Abstract +Model-based mutation analysis is a recent research area, and real-time system testing can benefit from +using model mutants. Model-based mutation testing (MBMT) is a particular branch of model-based test- +ing. It generates faulty versions of a model using mutation operators to evaluate and improve test cases. +Mutation testing is an effective way to ensure software correctness and has been applied to various appli- +cation areas. Simulink is a vital modeling language for real-time systems. This paper introduces Simulink +model mutation analysis to improve Model-in-the-loop (MIL) testing. We propose a set of Simulink mu- +tation operators based on AUTOSAR, which reflects the temporal correctness when a Simulink model +is mapped to Operating System tasks. We implement a mutation framework that generates mutants for +implicit clock Simulink models. Finally, we demonstrate how this framework generates mutants to reveal +task interference issues in the simulation. Our work integrates the Simulink model with the timed systems +to better support mutation testing automation. +Keywords: Mutation Testing, Model-Based Testing, Model-Based Mutation Testing, Mutation Operator, +Simulink, Real-Time System, Scheduling, AUTOSAR +1. +Introduction +Today, cars come equipped with advanced technolo- +gies that did not exist before, such as Automatic +Emergency Braking (AEB), Adaptive Cruise Con- +trol (ACC), Lane Departure Warning/Lane Keeping, +and Autonomous driving. All of these features rely +on software to realize sophisticated control algo- +rithms. Generally, such software is developed within +the timed system context, in which the system cor- +rectness not only relies on the software implemented +functions correctness but also depends on the sys- +tem to meet time constraints. Many factors can con- +tribute to the execution time of a system running on +a target platform. Issues such as task interference +may cause delays during task execution. Software +quality plays a crucial role in such safety-critical ap- +plications. +Model-Based Testing (MBT) is a promising +technique for the automated testing of timed sys- +arXiv:2301.00835v1 [cs.SE] 2 Jan 2023 + +J. Chen et al. / Mutation Operators for Simulink Models +tems. A model represents the behavior of software, +and the model is usually abstracted from real-time +specifications. However, some modeling environ- +ments support this feature in the Hardware-in-the- +loop (HIL) simulation testing instead of the MIL. +For example, Matlab/Simulink (ML/SL) simulations +assume block behaviors are completed in nearly zero +execution time, while real execution requires a finite +execution time, which may cause a failure. ML/SL +models are based on the Synchronous Reactive (SR) +model 23 that may assume the task execution times +are zero. Errors in the model may not be apparent +without an explicit real-time execution in the MIL +phase. Usually, a Simulink model can be well simu- +lated in the MIL, but it may have errors in the real- +time context. +Hence, MBT needs an extension to accommo- +date the real-time context, which includes modeling +the system through a timed formalism, and check- +ing the implementation conforms to its specification. +Traditionally, this is done via conformance checks +35. Recently, several tools have been proposed to +simulate the real-time execution effects for ML/SL +models in MIL, such as TrueTime 21, TRES 12, +Timing-aware blocks 27, and SimSched 9. SimSched +uses a model transformation to integrate scheduling +into the model to validate the real-time context dur- +ing simulation. To evaluate SimSched, we turn to +mutation testing using mutation analysis to assist the +evaluation of the SimSched tool. +In this paper, we propose a set of mutation op- +erators with a timed task model, which is based +on the AUTomotive Open System ARchitecture +(AUTOSAR), that reflects the temporal correctness +when a Simulink model is mapped to Real-Time Op- +erating System (RTOS) tasks in a real-time context. +This paper is organized as follows: +Section +2 introduces background information. +Section 3 +presents the set of proposed timed mutation oper- +ators for Simulink models. Section 4 explains the +usage of the timed mutation operators. Section 5 +presents validation experiments and results. Section +6 summarizes related studies in MBT. Finally, Sec- +tion 7 presents the conclusions of our work and out- +lines future work. +2. +Background +This section gives an overview of the background +information on the material needed to explain our +work. We begin with a basic introduction to mu- +tation testing, Simulink, and AUTOSAR; then, we +present our timed task model. +2.1. +Mutation testing +Mutation testing was introduced in the 1970s 17,13,22 +and proved to be an effective way to reveal software +faults 32. It is a fault-based software testing tech- +nique, which has been extensively studied and used +for decades. It contributes a range of methods, tools, +and reliable results for software testing. Mutation +testing is designed to find valid test cases and dis- +cover real errors in the program. +Model-Based Mutation Testing (MBMT) takes +the advantages of both model-based testing and mu- +tation testing and has been widely applied to mul- +tiple types of models such as feature models 20, +statechart-based models 41,1, timed automata 3,2, and +Simulink 8,26,38. However, in real-time system de- +velopment, both logical and temporal correctness is +crucial to the correct system functionality. The tem- +poral correctness depends on timing assumptions for +each task. Timed Automata (TA) 4 is a common for- +malism to model and verify real-time systems to see +whether designs meet temporal requirements. Aich- +ernig et al.3 propose an MBMT technique for timed +automata that applies to input/output timed automata +(TAIO) model. Nilsson et al. +28 add an extension +to the TA formalism with a task model, and their +mutation operators focus on timeliness. Simulink∗is +widely used for model-driven development of soft- +ware within the automotive sector. Most of the mu- +tation operators proposed for Simulink models are +from a property point of view either run-time or +design-time such as signal modification, arithmetic +alternation, or block change 18,38,36,43. Some of the +proposed mutation testings are targeted at test case +generation for Simulink models 8,19. However, there +is no mutation operator with an explicit clock model +for Simulink. +* https://www.mathworks.com/products/simulink.html + +J. Chen et al. / Mutation Operators for Simulink Models +2.2. +Simulink +Simulink is one of the most popular modeling lan- +guages for modeling dynamical systems, and MAT- +LAB provides a graphical programming environ- +ment to perform system simulations. Simulink mod- +els are graphical blocks and lines, and they are con- +nected by signals between input and output ports. +The Simulink simulation engine determines the ex- +ecution order of blocks based on the data depen- +dencies among the blocks before a simulation exe- +cution. Simulink defines two types of blocks, di- +rect feedthrough, and non-direct feedthrough, to as- +sure the correct data dependencies in the simula- +tion. Simulink uses the following two basic rules +25 to determine the sorted execution order: A block +must be executed before any of the blocks whose +direct-feedthrough ports it drives; Blocks without +direct feedthrough inputs can execute in arbitrary or- +der as long as they precede any block whose direct- +feedthrough inputs they drive. All blocks are sched- +uled in sorted order and executed in sequential exe- +cution order. The Simulink engine maintains a vir- +tual clock to execute each ordered block at each vir- +tual time. +Simulink Coder†supports code generation and of- +fers a framework to execute the generated code in +a real-time environment. Simulink Coder can gen- +erate code for the periodic task, either using a sin- +gle task or a multi-task. Single-task implementa- +tions can preserve the semantics during the simula- +tion because the generated code is invoked by a sim- +ple scheduler in a single thread without preemptions. +For multi-task implementations, the generated code +is invoked by a rate monotonic (RM) 24 scheduler +in a multithreaded RTOS environment, where each +task is assigned a priority and preemptions occur be- +tween tasks. As a consequence of preemption and +scheduling, the implementation semantic can con- +flict with the model semantic in a multi-rate system. +2.3. +AUTOSAR +AUTOSAR is an open industry standard to meet the +needs of future car development. AUTOSAR de- +fines three main layers: the application, the runtime +environment (RTE), and the basic software (BSW) +layer 40. The functions in the application layer are +implemented by SW-Cs, which encapsulate part or +all of the automotive electronic functions, as shown +in Figure 1. The components communicate via a +Virtual Functional Bus (VFB), which is an abstrac- +tion of all the communication mechanisms of AU- +TOSAR. Engineers abstract the communication de- +tails of software components employing VFBs. A +set of runnables represents the SW-Cs internal be- +haviors, and a runnable is the smallest executable +code that can be individually scheduled, either by +a timer or an event. Lastly, runnables are required +to map to a set of tasks for a target platform, and +the mapping has to preserve ordering relations and +causal dependencies. Simulink has supported AU- +TOSAR compliant code generation since version +R2006a‡. +All AUTOSAR concepts can be repre- +sented by Simulink blocks and the existing Simulink +blocks can be easily used in the AUTOSAR devel- +opment process. Some of AUTOSAR concepts and +Simulink concepts mapping relation is shown in Ta- +ble 1 39. +Fig. 1. AUTOSAR components, interfaces, and runnables. +(Adapted from 5) +† https://www.mathworks.com/products/simulink-coder.html +‡ https://www.mathworks.com/products/simulink.html + +SW-C 1 +SW-C 2 +SW-C 3 +SW-C n +Runnable 2a +Runnable 3a +Runnable na +Runnable 1a +! +Runnable 2b +Runnable nb +NTOIA +V +OIDID +Virtual Function Bus(VFB) +Tool supporting deployment +System +ECU +of sW components +Constraints +Descriptions +个 +ECU I +ECU II +ECU M +SW-C 1 +SW-C 3 +SW-C 2 +SW-C n +RTE +RTE +RTE +Basic Software +Basic Software +Basic SoftwareJ. Chen et al. / Mutation Operators for Simulink Models +Table 1. Examples of ML/SL and AUTOSAR Concepts Map- +ping. +ML/SL +AUTOSAR +Subsystem +Atomic Software +Component +Function-call subsystem +Runnable +Function calls +RTEEvents +2.4. +Task model +In automotive software, Simulink models are often +drawn from real-time specifications and are realized +as a set of tasks running on an RTOS. In order to +better test this kind of software in the MIL phase, +model-based testing needs to be scaled to the real- +time context, which includes a timed formalism to +model the system under test conforming with the +real-time requirements. We define a task model to +model the timing properties of tasks in the Simulink +environment and the application is modeled as a set +of periodic tasks. +A task model, T, is represented by a tuple +{φ,ρ,c,γ, prect, precr, prio, jitter}, where φ is an +offset of the task, ρ is the period of the task, c is the +Worst Case Execution Time (WCET) of the task, γ +is a list of runnables that belong to the task, prect is +the precedence constraint of the task, precr is the +precedence constraint of the runnables within the +task, prio is the priority associated with the task, +and jitter is the deviation of a task from the periodic +release times. Every task has an implicit deadline +which means the deadline of a task is equal to ρ. An +offset φ refers to the time delay between the arrival +of the first instance of a periodic task and its release +time. A WCET is the summation of each runnable +execution time. A precedence constraint prect is a +list of tasks that specifies the task execution order, +and precr is a list of runnables within a task. +Fig. 2. Task states and transitions of task model. +Figure 2 shows the task-state and transition dia- +grams of the task model that is based on OSEK’s ba- +sic task-state model. The task model includes three +states: suspended, ready, and running, and four tran- +sitions: Active, Stare, Preempt, and Terminate. The +transitions represent the actions to activate, start, +preempt, or terminate a task. +Fig. 3. Task timing parameters shown in Gantt chart (all +related to Task2). +Figure 3 shows the timing parameters of a task +model and different timing parameters can alter the +application’s real-time behavior within a system. +3. +Mutation Operators for Simulink Model +This section introduces a mutation analysis ap- +proach to validate real-time context during the sim- +ulation. Mutation operators are the key elements of +mutation testing. Model-based mutation testing is +a method of injecting faults into models to check +whether the tests are passed or failed, thus validat- +ing the software. The injecting faults are the muta- +tion operators. Before we apply mutation operators +to the model, we need to identify them which is to + +Start +Ready +Running +Preempt +Active +Terminate +SuspendedPriority +Active +Start +Preempt +Terminate +Task1 +Task2 +offseti +C1 +C2 +jitter +period +TimeJ. Chen et al. / Mutation Operators for Simulink Models +understand what kind of errors can cause failure. We +have proposed the following task-related mutation +operators. +3.1. +Offset mutation operators +The task release offset is one of the factors that affect +the computation result in terms of task interference. +In order to take the offset into account for analy- +sis, we introduced an offset mutation operator. For a +known offset φ, a task can now execute after φ time +units with respect to the start of its period. The exe- +cution time of the task is unchanged at c time units +before the next period starts. +3.1.1. mITO +This operator adds δ time to the current offset. For a +given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ +T, this mutation operator changes the offset φi to +φi +δ. +3.1.2. mDTO +This operator subtracts δ time to the current offset. +For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ +T, this mutation operator changes the offset φi to +φi −δ. +3.2. +Period mutation operators +An RTOS usually applies a preemptive multitask- +ing scheduling algorithm to determine the execu- +tion order of tasks, and the most picked algorithm is +fixed-priority scheduling (FPS). The algorithm as- +signs each task a static priority level. The RTOS +scheduler executes the highest priority task from the +ready task queue. Simulink Coder supports an RM +scheduler, where the priority of a task is associated +with its period, if a task has a smaller period, then it +has a higher priority. Furthermore, a lower-priority +task can be preempted by a more top-priority task +during the execution. +3.2.1. mITPER +This operator increases the period of a task, which +changes the task to a slower rate. For a given task +τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this +mutation operator changes the period of the task i +to ρi +δ. +3.2.2. mDTPER +This operator decreases the period of a task, which +changes the task to a faster rate. For a given task +τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this +mutation operator changes the period of the task i +to ρi −δ. +3.3. +Execution time mutation operators +The correctness of a real-time system is determined +on one hand by the computation results of the log- +ical program, and on the other hand, is strictly re- +lated to the time at which the results are produced. +Hence, execution time analysis is essential during +the process of designing and verifying embedded +systems. For this reason, we propose execution time +operators, which can adjust the execution time of +each task at the runnable level to simulate the run +time execution on different processor speeds. The +longer execution time of a task may lead to a sce- +nario where a lower-rate task blocks a higher-rate +task so that it misses its deadline. +3.3.1. mITET +This operator adds δ time to the current exe- +cution time of each runnable, which increases +the total execution time. +For a given task +τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this +mutation operator changes the execution time ci to +ci +δ. +3.3.2. +mDTET +This operator subtracts δ +time from the cur- +rent execution time of each runnable, which de- +creases the total execution time. For a given task +τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this +mutation operator changes the execution time ci to +ci −δ. + +J. Chen et al. / Mutation Operators for Simulink Models +3.4. +Execution precedence mutation operators +The RTOS scheduler selects tasks to execute accord- +ing to the priority level of the task. However, the +spawn order determines the execution order of tasks +with the same priority. Whichever task is spawned +first is realized and gets the CPU first to run. This re- +sults in situations where a pair of tasks have a prece- +dence relation in the implementation that does not +exist in the design phase lost an existing precedence +relation in the implementation. The incorrect prece- +dence can cause a wrong execution order of tasks. +Hence, we proposed the precedence mutation oper- +ators which can specify a precedence relation be- +tween a pair of tasks and runnables. This operator +creates mutants by assigning a specific execution or- +der to a set of tasks or runnable to reflect the prece- +dence relation. +3.4.1. mATPREC +For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, +jitteri} ∈ T, for each task τ j ∈ T (j ̸= i), if τj /∈ +precti, this mutation operator adds τj to precti. +3.4.2. mRTPREC +For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, +jitteri} ∈ T, for each task τj ∈ T (j ̸= i), if +τj ∈ precti, this mutation operator removes τ j from +precti. +3.4.3. mARPREC +For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, +jitteri} ∈ T, for each runnable γim ∈ τi, if γim /∈ +precri, this mutation operator adds γim to precri. +3.4.4. mRRPREC +For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, +jitteri} ∈ T, for each runnable γim ∈ τi, if γim ∈ +precri, this mutation operator removes γim from +precri. +3.5. +Priority mutation operators +In an RTOS, each task is assigned a relative priority, +which is a static integer to identify the degree of im- +portance of tasks. The highest priority task always +gets the CPU when it becomes ready to run. The +most common RTOS scheduling algorithm is pre- +emptive scheduling. +3.5.1. mITPRI +This operator increases the priority of a task. For a +given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ +T, this mutation operator changes the priority of the +task prioi to proii +δ. +3.5.2. mDTPRI +This operator decreases the priority of a task. For a +given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ +T, this mutation operator changes the period of the +task i to proii −δ. +3.6. +Jitter mutation operators +Timing jitter exists in the RTOS, and it is the delay +between subsequent periods of time for a given task. +3.6.1. mITJ +This operator increases the jitter time of a task. For a +given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ +T, this mutation operator changes the priority of the +task jitteri to jitteri +δ. +3.6.2. +mDTJ +This operator decreases the jitter time of a task. For +a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ +T, this mutation operator changes the period of the +task jitteri to jitteri −δ. +3.7. +Shared memory mutation operators +It is common that RTOS tasks exchange data or +information via shared memory(e.g., global vari- +able, memory buffer, hardware register). The shared +memory can easily cause access conflict if the logi- +cal software design is neglected in any corner case. +Here we introduce a set of variable mutation opera- +tors. + +J. Chen et al. / Mutation Operators for Simulink Models +3.7.1. mDSM +This operator defines a new value to a global vari- +able in a task. If a task reads this global variable, +then we define a new value right before the reads +occurred. +3.7.2. mUDSM +This operator un-defines a global variable in a task. +If a task writes this global variable, then ignore this +writes operation. +3.7.3. mRDSM +This operator removes the definition of a global vari- +able. If a global variable is initialized in a task then +do not initialize it. +3.7.4. mRSM +This operator adds a reference to a global variable. +3.7.5. mRMSMR +This operator removes reference to a global variable. +3.7.6. mRSMR +This operator replaces a reference of a global vari- +able with a different global variable. +Table 2. Simuilnk Mutation Operators +Mutation Key +Title +mITO +Increase Task Offset +mDTO +Decrease Task Offset +mITPER +Increase Task Period +mDTPER +Decrease Task Period +mITET +Increase Task Execution Time +mDTET +Decrease Task Execution Time +mATPREC +Add Task Precedence +mRTPREC +Remove Task Precedence +mARPREC +Add Runnable Precedence +mRRPREC +Remove Runnable Precedence +mITPRI +Increase Task Priority +mDTPRI +Decrease Task Priority +mITJ +Increase Task Jitter +mDTJ +Decrease Task Jitter +mDSM +Define Shared Memory +mUDSM +Un-define Shared Memory +mRDSM +Remove Definition Shared Memory +mRSM +Reference a Shared Memory +mRMSMR +Remove a Shared Memory Reference +mRSMR +Replace a Shared Memory Reference +4. +Mutation operators demonstration +We have introduced twenty mutation operators cate- +gorized into seven classes and explained each mu- +tation class. +The mutation operators are summa- +rized in Table 2. We use simple examples to demon- +strate the use of each mutation operator. To demon- +strate our mutation operators, we use the tool Sim- +Sched to alter the properties of software applications +realized as Simulink models. +From Table 1, we +know that each function-call subsystem represents +an AUTOSAR runnable. The function-call subsys- +tem can be executed conditionally when a function- +call event signal arrives. Both an S-function block +and a Stateflow block can provide such a function- +call event. SimSched applies the function-call in- +vocation mechanism to use an S-function to gener- +ate a function-call event to schedule each runnable +(function-call subsystem). Figure 4 shows the Sim- +Sched parameters dialogue that we can utilize it to +adjust the timing properties to implement the muta- +tion operator for Simulink models. + +J. Chen et al. / Mutation Operators for Simulink Models +Fig. 4. SimSched Parameter setting dialogue. +In this section, we use several simple examples +to exhibit the mutants generated by our mutation op- +erators. Figure 5 illustrates the use of SimSched to +schedule a Simulink model. In this example, Sim- +Sched is at the top left corner, which schedules three +runnables (R1, R2, R3), and they are mapped to two +tasks (T1, T2). Runnable R1 is mapped to T1, the pe- +riod of T1 is 10ms, priority is 2, and the execution +time of R1 is 3ms. R2 and R3 are mapped to T2. The +period of T2 is 20ms, priority is 1, and the execu- +tion time of R2 and R3 are 3ms and 3ms accordingly. +The detailed parameter settings are listed in Table 3. +There is a Data Store Memory block in this exam- +ple, named A, which defines a shared data store that +is a memory area used by Data Store Read and Data +Store Write block with the same data store name. R1 +writes a constant value to a global variable A. R2 +reads A first then writes the summation of A and its +delay value to A. R3 reads A then subtracts its delay +value from A, and outputs the result. +Table 3. The simple example settings +Task +Period +Execution +Priority +Runnable +(ms) +Time(ms) +T1 +10 +3 +2 +R1 +T2 +20 +3 +1 +R2 +T2 +20 +3 +1 +R3 +Fig. 5. A simple example of using SimSched to schedule +AUTOSAR SW-Cs. +Fig. 6. Task executions Gantt chart of the running example. +Fig. 7. A simple example of using Stateflow to schedule +AUTOSAR SW-Cs. +Fig. 8. Simple example output of Stateflow scheduler +simulation. + +BlockParameters:SimSched +S-Function (mask) +Parameters +Task: +[1, 2] +Priority: +[2,1] +Period: +[10,20] +Runnable: +"R1','R2',"'R3' +[1, 2, 2] +Task Mapping: +Execution Time: +[3, 3, 3] +[0,0,0] +Offset +[0,0,0] +Jitter +OK +Cancel +Help +ApplyScheduler +Runnable(period, execution time, priority) Task() +R1(10ms, 3ms, 2) + Task(1) +R2( 20ms, 3ms, + Task(2) +R3 20ms, 3ms, +Task(2) +function() +function() +function( +SimSched +function +Runnable1 subsystem +Runnable2 subsystem +Runnable3 subsystem1 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.060:0 +call() +0:1 +R1() +1 ms Clock +R2() +0:1 +R3() +call( +Temporal Logic +0:6 +Scheduler +0:1 +0:1 +0:1 +R1() +R2() +R3() +R1 +0:7 +A +subrater +Runnable1 subsystem1 +Runnable2 subsystem1 +Runnable3 subsystem'11 +10 +9 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +40 +R2 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +20 +10 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +TimeJ. Chen et al. / Mutation Operators for Simulink Models +We use a Stateflow scheduler version of the sim- +ple example shown in Figure 7 to show the typical +Stateflow scheduler simulation result, then compare +it with the SimSched scheduler simulation result. +The task parameters are all the same shown in Table +3. We apply the same task configurations for both +the Stateflow scheduler and SimSched models for +simulation. Figure 8 shows the Stateflow scheduler +simulation result, and Figure 9 shows the SimSched +simulation result. The result figures show the output +value of each runnable. From the figure, we can see +that R1, R2 and R3 are all executed at time 0 in Fig- +ure 8; R1, is executed time 0, R2 is executed at 3ms, +and R3 is executed at 6ms in Figure 9. R2 and R3 are +executed later than the Stateflow scheduler simula- +tion in Figure 8. This is because that SimSched takes +into account execution time, and each task must be +executed until the previous task is completed on a +single core platform. +Fig. 9. Simple example output of SimSched simulation without +applying any mutation operator. +4.1. +Offset mutation operators +We first apply the mITO mutation operator to the +running example, let’s say that increase δ1 = 3ms +for T1 then we have the task execution timeline in +Figure 10. We can see T2 is executed first at time +0, and T1 preempts T2 at 3ms in the first period due +to the offset effect. After the first period, there is +no preemption between T1 and T2. Then, we apply +the mDTO mutation operator based on the previous +settings. We set δ1 = −1ms to T1 then the offset +for T1 is 2ms. Figure 11 shows the task execution +timeline. T2 is preempted by T1 during the execution +of the first period. Compared to the task execution +Gantt chart of our running example shown in Figure +6 with no offset, we can clearly see the preemption +effect. +Fig. 10. Task executions Gantt chart of the running example +after increase offset mutation operator is applied. +Fig. 11. Task executions Gantt chart of the running example +after decrease offset mutation operator is applied. +The running example’s output after applying the +mITO mutation operator is shown in Figure 12 +which is different from Figure 9. Because T1 pre- +empts T2 at the first instance execution, the output +of R3 is from zero to ten then goes back to zero +then goes up instead of always increasing value. The +running example’s output after applying the mDTO +mutation operator is the same as Figure 9 because +the offset operator only affects the initial execution +of each task, and the preemption occurs before the +first execution of R2 instance completion. Inside our +model scheduler program, we trigger each subsys- +tem at the end of each execution time slot. Techni- +cally, the execution order of this example is still R1, +R2, and R3 so the output of the simulation keeps the +same. +Fig. 12. Simple example output of SimSched simulation after +applying mITO mutation operator. + +T1 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.) +T2 +0.5 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.)T1 +06 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.) +T2 +0.5 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.)Runnable1 subsystem +11 +10 +9 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.) +Runnable2_subsystem +20 +10 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.) +Runnable3_subsystem +20 +10 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.)11 +10 +9 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +30 +20 +oR2 +0 +0.003 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +20 +10 +0 +0 +0.006 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +TimeJ. Chen et al. / Mutation Operators for Simulink Models +4.2. +Period mutation operators +We apply the mITPER operator to this example to +increase the period of a task. We set δ1 = 1ms to T1 +so the period of the task T1 is 11ms now. Figure 13 +shows that T2 is preempted at the time of 22ms, and +the simulation yields a wrong result due to this pre- +emption shown in Figure 14. The output of R3 is an +alternating value instead of an increasing value. +Fig. 13. Task executions Gantt chart of the running example +after increase period mutation operator is applied. +Fig. 14. Simple example output of SimSched simulation after +applying mITPER mutation operator. +We apply the mDTPER operator to this example +to decrease the period of a task. We set δ1 = −4ms +to T1 so the period of the task T1 is 6ms now. Then, +we run the simulation, T2 is preempted by T1 shown +in Figure 15 and it yields a wrong simulation result +shown in Figure 16. The output of R3 is either zero +or ten instead of an increasing value. +Fig. 15. Task executions Gantt chart of the running example +after decreasing period mutation operator is applied. +Fig. 16. Simple example output of SimSched simulation +after applying mDTPER mutation operator. +4.3. +Execution time mutation operators +We apply the mITET operator to this example to in- +crease the execution time of a task. We can specify +any runnable to increase its execution time within a +task. For example, we set δ1 = 4ms to R2 in T2 so +the execution of R2 is 7ms and T2 takes 10ms to ex- +ecute now. Figure 17 shows that T2 is preempted at +the time of 10ms, and the simulation yields a wrong +result due to this preemption. The wrong result is +the same as the example of applying decreasing task +period. We apply the mDTET operator to this exam- +ple to decrease the execution time of a task. We set +δ1 = −1ms to T1 so the execution time of the task T1 +is 2ms now. Then, we run the simulation, there is no +preemption that occurs between these two tasks and +the output is as expected as the original model. +Fig. 17. Task executions Gantt chart of the running example +after increase execution time mutation operator is applied. +4.4. +Execution precedence mutation operators +We introduce the second example as Table 4 to ex- +plain the mATPREC and mRTPREC operators. Fig- +ure 18 shows the task execution Gantt chart of this +example. From the task execution chart, we can see +the execution order of the tasks is T1,T2,T1,T3. + +1 +0.5 +0E +0 +0.01 +0.03 +0.04 +0.05 +0.06 +Time(sec.) +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Time(sec.)Runnable1_sybsystem +11 +10 +9 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0 +0.8 +0.9 +Runnable2_subsystem +400 +200 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +Runnable3_subsystem +400 +200 +0 +0 +0.1 +0.2 +0.3 +9:0 +0.0 +0.8 +0.9T1 +1 +0.5 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +T2 +1 +0.5 +0 +0 +0.02 +0.03 +0.04 +0.05 +0.06Runnable1_sybsystem +11 +10 +9. +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.07 +0.08 +0.09 +0.1 +Runnable2_subsystem +40 +20 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.07 +0.08 +0.09 +0.1 +Runnable3_subsystem +10 +5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.07 +0.08 +0.09 +0.11 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06J. Chen et al. / Mutation Operators for Simulink Models +Table 4. The simple example settings +Task +Period +Execution +Priority +Runnable +(ms) +Time(ms) +T1 +5 +1 +3 +R1 +T2 +10 +4 +2 +R2 +T3 +10 +3 +1 +R3 +Fig. 18. Task executions Gantt chart of example 2. +First, we assume there is no precedence rela- +tion among tasks so we use the mATPREC mutation +operator to add a precedence relation τ3 to prect2, +which specifies that a new instance of T2 cannot start +unless T3 has executed after the last instance of T2. +Hence, we set the execution order that T3 is executed +before T2 in the setting dialogue. Figure 19 shows +the execution result that T2 is preempted by T1. If T2 +is not a re-entrant function then this preemption may +cause potential failure execution. +Fig. 19. Task executions Gantt chart of example 2 after task +precedence mutation operator is applied. +Then, we assume there is a precedence relation +between T1 and T3 and the task execution diagram +is the same in Figure 18. We apply the mRTPREC +mutation operator to remove the precedence relation +prect3 from τ1. The result is the same as shown in +Figure 19. +We add one runnable R4 to the first example and +assign it to T1. This new task configuration is shown +in Table 5. R4 writes a different constant value from +R1 to the global variable A. We apply mARPREC +mutation operator to this new example, which adds +γ1 to precr4. R4 requires R1 execute first so R4 over- +writes the value written by R1. The operator changes +the execution order of runnables. +Table 5. Task configuration settings for runnable precedence +mutation operators. +Task +Period +Execution +Priority +Runnable +(ms) +Time(ms) +T1 +10 +2 +2 +R1 +T2 +20 +2 +1 +R2 +T3 +20 +2 +1 +R3 +T1 +10 +2 +1 +R4 +In example one, T2 has two runnables R2 and R3 +with a precedence relation between them. We apply +mRRPREC runnable remove precedence mutation +operator to remove the precedence γ2 from precr3. +We schedule R3 runs before R2 since no precedence +constraint that turns out different than the original +simulation. The original output of R3 is an increas- +ing value along with the execution instead of a value +of either zero or a fixed value. The reason is that +R3 executes first and it reads A before R2 writes any +new value to A. The bottom output line in Figure 20 +shows the execution result. +Fig. 20. The outputs of example one three runnables. +4.5. +Priority mutation operators +Table 6. Priority mutation operator example settings +Task +Period +Execution +Priority +Runnable +(ms) +Time(ms) +T1 +10 +1 +4 +R1 +T2 +10 +2 +3 +R2 +T3 +10 +3 +2 +R3 +We apply mITPRI operator to the example in Ta- +ble 6 to increase the priority of T3. This mutation +operator changes the priority of prio3 to proi3 + 3 +so the T3 has the highest priority 5 in this example, +which results in T3 being executed at first. Figure 21 +shows T3 is triggered first in the task execution Gantt +chart. This mutation alters the task execution order. + +1 +口 +口 +口 +口 +口 +口 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +0 +0 +0. b1 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +1 +1 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.061 +0.5 +0 +4.01 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +0.5 +0 +0 +0. 01 +0.02 +0.03 +0.04 +0.05 +0.06 +L +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.0611 +10 +9 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.07 +0.08 +0.09 +0.1 +40 +20 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.07 +0.08 +0.09 +0.1 +10 F +5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.07 +0.08 +0.09 +0.1J. Chen et al. / Mutation Operators for Simulink Models +Fig. 21. Task executions Gantt chart after applying increas- +ing task priority mutation operator. +We apply mDTPRI operator to decrease the pri- +ority of T1. This mutation operator changes the pri- +ority of prioi to proi−3 so the T1 has the lowest pri- +ority 1 in this example, which results in T1 being +executed at last. The task execution Gantt chart is +shown in Figure 22. +Fig. 22. Task executions Gantt chart after applying decreas- +ing task priority mutation operator. +4.6. +Jitter mutation operators +We apply mITJ operator to increase a jitter time of +a task. For example, let δ = 2, this mutation op- +erator changes the real release time of the task to +jitter1 = 0+2. Figure 23 shows the execution of T2 +is preempted by T1 caused by the jitter. +Fig. 23. Task executions Gantt chart after applying increas- +ing jitter mutation operator. +Then mDTJ mutation operator decreases the jit- +ter time of a task. We apply this operator to the +above example and let δ = −1 so the task jitter1 = +2 − 1. T2 is preempted by T1 during the simulation +phase. +4.7. +Shared memory mutation operators +In this shared memory category, we introduce five +mutation operators. +The first one is mDSM, and +this operator assigns a new value to the memory +store before a read. +For our example, we add a +Data Store Write block right before the Data Store +Read execution so that the Data Store Write block +defines a new value to the variable, and we chose +the initial value of this variable as the default new +value. The mutant using mUDSM operator is shown +in Figure 24, which only shows the changes of +Runnable2 subsystem. We add a constant block and +a Data Store Write block at the top left corner. +Fig. 24. A simple example of DSM mutant. +The second mutant operator is mUDSM, and this +operator disregards a write to a Data Store block. +For our example, we remove the Data Store Write +block. Figure 25 shows the mUDSM mutant that the +Data Store Write has been removed. +Fig. 25. A simple example of UDSM mutant. +The third mutant operator is mRDSM, and this +operator removes an initialization value to a Data +Store memory. In many programs, variables require + +1F +1 +0.5 +0 +/o +0.01 + 0.02 +0.03 + 0.04 +0.05 +0.06 +1 +1 +0.5 +0 +0.01 +0.02 +0.03 + 0.04 +0.05 +0.06 +0.5 +0.01 +0.02 +0.03 +0.04 +0.05 +0.061 F +0.5 +0 +/ +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +0.01 +0 +0.02 +0.03 +0.04 +0.05 +0.06 +0.5 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.061 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +0.5 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06f() +2:0 +2:1 +function +A +0 +2:4 +2:2 +A +2:5 +A +2:3 +Zf() +function +A +1 +Z.J. Chen et al. / Mutation Operators for Simulink Models +an initial value before they can use properly. For +our example, Runnable1 subsystem is such a pro- +cess of initializing Data Store A; then, we remove +the Data Store Write block in Runnable1 subsystem. +The Simulink model can still run simulations with- +out any issues however the output of the simulation +only yields a single value. +Mutant operator mRSM adds a new reference to +shared memory. Figure 26 shows the block diagrams +of a Simulink model with three subsystems and they +are mapped to two tasks. The model has a DSM +block A in the root-level system. There is a Data +Store Write block inside subsystems Task B1 and a +Data Store Read block in Task B2. The period of +Task A is 5ms and the period of Task B is 10ms. +To implement the mRSM, we add a Data Store Read +block to the TaskA subsystem which shows in Figure +27. In the original example, Task A executes first +then Task B1 writes A and Task B2 reads A. The +mutant program has the same execution order as the +original model. However, when the Data Store Read +block in Task A executes, the block reads data from +an uninitialized data store or a previous instant of +Task B1 as Task B has not executed yet or has been +executed previously. +Fig. 26. A simple Simulink model. +Fig. 27. An example of mRSM mutant operator. Adding a +Data Store Read block to Task A block. +Mutant operator mRMSMR deletes a reference to +shared memory. In Figure 26, Task B2 has a refer- +ence to a DSM block A in the root-level system. To +implement the mRMSMR, we delete the Data Store +Read block in the TaskB2 subsystem. In the mu- +tant program, Task B2 has a constant output value +of zero since there is no reference. +5. +Evaluation Phase +In the previous section, we describe how a model +scheduler SimSched can validate the real-time con- +text during a simulation, and we utilize mutation +testing to evaluate SimSched. In this section, we +perform experiments to demonstrate the use of our +mutation testing framework to evaluate the quality +of SimSched and Stateflow schedulers in scheduling +tasks in real-time systems. +5.1. +Evaluation Process +To validate the proposed mutation operators, we ap- +ply them to ML/SL models. We separate the evalu- +ation process into two parts base and extension, ac- +cording to the ability of ML/SL. We apply the first- +order mutants (FOMs) 22 to ML/SL models to gen- +erate a mutant, which means we generate a mutant +by using a mutation operator only once. +5.1.1. Base Case +In the base case, we examine the simulation results +of the original models and the SimSched models and +their mutants. An original model M is an ML/SL +model scheduled by Stateflow scheduler; A Sim- +Sched model M ′ is an original model scheduled +by SimSched; The mutants (Mµ or M ′ +µ) are ei- +ther original model or SimSched models mutated by +one of our mutation operators. Figure 28 shows the +schematic diagram of our mutants generation pro- +cess. We use the simulation result of M as a com- +parison baseline, and then we compare the baseline +with every other simulation result of Mµ, and M ′ +µ. +We examine the comparison result to see if the re- +sult reaches a verdict failure during model simula- +tion. We say a mutant is killed if a verdict of failure +is reached. + +In2 +Out1 +A +Task A +Out1 +In2 +In1 +Qut3 +Task B1 +Task_B2A +2 +DSRA +2J. Chen et al. / Mutation Operators for Simulink Models +Fig. 28. Schematic diagram of the model mutants genera- +tion process. +Fig. 29. Simple evaluation example scheduled by Stateflow +scheduler. +We use a simple example shown in Figure 29 to +explain the base case evaluation process. This ex- +ample is an original model. We replace the State- +flow scheduler with a SimSched scheduler to form +a SimSched model. We generate mutants for both +the original and SimSched models by a specific mu- +tation operator, e.g., mDTPER, to decrease the task +period. Then we run the simulation for both mutants +and analyzed the results to see if there is any errors. +If the simulation result of Mµ or M ′ +µ is different +from the original model and shows a verdict failure, +then we say the mutant is killed. +In this example, +we have three runnables +R1,R2,R3 and they are mapped to two tasks T1,T2. +R1 is mapped to T1 and R2,R3 are mapped to T2. The +period of T1 is 3ms and The period of T2 is 6ms. +The execution time of each runnable is 1ms. The +simulation result of the M is shown in Figure 30 +and it shows each runnable output is a rising non- +interlaced polyline. We apply the mDTPER muta- +tion operator as decreasing 1ms to both the origi- +nal model and SimSched model to generate mutants. +The task T1 in the mutants has a period of 2ms. The +simulation result of these simulations is shown in +Figure 31 and Figure 32. The simulation result of +M ′ +µ is different from the result of M , and it shows +the output of R2 and R3 are two rising interlaced +polylines because SimSched can simulate the exe- +cution time and preemption. T1 preempts T2 in the +SimSched mutant model to yield an alternative ex- +ecution trace, and we say a verdict fail is reached. +However, the simulation result of Mµ is similar to +the result of M . Thus, the mDTPER mutant is killed +to the M ′ +µ and is alive to the Mµ. We can not apply +this means to all mutation operators due to the nature +of ML/SL. We combine this method and the follow- +ing method to evaluate the mutation operators. +Fig. 30. M simulation result. +Fig. 31. Mµ simulation result. +Fig. 32. M ′µ simulation result +5.1.2. Extension +To evaluate the rest of the mutation operators, we +implement a mutation generator with additional +functionalities to assist the validation process. One +feature is to check the mutant model’s schedulabil- +ity at the given set of tasks configuration to decide if +all task deadlines are met. The other function is to + +M' +M +SimSched +Mutate +Mutate +M +M' +μ +n1 ms Clock +A +R1() +R3() +R2() +Sall( +R2 +R1 +call() +R3 +R10 +R2() +R30 +Scheduler90 +R1 +R2 +R3 +80 +70 +60 +50 +40 +30 +20 +10 +0 +-10 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06R1 +R2 +120 +R3 +100 +80 +60 +40 +20 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06R1 +60 +R2 +R3 +50 +40 +30 +20 +10 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +Offset=0J. Chen et al. / Mutation Operators for Simulink Models +check the data access sequence. If there is a DataS- +tore block in the mutated model, every read or write +to this DataStore block is recorded. Then we use +this mutated model data access sequence to com- +pare with the original model data access sequence. +The mutation generator is implemented as a Matlab +script written in m-file. +The validation process takes a Stateflow sched- +uled ML/SL model and a test specification as input. +The test specification specifies which mutation op- +erator to use. A mutant generator applies the speci- +fied mutation operator to the ML/SL model via Sim- +Sched and generates a mutant. The mutant genera- +tor then executes the simulation both for the original +model and the mutated model using the additional +functionalities to analyze the simulation. If the anal- +ysis shows at least one task misses its deadline in a +mutated model, then we say a mutant is killed. Or +at least one variable comparison result of the DataS- +tore access sequence is unmatching, and then we say +a mutant is killed; otherwise, we report the mutant +is benign. +Fig. 33. A simple example of using Model Scheduler to +schedule AUTOSAR SW-Cs. +We use an example shown in Figure 33 to ex- +plain the validation process. It has three runnables +and is mapped to two tasks, R1 map to T1, R2, and +R3 map to T2. The period of task T1 is 10ms, and +T2 is 20ms, every runnable’s execution time is 3ms. +There is a DataStore block named A as a shared vari- +able in this example model. If we apply the period +mutation operator mDTPER ρi − δ where i − 1 and +δ = 6 to this model to decrease the period of T1 and +generate a mutant, run it. The analysis result shows +the T2 missed deadline, then we say this mutant is +killed. If we apply the execution time mutation op- +erator mITET ci + δ where i = 1 and δ = 3 to this +model to increase the execution time for T1 and gen- +erate a mutant. The DataStore access sequence of +the original model is a pattern of WRWR where W +represents a write to the shared variable, and R rep- +resents a read to the shared variable. The mutant +generates a different sequence, which is WRWWR. +It is because the T1 has a longer execution time than +the original model, and it preempts T2 during the ex- +ecution of T2. Hence, there is one more W in the +DataStore access sequence. +5.2. +Experiments +We employ two examples to demonstrate the use of +our mutation testing framework. We first explain the +two examples in detail. We then apply the mutation +operators to the two models scheduled by both the +Stateflow scheduler and SimSched. +Fig. 34. +The three-servo example adapted from 12 with +Stateflow scheduler. +5.2.1. Three Servos Model +We adapt an example from the TrueTime 21 exam- +ple library, which shows a possible implementation +of a three-servo PID control system. The example +is shown in Figure 34 with a Stateflow scheduler. +In this example, three DC servos are modeled by a +continuous-time system, and three PID controllers +are implemented as three subsystems. We map three +controller subsystems to three runnables R1, R2, and +R3 then they are mapped to tasks T1, T2, and T3. The +task periods are T1=4 , T2 = 5 and T3 = 6 ms re- +spectively. Each task has the same execution time as + +Scheduler +Runnable(period, execution time, priority) Task() +function() +function() +function() +R1(10ms,3ms,2)j +Task(1) +R2( 20ms, 3ms, 1 +Task(2) +R3( 20ms, 5ms, 1 +Task(2 +function +irv2 +irv1 +irv2 +SimSched +irv3 +Aader +Runnable1_subsystem +Runnable2_subsystem +Runnable3_subsystem1 ms Clock +callo +R10 +R2() +R30 +call( +Temporal Logic +Scheduler +functionO +1000 +u +s2+s +DCServo1 +PID1 +functionO +1000 +u +2+s +DCServo2 +PID2 +function() +1000 +u +s?+s +DCServo3 +PID3J. Chen et al. / Mutation Operators for Simulink Models +1ms. Task settings are shown in Table 7. The simula- +tion result is shown in Figure 35 based on the above +task settings. The three graphs show the output of +the motors using the three PID controllers when the +corresponding task parameters are assigned accord- +ingly. In the graph, the square wave is the reference +input signal for the motors, where the computation +delays are not taken into account. Three PID con- +trollers are all smooth output signals as expected. +Table 7. Three Servo example settings. +Task +Period +Execution +Priority +Runnable +(ms) +Time(ms) +T1 +4 +1 +3 +R1 +T2 +5 +1 +2 +R2 +T3 +6 +1 +1 +R3 +Fig. 35. +The three servos example output with Stateflow +scheduler. +We replace the Stateflow scheduler with the Sim- +Sched scheduler, and the updated example is shown +in Figure 36. In this example, three DC servos have +the same task setting as the Stateflow scheduler ex- +ample. Each runnable has the same execution time +as 1ms. The simulation result is the same as the +Stateflow scheduler example based on the above task +settings. There is no deadline missing for any task, +so the simulation result shows every task has smooth +control. Figure 37 shows the task active chart gen- +erated by SimSched. Every task has been executed +within its own deadline. +Fig. 36. The three servos example adapted from 12. +Fig. 37. The three servos example task active chart gener- +ated by SimSched. +Fig. 38. The adjusted Stateflow scheduler for mITO muta- +tion operator to increase o f fset as 1ms for DCServo1. + +2 +DCServo1 +1 +SignalGenerator +0 +-1 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo2 +1 +SignalGenerator +0 +-1 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo3 +SignalGenerator +0 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9Scheduler +Runnable(period, execution time, priority) Task() +E +R1(4ms, 2ms, 3) Task(1) +R2( 5ms, 2ms, 2 +Task(2) +R3( 6ms, 2ms, 1 + Task(3 +SimSched +function( +○○ +1000 +u +s2+s +DCServo1 +PID1 +function() +1000 +u +2+s +y +DCServo2 +PID2 +function() +1000 +u +32+s +DCServo3 +PID30.5 +o +0 +0. 01 +0.02 +0.03 +to0 +0. 05 +0.06 +0.5 +0 +0.01 +0.02 +0.03 +to0 +0.05 +0.06 +1F +0.5 +0 +0.01 +0.02 +0.03 +to0 +0.05 +0.06 Scheduler +on at(1,tick): Period_4_ms; +du: on every(5,tick) : Rate5ms; +du: on every(6,tick) : Rate6ms; +'Sched_4_MS +Periodicl +on every(4,tick) : Period_4_ms; +Sched 5 MS +Periodicl +en: Period_5_ms; +Rate5ms +Sched 6 MS +Periodic/ +en: Period_6_ms; +Rate6msJ. Chen et al. / Mutation Operators for Simulink Models +Next step, we apply mITO, mDTO, mITPER, +mDTPER, mARPREC, mRRPREC, mITJ, mDTJ +mutation operators to both Stateflow scheduler and +SimShced examples to generate two versions of mu- +tants with the same mutation operators. +To ap- +ply some of the mutation operators to evaluate the +Stateflow scheduler, we need to adjust the State- +flow scheduler so that it can be used on the gen- +erated mutants. Figure 38 shows an example that +is adjusted for the Offset mutation operator. This +example uses a temporal logic operator at in the +state to set the Offset parameter to generate a mu- +tant for PID1 which runs at the period of 4ms in +this example. This mutant increases Offset as 1ms +for DCServo1 controlled by PID1. The mutant of +the SimSched version can be easily generated by our +model scheduler SimSiched. +Fig. 39. The Stateflow scheduled three-servo example task +active chart after applying mITO mutation operator to in- +crease o f fset as 1ms for DCServo1. +We run simulations for both versions of the mu- +tants generated by Offset mutation operator. Both +mutant versions’ output of three servos is the same +as shown in Figure 35. The only difference occurs +at the beginning of the simulation but it does not af- +fect the smooth control of DCServos. We can see +the difference from the following comparison. Fig- +ure 39 shows the Stateflow scheduled task active +chart after applying mITO mutation operator to in- +crease offset as 1ms for DCServo1. Before apply- +ing the mutation operator, every task is released at +time 0. After applying the offset mutation opera- +tor, Task 1 is delayed by 1ms shown on the top of +the figure. Task 2 and Task 3 are both released at +time 0. Figure 40 shows the SimSched scheduled +three servos example task active chart after applying +mITO mutation operator to increase offset as 1ms for +DCServo1. There are three output signals represent- +ing three tasks from top to bottom T1, T2, and T3. +As T1 has a 1ms offset, Task 2 is executed first as +shown in the figure the second line starts at time 0. +Because the SimSched scheduler has the execution +time parameter, Task 2 is executed at time 1 and Task +3 at time 2 respectively. +Fig. 40. The SimSched scheduled three servos example task +active chart after applying mITO mutation operator to in- +crease Offset as 1ms for DCServo1. +We use a similar approach to apply Period muta- +tion operator to the three-servo example and gener- +ate mutants for both the Stateflow scheduler model +and SimSched model. We use two mutation con- +figurations to show the similarities and differences +between the two schedulers. The first configuration +is [1,5,6]. It means Task 1 has a period of 1ms and +the period of Task 2 and Task 3 keep the same as +5ms and 6ms, respectively. +Figure 41 shows the +Stateflow scheduler mutant simulation result. Be- +cause Task 1 has a 1ms period, it has too many times +of calculations, and the output value is out of the +chart. Task 2 and Task 3 keep the same output as be- +fore. Figure 42 shows the SimSched mutant simula- +tion result. The output of Task 1 is the same as the +Stateflow scheduler mutant. However, Task 2 and +Task 3 are different from the Stateflow one. Because +the SimSched takes the execution time into account, +Task 1 has the highest priority and has an execution +time of 1ms, and Task 1 always runs during the sim- +ulation. Task 2 and Task 3 always are preempted by +Task 1 because they have a lower priority than Task +1. +Fig. 41. The Stateflow scheduled three servos example out- +put after applying mDTPER mutation operator to decrease +period as 1ms for DCServo1. + +PID1 4 ms 1ms offset +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +PID2 5 ms no offset +1 +0.5 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0 +0.06 +PID3 6 ms no offset +1 +0.5 +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.061 +0.5, +0 +0 +0.01 +0.02 +0.03 +0.04 +0.05 +0.06 +1 +0.5 +0 +0.01 +0.02 +0.03 +to'0 +0.05 +0.06 +1 +0.5 +0 +0 +0.01 +0.02 +0.03 +to'0 +0.05 +0.062 +DCServo1 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo2 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo3 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9J. Chen et al. / Mutation Operators for Simulink Models +Fig. 42. The SimSched scheduled three servos example out- +put after applying mDTPER mutation operator to decrease +period as 1ms for DCServo1. +The second configuration is [13,5,6]. It means +Task 1 has a period of 13ms and the period of Task +2 and Task 3 keep the same as 5ms and 6ms, re- +spectively. Figure 43 shows the Stasflow scheduler +mutant simulation result and the SimSched mutant +has the same output as shown in the figure. Because +Task 1 has a 13ms period, it has fewer computations +than the original model. Although the output behav- +ior looks like Task 1 misses its deadline in the figure, +every execution of Task 1 meets its deadline and it +is executed as scheduled. +Fig. 43. The Stateflow scheduler three servos example out- +put after applying mITPER mutation operator to increase +period as 13ms for DCServo1. +We +generate +mutants +for +mARPREC +and +mRRPREC operators by setting each parallel state’s +execution order in the Stateflow scheduler model +and configuring the parameters and connections for +the SimSched model. The two mutants’ simulation +results are the same as the original model, except +that each task’s execution order is different from the +original model. +We generate mutants for mITJ and mDTJ op- +erators by adapting the Stateflow scheduler in the +model and configuring the parameters in the Sim- +Sched model. We set the configuration as [1,0,0]. +It means only Task 1 has a jitter as 1ms. Figure 44 +shows the SimSched scheduler three servos example +task active chart after applying mITJ mutation oper- +ator to increase jitter as 1ms for DCServo1. Be- +cause Task 1 has 1ms jitter, Task 2 is executed first +then Task1 and Task3. +Fig. 44. The SimSched scheduler three servos example task +active chart after applying mITJ mutation operator to in- +crease jitter as 1ms for DCServo1. +We only apply the execution time operator to the +SimSched model due to the lack of support for the +Stateflow scheduler. Figure 45 shows the effect out- +put of mITET mutation operator. We set c1 = 3ms +using the mITET mutation operator for Task 1 to +generate a mutant. The output of Task 3, shown as +DCservo 3 at the bottom of the figure, is a curly +wave. It is an unstable control due to the preemp- +tion by T1 and T3 missing its deadline. Figure 46 +shows the task preemption effect. Task 1 takes 3ms +to execute and Task 2 takes 1ms to execute. After +the execution of Task 1 and Task 2, Task 3 should be +executed; however, it is the time that Task 1 is sched- +uled to run. Task 1 has a higher priority, so Task 3 is +preempted by Task 1. The first instance of Task 3 is +executed at 19ms so Task 3 does not have a smooth +control signal output as the other tasks. Although +some task preemptions occur in Task 2, it does not +miss enough deadlines to significantly affect the out- +put. Task 2 still has a smooth output signal as shown +in Figure 45 as the second chart. +Fig. 45. The SimSched scheduler three servos example sig- +nal output after applying mITET mutation operator to in- +crease executiontime to 3ms for DCServo1. + +2 +DCServo1 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo2 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo3 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.92 +DCServo1 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo2 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +2 +DCServo3 +SignalGenerator +0 +-2 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9DCServo1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +DCServo2 +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +DCServo3 +1 +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05DCServo1 +2 +0 +-1 +2 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +DCServo2 +2 +-1 +。 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +DCServo3 +2 +1 +0 +-1 +-2 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9J. Chen et al. / Mutation Operators for Simulink Models +Fig. 46. The SimSched scheduler three servos example task +active chart after applying mITET mutation operator to in- +crease executiontime to 3ms for DCServo1. +5.2.2. Throttle Position Control Model +We adopt an AUTOSAR software component +Simulink model from Mathworks shown in Figure +47. It implements a throttle position control sys- +tem for an automobile and contains three sensors, +one monitor, one controller, and one actuator. They +are implemented as six subsystems and mapped to +six runnables TPSSecondary, Monitor, Controller, +Actuator, APPSnsr and TPSPrimary then they are +mapped to tasks T1, and T2. The task periods are +T1=5ms and T2 = 10 ms respectively. Each runnable +has the same execution time of 1ms. Task settings +are shown in Table 8. This example uses seven Data- +StoreMemory blocks to access the shared resources. +Fig. 47. Throttle position control Simulink model contains +six runnables. +Table 8. Throttle control example settings. +Task +Period +Execution +Priority +Runnable +(ms) +Time(ms) +T2 +10 +1 +1 +TPSPrimary +T1 +5 +1 +2 +TPSSecondary +T1 +5 +1 +2 +Monitor +T1 +5 +1 +2 +Controller +T1 +5 +1 +2 +Actuator +T2 +10 +1 +1 +APPSnsr +Figure 48 shows the simulation result, which is +generated by a Stateflow scheduler. The square wave +in the figure is the simulated pedal input, and the +curly wave is the output of the throttle body, repre- +senting the current throttle position. The Stateflow +scheduler simulates the throttle control controller’s +process well and simulates the entire control pro- +cess. +Fig. 48. The simulated throttle position of the throttle posi- +tion control model scheduled by the Stateflow scheduler. +Figure 49 shows the runnable active chart sched- +uled by the Stateflow scheduler. All runnables are +scheduled and executed at time 0. Runnable TP- +SPrimary and APPSensor are mapped to T2 and they +are scheduled and executed every 10ms and the top +and bottom chars shown in the figure are their active +charts. The active charts of runnable TPPSSendary, +Monitor, Controller, and Actuator are the four charts +in the middle of the figure. They are scheduled and +executed every 5ms. +Fig. 49. The runnable active chart of the throttle position +control model scheduled by the Stateflow scheduler. +We apply SimSched to the Stateflow scheduler +model, and we can get a similar simulation result as +the Stateflow scheduler example based on the above +task settings. Figure 50 shows the task active chart +generated by SimSched. Every task has been exe- +cuted within its own deadline. Both task T1 and T2 +are scheduled at time 0 but only T1 is executed at + +DCServo1 +1 +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +DCServo2 +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +DCServo3 +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.054 +TPSSecondaryRun5ms +MonitorRun5ms +ControllerRun5ms +function() +function() +function( +汇 +ThrottlePositionSensorSecondary +ThrottlePositionMonitor +Controller +6 +APPSnsrRunl +ActuatorRun5ms +TPSPrimaryRuniOms +function() +function() +function() +口 +APPHwlOValueread +ThrCmdHwlOValuewrite1 +ThrottlePositionSensorPrimary +AccelerationPedalPositionSensor +ThrottlePositionActuator +APP_HwlO_Value +ThrCmd HwlO ValueThrottle Pos +0.7 +Simulated Pedal Input +0.6 +Throttle Pos +0.5 +0.4 +0.3 +0.2 +0.1 +0 +0 +0.5 +1.5TPSPrimary +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +TPSSecondary +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Monitor +1 +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Controller +1 +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Actuator +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0 +0.045 +0.05 +APPSensor +3 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +s0'0 +0J. Chen et al. / Mutation Operators for Simulink Models +time 0 due to its higher priority. T1 takes up 4ms to +run. After the first instance of T1 is finished, T2 is +executed. The second instance of T1 arrives at 5ms, +which is during the middle of the execution of T2. T2 +is preempted by T1 and resumes at the completion of +the second instance of T1. +Fig. 50. The task level active chart of the throttle position +control model scheduled by the SimSched scheduler. +Figure 51 shows the runnable level active chart +of the throttle position control model scheduled by +the SimSched scheduler. From this figure, we can +clearly see the activity of each runnable. +It ex- +actly shows the execution order of each runnable. +Runnable TPPSSendary, Monitor, Controller, and +Actuator are executed one after another followed by +TPSPrimary. Runnable APPSensor is executed af- +ter the second instance of T1 and it is the preemption +point of T2. +Fig. 51. The runnable active chart of the throttle position +control model scheduled by the SimSched scheduler. +We use the same means applied to three servos +example to apply it to the throttle position control +model. We adopt the Stateflow schedule and replace +it with SimSched to generate mutants for both the +Stateflow scheduler and SimSched for the experi- +ments. +Figure 52 shows the runnable active chart of the +Throttle Position Control model scheduled by Sim- +Sched after applying mTIO mutation operator as in- +creasing 2ms offset for T1. The runnable Actuator +active chart shown in the second bottom chart in the +figure is missing its first execution. T1 takes 4ms to +run, and it also has 2ms offset, so the total execution +time of T1 exceeds its period 5ms. On the other hand, +the mutant generated by the Stateflow scheduler can +not simulate this overrun situation due to the lack of +execution time simulation support. +Fig. 52. The runnable active chart of Throttle Position Con- +trol model scheduled by SimSched after applying mTIO +mutation operator as increasing 2ms offset for T1. +Figure 53 shows the simulated throttle position +of the throttle position control model scheduled by +SimSched after applying mITPER mutation opera- +tor for T1 at 100ms. The Stateflow scheduler also +can output the same figure. The mITPER mutation +operator can reduce the computation times of a task +at the same amount of time, which results in unsta- +ble control as shown in the figure. +Fig. 53. The simulated throttle position of the throttle po- +sition control model scheduled by the Stateflow scheduler +after applying mITPER mutation operator. +Figure 54 shows the simulated throttle position +of the throttle position control model scheduled by +SimSched after applying mDTPER mutation opera- +tor for T1 at 4ms. The mDTPER can result in no +output signal for T2 because a higher rate task in- +creases the computation times, and the lower rate +task does not get an execution. In this example, we +set ρ1 = 4ms using the mDTPER mutation operator, + +Task1 +1 +0.5 +oE +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Task2 +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05TPsPrimary +0.5 +10 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +TPSSecondary +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Monitor +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Controller +0.5 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Actuator +0.5 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0 +0.05 +APPSnsr +0.5 / +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05TPsPrimary +1 +0.5 +10 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +TPSSecondary +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Monitor +1 +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Controller +1 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +Actuator +1 F +0.5 +0 +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05 +APPSnsr +0. E +0 +0.005 +0.01 +0.015 +0.02 +0.025 +0.03 +0.035 +0.04 +0.045 +0.05Throttle Pos +Simulated Pedal Input +Throttle Pos +0.8 +0.6 +0.4 +0.2 +0 +0.5 +1.5J. Chen et al. / Mutation Operators for Simulink Models +then the T2 is always preempted by T1 and does not +have a chance to execute. +Fig. 54. The simulated throttle position of the throttle po- +sition control model scheduled by SimSched after applying +mDTPER mutation operator. +We only apply the execution time operator to +SimSched models. We set c1 = 5ms using mITET +mutation operator for T1 to generate a mutant. This +mutant just outputs the same throttle position as +shown in Figure 54. Since T1 has increased its exe- +cution time by 1ms, it just takes up all the time slots +in its period. T2 is preempted by T1 during the simu- +lation process. +We apply mARPREC and mRRPREC mutation +operators to this throttle position control exam- +ple. First, there is no precedence between runnable +APPSnsr and TPSPrimary, and we use a mARPREC +mutation operator to add precedence γAPPSnsr to +precrTPSPrimary to generate mutants for both sched- +ulers. +Runnable Controller consumes the values +produced by APPSnsr and TPSPrimary to calcu- +late the throttle percent value for the throttle actu- +ator. The changes in the simulation results of both +mutants are trivial. Figure 55 shows the simulation +result comparison between the original model and +the SimSched mutant. +Second, there is precedence between Controller +and Actuator, and Controller is executed before +Actuator. We remove the precedence from the pair +of runnables, so the Actuator (destination) runs be- +fore Controller (source), which changes the data de- +pendency and delays the data. The difference in sim- +ulation is similar to Figure 55. +Fig. 55. The difference of simulation result between the +original model and the mutant with mARPREC mutation +operator scheduled by SimSichde. +We apply mDSM, mUDSM, mRDSM, mRSM, +mRMSMR, and mRSMR mutation operators to this +example and generate accordingly mutants for both +the Stateflow scheduler and SimSched. +Inter- +estingly, since the task time properties have not +changed for the shared memory mutation operators, +the simulation results are consistent between the two +types of mutants. For example, we apply the mDSM +mutation operator to variable ThrCmdPercentValus +and set the variable to a new constant value. The +simulation result of both types of mutants is the +same shown in Figure 56. Since this variable is an +input to a Lookup table, there is always an output +that matches the input value and yields a correspond- +ing value to the output. The input value is constant, +so the throttle position’s output is a smooth curve. +Fig. 56. The throttle position output after applying mDSM +mutation operator to variable ThrCmdPercentValus sched- +uled. +5.3. +Evaluation Result +We apply the evaluation process to the example +models to investigate the mutation operator’s effec- +tiveness to kill mutants. +Table 9 and 10 summa- +rize the results of the efficacy of mutation operators, + +Throttle Pos +Simulated Pedal Input +0.6 +Throttle Pos +0.5 +0.4 +0.3 +0.2 +0.1 +0 +0 +0.5 +1.5ThrottlePos(Run2:TPCWithTaskAndDSM_CaseStudy_Stateflow) +ThrottlePos (Run5:TPCWithTaskAndDSM_CaseStudy_SimSched) +Tolerance +0.6 +0.5 +0.4 +0.3 +0.2 +0.1 +0 +0.1 +0.2 +0.3 +0.4 +0.5 +0.6 +0.7 +0.8 +0.9 +1.0 +1.1 +1.2 +1.3 +1.4 +1.5Throttle Pos +0.7 +Simulated Pedal Input +Throttle Pos +0.6 +0.5 +0.4 +0.3 +0.2 +0.1 +0 +0 +0.5 +1.5J. Chen et al. / Mutation Operators for Simulink Models +where each row provides the number of mutants and +the mutation score of our mutation operators. The +mutation score is a measure that gives the percent- +age of killed mutants with the total number of muta- +tions. +Table 9. Mutation analysis of mutation operators for three ser- +vos example. +Stateflow Scheduler +SimSched +Operator +Mutants +Kills +Mutants +Kills +Offset +36 +24 +36 +27 +Period +39 +25 +39 +25 +Execution +N/A +N/A +36 +31 +Time +Precedence +5 +0 +5 +0 +Priority +18 +0 +18 +0 +Jitter +36 +24 +36 +27 +Mutation +54.48% +64.71% +Score +For the three servo example, we generate 134 +mutants for the Stateflow scheduler models and 170 +mutants for the SimSched models. We achieve a +mutation score of 54.48% for the Stateflow sched- +uler model and 64.71% for the SimSched models. +Evaluation results show that the time-related muta- +tion operators have the most effect on the mutation +testing, such as the Offset, Period, Execution Time, +and Jitter mutation operator. We observe that the +Precedence and Priority mutation operators kill zero +mutant because, in this example, each controller in- +dividually controls a motor. There is no connection +between them, so the change of precedence and pri- +ority does not cause any simulation changes. How- +ever, the three controllers run on a single CPU, and +one task execution time’s length affects other tasks. +We also observe the Offset mutation operator only +affects each task’s initial execution, and tasks miss +the deadline. Still, each mutant’s simulation results +show each controller can have stable control of each +servo. +Table 10. Mutation analysis of mutation operators for throttle +position control example. +Stateflow Scheduler +SimSched +Operator +Mutants +Kills +Mutants +Kills +Offset +19 +7 +19 +15 +Period +30 +6 +30 +19 +Execution +N/A +N/A +34 +34 +Time +Precedence +23 +10 +23 +10 +Priority +11 +0 +11 +0 +Jitter +19 +12 +19 +15 +Shared +72 +46 +72 +46 +Memory +Mutation +49.39% +70.2% +Score +For the throttle position control example, we +generate 164 mutants for the Stateflow scheduler +models and 198 mutants for the SimSched models. +We achieve a mutation score of 49.39% for the State- +flow scheduler model and 70.2% for the SimSched +models. Evaluation results are similar to the previ- +ous example. The time-related mutation operators +have the most effective for mutation testing. +We +observe that the Shared Memory mutation operators +have the same kills for both Mµ and M ′ +µ. In this +example, task T2 has two Runnable TPSPrimary and +APPSnsr each has a shared variable to update at each +execution, and there is no direct relation between +them. Though SimSched can simulate the preemp- +tion of T2 to interrupt its execution, shared memory +mutants’ model behaviors are the same for both Mµ +and M ′ +µ. +From the above two examples, we can see the +mutation operators are application-dependent, and +SimSched can achieve a higher mutation score at +the time-related mutation operators. For example, +the Precedence mutation operator kills zero mutants +for the three servo example, but it kills ten mutants +for the throttle position control example for both +Stateflow Scheduler and SimSched. The three-servo +example does not require any precedence at all; +each task only controls itself. However, the throt- +tle position control example requires precedence. A +runnable consumes data from a previous runnable +execution. If we alter the precedence, the execu- +tion order is different from the original model ex- + +J. Chen et al. / Mutation Operators for Simulink Models +ecution; it produces a different data flow. For exam- +ple, in the Period mutation operator both Stateflow +scheduler and SimSched kill the same mutants for +the three serve example, but SimSched kills more +mutants than the Stateflow Scheduler in the throttle +position control example. Because the throttle po- +sition control example has four runnables in T1 and +each runnable has 1ms execution time. We use a +mDTPER to T1 and generate a mutant that the pe- +riod of T1 is 4ms instead of 5ms, then T1 will occupy +all the execution time slots, and T2 will not be ex- +ecuted for the SimSched. However, the Stateflow +Scheduler does not consider the execution time, so +both T1 and T2 are executed as scheduled. +6. +Related Work +Our work aligns with the MBMT, and it has been +applied to various models. +Trakhtenbrot 41 pro- +poses mutation testing on statechart-based models +for reactive systems. This approach mainly deals +with the conformance between specific semantics +of statechart models and the model’s implementa- +tion. +Mutation testing has been applied to fea- +ture models to test software product lines 20. The +feature models represent the variability of software +product lines and configurable systems. +El-Fakih +et al.14 develop a technique of mutation-based test +case generation toward extended finite state ma- +chines (EFSM) that examines the EFSM under test +agrees to user-defined faults. Belli et al.6 have sur- +veyed MBMT approach a great deal and detailed the +approach applied to graph-based models, including +directed graphs, event sequence graphs, finite-state +machines, and statecharts. A recent mutation testing +survey31 presents up-to-date advanced approaches +that use mutants to support software engineering ac- +tivities to model artifacts. +Our work also fits in the timed system test- +ing, which requires a real-time environment. Re- +searchers 3,28,29 have utilized the most studied for- +malisms TA to inject faults to the timed system and +reveal that the time-related errors are unable to find +by using randomly generated test suites. +Nilsson +et al.28 first proposed a set of extended TA muta- +tion operators based on TA with Tasks (TAT) 30 to +test real-time systems which depend on the execu- +tion time and execution order of individual tasks. +The mutation operators are interested in the time- +liness of a task to meet its deadlines. Aichernig et +al.3 propose a mutation testing framework for timed +systems, where they define eight mutation operators +to mutate the model and its mutants are expressed +as a variant of TA in Uppaal specification format. +The authors also develop a mutation-based test case +generation framework for real-time, where they use +symbolic bounded model checking techniques and +incremental solving. Cornaglia et al.11 presents an +automated framework MODELTime that facilitates +the study of target platform-dependent timing dur- +ing the model-based development of embedded ap- +plications using MATLAB/Simulink simulations. +ML/SL is one of the most popular formalisms to +model and simulate embedded systems, and many +researchers have explored the various type of mu- +tation operators applied to ML/SL models. Hanh +et al.18 propose a set of mutation operators based +on investigating common faults in ML/SL models +to validate test suites and present a process of muta- +tion testing for ML/SL models. They provide twelve +mutation operators and divide them into five cate- +gories. Stephan et al.38 utilize the mutation testing +technique to compare model-clone detection tools +for ML/SL models. +They present a taxonomy of +ML/SL and prose a set of structural mutation op- +erators based on three clone types. The mutation +operators are used to evaluate the model-clone de- +tectors. Using the mutation-based technique to gen- +erate test cases for ML/SL models automatically has +been studied 8,19. +They can effectively generate +small sets of test cases that achieve high coverage +on a collection of Simulink models from the auto- +motive domain. A recent work SLEMI 10 has ap- +plied mutation techniques to the Simulink compiler +and uses tools to generate mutants of the seed model +and found 9 confirmed bugs in Simulink models. +Our work intends to exploit mutation analysis +to identify potential time-related errors in ML/SL +models. +Roy and Cordy 33,34 first propose using +mutation analysis to assist the evaluation of soft- +ware clone detection tools. They develop a frame- +work for testing code-clone detectors based on mu- + +J. Chen et al. / Mutation Operators for Simulink Models +tation. Stephan et al.37,36 proposed a framework that +can objectively and quantitatively evaluate and com- +pare model-clone detectors using mutation analysis. +Their work is based on a structural mutation method +for ML/SL model mutation. Our mutation operators +are based on a timed system task model, whereas, +there are no relevant existing studies that directly +integrated the ML/SL models in the timed systems +in the MIL phase; thus, we carry out the work pre- +sented in this paper. +Co-simulation16 is a widely used technique in +model-based testing to verify as much of the system +functionality, among subsystems, as possible. Com- +posing the simulations of sub-simulators can achieve +a joint simulation of a coupled system. Many differ- +ent languages and tools are used for other purposes +in the model-based design domain, either designing +continuous plants or discrete controllers. +A rela- +tively recent open standard functional mock-up in- +terface (FMI) is developed for exchange simulation +models in a standardized format, including support +for co-simulation. Gomes et al.15 propose an ap- +proach to facilitate the implementation of the Func- +tional Mock-up Interface standard. +They use the +MBT methodology to evaluate the tools that export +Functional Mock-up Units (FMUs). Hence, they can +root out the ambiguities and improve conformance +to the FMI standard. Garro et al.7 employs FMI to +perform co-simulation to verify the system require- +ments based on the FOrmal Requirements Model- +ing Language and the Modelica language. +Zafar +et al.42 present a systematic tool-supported MBT +workflow to facilitate the simulation-based testing +process of an embedded system. The workflow ex- +pends from the requirements phase, and generation +of executable test scripts, to the execution of gener- +ated test scripts on simulation levels. +7. +Conclusion and future work +In this paper, we proposed a set of timed muta- +tion operators for the ML/SL model that is primar- +ily intended to integrate the timed task model in the +ML/SL model to better support MIL simulation us- +ing mutation analysis. Moreover, testing at an ear- +lier stage during the development process reduces +development costs since earlier changes and fixing +errors are much more manageable. We introduce a +timed task model and present a set of mutation op- +erators for the ML/SL based on this task model. We +implement a mutation analysis framework that can +apply mutation operators to the simple ML/SL mod- +els. We demonstrate the approach on several ML/SL +models. The results validate that mutation analysis +can reveal time-related faults. We intend to automate +the mutation testing process for the ML/SL environ- +ment and improve the mutation operators to expose +defects in the future. We will further validate our +mutation analysis method to more industrial com- +plex ML/SL model sets. +Acknowledgments +This work was supported in part by the Natural Sci- +ences and Engineering Research Council of Canada +(NSERC), as part of the NECSIS Automotive Part- +nership with General Motors, IBM Canada, and Ma- +lina Software Corp. +1. Bernhard K. Aichernig, Harald Brandl, Elisabeth +J¨obstl, Willibald Krenn, Rupert Schlick, and Stefan +Tiran. +Killing strategies for model-based mutation +testing. Software Testing, Verification and Reliability, +25(8):716–748, dec 2015. +2. Bernhard K. Aichernig and Florian Lorber. Towards +generation of adaptive test cases from partial models +of determinized timed automata. 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Search-based muta- +tion testing for simulink models. +In GECCO 2005 +- Genetic and Evolutionary Computation Conference, +pages 1061–1068, New York, New York, USA, 2005. +ACM Press. + diff --git a/OdAyT4oBgHgl3EQf7PpY/content/tmp_files/load_file.txt b/OdAyT4oBgHgl3EQf7PpY/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..44250dba1a4d65a601bc64dc0f934388a29d70e1 --- /dev/null +++ b/OdAyT4oBgHgl3EQf7PpY/content/tmp_files/load_file.txt @@ -0,0 +1,2135 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf,len=2134 +page_content='Timed Model-Based Mutation Operators for Simulink Models Jian Chen* 1 Manar H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Alalfi 2 Thomas R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Dean 3 1 Department of Electrical and Computer Engineering, Queen’s University Kingston, ON, Canada E-mail: jian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='chen@queensu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='ca 2 Department of Computer Science, Ryerson University Toronto, ON, Canada E-mail: manar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='alalfi@cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='ryerson.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='ca 3 Department of Electrical and Computer Engineering, Queen’s University Kingston, ON, Canada E-mail: tom.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='dean@queensu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='ca Abstract Model-based mutation analysis is a recent research area, and real-time system testing can benefit from using model mutants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Model-based mutation testing (MBMT) is a particular branch of model-based test- ing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It generates faulty versions of a model using mutation operators to evaluate and improve test cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation testing is an effective way to ensure software correctness and has been applied to various appli- cation areas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink is a vital modeling language for real-time systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This paper introduces Simulink model mutation analysis to improve Model-in-the-loop (MIL) testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We propose a set of Simulink mu- tation operators based on AUTOSAR, which reflects the temporal correctness when a Simulink model is mapped to Operating System tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We implement a mutation framework that generates mutants for implicit clock Simulink models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Finally, we demonstrate how this framework generates mutants to reveal task interference issues in the simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Our work integrates the Simulink model with the timed systems to better support mutation testing automation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Keywords: Mutation Testing, Model-Based Testing, Model-Based Mutation Testing, Mutation Operator, Simulink, Real-Time System, Scheduling, AUTOSAR 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Introduction Today, cars come equipped with advanced technolo- gies that did not exist before, such as Automatic Emergency Braking (AEB), Adaptive Cruise Con- trol (ACC), Lane Departure Warning/Lane Keeping, and Autonomous driving.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' All of these features rely on software to realize sophisticated control algo- rithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Generally, such software is developed within the timed system context, in which the system cor- rectness not only relies on the software implemented functions correctness but also depends on the sys- tem to meet time constraints.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Many factors can con- tribute to the execution time of a system running on a target platform.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Issues such as task interference may cause delays during task execution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Software quality plays a crucial role in such safety-critical ap- plications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Model-Based Testing (MBT) is a promising technique for the automated testing of timed sys- arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='00835v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='SE] 2 Jan 2023 J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models tems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A model represents the behavior of software, and the model is usually abstracted from real-time specifications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, some modeling environ- ments support this feature in the Hardware-in-the- loop (HIL) simulation testing instead of the MIL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For example, Matlab/Simulink (ML/SL) simulations assume block behaviors are completed in nearly zero execution time, while real execution requires a finite execution time, which may cause a failure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' ML/SL models are based on the Synchronous Reactive (SR) model 23 that may assume the task execution times are zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Errors in the model may not be apparent without an explicit real-time execution in the MIL phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Usually, a Simulink model can be well simu- lated in the MIL, but it may have errors in the real- time context.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hence, MBT needs an extension to accommo- date the real-time context, which includes modeling the system through a timed formalism, and check- ing the implementation conforms to its specification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Traditionally, this is done via conformance checks 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Recently, several tools have been proposed to simulate the real-time execution effects for ML/SL models in MIL, such as TrueTime 21, TRES 12, Timing-aware blocks 27, and SimSched 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' SimSched uses a model transformation to integrate scheduling into the model to validate the real-time context dur- ing simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' To evaluate SimSched, we turn to mutation testing using mutation analysis to assist the evaluation of the SimSched tool.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this paper, we propose a set of mutation op- erators with a timed task model, which is based on the AUTomotive Open System ARchitecture (AUTOSAR), that reflects the temporal correctness when a Simulink model is mapped to Real-Time Op- erating System (RTOS) tasks in a real-time context.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This paper is organized as follows: Section 2 introduces background information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Section 3 presents the set of proposed timed mutation oper- ators for Simulink models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Section 4 explains the usage of the timed mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Section 5 presents validation experiments and results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Section 6 summarizes related studies in MBT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Finally, Sec- tion 7 presents the conclusions of our work and out- lines future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Background This section gives an overview of the background information on the material needed to explain our work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We begin with a basic introduction to mu- tation testing, Simulink, and AUTOSAR;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' then, we present our timed task model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation testing Mutation testing was introduced in the 1970s 17,13,22 and proved to be an effective way to reveal software faults 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It is a fault-based software testing tech- nique, which has been extensively studied and used for decades.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It contributes a range of methods, tools, and reliable results for software testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation testing is designed to find valid test cases and dis- cover real errors in the program.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Model-Based Mutation Testing (MBMT) takes the advantages of both model-based testing and mu- tation testing and has been widely applied to mul- tiple types of models such as feature models 20, statechart-based models 41,1, timed automata 3,2, and Simulink 8,26,38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, in real-time system de- velopment, both logical and temporal correctness is crucial to the correct system functionality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The tem- poral correctness depends on timing assumptions for each task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Timed Automata (TA) 4 is a common for- malism to model and verify real-time systems to see whether designs meet temporal requirements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Aich- ernig et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 propose an MBMT technique for timed automata that applies to input/output timed automata (TAIO) model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Nilsson et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 28 add an extension to the TA formalism with a task model, and their mutation operators focus on timeliness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink∗is widely used for model-driven development of soft- ware within the automotive sector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Most of the mu- tation operators proposed for Simulink models are from a property point of view either run-time or design-time such as signal modification, arithmetic alternation, or block change 18,38,36,43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Some of the proposed mutation testings are targeted at test case generation for Simulink models 8,19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, there is no mutation operator with an explicit clock model for Simulink.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' https://www.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mathworks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='com/products/simulink.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='html J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink Simulink is one of the most popular modeling lan- guages for modeling dynamical systems, and MAT- LAB provides a graphical programming environ- ment to perform system simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink mod- els are graphical blocks and lines, and they are con- nected by signals between input and output ports.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Simulink simulation engine determines the ex- ecution order of blocks based on the data depen- dencies among the blocks before a simulation exe- cution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink defines two types of blocks, di- rect feedthrough, and non-direct feedthrough, to as- sure the correct data dependencies in the simula- tion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink uses the following two basic rules 25 to determine the sorted execution order: A block must be executed before any of the blocks whose direct-feedthrough ports it drives;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Blocks without direct feedthrough inputs can execute in arbitrary or- der as long as they precede any block whose direct- feedthrough inputs they drive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' All blocks are sched- uled in sorted order and executed in sequential exe- cution order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Simulink engine maintains a vir- tual clock to execute each ordered block at each vir- tual time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink Coder†supports code generation and of- fers a framework to execute the generated code in a real-time environment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink Coder can gen- erate code for the periodic task, either using a sin- gle task or a multi-task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Single-task implementa- tions can preserve the semantics during the simula- tion because the generated code is invoked by a sim- ple scheduler in a single thread without preemptions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For multi-task implementations, the generated code is invoked by a rate monotonic (RM) 24 scheduler in a multithreaded RTOS environment, where each task is assigned a priority and preemptions occur be- tween tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' As a consequence of preemption and scheduling, the implementation semantic can con- flict with the model semantic in a multi-rate system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' AUTOSAR AUTOSAR is an open industry standard to meet the needs of future car development.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' AUTOSAR de- fines three main layers: the application, the runtime environment (RTE), and the basic software (BSW) layer 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The functions in the application layer are implemented by SW-Cs, which encapsulate part or all of the automotive electronic functions, as shown in Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The components communicate via a Virtual Functional Bus (VFB), which is an abstrac- tion of all the communication mechanisms of AU- TOSAR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Engineers abstract the communication de- tails of software components employing VFBs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A set of runnables represents the SW-Cs internal be- haviors, and a runnable is the smallest executable code that can be individually scheduled, either by a timer or an event.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Lastly, runnables are required to map to a set of tasks for a target platform, and the mapping has to preserve ordering relations and causal dependencies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink has supported AU- TOSAR compliant code generation since version R2006a‡.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' All AUTOSAR concepts can be repre- sented by Simulink blocks and the existing Simulink blocks can be easily used in the AUTOSAR devel- opment process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Some of AUTOSAR concepts and Simulink concepts mapping relation is shown in Ta- ble 1 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' AUTOSAR components, interfaces, and runnables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' (Adapted from 5) † https://www.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mathworks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='com/products/simulink-coder.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='html ‡ https://www.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mathworks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='com/products/simulink.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='html SW-C 1 SW-C 2 SW-C 3 SW-C n Runnable 2a Runnable 3a Runnable na Runnable 1a !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Runnable 2b Runnable nb NTOIA V OIDID Virtual Function Bus(VFB) Tool supporting deployment System ECU of sW components Constraints Descriptions 个 ECU I ECU II ECU M SW-C 1 SW-C 3 SW-C 2 SW-C n RTE RTE RTE Basic Software Basic Software Basic SoftwareJ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Examples of ML/SL and AUTOSAR Concepts Map- ping.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' ML/SL AUTOSAR Subsystem Atomic Software Component Function-call subsystem Runnable Function calls RTEEvents 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task model In automotive software, Simulink models are often drawn from real-time specifications and are realized as a set of tasks running on an RTOS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In order to better test this kind of software in the MIL phase, model-based testing needs to be scaled to the real- time context, which includes a timed formalism to model the system under test conforming with the real-time requirements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We define a task model to model the timing properties of tasks in the Simulink environment and the application is modeled as a set of periodic tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A task model, T, is represented by a tuple {φ,ρ,c,γ, prect, precr, prio, jitter}, where φ is an offset of the task, ρ is the period of the task, c is the Worst Case Execution Time (WCET) of the task, γ is a list of runnables that belong to the task, prect is the precedence constraint of the task, precr is the precedence constraint of the runnables within the task, prio is the priority associated with the task, and jitter is the deviation of a task from the periodic release times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Every task has an implicit deadline which means the deadline of a task is equal to ρ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' An offset φ refers to the time delay between the arrival of the first instance of a periodic task and its release time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A WCET is the summation of each runnable execution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A precedence constraint prect is a list of tasks that specifies the task execution order, and precr is a list of runnables within a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task states and transitions of task model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 2 shows the task-state and transition dia- grams of the task model that is based on OSEK’s ba- sic task-state model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task model includes three states: suspended, ready, and running, and four tran- sitions: Active, Stare, Preempt, and Terminate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The transitions represent the actions to activate, start, preempt, or terminate a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task timing parameters shown in Gantt chart (all related to Task2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 3 shows the timing parameters of a task model and different timing parameters can alter the application’s real-time behavior within a system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation Operators for Simulink Model This section introduces a mutation analysis ap- proach to validate real-time context during the sim- ulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation operators are the key elements of mutation testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Model-based mutation testing is a method of injecting faults into models to check whether the tests are passed or failed, thus validat- ing the software.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The injecting faults are the muta- tion operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Before we apply mutation operators to the model, we need to identify them which is to Start Ready Running Preempt Active Terminate SuspendedPriority Active Start Preempt Terminate Task1 Task2 offseti C1 C2 jitter period TimeJ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models understand what kind of errors can cause failure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We have proposed the following task-related mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Offset mutation operators The task release offset is one of the factors that affect the computation result in terms of task interference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In order to take the offset into account for analy- sis, we introduced an offset mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a known offset φ, a task can now execute after φ time units with respect to the start of its period.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The exe- cution time of the task is unchanged at c time units before the next period starts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mITO This operator adds δ time to the current offset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the offset φi to φi +δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mDTO This operator subtracts δ time to the current offset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the offset φi to φi −δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Period mutation operators An RTOS usually applies a preemptive multitask- ing scheduling algorithm to determine the execu- tion order of tasks, and the most picked algorithm is fixed-priority scheduling (FPS).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The algorithm as- signs each task a static priority level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The RTOS scheduler executes the highest priority task from the ready task queue.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simulink Coder supports an RM scheduler, where the priority of a task is associated with its period, if a task has a smaller period, then it has a higher priority.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Furthermore, a lower-priority task can be preempted by a more top-priority task during the execution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mITPER This operator increases the period of a task, which changes the task to a slower rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the period of the task i to ρi +δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mDTPER This operator decreases the period of a task, which changes the task to a faster rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the period of the task i to ρi −δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Execution time mutation operators The correctness of a real-time system is determined on one hand by the computation results of the log- ical program, and on the other hand, is strictly re- lated to the time at which the results are produced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hence, execution time analysis is essential during the process of designing and verifying embedded systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For this reason, we propose execution time operators, which can adjust the execution time of each task at the runnable level to simulate the run time execution on different processor speeds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The longer execution time of a task may lead to a sce- nario where a lower-rate task blocks a higher-rate task so that it misses its deadline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mITET This operator adds δ time to the current exe- cution time of each runnable, which increases the total execution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the execution time ci to ci +δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mDTET This operator subtracts δ time from the cur- rent execution time of each runnable, which de- creases the total execution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the execution time ci to ci −δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Execution precedence mutation operators The RTOS scheduler selects tasks to execute accord- ing to the priority level of the task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, the spawn order determines the execution order of tasks with the same priority.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Whichever task is spawned first is realized and gets the CPU first to run.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This re- sults in situations where a pair of tasks have a prece- dence relation in the implementation that does not exist in the design phase lost an existing precedence relation in the implementation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The incorrect prece- dence can cause a wrong execution order of tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hence, we proposed the precedence mutation oper- ators which can specify a precedence relation be- tween a pair of tasks and runnables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This operator creates mutants by assigning a specific execution or- der to a set of tasks or runnable to reflect the prece- dence relation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mATPREC For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, for each task τ j ∈ T (j ̸= i), if τj /∈ precti, this mutation operator adds τj to precti.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mRTPREC For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, for each task τj ∈ T (j ̸= i), if τj ∈ precti, this mutation operator removes τ j from precti.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mARPREC For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, for each runnable γim ∈ τi, if γim /∈ precri, this mutation operator adds γim to precri.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mRRPREC For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, for each runnable γim ∈ τi, if γim ∈ precri, this mutation operator removes γim from precri.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Priority mutation operators In an RTOS, each task is assigned a relative priority, which is a static integer to identify the degree of im- portance of tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The highest priority task always gets the CPU when it becomes ready to run.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The most common RTOS scheduling algorithm is pre- emptive scheduling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mITPRI This operator increases the priority of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the priority of the task prioi to proii +δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mDTPRI This operator decreases the priority of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the period of the task i to proii −δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Jitter mutation operators Timing jitter exists in the RTOS, and it is the delay between subsequent periods of time for a given task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mITJ This operator increases the jitter time of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the priority of the task jitteri to jitteri +δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mDTJ This operator decreases the jitter time of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For a given task τi{φi,ρi,ci,γi, precti, precri, prioi, jitteri} ∈ T, this mutation operator changes the period of the task jitteri to jitteri −δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Shared memory mutation operators It is common that RTOS tasks exchange data or information via shared memory(e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=', global vari- able, memory buffer, hardware register).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The shared memory can easily cause access conflict if the logi- cal software design is neglected in any corner case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Here we introduce a set of variable mutation opera- tors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mDSM This operator defines a new value to a global vari- able in a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If a task reads this global variable, then we define a new value right before the reads occurred.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mUDSM This operator un-defines a global variable in a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If a task writes this global variable, then ignore this writes operation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mRDSM This operator removes the definition of a global vari- able.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If a global variable is initialized in a task then do not initialize it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mRSM This operator adds a reference to a global variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mRMSMR This operator removes reference to a global variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' mRSMR This operator replaces a reference of a global vari- able with a different global variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simuilnk Mutation Operators ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Mutation Key ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Title ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mITO ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Increase Task Offset ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mDTO ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Decrease Task Offset ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mITPER ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Increase Task Period ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mDTPER ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Decrease Task Period ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mITET ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Increase Task Execution Time ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mDTET ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Decrease Task Execution Time ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mATPREC ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Add Task Precedence ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mRTPREC ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Remove Task Precedence ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mARPREC ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Add Runnable Precedence ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mRRPREC ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Remove Runnable Precedence ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mITPRI ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Increase Task Priority ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mDTPRI ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Decrease Task Priority ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mITJ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Increase Task Jitter ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mDTJ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Decrease Task Jitter ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mDSM ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Define Shared Memory ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mUDSM ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Un-define Shared Memory ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mRDSM ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Remove Definition Shared Memory ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mRSM ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Reference a Shared Memory ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mRMSMR ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Remove a Shared Memory Reference ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='mRSMR ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='Replace a Shared Memory Reference ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation operators demonstration We have introduced twenty mutation operators cate- gorized into seven classes and explained each mu- tation class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutation operators are summa- rized in Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use simple examples to demon- strate the use of each mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' To demon- strate our mutation operators, we use the tool Sim- Sched to alter the properties of software applications realized as Simulink models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' From Table 1, we know that each function-call subsystem represents an AUTOSAR runnable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The function-call subsys- tem can be executed conditionally when a function- call event signal arrives.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Both an S-function block and a Stateflow block can provide such a function- call event.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' SimSched applies the function-call in- vocation mechanism to use an S-function to gener- ate a function-call event to schedule each runnable (function-call subsystem).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 4 shows the Sim- Sched parameters dialogue that we can utilize it to adjust the timing properties to implement the muta- tion operator for Simulink models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' SimSched Parameter setting dialogue.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this section, we use several simple examples to exhibit the mutants generated by our mutation op- erators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 5 illustrates the use of SimSched to schedule a Simulink model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this example, Sim- Sched is at the top left corner, which schedules three runnables (R1, R2, R3), and they are mapped to two tasks (T1, T2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Runnable R1 is mapped to T1, the pe- riod of T1 is 10ms, priority is 2, and the execution time of R1 is 3ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R2 and R3 are mapped to T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The period of T2 is 20ms, priority is 1, and the execu- tion time of R2 and R3 are 3ms and 3ms accordingly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The detailed parameter settings are listed in Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' There is a Data Store Memory block in this exam- ple, named A, which defines a shared data store that is a memory area used by Data Store Read and Data Store Write block with the same data store name.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R1 writes a constant value to a global variable A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R2 reads A first then writes the summation of A and its delay value to A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R3 reads A then subtracts its delay value from A, and outputs the result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simple example settings Task Period Execution Priority Runnable (ms) Time(ms) T1 10 3 2 R1 T2 20 3 1 R2 T2 20 3 1 R3 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A simple example of using SimSched to schedule AUTOSAR SW-Cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of the running example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A simple example of using Stateflow to schedule AUTOSAR SW-Cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simple example output of Stateflow scheduler simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' BlockParameters:SimSched S-Function (mask) Parameters Task: [1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2] Priority: [2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1] Period: [10,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='20] Runnable: "R1\',' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='\'R2\',"' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content="'R3' [1," metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2] Task Mapping: Execution Time: [3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3] [0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='0] Offset [0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='0] Jitter OK Cancel Help ApplyScheduler Runnable(period,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' execution time,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' priority) Task() R1(10ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2) Task(1) R2( 20ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task(2) R3 20ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task(2) function() function() function( SimSched function Runnable1 subsystem Runnable2 subsystem Runnable3 subsystem1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content="060:0 call() 0:1 R1() 1 ms Clock R2() 0:1 R3() call( Temporal Logic 0:6 Scheduler 0:1 0:1 0:1 R1() R2() R3() R1 0:7 A subrater Runnable1 subsystem1 Runnable2 subsystem1 Runnable3 subsystem'11 10 9 0 0." metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 40 R2 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 20 10 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 TimeJ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models We use a Stateflow scheduler version of the sim- ple example shown in Figure 7 to show the typical Stateflow scheduler simulation result, then compare it with the SimSched scheduler simulation result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task parameters are all the same shown in Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply the same task configurations for both the Stateflow scheduler and SimSched models for simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 8 shows the Stateflow scheduler simulation result, and Figure 9 shows the SimSched simulation result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The result figures show the output value of each runnable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' From the figure, we can see that R1, R2 and R3 are all executed at time 0 in Fig- ure 8;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R1, is executed time 0, R2 is executed at 3ms, and R3 is executed at 6ms in Figure 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R2 and R3 are executed later than the Stateflow scheduler simula- tion in Figure 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This is because that SimSched takes into account execution time, and each task must be executed until the previous task is completed on a single core platform.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simple example output of SimSched simulation without applying any mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Offset mutation operators We first apply the mITO mutation operator to the running example, let’s say that increase δ1 = 3ms for T1 then we have the task execution timeline in Figure 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We can see T2 is executed first at time 0, and T1 preempts T2 at 3ms in the first period due to the offset effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' After the first period, there is no preemption between T1 and T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then, we apply the mDTO mutation operator based on the previous settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set δ1 = −1ms to T1 then the offset for T1 is 2ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 11 shows the task execution timeline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T2 is preempted by T1 during the execution of the first period.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Compared to the task execution Gantt chart of our running example shown in Figure 6 with no offset, we can clearly see the preemption effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of the running example after increase offset mutation operator is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of the running example after decrease offset mutation operator is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The running example’s output after applying the mITO mutation operator is shown in Figure 12 which is different from Figure 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Because T1 pre- empts T2 at the first instance execution, the output of R3 is from zero to ten then goes back to zero then goes up instead of always increasing value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The running example’s output after applying the mDTO mutation operator is the same as Figure 9 because the offset operator only affects the initial execution of each task, and the preemption occurs before the first execution of R2 instance completion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Inside our model scheduler program, we trigger each subsys- tem at the end of each execution time slot.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Techni- cally, the execution order of this example is still R1, R2, and R3 so the output of the simulation keeps the same.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simple example output of SimSched simulation after applying mITO mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T1 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 Time(sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=') T2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 TimeJ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Period mutation operators We apply the mITPER operator to this example to increase the period of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set δ1 = 1ms to T1 so the period of the task T1 is 11ms now.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 13 shows that T2 is preempted at the time of 22ms, and the simulation yields a wrong result due to this pre- emption shown in Figure 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The output of R3 is an alternating value instead of an increasing value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of the running example after increase period mutation operator is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simple example output of SimSched simulation after applying mITPER mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply the mDTPER operator to this example to decrease the period of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set δ1 = −4ms to T1 so the period of the task T1 is 6ms now.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then, we run the simulation, T2 is preempted by T1 shown in Figure 15 and it yields a wrong simulation result shown in Figure 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The output of R3 is either zero or ten instead of an increasing value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of the running example after decreasing period mutation operator is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simple example output of SimSched simulation after applying mDTPER mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Execution time mutation operators We apply the mITET operator to this example to in- crease the execution time of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We can specify any runnable to increase its execution time within a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For example, we set δ1 = 4ms to R2 in T2 so the execution of R2 is 7ms and T2 takes 10ms to ex- ecute now.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 17 shows that T2 is preempted at the time of 10ms, and the simulation yields a wrong result due to this preemption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The wrong result is the same as the example of applying decreasing task period.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply the mDTET operator to this exam- ple to decrease the execution time of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set δ1 = −1ms to T1 so the execution time of the task T1 is 2ms now.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then, we run the simulation, there is no preemption that occurs between these two tasks and the output is as expected as the original model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of the running example after increase execution time mutation operator is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Execution precedence mutation operators We introduce the second example as Table 4 to ex- plain the mATPREC and mRTPREC operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig- ure 18 shows the task execution Gantt chart of this example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' From the task execution chart, we can see the execution order of the tasks is T1,T2,T1,T3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0E 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Table 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simple example settings Task Period Execution Priority Runnable (ms) Time(ms) T1 5 1 3 R1 T2 10 4 2 R2 T3 10 3 1 R3 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' First, we assume there is no precedence rela- tion among tasks so we use the mATPREC mutation operator to add a precedence relation τ3 to prect2, which specifies that a new instance of T2 cannot start unless T3 has executed after the last instance of T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hence, we set the execution order that T3 is executed before T2 in the setting dialogue.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 19 shows the execution result that T2 is preempted by T1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If T2 is not a re-entrant function then this preemption may cause potential failure execution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart of example 2 after task precedence mutation operator is applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then, we assume there is a precedence relation between T1 and T3 and the task execution diagram is the same in Figure 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply the mRTPREC mutation operator to remove the precedence relation prect3 from τ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The result is the same as shown in Figure 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We add one runnable R4 to the first example and assign it to T1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This new task configuration is shown in Table 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R4 writes a different constant value from R1 to the global variable A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply mARPREC mutation operator to this new example, which adds γ1 to precr4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R4 requires R1 execute first so R4 over- writes the value written by R1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The operator changes the execution order of runnables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task configuration settings for runnable precedence mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task Period Execution Priority Runnable (ms) Time(ms) T1 10 2 2 R1 T2 20 2 1 R2 T3 20 2 1 R3 T1 10 2 1 R4 In example one, T2 has two runnables R2 and R3 with a precedence relation between them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply mRRPREC runnable remove precedence mutation operator to remove the precedence γ2 from precr3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We schedule R3 runs before R2 since no precedence constraint that turns out different than the original simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The original output of R3 is an increas- ing value along with the execution instead of a value of either zero or a fixed value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The reason is that R3 executes first and it reads A before R2 writes any new value to A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The bottom output line in Figure 20 shows the execution result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The outputs of example one three runnables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Priority mutation operators Table 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Priority mutation operator example settings Task Period Execution Priority Runnable (ms) Time(ms) T1 10 1 4 R1 T2 10 2 3 R2 T3 10 3 2 R3 We apply mITPRI operator to the example in Ta- ble 6 to increase the priority of T3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This mutation operator changes the priority of prio3 to proi3 + 3 so the T3 has the highest priority 5 in this example, which results in T3 being executed at first.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 21 shows T3 is triggered first in the task execution Gantt chart.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This mutation alters the task execution order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 1 口 口 口 口 口 口 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='07 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='08 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='09 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart after applying increas- ing task priority mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply mDTPRI operator to decrease the pri- ority of T1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This mutation operator changes the pri- ority of prioi to proi−3 so the T1 has the lowest pri- ority 1 in this example, which results in T1 being executed at last.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task execution Gantt chart is shown in Figure 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart after applying decreas- ing task priority mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Jitter mutation operators We apply mITJ operator to increase a jitter time of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For example, let δ = 2, this mutation op- erator changes the real release time of the task to jitter1 = 0+2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 23 shows the execution of T2 is preempted by T1 caused by the jitter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task executions Gantt chart after applying increas- ing jitter mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then mDTJ mutation operator decreases the jit- ter time of a task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply this operator to the above example and let δ = −1 so the task jitter1 = 2 − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T2 is preempted by T1 during the simulation phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Shared memory mutation operators In this shared memory category, we introduce five mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The first one is mDSM, and this operator assigns a new value to the memory store before a read.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For our example, we add a Data Store Write block right before the Data Store Read execution so that the Data Store Write block defines a new value to the variable, and we chose the initial value of this variable as the default new value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutant using mUDSM operator is shown in Figure 24, which only shows the changes of Runnable2 subsystem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We add a constant block and a Data Store Write block at the top left corner.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A simple example of DSM mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The second mutant operator is mUDSM, and this operator disregards a write to a Data Store block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For our example, we remove the Data Store Write block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 25 shows the mUDSM mutant that the Data Store Write has been removed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A simple example of UDSM mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The third mutant operator is mRDSM, and this operator removes an initialization value to a Data Store memory.' metadata={'source': 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function A 1 Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models an initial value before they can use properly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For our example, Runnable1 subsystem is such a pro- cess of initializing Data Store A;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' then, we remove the Data Store Write block in Runnable1 subsystem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Simulink model can still run simulations with- out any issues however the output of the simulation only yields a single value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutant operator mRSM adds a new reference to shared memory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 26 shows the block diagrams of a Simulink model with three subsystems and they are mapped to two tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The model has a DSM block A in the root-level system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' There is a Data Store Write block inside subsystems Task B1 and a Data Store Read block in Task B2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The period of Task A is 5ms and the period of Task B is 10ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' To implement the mRSM, we add a Data Store Read block to the TaskA subsystem which shows in Figure 27.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In the original example, Task A executes first then Task B1 writes A and Task B2 reads A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutant program has the same execution order as the original model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, when the Data Store Read block in Task A executes, the block reads data from an uninitialized data store or a previous instant of Task B1 as Task B has not executed yet or has been executed previously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A simple Simulink model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 27.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' An example of mRSM mutant operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Adding a Data Store Read block to Task A block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutant operator mRMSMR deletes a reference to shared memory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In Figure 26, Task B2 has a refer- ence to a DSM block A in the root-level system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' To implement the mRMSMR, we delete the Data Store Read block in the TaskB2 subsystem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In the mu- tant program, Task B2 has a constant output value of zero since there is no reference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Evaluation Phase In the previous section, we describe how a model scheduler SimSched can validate the real-time con- text during a simulation, and we utilize mutation testing to evaluate SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this section, we perform experiments to demonstrate the use of our mutation testing framework to evaluate the quality of SimSched and Stateflow schedulers in scheduling tasks in real-time systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Evaluation Process To validate the proposed mutation operators, we ap- ply them to ML/SL models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We separate the evalu- ation process into two parts base and extension, ac- cording to the ability of ML/SL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply the first- order mutants (FOMs) 22 to ML/SL models to gen- erate a mutant, which means we generate a mutant by using a mutation operator only once.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Base Case In the base case, we examine the simulation results of the original models and the SimSched models and their mutants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' An original model M is an ML/SL model scheduled by Stateflow scheduler;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A Sim- Sched model M ′ is an original model scheduled by SimSched;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutants (Mµ or M ′ µ) are ei- ther original model or SimSched models mutated by one of our mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 28 shows the schematic diagram of our mutants generation pro- cess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use the simulation result of M as a com- parison baseline, and then we compare the baseline with every other simulation result of Mµ, and M ′ µ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We examine the comparison result to see if the re- sult reaches a verdict failure during model simula- tion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We say a mutant is killed if a verdict of failure is reached.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In2 Out1 A Task A Out1 In2 In1 Qut3 Task B1 Task_B2A 2 DSRA 2J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Schematic diagram of the model mutants genera- tion process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 29.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Simple evaluation example scheduled by Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use a simple example shown in Figure 29 to explain the base case evaluation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This ex- ample is an original model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We replace the State- flow scheduler with a SimSched scheduler to form a SimSched model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We generate mutants for both the original and SimSched models by a specific mu- tation operator, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=', mDTPER, to decrease the task period.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then we run the simulation for both mutants and analyzed the results to see if there is any errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If the simulation result of Mµ or M ′ µ is different from the original model and shows a verdict failure, then we say the mutant is killed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this example, we have three runnables R1,R2,R3 and they are mapped to two tasks T1,T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' R1 is mapped to T1 and R2,R3 are mapped to T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The period of T1 is 3ms and The period of T2 is 6ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The execution time of each runnable is 1ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulation result of the M is shown in Figure 30 and it shows each runnable output is a rising non- interlaced polyline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply the mDTPER muta- tion operator as decreasing 1ms to both the origi- nal model and SimSched model to generate mutants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task T1 in the mutants has a period of 2ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulation result of these simulations is shown in Figure 31 and Figure 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulation result of M ′ µ is different from the result of M , and it shows the output of R2 and R3 are two rising interlaced polylines because SimSched can simulate the exe- cution time and preemption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T1 preempts T2 in the SimSched mutant model to yield an alternative ex- ecution trace, and we say a verdict fail is reached.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, the simulation result of Mµ is similar to the result of M .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Thus, the mDTPER mutant is killed to the M ′ µ and is alive to the Mµ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We can not apply this means to all mutation operators due to the nature of ML/SL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We combine this method and the follow- ing method to evaluate the mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 30.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' M simulation result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 31.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mµ simulation result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' M ′µ simulation result 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Extension To evaluate the rest of the mutation operators, we implement a mutation generator with additional functionalities to assist the validation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' One feature is to check the mutant model’s schedulabil- ity at the given set of tasks configuration to decide if all task deadlines are met.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=" The other function is to M' M SimSched Mutate Mutate M M' μ n1 ms Clock A R1() R3() R2() Sall( R2 R1 call() R3 R10 R2() R30 Scheduler90 R1 R2 R3 80 70 60 50 40 30 20 10 0 10 0 0." metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06R1 R2 120 R3 100 80 60 40 20 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06R1 60 R2 R3 50 40 30 20 10 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 Offset=0J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models check the data access sequence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If there is a DataS- tore block in the mutated model, every read or write to this DataStore block is recorded.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Then we use this mutated model data access sequence to com- pare with the original model data access sequence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutation generator is implemented as a Matlab script written in m-file.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The validation process takes a Stateflow sched- uled ML/SL model and a test specification as input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The test specification specifies which mutation op- erator to use.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A mutant generator applies the speci- fied mutation operator to the ML/SL model via Sim- Sched and generates a mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutant genera- tor then executes the simulation both for the original model and the mutated model using the additional functionalities to analyze the simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If the anal- ysis shows at least one task misses its deadline in a mutated model, then we say a mutant is killed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Or at least one variable comparison result of the DataS- tore access sequence is unmatching, and then we say a mutant is killed;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' otherwise, we report the mutant is benign.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A simple example of using Model Scheduler to schedule AUTOSAR SW-Cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use an example shown in Figure 33 to ex- plain the validation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It has three runnables and is mapped to two tasks, R1 map to T1, R2, and R3 map to T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The period of task T1 is 10ms, and T2 is 20ms, every runnable’s execution time is 3ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' There is a DataStore block named A as a shared vari- able in this example model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If we apply the period mutation operator mDTPER ρi − δ where i − 1 and δ = 6 to this model to decrease the period of T1 and generate a mutant, run it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The analysis result shows the T2 missed deadline, then we say this mutant is killed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If we apply the execution time mutation op- erator mITET ci + δ where i = 1 and δ = 3 to this model to increase the execution time for T1 and gen- erate a mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The DataStore access sequence of the original model is a pattern of WRWR where W represents a write to the shared variable, and R rep- resents a read to the shared variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutant generates a different sequence, which is WRWWR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It is because the T1 has a longer execution time than the original model, and it preempts T2 during the ex- ecution of T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hence, there is one more W in the DataStore access sequence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Experiments We employ two examples to demonstrate the use of our mutation testing framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We first explain the two examples in detail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We then apply the mutation operators to the two models scheduled by both the Stateflow scheduler and SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The three-servo example adapted from 12 with Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Three Servos Model We adapt an example from the TrueTime 21 exam- ple library, which shows a possible implementation of a three-servo PID control system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The example is shown in Figure 34 with a Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this example, three DC servos are modeled by a continuous-time system, and three PID controllers are implemented as three subsystems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We map three controller subsystems to three runnables R1, R2, and R3 then they are mapped to tasks T1, T2, and T3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task periods are T1=4 , T2 = 5 and T3 = 6 ms re- spectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Each task has the same execution time as Scheduler Runnable(period,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' execution time,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' priority) Task() function() function() function() R1(10ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2)j Task(1) R2( 20ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 1 Task(2) R3( 20ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5ms,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 1 Task(2 function irv2 irv1 irv2 SimSched irv3 Aader Runnable1_subsystem Runnable2_subsystem Runnable3_subsystem1 ms Clock callo R10 R2() R30 call( Temporal Logic Scheduler functionO 1000 u s2+s DCServo1 PID1 functionO 1000 u 2+s DCServo2 PID2 function() 1000 u s?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='+s DCServo3 PID3J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models 1ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task settings are shown in Table 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simula- tion result is shown in Figure 35 based on the above task settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The three graphs show the output of the motors using the three PID controllers when the corresponding task parameters are assigned accord- ingly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In the graph, the square wave is the reference input signal for the motors, where the computation delays are not taken into account.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Three PID con- trollers are all smooth output signals as expected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Three Servo example settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task Period Execution Priority Runnable (ms) Time(ms) T1 4 1 3 R1 T2 5 1 2 R2 T3 6 1 1 R3 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The three servos example output with Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We replace the Stateflow scheduler with the Sim- Sched scheduler, and the updated example is shown in Figure 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this example, three DC servos have the same task setting as the Stateflow scheduler ex- ample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Each runnable has the same execution time as 1ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulation result is the same as the Stateflow scheduler example based on the above task settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' There is no deadline missing for any task, so the simulation result shows every task has smooth control.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 37 shows the task active chart gen- erated by SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Every task has been executed within its own deadline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The three servos example adapted from 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The three servos example task active chart gener- ated by SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The adjusted Stateflow scheduler for mITO muta- tion operator to increase o f fset as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2 DCServo1 1 SignalGenerator 0 1 2 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='9 2 DCServo3 SignalGenerator 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='9Scheduler Runnable(period, execution time, priority) Task() E R1(4ms, 2ms, 3) Task(1) R2( 5ms, 2ms, 2 Task(2) R3( 6ms, 2ms, 1 Task(3 SimSched function( ○○ 1000 u s2+s DCServo1 PID1 function() 1000 u 2+s y DCServo2 PID2 function() 1000 u 32+s DCServo3 PID30.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 o 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 to0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 to0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 1F 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 to0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 Scheduler on at(1,tick): Period_4_ms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' du: on every(5,tick) : Rate5ms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' du: on every(6,tick) : Rate6ms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=" 'Sched_4_MS Periodicl on every(4,tick) : Period_4_ms;" metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Sched 5 MS Periodicl en: Period_5_ms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Rate5ms Sched 6 MS Periodic/ en: Period_6_ms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Rate6msJ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Next step, we apply mITO, mDTO, mITPER, mDTPER, mARPREC, mRRPREC, mITJ, mDTJ mutation operators to both Stateflow scheduler and SimShced examples to generate two versions of mu- tants with the same mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' To ap- ply some of the mutation operators to evaluate the Stateflow scheduler, we need to adjust the State- flow scheduler so that it can be used on the gen- erated mutants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 38 shows an example that is adjusted for the Offset mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This example uses a temporal logic operator at in the state to set the Offset parameter to generate a mu- tant for PID1 which runs at the period of 4ms in this example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This mutant increases Offset as 1ms for DCServo1 controlled by PID1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutant of the SimSched version can be easily generated by our model scheduler SimSiched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Stateflow scheduled three-servo example task active chart after applying mITO mutation operator to in- crease o f fset as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We run simulations for both versions of the mu- tants generated by Offset mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Both mutant versions’ output of three servos is the same as shown in Figure 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The only difference occurs at the beginning of the simulation but it does not af- fect the smooth control of DCServos.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We can see the difference from the following comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig- ure 39 shows the Stateflow scheduled task active chart after applying mITO mutation operator to in- crease offset as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Before apply- ing the mutation operator, every task is released at time 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' After applying the offset mutation opera- tor, Task 1 is delayed by 1ms shown on the top of the figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task 2 and Task 3 are both released at time 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 40 shows the SimSched scheduled three servos example task active chart after applying mITO mutation operator to increase offset as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' There are three output signals represent- ing three tasks from top to bottom T1, T2, and T3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' As T1 has a 1ms offset, Task 2 is executed first as shown in the figure the second line starts at time 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Because the SimSched scheduler has the execution time parameter, Task 2 is executed at time 1 and Task 3 at time 2 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The SimSched scheduled three servos example task active chart after applying mITO mutation operator to in- crease Offset as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use a similar approach to apply Period muta- tion operator to the three-servo example and gener- ate mutants for both the Stateflow scheduler model and SimSched model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use two mutation con- figurations to show the similarities and differences between the two schedulers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The first configuration is [1,5,6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It means Task 1 has a period of 1ms and the period of Task 2 and Task 3 keep the same as 5ms and 6ms, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 41 shows the Stateflow scheduler mutant simulation result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Be- cause Task 1 has a 1ms period, it has too many times of calculations, and the output value is out of the chart.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task 2 and Task 3 keep the same output as be- fore.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 42 shows the SimSched mutant simula- tion result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The output of Task 1 is the same as the Stateflow scheduler mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, Task 2 and Task 3 are different from the Stateflow one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Because the SimSched takes the execution time into account, Task 1 has the highest priority and has an execution time of 1ms, and Task 1 always runs during the sim- ulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task 2 and Task 3 always are preempted by Task 1 because they have a lower priority than Task 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 41.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Stateflow scheduled three servos example out- put after applying mDTPER mutation operator to decrease period as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' PID1 4 ms 1ms offset 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 PID2 5 ms no offset 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='06 PID3 6 ms no offset 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content="03 to'0 0." metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='062 DCServo1 SignalGenerator 0 2 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='9J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The SimSched scheduled three servos example out- put after applying mDTPER mutation operator to decrease period as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The second configuration is [13,5,6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It means Task 1 has a period of 13ms and the period of Task 2 and Task 3 keep the same as 5ms and 6ms, re- spectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 43 shows the Stasflow scheduler mutant simulation result and the SimSched mutant has the same output as shown in the figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Because Task 1 has a 13ms period, it has fewer computations than the original model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Although the output behav- ior looks like Task 1 misses its deadline in the figure, every execution of Task 1 meets its deadline and it is executed as scheduled.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Stateflow scheduler three servos example out- put after applying mITPER mutation operator to increase period as 13ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We generate mutants for mARPREC and mRRPREC operators by setting each parallel state’s execution order in the Stateflow scheduler model and configuring the parameters and connections for the SimSched model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The two mutants’ simulation results are the same as the original model, except that each task’s execution order is different from the original model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We generate mutants for mITJ and mDTJ op- erators by adapting the Stateflow scheduler in the model and configuring the parameters in the Sim- Sched model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set the configuration as [1,0,0].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It means only Task 1 has a jitter as 1ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 44 shows the SimSched scheduler three servos example task active chart after applying mITJ mutation oper- ator to increase jitter as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Be- cause Task 1 has 1ms jitter, Task 2 is executed first then Task1 and Task3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 44.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The SimSched scheduler three servos example task active chart after applying mITJ mutation operator to in- crease jitter as 1ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We only apply the execution time operator to the SimSched model due to the lack of support for the Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 45 shows the effect out- put of mITET mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set c1 = 3ms using the mITET mutation operator for Task 1 to generate a mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The output of Task 3, shown as DCservo 3 at the bottom of the figure, is a curly wave.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It is an unstable control due to the preemp- tion by T1 and T3 missing its deadline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 46 shows the task preemption effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task 1 takes 3ms to execute and Task 2 takes 1ms to execute.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' After the execution of Task 1 and Task 2, Task 3 should be executed;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' however, it is the time that Task 1 is sched- uled to run.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task 1 has a higher priority, so Task 3 is preempted by Task 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The first instance of Task 3 is executed at 19ms so Task 3 does not have a smooth control signal output as the other tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Although some task preemptions occur in Task 2, it does not miss enough deadlines to significantly affect the out- put.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task 2 still has a smooth output signal as shown in Figure 45 as the second chart.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 45.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The SimSched scheduler three servos example sig- nal output after applying mITET mutation operator to in- crease executiontime to 3ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2 DCServo1 SignalGenerator 0 2 0 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='9J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The SimSched scheduler three servos example task active chart after applying mITET mutation operator to in- crease executiontime to 3ms for DCServo1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Throttle Position Control Model We adopt an AUTOSAR software component Simulink model from Mathworks shown in Figure 47.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It implements a throttle position control sys- tem for an automobile and contains three sensors, one monitor, one controller, and one actuator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They are implemented as six subsystems and mapped to six runnables TPSSecondary, Monitor, Controller, Actuator, APPSnsr and TPSPrimary then they are mapped to tasks T1, and T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task periods are T1=5ms and T2 = 10 ms respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Each runnable has the same execution time of 1ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task settings are shown in Table 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This example uses seven Data- StoreMemory blocks to access the shared resources.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 47.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Throttle position control Simulink model contains six runnables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Throttle control example settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Task Period Execution Priority Runnable (ms) Time(ms) T2 10 1 1 TPSPrimary T1 5 1 2 TPSSecondary T1 5 1 2 Monitor T1 5 1 2 Controller T1 5 1 2 Actuator T2 10 1 1 APPSnsr Figure 48 shows the simulation result, which is generated by a Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The square wave in the figure is the simulated pedal input, and the curly wave is the output of the throttle body, repre- senting the current throttle position.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Stateflow scheduler simulates the throttle control controller’s process well and simulates the entire control pro- cess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 48.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulated throttle position of the throttle posi- tion control model scheduled by the Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 49 shows the runnable active chart sched- uled by the Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' All runnables are scheduled and executed at time 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Runnable TP- SPrimary and APPSensor are mapped to T2 and they are scheduled and executed every 10ms and the top and bottom chars shown in the figure are their active charts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The active charts of runnable TPPSSendary, Monitor, Controller, and Actuator are the four charts in the middle of the figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They are scheduled and executed every 5ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The runnable active chart of the throttle position control model scheduled by the Stateflow scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply SimSched to the Stateflow scheduler model, and we can get a similar simulation result as the Stateflow scheduler example based on the above task settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 50 shows the task active chart generated by SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Every task has been exe- cuted within its own deadline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Both task T1 and T2 are scheduled at time 0 but only T1 is executed at DCServo1 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 DCServo2 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 DCServo3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='054 TPSSecondaryRun5ms MonitorRun5ms ControllerRun5ms function() function() function( 汇 ThrottlePositionSensorSecondary ThrottlePositionMonitor Controller 6 APPSnsrRunl ActuatorRun5ms TPSPrimaryRuniOms function() function() function() 口 APPHwlOValueread ThrCmdHwlOValuewrite1 ThrottlePositionSensorPrimary AccelerationPedalPositionSensor ThrottlePositionActuator APP_HwlO_Value ThrCmd HwlO ValueThrottle Pos 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 Simulated Pedal Input 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 Throttle Pos 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5TPSPrimary 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 TPSSecondary 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 Monitor 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 Controller 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 Actuator 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 APPSensor 3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content="045 s0'0 0J." metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models time 0 due to its higher priority.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T1 takes up 4ms to run.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' After the first instance of T1 is finished, T2 is executed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The second instance of T1 arrives at 5ms, which is during the middle of the execution of T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T2 is preempted by T1 and resumes at the completion of the second instance of T1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The task level active chart of the throttle position control model scheduled by the SimSched scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 51 shows the runnable level active chart of the throttle position control model scheduled by the SimSched scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' From this figure, we can clearly see the activity of each runnable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' It ex- actly shows the execution order of each runnable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Runnable TPPSSendary, Monitor, Controller, and Actuator are executed one after another followed by TPSPrimary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Runnable APPSensor is executed af- ter the second instance of T1 and it is the preemption point of T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 51.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The runnable active chart of the throttle position control model scheduled by the SimSched scheduler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use the same means applied to three servos example to apply it to the throttle position control model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We adopt the Stateflow schedule and replace it with SimSched to generate mutants for both the Stateflow scheduler and SimSched for the experi- ments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 52 shows the runnable active chart of the Throttle Position Control model scheduled by Sim- Sched after applying mTIO mutation operator as in- creasing 2ms offset for T1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The runnable Actuator active chart shown in the second bottom chart in the figure is missing its first execution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T1 takes 4ms to run, and it also has 2ms offset, so the total execution time of T1 exceeds its period 5ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' On the other hand, the mutant generated by the Stateflow scheduler can not simulate this overrun situation due to the lack of execution time simulation support.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 52.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The runnable active chart of Throttle Position Con- trol model scheduled by SimSched after applying mTIO mutation operator as increasing 2ms offset for T1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 53 shows the simulated throttle position of the throttle position control model scheduled by SimSched after applying mITPER mutation opera- tor for T1 at 100ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The Stateflow scheduler also can output the same figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mITPER mutation operator can reduce the computation times of a task at the same amount of time, which results in unsta- ble control as shown in the figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 53.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulated throttle position of the throttle po- sition control model scheduled by the Stateflow scheduler after applying mITPER mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 54 shows the simulated throttle position of the throttle position control model scheduled by SimSched after applying mDTPER mutation opera- tor for T1 at 4ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mDTPER can result in no output signal for T2 because a higher rate task in- creases the computation times, and the lower rate task does not get an execution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this example, we set ρ1 = 4ms using the mDTPER mutation operator, Task1 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 oE 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 Task2 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05TPsPrimary 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 TPSSecondary 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05 APPSnsr 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' E 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='005 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='015 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='035 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='045 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='05Throttle Pos Simulated Pedal Input Throttle Pos 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models then the T2 is always preempted by T1 and does not have a chance to execute.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 54.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulated throttle position of the throttle po- sition control model scheduled by SimSched after applying mDTPER mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We only apply the execution time operator to SimSched models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We set c1 = 5ms using mITET mutation operator for T1 to generate a mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This mutant just outputs the same throttle position as shown in Figure 54.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Since T1 has increased its exe- cution time by 1ms, it just takes up all the time slots in its period.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' T2 is preempted by T1 during the simu- lation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply mARPREC and mRRPREC mutation operators to this throttle position control exam- ple.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' First, there is no precedence between runnable APPSnsr and TPSPrimary, and we use a mARPREC mutation operator to add precedence γAPPSnsr to precrTPSPrimary to generate mutants for both sched- ulers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Runnable Controller consumes the values produced by APPSnsr and TPSPrimary to calcu- late the throttle percent value for the throttle actu- ator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The changes in the simulation results of both mutants are trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Figure 55 shows the simulation result comparison between the original model and the SimSched mutant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Second, there is precedence between Controller and Actuator, and Controller is executed before Actuator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We remove the precedence from the pair of runnables, so the Actuator (destination) runs be- fore Controller (source), which changes the data de- pendency and delays the data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The difference in sim- ulation is similar to Figure 55.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 55.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The difference of simulation result between the original model and the mutant with mARPREC mutation operator scheduled by SimSichde.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We apply mDSM, mUDSM, mRDSM, mRSM, mRMSMR, and mRSMR mutation operators to this example and generate accordingly mutants for both the Stateflow scheduler and SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Inter- estingly, since the task time properties have not changed for the shared memory mutation operators, the simulation results are consistent between the two types of mutants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For example, we apply the mDSM mutation operator to variable ThrCmdPercentValus and set the variable to a new constant value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The simulation result of both types of mutants is the same shown in Figure 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Since this variable is an input to a Lookup table, there is always an output that matches the input value and yields a correspond- ing value to the output.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The input value is constant, so the throttle position’s output is a smooth curve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The throttle position output after applying mDSM mutation operator to variable ThrCmdPercentValus sched- uled.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Evaluation Result We apply the evaluation process to the example models to investigate the mutation operator’s effec- tiveness to kill mutants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 9 and 10 summa- rize the results of the efficacy of mutation operators, Throttle Pos Simulated Pedal Input 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 Throttle Pos 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5ThrottlePos(Run2:TPCWithTaskAndDSM_CaseStudy_Stateflow) ThrottlePos (Run5:TPCWithTaskAndDSM_CaseStudy_SimSched) Tolerance 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5Throttle Pos 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 Simulated Pedal Input Throttle Pos 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='1 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='5J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models where each row provides the number of mutants and the mutation score of our mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutation score is a measure that gives the percent- age of killed mutants with the total number of muta- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation analysis of mutation operators for three ser- vos example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Stateflow Scheduler SimSched Operator Mutants Kills Mutants Kills Offset 36 24 36 27 Period 39 25 39 25 Execution N/A N/A 36 31 Time Precedence 5 0 5 0 Priority 18 0 18 0 Jitter 36 24 36 27 Mutation 54.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='48% 64.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='71% Score For the three servo example, we generate 134 mutants for the Stateflow scheduler models and 170 mutants for the SimSched models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We achieve a mutation score of 54.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='48% for the Stateflow sched- uler model and 64.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='71% for the SimSched models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Evaluation results show that the time-related muta- tion operators have the most effect on the mutation testing, such as the Offset, Period, Execution Time, and Jitter mutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We observe that the Precedence and Priority mutation operators kill zero mutant because, in this example, each controller in- dividually controls a motor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' There is no connection between them, so the change of precedence and pri- ority does not cause any simulation changes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' How- ever, the three controllers run on a single CPU, and one task execution time’s length affects other tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We also observe the Offset mutation operator only affects each task’s initial execution, and tasks miss the deadline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Still, each mutant’s simulation results show each controller can have stable control of each servo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Table 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation analysis of mutation operators for throttle position control example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Stateflow Scheduler SimSched Operator Mutants Kills Mutants Kills Offset 19 7 19 15 Period 30 6 30 19 Execution N/A N/A 34 34 Time Precedence 23 10 23 10 Priority 11 0 11 0 Jitter 19 12 19 15 Shared 72 46 72 46 Memory Mutation 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='39% 70.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2% Score For the throttle position control example, we generate 164 mutants for the Stateflow scheduler models and 198 mutants for the SimSched models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We achieve a mutation score of 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='39% for the State- flow scheduler model and 70.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='2% for the SimSched models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Evaluation results are similar to the previ- ous example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The time-related mutation operators have the most effective for mutation testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We observe that the Shared Memory mutation operators have the same kills for both Mµ and M ′ µ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In this example, task T2 has two Runnable TPSPrimary and APPSnsr each has a shared variable to update at each execution, and there is no direct relation between them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Though SimSched can simulate the preemp- tion of T2 to interrupt its execution, shared memory mutants’ model behaviors are the same for both Mµ and M ′ µ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' From the above two examples, we can see the mutation operators are application-dependent, and SimSched can achieve a higher mutation score at the time-related mutation operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For example, the Precedence mutation operator kills zero mutants for the three servo example, but it kills ten mutants for the throttle position control example for both Stateflow Scheduler and SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The three-servo example does not require any precedence at all;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' each task only controls itself.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, the throt- tle position control example requires precedence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A runnable consumes data from a previous runnable execution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' If we alter the precedence, the execu- tion order is different from the original model ex- J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models ecution;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' it produces a different data flow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' For exam- ple, in the Period mutation operator both Stateflow scheduler and SimSched kill the same mutants for the three serve example, but SimSched kills more mutants than the Stateflow Scheduler in the throttle position control example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Because the throttle po- sition control example has four runnables in T1 and each runnable has 1ms execution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We use a mDTPER to T1 and generate a mutant that the pe- riod of T1 is 4ms instead of 5ms, then T1 will occupy all the execution time slots, and T2 will not be ex- ecuted for the SimSched.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' However, the Stateflow Scheduler does not consider the execution time, so both T1 and T2 are executed as scheduled.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Related Work Our work aligns with the MBMT, and it has been applied to various models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Trakhtenbrot 41 pro- poses mutation testing on statechart-based models for reactive systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' This approach mainly deals with the conformance between specific semantics of statechart models and the model’s implementa- tion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Mutation testing has been applied to fea- ture models to test software product lines 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The feature models represent the variability of software product lines and configurable systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' El-Fakih et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='14 develop a technique of mutation-based test case generation toward extended finite state ma- chines (EFSM) that examines the EFSM under test agrees to user-defined faults.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Belli et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='6 have sur- veyed MBMT approach a great deal and detailed the approach applied to graph-based models, including directed graphs, event sequence graphs, finite-state machines, and statecharts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A recent mutation testing survey31 presents up-to-date advanced approaches that use mutants to support software engineering ac- tivities to model artifacts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Our work also fits in the timed system test- ing, which requires a real-time environment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Re- searchers 3,28,29 have utilized the most studied for- malisms TA to inject faults to the timed system and reveal that the time-related errors are unable to find by using randomly generated test suites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Nilsson et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='28 first proposed a set of extended TA muta- tion operators based on TA with Tasks (TAT) 30 to test real-time systems which depend on the execu- tion time and execution order of individual tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutation operators are interested in the time- liness of a task to meet its deadlines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Aichernig et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='3 propose a mutation testing framework for timed systems, where they define eight mutation operators to mutate the model and its mutants are expressed as a variant of TA in Uppaal specification format.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The authors also develop a mutation-based test case generation framework for real-time, where they use symbolic bounded model checking techniques and incremental solving.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Cornaglia et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='11 presents an automated framework MODELTime that facilitates the study of target platform-dependent timing dur- ing the model-based development of embedded ap- plications using MATLAB/Simulink simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' ML/SL is one of the most popular formalisms to model and simulate embedded systems, and many researchers have explored the various type of mu- tation operators applied to ML/SL models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hanh et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='18 propose a set of mutation operators based on investigating common faults in ML/SL models to validate test suites and present a process of muta- tion testing for ML/SL models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They provide twelve mutation operators and divide them into five cate- gories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Stephan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='38 utilize the mutation testing technique to compare model-clone detection tools for ML/SL models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They present a taxonomy of ML/SL and prose a set of structural mutation op- erators based on three clone types.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The mutation operators are used to evaluate the model-clone de- tectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Using the mutation-based technique to gen- erate test cases for ML/SL models automatically has been studied 8,19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They can effectively generate small sets of test cases that achieve high coverage on a collection of Simulink models from the auto- motive domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A recent work SLEMI 10 has ap- plied mutation techniques to the Simulink compiler and uses tools to generate mutants of the seed model and found 9 confirmed bugs in Simulink models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Our work intends to exploit mutation analysis to identify potential time-related errors in ML/SL models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Roy and Cordy 33,34 first propose using mutation analysis to assist the evaluation of soft- ware clone detection tools.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They develop a frame- work for testing code-clone detectors based on mu- J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Chen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' / Mutation Operators for Simulink Models tation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Stephan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='37,36 proposed a framework that can objectively and quantitatively evaluate and com- pare model-clone detectors using mutation analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Their work is based on a structural mutation method for ML/SL model mutation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Our mutation operators are based on a timed system task model, whereas, there are no relevant existing studies that directly integrated the ML/SL models in the timed systems in the MIL phase;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' thus, we carry out the work pre- sented in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Co-simulation16 is a widely used technique in model-based testing to verify as much of the system functionality, among subsystems, as possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Com- posing the simulations of sub-simulators can achieve a joint simulation of a coupled system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Many differ- ent languages and tools are used for other purposes in the model-based design domain, either designing continuous plants or discrete controllers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' A rela- tively recent open standard functional mock-up in- terface (FMI) is developed for exchange simulation models in a standardized format, including support for co-simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Gomes et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='15 propose an ap- proach to facilitate the implementation of the Func- tional Mock-up Interface standard.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' They use the MBT methodology to evaluate the tools that export Functional Mock-up Units (FMUs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Hence, they can root out the ambiguities and improve conformance to the FMI standard.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Garro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='7 employs FMI to perform co-simulation to verify the system require- ments based on the FOrmal Requirements Model- ing Language and the Modelica language.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Zafar et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content='42 present a systematic tool-supported MBT workflow to facilitate the simulation-based testing process of an embedded system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The workflow ex- pends from the requirements phase, and generation of executable test scripts, to the execution of gener- ated test scripts on simulation levels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Conclusion and future work In this paper, we proposed a set of timed muta- tion operators for the ML/SL model that is primar- ily intended to integrate the timed task model in the ML/SL model to better support MIL simulation us- ing mutation analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Moreover, testing at an ear- lier stage during the development process reduces development costs since earlier changes and fixing errors are much more manageable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We introduce a timed task model and present a set of mutation op- erators for the ML/SL based on this task model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We implement a mutation analysis framework that can apply mutation operators to the simple ML/SL mod- els.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We demonstrate the approach on several ML/SL models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' The results validate that mutation analysis can reveal time-related faults.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We intend to automate the mutation testing process for the ML/SL environ- ment and improve the mutation operators to expose defects in the future.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' We will further validate our mutation analysis method to more industrial com- plex ML/SL model sets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Acknowledgments This work was supported in part by the Natural Sci- ences and Engineering Research Council of Canada (NSERC), as part of the NECSIS Automotive Part- nership with General Motors, IBM Canada, and Ma- lina Software Corp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Bernhard K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Aichernig, Harald Brandl, Elisabeth J¨obstl, Willibald Krenn, Rupert Schlick, and Stefan Tiran.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Killing strategies for model-based mutation testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Software Testing, Verification and Reliability, 25(8):716–748, dec 2015.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Bernhard K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Aichernig and Florian Lorber.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Towards generation of adaptive test cases from partial models of determinized timed automata.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In 2015 IEEE Eighth International Conference on Software Testing, Verifi- cation and Validation Workshops (ICSTW), pages 1–6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' IEEE, apr 2015.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Bernhard K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Aichernig, Florian Lorber, and Dejan Niˇckovi´c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Time for mutants - Model-based mutation testing with timed automata.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In Lecture Notes in Com- puter Science (including subseries Lecture 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Testing, Verification, and Validation Workshops, pages 120–125.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' IEEE, apr 2010.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Muhammad Nouman Zafar, Wasif Afzal, and Eduard Enoiu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Towards a workflow for model-based testing of embedded systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In Proceedings of the 12th Inter- national Workshop on Automating TEST Case Design, Selection, and Evaluation, pages 33–40, 2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' 43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Yuan Zhan and John A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Clark.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' Search-based muta- tion testing for simulink models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' In GECCO 2005 Genetic and Evolutionary Computation Conference, pages 1061–1068, New York, New York, USA, 2005.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} +page_content=' ACM Press.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OdAyT4oBgHgl3EQf7PpY/content/2301.00835v1.pdf'} diff --git a/OtAzT4oBgHgl3EQfIftM/content/tmp_files/2301.01062v1.pdf.txt b/OtAzT4oBgHgl3EQfIftM/content/tmp_files/2301.01062v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..67b9383d302264afb6d7c74372f3f913e55aaec8 --- /dev/null +++ b/OtAzT4oBgHgl3EQfIftM/content/tmp_files/2301.01062v1.pdf.txt @@ -0,0 +1,2037 @@ +arXiv:2301.01062v1 [math.AT] 3 Jan 2023 +ON THE COHOMOLOGY OF TORELLI GROUPS. II +OSCAR RANDAL-WILLIAMS +Abstract. We describe the ring structure of the rational cohomology of the +Torelli groups of the manifolds #gSn × Sn in a stable range, for 2n ≥ 6. +Some of our results are also valid for 2n = 2, where they are closely related to +unpublished results of Kawazumi and Morita. +Contents +1. +Introduction +1 +2. +Characteristic classes +3 +3. +Twisted cohomology of diffeomorphism groups +9 +4. +Cohomology of Torelli groups +19 +5. +The case 2n = 2 +22 +References +28 +1. Introduction +This paper can be considered as a (somewhat extensive) addendum to our earlier +work with Kupers [KRW20b]. We shall be concerned with the manifold Wg := +#gSn × Sn generalising to higher dimensions the orientable surface of genus g, its +topological group Diff+(Wg) of orientation-preserving diffeomorphisms, and various +subgroups of it. The first kind of subgroups are Diff(Wg, D2n) ≤ Diff+(Wg, ∗) ≤ +Diff+(Wg), the diffeomorphisms which fix a disc and a point respectively. +The +second kind are their Torelli subgroups +Tor(Wg, D2n), +Tor+(Wg, ∗), +Tor+(Wg), +consisting of those diffeomorphisms which in addition act trivially on Hn(Wg; Z). +The intersection form on this middle cohomology group is nondegenerate and (−1)n- +symmetric, giving a homomorphism +αg : Diff+(Wg) −→ Gg := +� +Sp2g(Z) +if n is odd, +Og,g(Z) +if n is even. +This map is not always surjective, but its image is a certain finite-index subgroup +G′ +g ≤ Gg, even when restricted to Diff(Wg, D2n), so there is an outer G′ +g-action on +each of the Torelli subgroups. This makes the rational cohomology of each of the +Torelli groups into G′ +g-representations. +In [KRW20b], for 2n ≥ 6 we determined H∗(BTor(Wg, D2n); Q) as a ring and +as a G′ +g-representation in a range of degrees tending to infinity with g. +Using +the Serre spectral sequence associated to various simple fibrations relating the dif- +ferent Torelli groups we were able to also determine H∗(BTor+(Wg, ∗); Q) and +H∗(BTor+(Wg); Q) as G′ +g-representations. This kind of argument was not able to +2010 Mathematics Subject Classification. 55R40, 11F75, 57S05, 18D10, 20G05. +Key words and phrases. Cohomology of diffeomorphism groups, Torelli groups, cohomology of +arithmetic groups, Miller-Morita-Mumford classes. +1 + +2 +OSCAR RANDAL-WILLIAMS +determine the ring structure, however, as multiplicative information gets lost when +passing to the associated graded of the Serre filtration. Here we shall determine +H∗(BTor+(Wg, ∗); Q) and H∗(BTor+(Wg); Q) as Q-algebras too: this is achieved in +Theorem 4.1. The statement given there is more powerful, but just as in [KRW20b, +Section 5] one can extract from it the following presentation for H∗(BTor+(Wg); Q), +which is easier to parse. (A presentation for H∗(BTor+(Wg, ∗); Q) can be extracted +in a similar way.) +Let us write H(g) := Hn(Wg; Q), on which G′ +g operates in the evident way. Let +λ : H(g) ⊗ H(g) → Q denote the intersection form, and {ai}2g +i=1 be a basis of H(g) +with dual basis {a# +i }2g +i=1 in the sense that λ(a# +i , aj) = δij, so that the form dual +to the pairing λ is ω = �2g +i=1 ai ⊗ a# +i . In Section 2.2 we will construct certain +“modified twisted Miller–Morita–Mumford classes”, which when restricted to the +Torelli group yield G′ +g-equivariant maps +¯κc : H(g)⊗r −→ Hn(r−2)+|c|(BTor+(Wg); Q) +for each c ∈ Q[e, p1, p2, . . . , pn−1] = H∗(BSO(2n); Q) and each s ≥ 0. When r = 0 +we write ¯κc = ¯κc(1); these agree with the usual Miller–Morita–Mumford classes κc. +Theorem A. If 2n ≥ 6 then, in a range of degrees tending to infinity with g, +H∗(BTor+(Wg); Q) is generated as a Q-algebra by the classes ¯κc(v1 ⊗ · · · ⊗ vr) for +c a monomial in e, p1, . . . , pn−1, and r ≥ 0, such that n(r −2)+|c| > 0. A complete +set of relations in this range is given by +(i) ¯κc(vσ(1) ⊗ · · · ⊗ vσ(r)) = sign(σ)n · ¯κc(v1 ⊗ · · · ⊗ vr), +(ii) ¯κe(v1) = 0, +(iii) +� +i +¯κx(v ⊗ ai) · ¯κy(a# +i ⊗ w) = ¯κx·y(v ⊗ w) + +1 +χ2 ¯κe2 · ¯κx(v) · ¯κy(w) +− 1 +χ +� +¯κe·x(v) · ¯κy(w) + ¯κx(v) · ¯κe·y(w) +� +, +(iv) +� +i +¯κx(v ⊗ ai ⊗ a# +i ) = χ−2 +χ ¯κe·x(v) + +1 +χ2 ¯κe2 · ¯κx(v), +(v) ¯κLi = 0, +for v ∈ H(g)⊗r and w ∈ H(g)⊗s. +For 2n = 4 or 2n = 2 there is still a map from the Q-algebra given by this +presentation to H∗(BTor+(Wg); Q). If 2n = 2 then (in a stable range) this map +is an isomorphism onto the maximal algebraic subrepresentation in degrees ≤ N, +assuming that H∗(BTor+(Wg); Q) is finite-dimensional in degrees < N for all large +enough g. This is known to hold for N = 2 by work of Johnson [Joh85]. +1.1. Outline. The overall strategy is parallel to [KRW20b]. There we defined cer- +tain twisted Miller–Morita–Mumford classes and used them to describe the twisted +cohomology groups H∗(BDiff+(Wg, D2n); H⊗s) in a stable range of degrees, where +H is the local coefficient system corresponding to Hn(Wg; Q) with the action by dif- +feomorphisms of Wg. This calculation was valid for 2n = 2 as well. Using that for +2n ≥ 6 the G′ +g-representations H∗(BTor+(Wg, D2n); Q) extend to representations +of the ambient algebraic group (namely Sp2g or Og,g) by [KRW20a]1, the argument +was completed by establishing the degeneration of the Serre spectral sequence +Ep,q +2 += Hp(G′ +g; Hq(BTor+(Wg, D2n); Q)⊗H⊗s) =⇒ Hp+q(BDiff+(Wg, D2n); H⊗s) +using work of Borel, and then using a categorical form of Schur–Weyl duality to ex- +tract the structure of H∗(BTor+(Wg, D2n); Q) from the H∗(BDiff+(Wg, D2n); H⊗s) +for all s’s and various structure maps between them. +1In fact we did something more complicated in [KRW20b] because this algebraicity result was +not known at the time, but please allow some narrative leeway. + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +3 +The twisted Miller–Morita–Mumford classes may be defined on BDiff+(Wg, ∗) +too, but not on BDiff+(Wg). +Our first task will be to define so-called “modi- +fied twisted Miller–Morita–Mumford classes” in H∗(BDiff+(Wg); H⊗s) and analyse +their behaviour: it turns out that their behaviour is significantly more complicated +than the unmodified version, though still understandable. We will then use them +to describe the twisted cohomology groups H∗(BDiff+(Wg); H⊗s) in a stable range +of degrees. This description will be in terms of a certain vector space of graphs +with vertices labelled by monomials in Euler and Pontrjagin classes, which play the +role here of the vector spaces of labelled partitions from [KRW20b]. The passage +from this calculation to H∗(BTor+(Wg); Q) is as above. +The case of dimension 2n = 2 is somewhat special, in precisely the same way as +it was in [KRW20b]: the calculation of H∗(BDiff+(Wg); H⊗s) is valid in this case, +but as the cohomology of BTor+(Wg) is not even known to be finite-dimensional +in a stable range, we cannot make a conclusion about it. (Instead one can make +a conclusion about the continuous cohomology of the Torelli group, i.e. the Lie +algebra cohomology of its Mal’cev Lie algebra: see [KRW21], [FNW21], [Hai20].) +In addition, in this case our modified twisted Miller–Morita–Mumford classes are +essentially the same as those that have been defined by Kawazumi and Morita +[Mor96, KM96, KM01], and the graphical calculus that we employ is similar to +theirs. In Section 5 we fully explain this connection, and also relate it to work of +Garoufalidis and Nakamura [GN98, GN07] and Akazawa [Aka05]. +To avoid a great deal of repetition we have refrained from spelling out a lot of the +background that was given in [KRW20b], and from giving in detail arguments that +are very similar to those given there. As such this paper should not be considered +as attempting to be self-contained: given that its interest will be to readers of +[KRW20b] this should not present a problem. +1.2. Acknowledgements. I am grateful to Alexander Kupers for feedback on an +earlier draft. I was supported by the ERC under the European Union’s Horizon +2020 research and innovation programme (grant agreement No. 756444) and by a +Philip Leverhulme Prize from the Leverhulme Trust. +2. Characteristic classes +2.1. Recollection on twisted Miller–Morita–Mumford classes. If π′ : E′ → +X′ is an oriented smooth W 2n +g -bundle equipped with a section s : X′ → E′, and +H denotes the local coefficient system x �→ Hn((π′)−1(x); Q) on X′, then it is +explained in [KRW20b, Section 3.2] that there is a unique class ε = εs ∈ Hn(E′; H) +characterised by +(i) for each x ∈ X′ the element ε|(π′)−1(x) ∈ Hn((π′)−1(x); Q)⊗Hn((π′)−1(x); Q) +is coevaluation, and +(ii) s∗ε = 0. +The proof is as follows. The Serre spectral sequence yields an exact sequence +0 → Hn(X′; H) +(π′)∗ +→ Hn(E′; H) → H0(X′; H∨⊗H) +dn+1 +→ Hn+1(X′; H) +(π′)∗ +→ Hn+1(E′; H) +and the section s shows that the right-hand map (π′)∗ is injective, so that the map +dn+1 is zero, and splits the left-hand map (π′)∗. The class coev ∈ H0(X′; H∨ ⊗ H) +then gives rise to a unique ε satisfying the given properties. +We then defined the twisted Miller–Morita–Mumford class +(2.1) +κεac = κεac(π′, s) := +� +π′ εa · c(Tπ′E′) ∈ H(a−2)n+|c|(X′; H⊗a). + +4 +OSCAR RANDAL-WILLIAMS +2.2. Modified twisted Miller–Morita–Mumford classes. If π : E → X is +an oriented smooth W 2n +g -bundle but is not equipped with a section then, as long +as χ := χ(Wg) = 2 + (−1)n2g ̸= 0 (i.e. (n, g) ̸= (odd, 1), cf. Remark 2.1), the +cohomological role of the section can instead be played by the transfer map +1 +χπ!(e · −) : H∗(E; H) −→ H∗(X; H), +where e := e(TπE) ∈ H2n(E; Q) denotes the Euler class of the vertical tangent +bundle. The projection formula +1 +χπ!(e · π∗(x)) = 1 +χπ!(e) · x = χ +χx = x +shows that this map splits π∗. Thus in this situation there is a unique class ¯ε ∈ +Hn(E; H) characterised by +(i) for each x ∈ X the element ¯ε|π−1(x) ∈ Hn(π−1(x); Q) ⊗ Hn(π−1(x); Q) is +coevaluation, and +(ii) +1 +χπ!(e · ¯ε) = 0. +Remark 2.1. If (n, g) = (odd, 1) then there is no class ¯ε ∈ Hn(E; H) satisfying (i) +and natural under pullback. To see this it suffices to give one example of a smooth +oriented W1-bundle for which ¯ε does not exist. Consider the Borel construction for +the evident action of S1 × S1 on W1 = Sn × Sn given by considering Sn as the unit +sphere in C(n+1)/2. This gives a smoth oriented W1-bundle over B(S1 × S1) with +total space E ≃ CP(n−1)/2 × CP(n−1)/2. Thus Hn(E; H) = 0 as n is odd but E has +a cell structure with only even-dimensional cells. +By analogy with (2.1) we may then define the modified twisted Miller–Morita– +Mumford class +(2.2) +κ¯εac = κ¯εac(π) := +� +π +¯εa · c(TπE) ∈ H(a−2)n+|c|(X; H⊗a). +If π : E → X does have a section s : X → E then the class ε ∈ Hn(E; H) is also +defined, and we may compare it with ¯ε as follows: +Lemma 2.2. If π : E → X has a section then ¯ε = ε − 1 +χπ∗κεe. +Proof. The classes ε, ¯ε ∈ Hn(E; H) are both defined, and agree when restricted to +the fibres of the map π, so by considering the Serre spectral sequence for π we must +have ¯ε − ε = π∗(x) for some class x ∈ Hn(X; H). Applying 1 +χπ!(e · −) we see that +x = 1 +χπ!(e · (¯ε − ε)) = 0 − 1 +χπ!(e · ε) = − 1 +χκεe. (Here we have used, as we often will, +the fact that e has even degree to commute it past ε.) +□ +Remark 2.3 (Splitting principle). The pullback +(2.3) +E1 ×X E2 +E2 +E1 +X, +pr1 +pr2 +π2 +π1 +where πi : Ei → X are copies of the map π, is equipped with a section given by the +diagonal map ∆ : E1 → E1 ×X E2. As the maps π∗ +1 and pr∗ +2 are injective (they are +split by their corresponding transfer maps), for the purpose of establishing identities +between the characteristic classes we have discussed it suffices to do so for bundles +which do have a section. +There is another description of ¯ε which is sometimes useful. Let pr1 : E ×X E → +E be as in (2.3), which is an oriented Wg-bundle with section given by the diagonal +map ∆, and so has the class κεe(pr1, ∆) defined. + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +5 +Lemma 2.4. We have ¯ε = − 1 +χκεe(pr1, ∆) ∈ Hn(E; H). +Proof. By Remark 2.3 we may suppose without loss of generality that π : E → X +has a section s : X → E, defining a class ε = εs ∈ Hn(E; H). +Consider the +pullback square (2.3); let ei = (pri)∗(e) ∈ H2n(E1 ×X E2; Q) be the Euler class +of the vertical tangent bundle on the ith factor. Considering pr1 as a Wg-bundle +with section given by the diagonal map ∆, there is a class ε∆ ∈ Hn(E1 ×X E2; H) +defined. As both ε∆ and pr∗ +2(εs) restrict to coevaluation on the fibres of pr1, we +have ε∆ − pr∗ +2(εs) = pr∗ +1(x) for some class x ∈ Hn(E1; H). Pulling this equation +back along ∆ shows that x = −εs, so ε∆ = pr∗ +2(εs) − pr∗ +1(εs). Then we have +κεe(pr1, ∆) = (pr1)!(ε∆ · e2) += (pr1)!((pr∗ +2(εs) − pr∗ +1(εs)) · e2) += (pr1)!(pr∗ +2(εs · e)) − (pr1)!(pr∗ +1(εs) · e2) += π∗ +1(π2)!(εs · e) − χεs += π∗ +1κεe(π, s) − χεs += −χ¯ε +as required. +□ +The intersection form of the fibres of π : E → X provides a map of local coeffi- +cient systems λ : H⊗H → Q; as we will often be concerned with applying it to two +factors of a tensor power H⊗k and will have to specify which factors we apply it to, +we will denote λ by λ1,2 and more generally write λi,j : H⊗k → H⊗k−2 for the map +that applies λ to the ith and jth factors. We call such operations contraction. +If p : E1 ×X E2 → X denotes the fibre product of two copies of π : E → X, and +if this has a section s : X → E, then in [KRW20b, Lemma 3.9] we have established +the formula +(2.4) +λ1,2(ε × ε) = ∆!(1) − 1 × v − v × 1 + p∗s∗e ∈ H2n(E1 ×X E2; Q), +where v = s!(1) ∈ H2n(E; Q) is the fibrewise Poincar´e dual to the section s, cf. +[KRW20b, Lemma 3.1]. The analogue of this formula for ¯ε is as follows. +Lemma 2.5. We have +λ1,2(¯ε × ¯ε) = ∆!(1) + +1 +χ2 p∗κe2 − 1 +χ(e × 1 + 1 × e) ∈ H2n(E1 ×X E2; Q). +Proof. As in Remark 2.3 we may suppose without loss of generality that π : E → X +has a section s : X → E, so that ε ∈ Hn(E; H) is defined. +By Lemma 2.2 we have ¯ε = ε − 1 +χπ∗κεe ∈ Hn(E; H), and so +λ1,2(¯ε × ¯ε) = λ1,2((ε − 1 +χπ∗κe·ε) × (ε − 1 +χπ∗κe·ε)) += λ1,2(ε × ε) − λ1,2( 1 +χπ∗κεe × ε) +− λ1,2(ε × 1 +χπ∗κεe) + λ1,2( 1 +χπ∗κεe × 1 +χπ∗κεe). +The first term is given by (2.4), and using [KRW20b, Proposition 3.10] the last +term is given by +λ1,2( 1 +χπ∗κεe × 1 +χπ∗κεe) = +1 +χ2 p∗λ1,2(κεe · κεe) = +1 +χ2 p∗(κe2 + (χ2 − 2χ)s∗e). +For the middle two terms, note that +ε × 1 +χπ∗κεe = 1 +χ(ε × 1) · p∗(κe·ε) = 1 +χ(ε · π∗κεe) × 1 + +6 +OSCAR RANDAL-WILLIAMS +so we need to calculate λ1,2(ε · π∗κεe) ∈ H2n(E; Q). The class ε · κεe is the fibre +integral along pr1 : E1 ×X E2 → E1 of ε × (ε · e) = (ε × ε) · (1 × e), so +λ1,2(ε · κεe) = (pr1)!(λ1,2(ε × ε) · (1 × e)) += (pr1)!((∆!(1) − 1 × v − v × 1 + p∗s∗e) · (1 × e)) += e − π∗s∗e − χv + χπ∗s∗e +and hence +λ1,2(ε × 1 +χκεe) = 1 +χ(e − π∗s∗e − χv + χπ∗s∗e) × 1 += 1 +χe × 1 + χ−1 +χ p∗s∗e − v × 1 +and similarly +λ1,2( 1 +χκεe × ε) = 1 +χ1 × e + χ−1 +χ p∗s∗e − 1 × v. +Combining these gives +λ1,2(¯ε × ¯ε) = ∆!(1) − 1 × v − v × 1 + p∗s∗e ++ +1 +χ2 p∗κe2 + χ−2 +χ p∗s∗e +− ( 1 +χe × 1 + χ−1 +χ p∗s∗e − v × 1) +− ( 1 +χ1 × e + χ−1 +χ p∗s∗e − 1 × v) += ∆!(1) + +1 +χ2 p∗κe2 − 1 +χ(e × 1 + 1 × e) +as required. +□ +If in addition we have a lift ℓ : E → B of the fibrewise Gauss map along some +fibration θ : B → BSO(2n) then for any c ∈ H∗(B; Q) we can define modified +twisted Miller–Morita–Mumford classes by the formula +κ¯εac := π!(¯εa · ℓ∗c) ∈ Hn(a−2)+|c|(X; H⊗a). +Under the action of a permutation σ ∈ Sa of the tensor factors these classes +transform as sign(σ)n, as ¯ε has degree n. +Thus for any finite set S there is a +well-defined element +(2.5) +κ¯εSc := π!(¯εa · ℓ∗c) ∈ Hn(a−2)+|c|(X; H⊗S) ⊗ (det QS)⊗n. +To keep track of signs, for an ordered set S = {s1 < s2 < · · · < sa} we will often +write κ¯εs1,...,sac ∈ Hn(a−2)+|c|(X; H⊗S) for the corresponding element, understand- +ing that if σ is a reordering of S then κ¯εσ(s1),...,σ(sa)c = sign(σ)nκ¯εs1,...,sa c. +Using Lemma 2.5 we immediately see that these characteristic classes satisfy the +following analogue of the contraction formula from [KRW20b, Proposition 3.10]. +Proposition 2.6 (Modified contraction formula). In H∗(X; H⊗−) we have the +identities +λ1,2(π!(¯ε1,2,...,a · ℓ∗c)) = ( χ−2 +χ )π!(¯ε3,4,...,a · ℓ∗(e · c)) + +1 +χ2 κe2 · π!(¯ε3,4,...,a · ℓ∗c) +and +λa,a+1(π!(¯ε1,2,...,a · ℓ∗c) · π!(¯εa+1,...,a+b · ℓ∗c′)) = π!(¯ε1,...,a−1,a+2,...,a+b · ℓ∗(c · c′)) ++ +1 +χ2 κe2 · π!(¯ε1,...,a−1 · ℓ∗c) · π!(¯εa+2,...,a+b · ℓ∗c′) +− 1 +χπ!(¯ε1,...,a−1 · ℓ∗(e · c)) · π!(¯εa+2,...,a+b · ℓ∗c′) +− 1 +χπ!(¯ε1,...,a−1 · ℓ∗c) · π!(¯εa+2,...,a+b · ℓ∗(e · c′)). +Similarly, from Lemma 2.2 we immediately obtain the following: + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +7 +Proposition 2.7. If the bundle π : E → X has a section, so that the class ε and +hence κεSc is defined, then +κ¯εSc = +� +I⊆S +κεIc(− 1 +χκεe)S\I ∈ H∗(X; H⊗S) ⊗ (det QS)⊗n. +Let us give an example of using the modified contraction formula to evaluate an +expression. +Example 2.8. Consider the class λ1,5λ2,6λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6). Then +λ1,5λ2,6λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6) = λ1,5λ2,6 +� +κ¯ε1,2,5,6 + +1 +χ2 κe2κ¯ε1,2κ¯ε5,6 +− 1 +χ(κ¯ε1,2eκ¯ε5,6 + κ¯ε1,2κ¯ε5,6e) +� +. +The first term is +λ1,5λ2,6(κ¯ε1,2,5,6) = (−1)nλ1,5λ2,6(κ¯ε1,5,2,6) += (−1)nλ2,6( χ−2 +χ κ¯ε2,6e + +1 +χ2 κe2κ¯ε2,6) += (−1)n χ−2 +χ ( χ−2 +χ κe2 + +1 +χ2 κe2χ) + (−1)n 1 +χ2 κe2( χ−2 +χ χ) += (−1)n( (χ−2)2 +χ2 ++ 2 χ−2 +χ2 )κe2. +The second term is +1 +χ2 κe2λ1,5λ2,6(κ¯ε1,2κ¯ε5,6) = (−1)n 1 +χ2 κe2λ1,5λ2,6(κ¯ε1,2κ¯ε6,5) += (−1)n 1 +χ2 κe2λ1,5(κ¯ε1,5) += (−1)n χ−2 +χ2 κe2. +The third term is +− 1 +χλ1,5λ2,6(κ¯ε1,2eκ¯ε5,6) = (−1)n+1 1 +χλ1,5λ2,6(κ¯ε1,2eκ¯ε6,5) += (−1)n+1 1 +χλ1,5(κ¯ε1,5e − 1 +χκ¯ε1eκ¯ε5e) += (−1)n+1 1 +χ +� +( χ−2 +χ κe2 + +1 +χ2 κe2χ) +− 1 +χ(κe2 + +1 +χ2 κe2χ2 − 1 +χ(2χκe2)) +� += (−1)n+1( χ−2 +χ2 + +1 +χ2 − +1 +χ2 − +1 +χ2 + +2 +χ2 )κe2 += (−1)n+1 χ−1 +χ2 κe2 +and the fourth term is the same as the third by the evident symmetry. +In total we have +λ1,5λ2,6λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6) = (−1)n( (χ−2)2 +χ2 ++ 2 χ−2 +χ2 + χ−2 +χ2 − 2 χ−1 +χ2 )κe2 += (−1)n χ−3 +χ κe2. +□ +2.3. Graphical interpretation. In [KRW20b, Section 5] it was found to be very +convenient to adopt a graphical formalism where κεac corresponds to a vertex with +a half-edges incident to it and a formal label c, a product of κεac’s corresponds to +a disjoint union of such vertices, and applying the contraction λi,j corresponds to +pairing up the half-edges labelled i and j. +It will be convenient to adopt a similar formalism here. Let S be a finite set, and +V be a graded Q-algebra with a distinguished element e ∈ V2n. Slightly modifying2 +2The difference is that we allow labelled vertices whose contribution to the degree is 0. + +8 +OSCAR RANDAL-WILLIAMS +the definition from [KRW20b, Proof of Theorem 5.1], a marked oriented graph with +legs S and labelled by V consists of the following data: +(i) a totally ordered finite set ⃗V (of vertices), a totally ordered finite set ⃗H (of +half-edges), and a monotone function a: ⃗H → ⃗V (encoding that a half-edge +h is incident to the vertex a(h)), +(ii) an ordered matching m = {(ai, bi)}i∈I of the set H ⊔ S (encoding the +oriented edges of the graph), +(iii) a function c: V → V with homogeneous values, such that |c(v)|+n(|a−1(v)|− +2) ≥ 0. +Marked oriented graphs Γ = (⃗V , ⃗H, a, m, c) and Γ′ = (⃗V ′, ⃗H′, a′, m′, c′) with the +same set of legs S are isomorphic if there are order-preserving bijections ⃗V +∼ +→ ⃗V ′ +and ⃗H +∼ +→ ⃗H′ which intertwine a and a′, intertwine c and c′, and send m to m′. An +oriented graph is an isomorphism class [Γ] of marked oriented graph. We assign to +a marked oriented graph Γ = (⃗V , ⃗H, a, m, c) the degree +deg(Γ) := +� +v∈V +� +|c(v)| + n(|a−1(v)| − 2) +� += n(|H| − 2|V |) + +� +v∈V +|c(v)|. +Let π : E → X be an oriented Wg-bundle with a lift ℓ : E → B of the map clas- +sifying the vertical tangent bundle along θ : B → BSO(2n), and let V := H∗(B; Q) +and e := θ∗e ∈ V2n. Then given a marked oriented graph Γ = (⃗V , ⃗H, a, m, c) with +legs S we form a class +¯κ(Γ) ∈ Hdeg(Γ)(X; H⊗S) +by the following recipe. Firstly, we may form +(2.6) +� +v∈V +κ¯εa−1(v)c(v) ∈ H∗(X; H⊗H), +where we have used the ordering on ⃗V to order the product, and the ordering on +⃗H to trivialise the factor of (det QH)⊗n = (� +v∈V det Qa−1(v))⊗n that arises from +(2.5). Secondly, taking two copies S1 and S2 of the set S and writing si ∈ Si for +the element corresponding to s ∈ S we can form +(2.7) +� +s∈S +κ¯εs1,s2 ∈ H∗(X, H⊗(S1⊔S2)). +As each κ¯εs1,s2 has degree 0, the product does not depend on how the factors are +ordered. Taking the product of (2.6) and (2.7) and then applying λx,y for each +ordered pair (x, y) in the matching m on H ⊔ S = H ⊔ S1 gives the required class +¯κ(Γ) ∈ H∗(X; H⊗S2) = H∗(X; H⊗S). +Example 2.9. In this graphical interpretation we recognise the class evaluated +in Example 2.8 as that associated to the theta-graph with a certain ordering and +orientation. +Clearly ¯κ(Γ) only depends on the underlying oriented graph [Γ]. We now describe +how it transforms when the orderings on V , H, and the pairs m are changed, without +changing the underlying labelled graph. If Γ′ = (⃗V ′, ⃗H′, a′, m′, c′) is another marked +oriented graph and there are bijections f : H → H′ and g : V → V ′ intertwining +a and a′ and c and c′ and such that under these bijections the matching m′ differs +from m by reversing the order of k pairs, then +¯κ(Γ′) = (−1)nksign(f)sign(g) · ¯κ(Γ) +for certain signs described on [KRW20b, pp. 55-56]. +Graphs considered as representing ¯κ’s behave differently to those representing κ’s +described in [KRW20b, Section 5]. To distinguish them we will depict the graphs + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +9 +representing κ’s in red, as we did in that paper, and the graphs representing ¯κ’s in +blue. The contraction formula of [KRW20b, Proposition 3.10] was interpreted in +[KRW20b, Section 5] as giving relations among red graphs which yield equivalent +κ-classes. In the generality of a smooth oriented Wg-bundle π : E → X with section +s : X → E these may be depicted as follows: +•c += +•ce ++s∗e +•c +−2s∗c +•c +•c′ += +•cc′ ++s∗e +•c +•c′ +−s∗c +•c′ +−s∗c′ +•c +Figure 1. The contraction formula, displayed graphically. +Here the negative terms only arise when they make sense, i.e. when the vertex +has valence 2 in the first case, when the vertex labelled c has valence 1 in the second +case, and when the vertex labelled c′ has valence 1 in the third case. +Convention. In these and the following figures, to avoid clutter we have adopted the +following ordering conventions: vertices are numbered starting from 1 from left to +right, half-edges around each vertex are ordered clockwise starting from the marked +half-edge, and edges are oriented from the smaller half-edge to the larger one. +Similarly, the modified contraction formula of Proposition 2.6 can be interpreted +as giving the following relations among blue graphs which yield equivalent ¯κ-classes: +•c += +χ−2 +χ +•ce ++ 1 +χ2 +•c +•e2 +•c +•c′ += +•cc′ ++ 1 +χ2 +•c +•c′ +•e2 +− 1 +χ( +•ce +•c′ ++ +•c +• +c′e +) +Figure 2. The modified contraction formula, displayed graphically. +3. Twisted cohomology of diffeomorphism groups +The main goal of this section is to describe the twisted cohomology groups +H∗(BDiff+(Wg); H⊗S) and H∗(BDiff+(Wg, ∗); H⊗S) +in a stable range of degrees, of the classifying space BDiff+(Wg) of the group of +orientation-preserving diffeomorphisms of Wg (which classifies oriented Wg-bundles), +and the classifying space BDiff+(Wg, ∗) of the group of orientation-preserving dif- +feomorphisms of Wg which fix a point ∗ ∈ Wg (which classifies oriented Wg-bundles +with section). In [KRW20b, Theorem 3.15] the analogous calculation was given for + +10 +OSCAR RANDAL-WILLIAMS +the classifying space BDiff(Wg, D2n) of the group of diffeomorphisms of Wg which +fix a disc D2n ⊂ Wg. +In order to do this we will also discuss the manifolds Wg equipped with θ- +structures for the tangential structure θ : BSO(2n)⟨n⟩ → BO(2n), i.e. the n- +connected cover of BO(2n). In this case we will consider the homotopy quotients +BDiffθ(Wg) := Bun(T Wg, θ∗γ2n)//Diff(Wg) +BDiffθ(Wg, ∗) := Bun(T Wg, θ∗γ2n)//Diff(Wg, ∗) +where Bun(T Wg, θ∗γ2n) denotes the space of vector bundle maps T Wg → θ∗γ2n +from the tangent bundle of Wg to the bundle classified by θ. The group Diff(Wg) +acts on the space of bundle maps by precomposing with the derivative. +There is a factorisation θ : BSO(2n)⟨n⟩ +θor +→ BSO(2n) +σ→ BO(2n), and by ob- +struction theory one sees that the space Bun(T Wg, σ∗γ2n) has two contractible +path components corresponding to the two orientations of Wg. In particular there +are equivalences +Bun(T Wg, σ∗γ2n)//Diff(Wg) ≃ BDiff+(Wg) +Bun(T Wg, σ∗γ2n)//Diff(Wg, ∗) ≃ BDiff+(Wg, ∗) +and so θor induces maps +BDiffθ(Wg) −→ BDiff+(Wg) +and +BDiffθ(Wg, ∗) −→ BDiff+(Wg, ∗). +It is shown in [GRW19, Section 5.2] that these are principal SO[0, n − 1]-fibrations. +In particular the spaces BDiffθ(Wg) and BDiffθ(Wg, ∗) are path-connected. +3.1. Spaces of graphs. Our description of the twisted cohomology groups of +BDiff+(Wg), BDiff+(Wg, ∗), BDiff(Wg, D2n), BDiffθ(Wg) and BDiffθ(Wg, ∗) in a +stable range will be—via the graphical interpretation given in Section 2.3—in terms +of graded vector spaces of labelled graphs, modulo certain relations. (Readers of +[KRW20b] may have been expecting vector spaces of labelled partitions instead: +here we have found spaces of graphs more convenient for formulating results, cf. +Remark 3.2, though spaces of labelled partitions will still play a role in the proofs.) +To describe these spaces of graphs we will use the graded Q-algebras +V := H∗(BSO(2n)⟨n⟩; Q) = Q[p⌈ n+1 +4 +⌉, . . . , pn−1, e] +W := H∗(BSO(2n); Q) = Q[p1, . . . , pn−1, e] +with distinguished elements e of degree 2n given by the Euler class. In order to work +in a way which is agnostic about the genus g of the manifold Wg under consideration, +we will work over the ring Q[χ±1] instead of Q, where χ is an invertible formal +parameter which will—later—be set to the Euler characteristic 2 + (−1)n2g of Wg. +Definition 3.1. +(i) Let +Graph1(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in V}/ ∼ +where ∼ +(a) imposes the sign rule for changing orderings of vertices and half-edges and +for reversing orientations of edges; +(b) imposes linearity in the labels, and sets a graph containing an a-valent +vertex labelled by c with |c| + n(a − 1) < 0 to zero; +(c) sets the 0-valent vertex labelled by e ∈ V2n equal to χ, and if 2n ≡ 0 +mod 4 sets the 0-valent vertex labelled by pn/2 ∈ V2n equal to 0; + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +11 +(d) imposes the contraction relations3 +•c += +•ce +− +2c +•c +•c′ += +•cc′ +− +c +•c′ +− +c′ +•c +where the negative terms only arises when they makes sense, i.e. in the +first case when the vertex has valence 2 and its label c is a scalar multiple +of 1 ∈ V0, in the second case when c is a scalar multiple of 1 ∈ V0 and has +valence 1, and similarly in the third case. +(ii) Let +Graphθ +∗(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in V} ⊗ V/ ∼ +where ∼ imposes (a)–(c) as well as +(d′) imposes the contraction relations of Figure 1. +(iii) Let +Graph∗(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in W} ⊗ W/ ∼ +where ∼ imposes (a) and (b), as well as +(c′′) sets the 0-valent vertex labelled by e ∈ W2n equal to χ, sets the 0-valent +vertex labelled by any degree 2n monomial in Pontrjagin classes equal +to 0, and for any 1 ≤ i ≤ ⌊n/4⌋ sets +• +cpi += 1 +χ +•c +⊗pi +and (d′). +(iv) Let +Graphθ(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in V}/ ∼ +where ∼ imposes (a) and (b), as well as +(c′′′) sets the 0-valent vertex labelled by e ∈ V2n equal to χ, if 2n ≡ 0 mod 4 +sets the 0-valent vertex labelled by pn/2 ∈ V2n equal to 0, and sets the +1-valent vertex labelled by e ∈ V2n equal to 0, +(d′′′) imposes the contraction relations of Figure 2. +(v) Let +Graph(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in W}/ ∼ +where ∼ imposes (a), (b), as well as +(c′′′′) sets the 0-valent vertex labelled by e ∈ W2n equal to χ, sets the 0-valent +vertex labelled by any degree 2n monomial in Pontrjagin classes equal +to 0, sets the 1-valent vertex labelled by e ∈ W2n equal to 0, and for +any 1 ≤ i ≤ ⌊n/4⌋ sets +3These are the relations from Figure 1 when s∗ kills all positive-degree classes. + +12 +OSCAR RANDAL-WILLIAMS +• +cpi += 1 +χ +•c +• +epi +and (d′′′). +Remark 3.2 (Graphs and partitions). In all cases one can apply the (modified) +contraction formula to pass from a graph to a sum of graphs with strictly fewer +edges, and so by iterating to a sum of graphs with no edges. These are disjoint +unions of labelled corollas, and so correspond to partitions of S with labels in V or +W, plus additional external labels in cases (ii) and (iii). There are two issues with +this. The first is that in cases (iv) and (v) it is not clear that the resulting sum of +disjoint unions of labelled corollas is unique, as one has to choose an order in which +to eliminate edges. The second is that even if it is, then the functoriality on the +Brauer category which we describe below would involve gluing in edges and then +eliminating them, leading to a complicated formula. This is why we have found it +convenient to work with spaces of graphs. +We wish to consider each of the above as defining functors on the (signed) Brauer +category as in [KRW20b, Section 2.3], but to take into account the parameter χ we +must slightly generalise to a Q[χ]-linear version of the (signed) Brauer category. +Definition 3.3. For finite sets S and T let preBrχ(S, T ) be the free Q[χ]-module +on tuples (f, mS, mT ) of a bijection f from a subset S◦ ⊂ S to a subset T ◦ ⊂ T , +an ordered matching mS of S \ S◦, and an ordered matching mT of T \ T ◦. +Let Brχ(S, T ) be the quotient of preBrχ(S, T ) by the span of (f, mS, mT ) − +(f, m′ +S, m′ +T ) whenever mS agrees with m′ +S after reversing some pairs, and mT agrees +with m′ +T after reversing some pairs. +Let sBrχ(S, T ) be the quotient of preBrχ(S, T ) by the span of (f, mS, mT ) − +(−1)kl(f, m′ +S, m′ +T ) whenever mS agrees with m′ +S after reversing k pairs, and mT +agrees with m′ +T after reversing l pairs. +Let (s)Brχ be the Q[χ]-linear category whose objects are finite sets, and whose +morphisms are the Q[χ]-modules (s)Brχ(S, T ) defined above. In the case of Brχ +we think of [f, mS, mT ] as representing 1-dimensional cobordisms with no closed +components: then the composition law is given by composing cobordisms and then +replacing each closed 1-manifold by a factor of χ − 2. In the case of sBrχ we think +of (f, mS, mT ) as representing oriented 1-dimensional cobordisms with no closed +components: then the composition law is given by composing cobordisms and then +replacing each compatibly oriented closed 1-manifold by a factor of −(χ − 2). +Let d(s)Brχ denote the subcategories having all objects and morphisms spanned +by [f, mS, mT ] with T ◦ = ∅. +For a central charge d ∈ Q let (d)(s)Brd denote the Q-linear category obtained +by specialising the Q[χ]-linear category (d)(s)Brχ to χ = 2+d for (d)Br or χ = 2−d +for (d)sBr. (This notation then agrees with [KRW20b, Definition 2.14, 2.19].) +We consider the spaces of graphs above as defining Q[χ]-linear functors +Graph1(−), Graphθ +∗(−), Graph∗(−), Graphθ(−), Graph(−) : (s)Brχ → Gr(Q[χ±1]-mod) +in the evident way, by gluing of oriented graphs (after orientations have been ar- +ranged to be compatible). We endow them with a lax symmetric monoidality by +disjoint union of graphs. We write Graph1(−)g : (s)Br2g → Gr(Q-mod) and so on +for their specialisations at χ = 2 + (−1)n2g (defined for (n, g) ̸= (odd, 1)). + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +13 +3.2. The isomorphism theorem. Theorem 3.4 below extends [KRW20b, Theo- +rem 3.15] to BDiffθ(Wg, ∗), BDiff+(Wg, ∗), BDiffθ(Wg), and BDiff+(Wg). +To formulate it we first observe that when π : E → X is a smooth oriented +Wg-bundle and H is the local coefficient system over X given by the fibrewise nth +homology of this bundle, the fibrewise intersection form λ : H⊗H → Q and its dual +ω : Q → H ⊗ H are (−1)n-symmetric and satisfy λ ◦ ω = (−1)n2g · Id, so provide a +Q-linear functor S �→ H⊗S from (s)Br2g to the category of local coefficient systems +of Q-modules over X. (Strictly speaking our definitions require χ = 2 + (−1)n2g to +be invertible, so we omit the case (n, g) = (odd, 1).) Composing this with taking +cohomology gives a functor +H∗(X; H⊗−) : (s)Br2g −→ Gr(Q-mod) +S �−→ H∗(X; H⊗S). +The relations in the various spaces of graphs defined in Section 3.1 were chosen +precisely to match the contraction formula of [KRW20b, Proposition 3.10] (in the +case of Graph1) and the modified contraction formula of Proposition 2.6 (in the +other cases), so that assigning to a graph its associated κ- or ¯κ-class provides +natural transformations +(i) κ : Graph1(−)g → H∗(BDiff(Wg, D2n); H⊗−), +(ii) κ : Graphθ +∗(−)g → H∗(BDiffθ(Wg, ∗); H⊗−), +(iii) κ : Graph∗(−)g → H∗(BDiff+(Wg, ∗); H⊗−), +(iv) ¯κ : Graphθ(−)g → H∗(BDiffθ(Wg); H⊗−), +(v) ¯κ : Graph(−)g → H∗(BDiff+(Wg); H⊗−), +of functors (s)Br2g → Gr(Q-mod). +Theorem 3.4. For 2n = 2 or 2n ≥ 6 the maps (i)–(v) are isomorphisms in a +range of cohomological degrees tending to infinity with g. +We will first give the proof in cases (i), (ii), (iii), and in case (v) assuming case +(iv); the much more involved case (iv) will be treated afterwards. +Proof of Theorem 3.4 (i), (ii), (iii), (v). For case (i) observe that Graph1(−)g is +naturally isomorphic to the functor G(−, V) from [KRW20b, Proof of Theorem 5.1], +which is shown there to be isomorphic to the functor P(−, V)≥0 ⊗ det⊗n. This case +then follows from [KRW20b, Theorem 3.15]. +For case (ii) we first construct the homotopy fibre sequence +(3.1) +BDiff(Wg, D2n) −→ BDiffθ(Wg, ∗) −→ BSO(2n)⟨n⟩. +The left-hand term may be written as the homotopy quotient of Diff(Wg, ∗) acting +on the Stiefel manifold Fr(T∗Wg) given by the space of frames in the tangent space to +Wg at the point ∗ ∈ Wg, as this action is transitive and its stabiliser is the subgroup +which fixes a point and its tangent space, which is homotopy equivalent to fixing a +disc. The middle term was defined as the homotopy quotient of Diff(Wg, ∗) acting +on Bun(T Wg, θ∗γ2n). Evaluation at ∗ ∈ Wg defines a Diff(Wg, ∗)-invariant map +ev : Bun(T Wg, θ∗γ2n) −→ BSO(2n)⟨n⟩, +which is a fibration. +If we choose a point x ∈ BSO(2n)⟨n⟩ and a framing ξ : +(θ∗γ2n)x +∼ +→ R2n, then there is a map ξ∗ : ev−1(x) → Fr(T∗Wg) given by sending a +bundle map ˆℓ : T Wg → θ∗γ2n whose underlying map sends ∗ to x to the framing +ξ ◦ ˆℓx : T∗Wg → (θ∗γ2n)x → R2n. One verifies by obstruction theory that ξ∗ : +ev−1(x) → Fr(T∗Wg) is a weak equivalence. Taking homotopy orbits for Diff(Wg, ∗) +then gives the required homotopy fibre sequence. + +14 +OSCAR RANDAL-WILLIAMS +As H∗(BDiff(Wg, D2n); H⊗S) is spanned by products of twisted Miller–Morita– +Mumford classes κεac with c ∈ V in a stable range by (i), and these classes may be +defined on BDiffθ(Wg, ∗), the Serre spectral sequence +H∗(BSO(2n)⟨n⟩; Q) ⊗ H∗(BDiff(Wg, D2n); H⊗S) ⇒ H∗(BDiffθ(Wg, ∗); H⊗S) +for the homotopy fibre sequence (3.1) collapses in a stable range. The result then +follows by observing that the analogue of the Serre filtration of Graphθ +∗(−)g, induced +by the descending filtration by degrees of H∗(BSO(2n)⟨n⟩; Q) = V, has +gr(Graphθ +∗(−)g) ∼= V ⊗ Graph1(−)g, +because modulo V>0 the formula of (d′) specialises to that of (d). The induced map +gr(κ) : gr(Graphθ +∗(−)g) −→ gr(H∗(BDiffθ(Wg, ∗); H⊗−)) +therefore has the form V ⊗ {the map κ in case (i)} so is an isomorphism in a stable +range by case (i). Case (ii) follows. +Case (iii) is just like the above, using the homotopy fibre sequence +BDiff(Wg, D2n) −→ BDiff+(Wg, ∗) −→ BSO(2n) +instead, which is established in the analogous way, and W in place of V. +Case (v) can be deduced from case (iv) by applying the same method to the +homotopy fibre sequence +BDiffθ(Wg) −→ BDiff+(Wg) +ξ +−→ BSO[0, n] +established in [GRW19, Section 5.2]. The filtration step is a little different, so we +give some details. It follows from (iv) that H∗(BDiffθ(Wg); H⊗S) is spanned by +products of twisted Miller–Morita–Mumford classes κ¯εac with c ∈ V in a stable +range, and these may be defined on BDiff+(Wg) (in fact they may be defined even +for c ∈ W) so the corresponding Serre spectral sequence +H∗(BSO[0, n]; Q) ⊗ H∗(BDiffθ(Wg); H⊗S) ⇒ H∗(BDiff+(Wg); H⊗S) +degenerates in a stable range. In this case the analogue of the Serre filtration on +Graph(−)g is induced by giving the graph Υi := ({0}, ∅, ∅ → {0}, ∅, c(0) = epi) +filtration 4i for 1 ≤ i ≤ ⌊n/4⌋, giving all other connected graphs filtration 0, and +extending multiplicatively. The associated graded of this filtration has the form +gr(Graph(−)g) ∼= Q[Υ1, Υ2, . . . , Υ⌊n/4⌋] ⊗ Graphθ(−)g, +because the relation in (c′′′′) shows that any graph with a vertex labelled cpi for +1 ≤ i ≤ ⌊n/4⌋ is equivalent to a graph of strictly larger filtration, unless the vertex +is 0-valent and the label is epi. As ¯κ(Υi) = κepi = χ · ξ∗(pi) by [GRW19, Remark +5.5] it follows that the induced map +gr(¯κ) : gr(Graph(−)g) −→ gr(H∗(BDiff+(Wg); H⊗S)) +has the form {an isomorphism} ⊗ {the map ¯κ in case (iv)} so is an isomorphism in +a stable range by case (iv). +□ +3.3. Proof of Theorem 3.4 (iv). The proof of Theorem 3.4 (iv) is of a less formal +nature. It will be parallel to that of [KRW20b, Theorem 3.15], but algebraically +more complicated. +An important tool will be the following lemma, inspired by +[Qui71, p. 566]. +Lemma 3.5. Let G be a topological group and p : P → X be a principal G-bundle +with action a : G×P → P, which satisfies the Leray–Hirsch property in cohomology +over a field F. Then +H∗(X; F) +H∗(P; F) +H∗(G; F) ⊗F H∗(P; F) +p∗ +a∗ +1⊗Id + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +15 +is an equaliser diagram. +Proof. Let us leave F implicit. +By the Leray–Hirsch property H∗(P) is a free +H∗(X)-module and hence is faithfully flat. Thus it suffices to prove that the dia- +gram is an equaliser diagram after applying −⊗H∗(X) H∗(P). By the Leray–Hirsch +property we also have H∗(P) ⊗H∗(X) H∗(P) +∼ +→ H∗(P ×X P). Thus it suffices to +show that +H∗(P) +H∗(P ×X P) +H∗(G) ⊗ H∗(P ×X P) +pr∗ +2 +a∗ +1⊗Id +is an equaliser diagram, which is the same question for the principal G-bundle +pr2 : P ×X P → P. But this principal G-bundle has a section given by the diagonal +map, which trivialises it: this trivialisation identifies the diagram with +H∗(P) +H∗(G) ⊗ H∗(P) +H∗(G) ⊗ H∗(G) ⊗ H∗(P) +1⊗Id +µ∗⊗Id +1⊗Id +which is indeed an equaliser diagram as it has a contraction induced by a∗. +□ +We adapt the proof of [KRW20b, Theorem 3.15], supposing for concreteness that +n is odd. Consider the tangential structure θ × Y : BSO(2n)⟨n⟩ × Y → BSO(2n) +with Y = K(W ∨, n + 1) and W a generic rational vector space. Then we have +H∗(Y ; Q) ∼= Sym∗(W[n + 1]), the symmetric algebra on the vector space W places +in (even) degree n + 1. If n is even then like at the end of the proof of [KRW20b, +Theorem 3.15] we would take Y = K(W ∨, n + 2) instead, so H∗(Y ; Q) would still +be a symmetric algebra. Apart from this there is no essential difference, and we +will not comment further on the differences in the case n even. +There are associated universal Wg-bundles +π : Eθ −→ BDiffθ(Wg) +πY : Eθ×Y −→ BDiffθ×Y (Wg) +and an evaluation map ℓ : Eθ×Y → Y . Neglecting the “maps to Y ” part of the +tangential structure gives a homotopy fibre sequence +map(Wg, Y ) −→ BDiffθ×Y (Wg) −→ BDiffθ(Wg). +We can take Y to be a topological abelian group, which then acts fibrewise on the +map θ × Y and hence acts on compatibly Eθ×Y and BDiffθ×Y (Wg). Using this we +can form the homotopy fibre sequence +map(Wg, Y )//Y −→ BDiffθ×Y (Wg)//Y −→ BDiffθ(Wg). +The space map(Wg, Y )//Y is a K(Hn(Wg; Q)⊗W ∨, 1), so there is an identification +of graded local coefficient systems +H∗(map(Wg, Y )//Y ; Q) = Λ∗(H ⊗ W[1]). +This is natural in the vector space W, and scaling by u ∈ Q× acts on Λk(H⊗ W[1]) +by uk. It follows that it acts this way on the kth row of the Serre spectral sequence +Ep,q +2 += Hp(BDiffθ(Wg); Λq(H ⊗ W[1])) ⇒ Hp+q(BDiffθ×Y (Wg)//Y ; Q). +As the differentials in this spectral sequence must be equivariant for this Q×-action, +it follows that they must all be trivial. +Furthermore this action gives a weight +decomposition of both sides, which identifies +H∗(BDiffθ(Wg); Λk(H ⊗ W)) ∼= H∗+k(BDiffθ×Y (Wg)//Y ; Q)(k), +the weight k-subspace. +To access the latter groups, we use that there is a map +α : BDiffθ×Y (Wg) −→ Ω∞ +0 (MTθ ∧ Y+) + +16 +OSCAR RANDAL-WILLIAMS +which by the main theorems of [Bol12, RW16, GTMW09] (for 2n = 2) and [GRW18, +GRW14, GRW17] for (2n ≥ 6) is an isomorphism on cohomology in a stable +range of degrees. Here MTθ is the Thom spectrum of −θ∗γ2n, so writing u−2n ∈ +H−2n(MTθ; Q) for its Thom class, by the Thom isomorphism we have +H∗(MTθ; Q) ∼= u−2n · H∗(BSO(2n)⟨n⟩; Q) = u−2n · Q[p⌈n+1 +4 +⌉, . . . , pn−1, e]. +The rational cohomology of Ω∞ +0 (MTθ ∧ Y+) is then given by +Sym∗([H∗(MTθ; Q) ⊗ Sym∗(W[n + 1])]>0), +which can be considered as the free (graded-)commutative algebra on the even- +degree classes κc,w1···wr with c ∈ Q[p⌈ n+1 +4 +⌉, . . . , pn−1, e] and wi ∈ W, modulo lin- +earity in c and in the wi, and modulo commutativity of the wi. The pullbacks +of these classes along α we again denote κc,w1···wr, and they may be described +intrinsically as the fibre integrals πY +! (c(TπY Eθ×Y ) · ℓ∗(w1 · · · wr)). +Lemma 3.6. There are unique classes ¯κc,w1···wr ∈ H∗(BDiffθ×Y (Wg)//Y ; Q) which +pull back to +� +I⊔J={1,2,...,r} +κc,wI · +� +j∈J +(− 1 +χκe,wj) ∈ H∗(BDiffθ×Y (Wg); Q), +and in a stable range of degrees H∗(BDiffθ×Y (Wg)//Y ; Q) is the free graded-commutative +algebra on the classes ¯κc,w1···wr, modulo linearity in c and in the wi, commutativity +of the wi, and modulo ¯κe,w1 = 0. +Proof. We wish to apply Lemma 3.5 to the principal Y -bundle +(3.2) +BDiffθ×Y (Wg) −→ BDiffθ×Y (Wg)//Y. +First observe that the fibre inclusion j : Y → BDiffθ×Y (Wg) classifies the Wg- +bundle pr1 : Y × Wg → Y equipped with the product θ-structure and the map +ℓ = pr1 : Y × Wg → Y . Thus for any w ∈ W we have +j∗κe,w = χw ∈ Hn+1(Y ; Q), +and so (3.2) satisfies the Leray–Hirsch property. +Lemma 3.5 then describes H∗(BDiffθ×Y (Wg)//Y ; Q) as the equaliser of +(3.3) +H∗(BDiffθ×Y (Wg); Q) +H∗(Y ; Q) ⊗ H∗(BDiffθ×Y (Wg); Q). +a∗ +1⊗Id +In a stable range H∗(BDiffθ×Y (Wg); Q) is described in terms of the classes κc,w1···wr, +so to make use of this equaliser description we must determine how these classes +pull back along the action map +a : Y × BDiffθ×Y (Wg) −→ BDiffθ×Y (Wg). +This map classifies the Wg-bundle Y × πY : Y × Eθ×Y → Y × BDiffθ×Y (Wg) +equipped with the structure map Y × Eθ×Y +Y ×ℓ +→ +Y × Y +·→ Y . +As the wi ∈ +W = Hn+1(Y ; Q) are primitive with respect to the coproduct induced by the +multiplication on Y , we have +a∗(κc,w1···wr) = (Y × πY )!((1 × c(TπY Eθ×Y )) · +r +� +i=1 +(wi × 1 + 1 × ℓ∗(wi))) += +� +I⊔J={1,2,...,r} +wI × κc,wJ. + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +17 +Our goal now is to show that the classes defined by +¯κc,w1···wr := +� +I⊔J={1,2,...,r} +κc,wI · +� +j∈J +(− 1 +χκe,wj) ∈ H∗(BDiffθ×Y (Wg); Q) +are equalised by the maps (3.3), so by Lemma 3.5Lemma 3.5 descend to unique +classes of the same name in H∗(BDiffθ×Y (Wg)//Y ; Q). To see this, we calculate +using the formula above that +a∗(¯κc,w1···wr) = +� +I⊔J={1,2,...,r} +� � +S⊔T =I +wS × κc,wT +� +· (−1)|J| � +j∈J +(wj × 1 + 1 +χ1 × κe,wj) += +� +S⊔T ⊔U⊔V ={1,2,...,r} +(−1)|U|wS⊔U × +� +κc,wT · +� +v∈V +(− 1 +χκe,wv) +� +. +For each A ⊆ {1, 2, . . ., r} the coefficient of wA is + + � +U⊆A +(−1)|U| + + + + +� +T ⊔V ={1,...,r}\A +κc,wT · +� +v∈V +(− 1 +χκe,wv) + + +and � +U⊆A(−1)|U| vanishes if A ̸= ∅, and is 1 if A = ∅ (it is the binomial expansion +of (1 − 1)|A|), which shows that a∗(¯κc,w1···wr) = 1 × ¯κc,w1···wr as required. +Finally, that these classes (except ¯κe,w1 = 0) freely generate the Q-algebra +H∗(BDiffθ×Y (Wg)//Y ; Q) in a stable range follows from the fact that the κc,w1···wr +freely generate H∗(BDiffθ×Y (Wg); Q) in a stable range, together with the observa- +tion that ¯κc,w1···wr ≡ κc,w1···wr modulo the ideal generated by classes κe,w and the +Leray–Hirsch property again. +□ +Let us provide a “fibre-integral” interpretation of the classes we have just con- +structed. Consider the map of principal Y -bundles +Y +Eθ×Y +Eθ×Y //Y +Y +BDiffθ×Y (Wg) +BDiffθ×Y (Wg)//Y. +i +πY +πY //Y +j +The composition ℓ ◦ i : Y → Y is the identity, so i∗ℓ∗(w) = w ∈ Hn+1(Y ; Q). We +showed in the proof above that j∗κe,w = χw ∈ Hn+1(Y ; Q), so in particular both +these principal Y -bundles satisfy the Leray–Hirsch property. Together these give +that +i∗(ℓ∗(w) − 1 +χ(πY )∗κe,w) = 0. +As Y is n-connected it follows from the Serre spectral sequence that there exists a +unique class ¯ℓ∗(w) ∈ Hn+1(Eθ×Y //Y ; Q) which pulls back to ℓ∗(w) − 1 +χ(πY )∗κe,w. +Lemma 3.7. We have +¯κc,w1···wr = (πY //Y )!(c · ¯ℓ∗(w1) · · · ¯ℓ∗(wr)) ∈ H∗(BDiffθ×Y (Wg)//Y ; Q). +Proof. As the lower of the above principal Y -bundles satisfies the Leray–Hirsch +property, this identity may be verified after pulling back to BDiffθ×Y (Wg). +In +H∗(Eθ×Y ; Q) we have ¯ℓ∗(w) = ℓ∗(w) − 1 +χ(πY )∗κe,w, so expanding out gives +(πY )!(c · ¯ℓ∗(w1) · · · ¯ℓ∗(wr)) = (πY )!(c · +r +� +i=1 +(ℓ∗(wi) − 1 +χ(πY )∗κe,wi)) += +� +I⊔J={1,2,...,r} +κc,wI · +� +j∈J +(− 1 +χκe,wj) + +18 +OSCAR RANDAL-WILLIAMS +as required. +□ +The classes ¯κc,w1···wr provide an isomorphism +Sym∗ +�[H∗(MTθ; Q) ⊗ Sym∗(W[n + 1])]>0 +u−2n · e ⊗ W[n + 1] +� +−→ H∗(BDiffθ×Y (Wg)//Y ; Q) +in a stable range, natural in W, which with the discussion above gives an identifi- +cation of graded vector spaces +H∗(BDiffθ(Wg); Λ∗(H ⊗ W[1])) ∼= Sym∗ +�[H∗(MTθ; Q) ⊗ Sym∗(W[n + 1])]>0 +u−2n · e ⊗ W[n + 1] +� +natural in W. +Just as in the proof of [KRW20b, Theorem 3.15], and using its notation, this +implies that there is a natural transformation +(3.4) +Pbis(−, V)≥0 ⊗ det⊗n −→ H∗(BDiffθ(Wg); H⊗−) +of lax symmetric monoidal functors FB → Gr(Q-mod) which is an isomorphism in a +stable range, where P(−, V)≥0 → Pbis(−, V)≥0 is the quotient by those partitions +containing a part of size 1 labelled by e ∈ V2n. Assigning to a labelled part the +corolla with that label gives a natural transformation +(3.5) +Pbis(−, V)≥0 ⊗ det⊗n −→ Graphθ(−)g, +of lax symmetric monoidal functors FB → Gr(Q-mod), and we claim that using this +(3.4) factors through the map ¯κ : Graphθ(−)g → H∗(BDiffθ(Wg); H⊗−). Assuming +this claim for now, observe that using the contraction relations in Definition 3.1 (iv) +(d′′′) to contract all edges shows that (3.5) is surjective, which with the fact that +(3.4) is an isomorphism in a stable range will show that the map ¯κ is an isomorphism +in a stable range too (as well as the map (3.5)). +It remains to show the factorisation, i.e. that the map (3.4) sends a part of size +a labelled by c ∈ V to the class κ¯εac. We again proceed as in the relevant step of +the proof of [KRW20b, Theorem 3.15]. There is a fibration sequence +map(Wg, Y ) −→ Eθ×Y −→ Eθ +and so, taking homotopy orbits for the fibrewise Y -action, a fibration sequence +map(Wg, Y )//Y −→ Eθ×Y //Y −→ Eθ. +Again by functoriality in W the associated Serre spectral sequence collapses to +identify the weight decomposition as +H∗(Eθ; Λk(H ⊗ W)) ∼= H∗+k(Eθ×Y //Y ; Q)(k). +Given the description in Lemma 3.7 we must show that the map +¯ℓ(−) : W −→ Hn+1(Eθ×Y //Y ; Q)(1) ∼= Hn(Eθ; H) ⊗ W +is given by w �→ ¯ε ⊗ w, which is the analogue of [KRW20b, Claim 3.16]. As it is +natural in the vector space W it must certainly be given by ¯ℓ(w) = x ⊗ w for some +x ∈ Hn(Eθ; H), and we must show that x = ¯ε. That the restriction of x to the +fibre Wg of π : Eθ → BDiffθ(Wg) is given by coevaluation may be done precisely +as in [KRW20b, Claim 3.16]. By the characterisation of ¯ε it remains to check that +1 +χ(πY )!(e · ¯ℓ∗(w)) = 0 ∈ Hn+1(BDiffθ×Y (Wg)//Y ; Q). +By the Leray–Hirsch property this may be checked after pulling back to BDiffθ×Y (Wg), +but as ¯ℓ∗(w) = ℓ∗(w) − 1 +χ(πY )∗κe,w ∈ Hn+1(Eθ×Y ; Q) by definition, the vanishing +is immediate. + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +19 +3.4. Comparisons. There are natural maps +BDiff(Wg, D2n) +BDiffθ(Wg, ∗) +BDiffθ(Wg) +BDiff(Wg, D2n) +BDiff+(Wg, ∗) +BDiff+(Wg) +a +b +c +d +e +f +which each induce maps on H∗(−; H⊗S). There are corresponding maps of spaces +of graphs +Graph1(−)g +Graphθ +∗(−)g +Graphθ(−)g +Graph1(−)g +Graph∗(−)g +Graph(−)g +a∗ +b∗ +e∗ +c∗ +d∗ +f ∗ +given as follows. The maps c∗ and d∗ are induced by the projections W → V. The +maps a∗ and e∗ are induced by applying the augmentations V → Q and W → Q +to the second tensor factor. The maps b∗ and f ∗ are more subtle, as they involve +converting between blue graphs and red graphs, via the formula of Proposition 2.7. +Graphically it is given by +• +�→ +• +− 1 +χ( +• +• +e +• +• +e +• +• +e ++ ++ +) +with certain orderings. +The maps b and f are also oriented Wg-bundles, so they also induce fibre- +integration maps b! and f! on cohomology. These are b∗- and f ∗-linear respectively, +so are determined by the maps (of degree −2n) +b! : V −→ Graphθ(−)g +f! : W −→ Graph(−)g +which each send a monomial c in pi’s and e to the graph given by a single vertex +labelled by c. +4. Cohomology of Torelli groups +The isomorphisms provided by Theorem 3.4 can be converted into information +about the spaces +BTor(Wg, D2n), BTorθ(Wg, ∗), BTor+(Wg, ∗), BTorθ(Wg), BTor+(Wg) +just as [KRW20a, Theorem 4.1] is deduced from [KRW20a, Theorem 3.15]. Let us +give the definition of these spaces and formulate the result: the following is largely +a reminder of some points from [KRW20a], and we do not spell out all details again. +The group Diff+(Wg) acts on Hn(Wg; Z) preserving the nondegenerate (−1)n- +symmetric intersection form λ : Hn(Wg; Z) ⊗ Hn(Wg; Z) → Z. This provides a +homomorphism +αg : Diff+(Wg) −→ Gg := +� +Sp2g(Z) +if n is odd, +Og,g(Z) +if n is even. +This map is not always surjective, but its image is a certain finite-index subgroup +G′ +g ≤ Gg, an arithmetic group associated to the algebraic group Sp2g or Og,g. This +subgroup has been determined by Kreck [Kre79]: it is the whole of Gg if n is even +or n = 1, 3, 7, and otherwise is the subgroup Spq +2g(Z) ≤ Sp2g(Z) of those matrices +which preserve the standard quadratic refinement (of Arf invariant 0). + +20 +OSCAR RANDAL-WILLIAMS +We define Tor+(Wg) to be the kernel of this homomorphism, and Tor+(Wg, ∗) +and Tor(Wg, D2n) to be the kernel of its restriction to the subgroups Diff+(Wg, ∗) +and Diff(Wg, D2n) respectively (these restrictions still have image G′ +g). Further- +more, we define +BTorθ(Wg) := Bun+(T Wg, θ∗γ2n)//Tor+(Wg) +BTorθ(Wg, ∗) := Bun+(T Wg, θ∗γ2n)//Tor+(Wg, ∗), +where Bun+(T Wg, θ∗γ2n) ⊂ Bun(T Wg, θ∗γ2n) consists of the orientation-preserving +bundle maps (for some choice of orientation of θ∗γ2n that we make once and for +all). By the discussion at the beginning of Section 3 the spaces Bun+(T Wg, θ∗γ2n) +are path-connected, so each of the BTor’s we have defined are principal G′ +g-bundles +over the corresponding BDiff’s. In particular, their rational cohomologies are both +Q-algebras and G′ +g-representations, and we will describe them as such in a stable +range. Before doing so, we recall that the work of Borel identifies +H∗(G′ +g; Q) = +� +Q[σ2, σ6, σ10, . . .] +if n is odd, +Q[σ4, σ8, σ12, . . .] +if n is even. +in a stable range of degrees, where σ4i−2n may be chosen so that it pulls back to the +Miller–Morita–Mumford class κLi ∈ H4i−2n(BDiff+(Wg; Q) associated to the ith +Hirzebruch L-class. In particular the κLi vanish in the cohomology of BTor+(Wg). +Let us write H(g) := Hn(Wg; Q), which is the standard representation of G′ +g. +Pulled back from BDiff+(Wg) to BTor+(Wg) the coefficient system H is canonically +trivialised, but has an action of G′ +g: it can be identified with the dual H(g)∨. The +edge homomorphism of the Serre spectral sequence +(4.1) +H∗(BDiff+(Wg); H⊗S) −→ +� +H∗(BTor+(Wg); Q) ⊗ (H(g)∨)⊗S�G′ +g +allows us to consider the modified twisted Miller–Morita–Mumford classes ¯κεSc as +providing G′ +g-equivariant homomorphisms +¯κc : H(g)⊗S −→ Hn(|S|−2)+|c|(BTor+(Wg); Q). +The identities from the modified contraction formula correspond to identities +among these maps: this will give relations analogous to [KRW20b, Section 5.2], +which we will spell out after the proof of Theorem 4.1 below. First we explain how +these relations can be organised in a categorical way, as follows. +Considering (4.1) as a natural transformation of functors on (s)Br2g, we may +precompose it with the map +¯κ : Graphg(−) −→ H∗(BDiff+(Wg); H⊗−) +(which is an isomorphism in a stable range for n ̸= 2 by Theorem 3.4). This gives +G′ +g-equivariant maps H(g)⊗S ⊗ Graphg(S) → H∗(BTor+(Wg); Q) which assemble +to a map +K∨ ⊗(s)Br2g Graphg(−) −→ H∗(BTor+(Wg); Q) +out of the coend, where K : (s)Br2g → Rep(G′ +g) sends S to H(g)⊗S. The domain +obtains a graded-commutative Q-algebra structure coming from the lax symmetric +monoidality of Graphg(−) and strong symmetric monoidality of K(−). Theorem +4.1 below will say that this is surjective in a stable range, with kernel the ideal +generated by the κLi, but before stating it we explain a simplification. +Let us write i : d(s)Br → (s)Br2g for the inclusion of the downward (signed) +Brauer category. Thus subcategory is independent if g, as no circles can be created +by composing morphisms in the downward Brauer category. Write Graph1(−)′ ⊂ +i∗Graph1(−)g for the subfunctor where we forbid bivalent vertices labelled by 1 ∈ V +both of whose half-edges are legs; similarly, this functor is independent of g. Like + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +21 +just after [KRW20b, Proposition 3.11], Graph1(−)g is then the left Kan extension +i∗Graph1(−)′ of Graph1(−)′ along i. We similarly define Graphθ +∗(−)′, Graph∗(−)′, +Graphθ(−)′, and Graph(−)′, whose left Kan extensions again recover the original +functors. The following is the analogue of [KRW20b, Theorem 4.1]. +Theorem 4.1. There are G′ +g-equivariant ring homomorphisms +i∗(K∨) ⊗d(s)Br Graph1(−)′ +(κLi | 4i − 2n > 0) +−→ H∗(BTor(Wg, D2n); Q) +(i) +i∗(K∨) ⊗d(s)Br Graphθ +∗(−)′ +(κLi | 4i − 2n > 0) +−→ H∗(BTorθ(Wg, ∗); Q) +(ii) +i∗(K∨) ⊗d(s)Br Graph∗(−)′ +(κLi | 4i − 2n > 0) +−→ H∗(BTor+(Wg, ∗); Q) +(iii) +i∗(K∨) ⊗d(s)Br Graphθ(−)′ +(κLi | 4i − 2n > 0) +−→ H∗(BTorθ(Wg); Q) +(iv) +i∗(K∨) ⊗d(s)Br Graph(−)′ +(κLi | 4i − 2n > 0) +−→ H∗(BTor+(Wg); Q) +(v) +which for 2n ≥ 6 are isomorphisms in a stable range of degrees. +If 2n = 2 then, in a stable range of degrees and assuming that the target is +finite-dimensional in degrees ∗ < N for all large enough g, these maps are iso- +morphisms onto the maximal algebraic subrepresentations in degrees ∗ ≤ N, and +monomorphisms in degrees ∗ ≤ N + 1. +Proof. By the main theorem of [KRW20a], as long as 2n ≥ 6 the G′ +g-representations +Hi(BTor(Wg, D2n); Q) are algebraic. Using the inheritance properties for algebraic +representations from [KRW20a, Theorem 2.2], the Serre spectral sequences for the +homotopy fibre sequences +BTor(Wg, D2n) −→BTor+(Wg, ∗) −→ BSO(2n) +BTor(Wg, D2n) −→BTorθ(Wg, ∗) −→ BSO(2n)⟨n⟩ +show that the cohomology groups of BTor+(Wg, ∗) and BTorθ(Wg, ∗) are also al- +gebraic G′ +g-representations, and the same for the homotopy fibre sequences +Wg −→BTor+(Wg, ∗) −→ BTor+(Wg) +Wg −→BTorθ(Wg, ∗) −→ BTorθ(Wg) +show that the cohomology groups of BTor+(Wg) and BTorθ(Wg) are algebraic +G′ +g-representations too. +Using this algebraicity property, case (i) is precisely [KRW20b, Theorem 4.1], +using that by [KRW20b, Proof of Theorem 5.1] Graph1(−)g is isomorphic to the +functor P(−, V)≥0⊗det⊗n. The other cases follow in the same way, using [KRW20b, +Proposition 2.16], from Theorem 3.4, with one elaboration which we describe below. +The addendum in the case 2n = 2 is precisely as in [KRW20b, Theorem 4.1]. +The elaboration comes when verifying the first hypothesis of [KRW20b, Lemma +4.3], which in case (v) for example requires us to know that H∗(BDiff+(Wg); H⊗S) +is a free H∗(G′ +g; Q)-module in a stable range. But by transfer H∗(BDiff+(Wg); H⊗S) +is a summand of H∗(BDiff+(Wg, ∗); H⊗S) (as H∗(G′ +g; Q)-modules), and similarly +with θ-structures, so cases (ii) and (iii) imply cases (iv) and (v). +In the other +hand in case (iii) for example we have discussed in the proof of Theorem 3.4 the +degeneration of the Serre spectral sequence in a stable range, giving +gr(H∗(BDiff+(Wg, ∗); H⊗S)) ∼= H∗(BSO(2n); Q) ⊗ H∗(BDiff(Wg, D2n); H⊗S). + +22 +OSCAR RANDAL-WILLIAMS +The Serre filtration is one of H∗(G′ +g; Q)-modules, so as the associated graded is a +free H∗(G′ +g; Q)-module in a stable range (because H∗(BDiff(Wg, D2n); H⊗S) is the +case treated in [KRW20b, Theorem 4.1]), it follows that H∗(BDiff+(Wg, ∗); H⊗S) +is too. The same argument applies in case (ii). +□ +This quite categorical description can be used to get a more down-to-earth pre- +sentation for these cohomology rings: in case (v) this is the presentation we have +recorded in Theorem A. This is deduced just as in [KRW20b, Section 5], though +most of the work has been done as we have already expressed things in terms of +graphs. As in [KRW20b, Section 5.4] this is not the smallest possible presentation: +it can be simplified by manipulating graphs; we leave the details to the interested +reader. +5. The case 2n = 2 +Although Theorem 4.1 is only known to hold in a limited range of degrees in the +case 2n = 2 (N = 2 is currently the best known constant for g ≥ 3, using the work +of Johnson [Joh85]), Theorem 3.4 does hold in a range of cohomological degrees +tending to infinity with g. In this case our discussion is closely related to the work +of Kawazumi and Morita [Mor96, KM96, KM01], and in this section we we take +the opportunity to revisit that work from our perspective. Throughout this section +we assume that g ≥ 2, so that χ(Wg) = 2 − 2g ̸= 0. +In terms of Kawazumi and Morita’s notation we have +Mg := π0(Diff+(Wg)) +Mg,∗ := π0(Diff+(Wg, ∗)) +Mg,1 := π0(Diff+(Wg, D2)). +Under our assumption g ≥ 2 the groups Diff+(Wg), Diff+(Wg, ∗), and Diff+(Wg, D2) +all have contractible path-components, so the group cohomology of Mg is the co- +homology of BDiff+(Wg), and so on. Theorem 3.4 gives a natural transformation +¯κ : Graph(−)g −→ H∗(Mg; H⊗−) +of functors sBr2g → Gr(Q-mod), which is an isomorphism in a stable range of +degrees. Note that in this case H∗(BSO(2); Q) = Q[e] so V = W = Q[e] and there +is no difference between the tangential structure θ and an orientation. In particular +if we denote by Γi ∈ Graph(∅) the graph with a single vertex, no edges, and labelled +by ei+1, then ¯κ(Γi) = κi ∈ H2i(Mg; Q) is the usual Miller–Morita–Mumford class4. +Our goal in Sections 5.1–5.4 is to analyse Graph(−) in several ways, making +contact with the work of Kawazumi and Morita mentioned above as well as work +of Garoufalidis and Nakamura [GN98, GN07] and Akazawa [Aka05]. +5.1. Reduction to corollas. The possible labels for the vertices of graphs in +Graph(S) are powers of the Euler class e. Given any graph we may iteratedly apply +the modified contraction formula to write it as a linear combination of graphs with +fewer edges, and hence any graph is equivalent to a linear combination of graphs +with no edges: these are disjoint unions of corollas. Of these, by definition of Graph: +the 0-valent corolla labelled by e is equal to the scalar χ, the 1-valent corolla labelled +by 1 ∈ V is trivial, and the 1-valent corolla labelled by e ∈ V is trivial. Define a +labelled partition of a finite set S to be a partition {Sα}α∈I of S into (possibly +empty) subsets and a label enα for each part, such that +(i) If |Sα| = 0 then nα ≥ 2, +(ii) If |Sα| = 1 then nα ≥ 1. +4Our κi is denoted ei in the work of Kawazumi and Morita. + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +23 +We give a part (Sα, nα) degree 2nα + |Sα| − 2, and a labelled partition the degree +given by the sums of the degrees of its parts. Similarly to the proof of Theorem 3.4 +(iv) (particularly around equation (3.5)), let Pbis(S, V)≥0 denote the free Q[χ±1]- +module with basis the set of labelled partitions of S. Assigning to a labelled part +(Sα, enα) the corolla with legs Sα and label enα defines a map +(5.1) +Pbis(S, V)≥0 ⊗ det QS −→ Graph(S), +natural in S with respect to bijections. +Lemma 5.1. The map (5.1) is an isomorphism. +Proof. It is surjective, as explained above, by repeatedly applying the modified +contraction formula to express a graph in terms of graphs without edges. +If it were not injective then it would have some nontrivial Q[χ±1]-linear com- +bination of labelled partitions in its kernel, of a given degree d, and this would +remain a nontrivial Q-linear combination of labelled partitions when specialised to +χ = 2 − 2g for all g ≫ 0 (as a Laurent polynomial in χ has finitely-many roots). +But in the proof of Theorem 3.4 (iv), in the discussion after equation (3.5), it is +explained that when specialised to χ = 2 − 2g this map is an isomorphism in a +range of degrees tending to infinity with g; for large enough g the degree d will be +in this stable range, a contradiction. +□ +In particular, for the graphs Γi described above there is an isomorphism +(5.2) +Q[χ±1][Γ1, Γ2, . . .] ∼= Graph(∅). +5.2. Reduction to trivalent graphs without labels. In this section we will +prove the following. +Theorem 5.2. Using the modified contraction formula any marked oriented graph +is equivalent to a Q[χ±1, (χ − 2)−1, (χ − 3)−1, (χ − 4)−1]-linear combination of +trivalent graphs with all vertices labelled by 1 ∈ V0. +Let Graphtri(S) ≤ Graph(S) denote the sub-Q[χ±1]-module spanned by those +marked oriented graphs which are trivalent and all of whose labels are 1 ∈ V. +Corollary 5.3. The monomorphism i : Graphtri(−) → Graph(−) becomes an iso- +morphism upon inverting χ − 2, χ − 3, and χ − 4. In particular Graphtri(−)g = +Graph(−)g. +Remark 5.4 (2-valent vertices labelled by 1). Using the relation +λ2,3(κ¯ε1,2κ¯ε3,...,nc) = κ¯ε1,3,...,nc +we can always remove 2-valent vertices labelled by 1. It is sometimes convenient +when writing formulas for 3-valent graphs to also allow 2-valent vertices labelled +by 1: we allow ourselves to do so, noting that the above can always be used to +eliminate the 2-valent vertices. +Proof of Theorem 5.2. As a matter of notation we will formally manipulate modi- +fied twisted Miller–Morita–Mumford classes, but this is equivalent to manipulating +marked oriented graphs. Rearranging the first contraction formula gives +(5.3) +κ¯εaeb = +χ +χ−2 +� +λ1,2κ¯ε2+aeb−1 − +1 +χ2 κe2κ¯εaeb−1 +� +. +Rearranging the second contraction formula gives +κ¯εa+b = λa+1,a+2(κ¯εa+1 · κ¯ε1+b) − +1 +χ2 (κe2 · κ¯εa · κ¯εb) + 1 +χ(κ¯εae · κ¯εb + κ¯εa · κ¯εbe) + +24 +OSCAR RANDAL-WILLIAMS +and using (5.3) to eliminate the Euler classes from the last two terms gives +κ¯εa+b = λa+1,a+2(κ¯εa+1 · κ¯ε1+b) − +1 +χ2 (κe2 · κ¯εa · κ¯εb) ++ +1 +χ−2((λ1,2(κ¯ε2+a) − +1 +χ2 κe2κ¯εa) · κ¯εb + κ¯εa · (λ1,2(κ¯ε2+b) − +1 +χ2 κe2κ¯εb)) += λa+1,a+2(κ¯εa+1 · κ¯ε1+b) + +1 +χ−2 ((λ1,2(κ¯ε2+a) · κ¯εb + κ¯εa · λ1,2(κ¯ε2+b)) +− +1 +χ(χ−2)κe2 · κ¯εa · κ¯εb. +It suffices to show that each corolla κ¯εaeb may be represented by a linear combi- +nation of trivalent graphs. By Example 2.8 the class κe2 may be represented by a +trivalent graph (after inverting χ − 3) so by iteratedly applying (5.3) it suffices to +show that each κ¯εn can too. By Remark 5.4 we may as well show that classes can +be represented by 2- and 3-valent graphs. To get started we have κ¯ε = 0 as it has +negative degree. +Consider the class λ2,5λ3,4(κ¯ε1,2,3 ·κ¯ε4,5,6). Using the form of the relations above, +which avoid creating Euler classes, this is +λ2,5(κ¯ε1,2,5,6 − +1 +χ−2(λu,v(κ¯εu,v,1,2)κ¯ε5,6 + κ¯ε1,2λu,v(κ¯εu,v,5,6)) + +1 +χ(χ−2)(κe2κ¯ε1,2κ¯ε5,6)) += λ2,5(κ¯ε1,2,5,6) − +2 +χ−2λu,v(κ¯εu,v,1,6) + +1 +χ(χ−2)κe2κ¯ε1,6 += χ−4 +χ−2λ2,5(κ¯ε1,2,5,6) + +1 +χ(χ−2)κe2κ¯ε1,6 +Renumbering legs and rearranging, this shows that λ1,2(κ¯ε4) may be represented +by 2- and 3-valent graphs. +Applied with (a, b) = (2, 2) the second relation gives +κ¯ε4 = λ3,4(κ¯ε3 · κ¯ε3) + +1 +χ−2 ((λ1,2(κ¯ε4) · κ¯ε2 + κ¯ε2 · λ1,2(κ¯ε4)) − +1 +χ(χ−2)κe2 · κ¯ε2 · κ¯ε2, +which with the above shows that κ¯ε4 may be represented by 2- and 3-valent graphs. +Similarly to the above, consider λ2,5λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6,7), which is +λ2,5(κ¯ε1,2,5,6,7 + +1 +χ(χ−2)κe2κ¯ε1,2κ¯ε5,6,7 − +1 +χ−2(λu,v(κ¯εu,v,1,2)κ¯ε5,6,7 + κ¯ε1,2λu,v(κ¯εu,v,5,6,7))) += λ2,5(κ¯ε1,2,5,6,7) + +1 +χ(χ−2)κe2κ¯ε1,6,7 − +1 +χ−2(λ2,5λu,v(κ¯εu,v,1,2κ¯ε5,6,7) + λu,v(κ¯εu,v,1,6,7)) += χ−3 +χ−2λ2,5(κ¯ε1,2,5,6,7) + +1 +χ(χ−2)κe2κ¯ε1,6,7 − +1 +χ−2λ2,5λu,v(κ¯εu,v,1,2)κ¯ε5,6,7. +Renumbering legs and rearranging, this shows that λ1,2(κ¯ε5) may be represented by +2-, 3-, and 4-valent graphs; with the above it follows that it can also be represented +by 2- and 3-valent graphs. +Applied with (a, b) = (2, 3) the second relation gives +κ¯ε5 = λ3,4(κ¯ε3 · κ¯ε4) + +1 +χ−2 ((λ1,2(κ¯ε4) · κ¯ε3 + κ¯ε2 · λ1,2(κ¯ε5)) − +1 +χ(χ−2)κe2 · κ¯ε2 · κ¯ε3, +so it follows that κ¯ε5 may be represented by 2- and 3-valent graphs. +If n ≥ 6 then we can write n = a + b with a, b ≥ 3, so a + 2, b + 2 < n and so the +second relation expresses κ¯εn in terms of κ¯εm’s with m < n. Thus all κ¯εn’s may be +represented by 2- and 3-valent graphs as required. +□ +It is worth observing that we have the relation +(5.4) +λ1,2(κ¯ε3) = χ−2 +χ κ¯εe + +1 +χ2 κe2κ¯ε = 0, +using that κ¯εe = 0 (by definition) and that κ¯ε = 0 (as it has negative degree). This +means that any graph having a trivalent vertex with a loop is trivial in Graph(−). + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +25 +5.3. A remark on orderings. A curious normalisation is possible when consider- +ing trivalent graphs, allowing one to neglect the orderings of vertices, of half-edges, +and the orientations of edges. In [Mor96, KM96, KM01] this is implemented ab +initio and (marked) oriented graphs play no role. Let us explain this normalisation, +extended to trivalent graphs with legs. +A trivalent graph ˜Γ with legs S consists of a set V of vertices, a set H of half- +edges, a 3-to-1 map a : H → V recording to which vertex each half-edge is incident, +and an unordered matching µ on H ⊔ S recording which half-edges span an edge, +and which half-edges are connected to which legs. +Given a trivalent graph ˜Γ = (V, H, a : H → V, µ) with legs S, we may choose an +ordering of V and choose an ordering of H such that a : H → V is weakly monotone +(equivalently, choose an ordering of the half-edges incident at each vertex). We also +choose an ordering of S. +There is an induced ordering of H ⊔ S by putting ⃗S +after ⃗H, and we form an ordered matching m of H ⊔ S by taking those pairs +(a, b) with a < b and {a, b} ∈ µ. Using this we form an oriented trivalent graph +Γchoice = (⃗V , ⃗H, a : H → V, m), depending on these choices. The normalisation is +as follows. Let x1 < x2 < x3 < x4 < . . . < x2k ∈ H ⊔ S be the total order on +H ⊔ S, and let a1 < b1, . . . , ak < bk be the ordered pairs which span an edge, with +a1 < a2 < . . . < ak ∈ H ⊔ S. Then there is a bijection given by +ρ := +� a1 b1 a2 b2 a3 b3 ··· +ak +bk +x1 x2 x3 x4 x5 x6 ··· x2k−1 x2k +� +and we define Γ := sign(ρ) · Γchoice. +Claim. As long as ˜Γ has no vertices with loops, the element Γ does not depend +on the choice of ordering of V or H, and depends on the ordering of S precisely as +the sign representation. +In particular if we set5 +Graphundec(S) := Q[χ±1][˜Γ trivalent graph with legs S]/(graphs with loops) +then the Claim together with the relation (5.4) provides an epimorphism +Φ : Graphundec(S) ⊗ det QS −→ Graphtri(S) +of Q[χ±1]-modules, natural with respect to bijections in S. This can be extended to +a natural transformation of functors on sBrχ by letting an ordered matching (a, b) +of elements of S act by adding an edge to the trivalent graph connecting a and b, +and contracting the determinant by a ∧ b. Doing so might create a circle with no +vertices, which should be replaced by the scalar χ − 2. +Proof of Claim. If (h1, h2, h3) are the half-edges incident at a vertex v and we +change their ordering to (hσ(1), hσ(2), hσ(3)) giving Γ′ +choice, then (under the assump- +tion that Γ does not have loops) the relative ordering of half-edges forming an +edge has not changed, so m′ = m. Thus Γ′ +choice = sign(σ) · Γchoice. On the other +hand ρ′ is obtained from ρ by postcomposing with σ, and precomposing with a +permutation which permutes some (ai < bi)’s, which is an even permutation. Thus +sign(ρ′) = sign(σ) · sign(ρ), so Γ′ = Γ. +Suppose a vertex v1 has half edges (h1 +1, h1 +2, h1 +3) and v2 has half edges (h2 +1, h2 +2, h2 +3), +and v1 < v2 ∈ ⃗V are adjacent in the ordering on V , and consider transposing the +ordering of these vertices. For edges between a u < v1 and a vi or between a vi and +a u > v2 the relative ordering of their half-edges does not change. Edges between +v1 and v2 have the relative ordering of their half-edges reversed. Thus if there are +N such edges we have Γ′ +choice = (−1)1+N ·Γchoice. But the permutation ρ is changed +5In [Mor96, KM96, KM01] they restrict to “trivalent graphs without loops”, however we find +it more natural to allow loops but set graphs with a loop to zero. + +26 +OSCAR RANDAL-WILLIAMS +by permuting (h2 +1, h2 +2, h2 +3) past (h1 +1, h1 +2, h1 +3), which has sign −1, and N transpositions +(aibi), which has sign (−1)N. Thus again Γ′ = Γ. +Finally, changing the order of S by a permutation τ changes ρ by postcomposition +with τ, so acts as sign(τ). +□ +Example 5.5. For the ordering of vertices and half-edges corresponding to the +theta-graph in Example 2.8 the associated permutation is ρ = (1)(235)(46) which +is odd, so the undecorated theta-graph yields χ−3 +χ κe2. This is precisely minus the +evaluation of βΓ2 on [KM01, p. 39] (unfortunately the theta-graph is denoted Γ2 in +that paper). This minus comes from the use of a different sign convention, see the +discussion at [KRW20b, top of p. 33]. +5.4. Relations among trivalent graphs. The modified contraction formula de- +scribes relations among graphs involving contracting an edge, but this necessarily +involves graphs with vertices of different valencies. In Theorem 5.2 we have ex- +plained that, in the case of surfaces, all graphs may be expressed purely in terms of +trivalent graphs: one may ask what relations among trivalent graphs Γ are imposed +by the contraction formula. +For the unmodified contraction formula discussed in [KRW20b], the answer is +that it imposes the “I = H” relation among trivalent graphs: this is because +both the I- and H-graphs admit contractions to the X-graph. Furthermore, as all +connected trivalent graphs with the same number of legs and of the same genus are +equivalent under the “I = H” relation, and the contraction formula never changes +the genus or number of legs, there are no further relations. +In the setting of the modified contraction formula discussed here it is more +complicated. It is best given in the setting of undecorated trivalent graphs. +Theorem 5.6. After inverting χ−2, χ−3, and χ−4, undecorated trivalent graphs +which differ locally by +(IHmod) += ++ +1 +(χ−4)(3−χ)( +− +) ++ +1 +χ−4( ++ +− +− +) +give the same elements in Graphtri[(χ − 2)−1, (χ − 3)−1, (χ − 4)−1]. +Proof. We establish this relation in Graphtri({a, b, c, d})⊗detQ{a,b,c,d}, and it then +follows in general using functoriality on the signed Brauer category. We order the +legs as a < b < c < d. +(i) +a +b +c +d +1 +3 +5 +6 2 +4 +(ii) +a +b +c +d +1 2 +6 +3 4 +5 +Figure 3. Some marked graphs. +Consider first the H-shaped graph shown in Figure 3 (i), with the depicted names +of half edges, ordered as 3 < 1 < 5 < 6 < 2 < 4. Its corresponding permutation is +� 3 c 1 a 5 6 2 b 4 d +3 1 5 6 2 4 a b c d +� +which is even. Thus this ordering data represents the underlying + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +27 +undecorated H-shaped trivalent graph. Ignoring for now the matchings to the legs +(which are given by matching 1 with a, 2 with b, and so on), it corresponds to +λ5,6(κ¯ε3,1,5 · κ¯ε6,2,4). Using the form of the relations which avoid creating Euler +classes from the proof of Theorem 5.2 we have +λ5,6(κ¯ε3,1,5 · κ¯ε6,2,4) = κ¯ε3,1,2,4 + +1 +χ(χ−2)κe2κ¯ε3,1κ¯ε2,4 +− +1 +χ−2(λu,v(κ¯εu,v,3,1)κ¯ε2,4 + κ¯ε3,1λu,v(κ¯εu,v,2,4)). +Consider now the I-shaped graph shown in Figure 3 (ii), with the depicted names +of the half-edges, ordered as 4 < 3 < 5 < 6 < 1 < 2. Its corresponding permutation +is +� 4 d 3 c 5 6 1 a 2 b +4 3 5 6 1 2 a b c d +� +which is odd. Thus this ordering data represents minus the +underlying undecorated I-shaped trivalent graph. Ignoring again the matchings to +the legs, it corresponds to +λ5,6(κ¯ε4,3,5 · κ¯ε6,1,2) = κ¯ε4,3,1,2 + +1 +χ(χ−2)κe2κ¯ε4,3κ¯ε1,2 +− +1 +χ−2(λu,v(κ¯εu,v,4,3)κ¯ε1,2 + κ¯ε4,3λu,v(κ¯εu,v,1,2)). +The sum of these two expressions therefore represents the image under Φ of +the difference H − I of the underlying undecorated trivalent graphs. Furthermore, +κ¯ε4,3,1,2 = −κ¯ε3,1,2,4 so these terms cancel. +From the proof of Theorem 5.2 we have the identity +λu,v(κ¯εu,v,s,t) = χ−2 +χ−4λi,jλk,l(κ¯εs,i,k · κ¯εl,j,t) − +1 +χ(χ−4)κe2κ¯εs,t, +expressing terms of the form λu,v(κ¯εu,v,s,t) in terms of (2- and) 3-valent vertices. +Applying it to the sum of the two expressions above, and collecting terms, therefore +gives +Φ(H − I) = +1 +χ(χ−4)κe2� +κ¯ε3,1κ¯ε2,4 + κ¯ε4,3κ¯ε2,1� +− +1 +χ−4 +� +λi,jλk,l(κ¯ε3,i,k · κ¯εl,j,1)κ¯ε2,4 + κ¯ε3,1λi,jλk,l(κ¯ε2,i,k · κ¯εl,j,4) +λi,jλk,l(κ¯ε4,i,k · κ¯εl,j,3)κ¯ε1,2 + κ¯ε4,3λi,jλk,l(κ¯ε1,i,k · κ¯εl,j,2) +� +. +Using that κe2 = Φ( +χ +χ−3Θ) and carefully putting the graphs corresponding to the +other terms into the normal form of Section 5.3 gives the identity in the statement +of the theorem. +□ +Our relation IHmod is graphically identical to the relation called IHbis +0 +by +Akazawa [Aka05, p. 100] and in the corrigendum [GN07] to the paper of Garo- +ufalidis and Nakamura [GN98]. In those papers it is emphasised that IHbis +0 +means +this identity is imposed only when the 4 half-edges belong to distinct edges, but +in fact this is redundant: if the 4 half-edges do not belong to distinct edges, then +the identity already holds in Graphundec. So in fact imposing our relation IHmod +is identical to imposing their relation IHbis +0 . +Theorem 5.7. Upon inverting χ − 2, χ − 3, and χ − 4, the maps +Graphundec(S) +(IHmod) +⊗ det QS +Φ +−→ Graphtri(S) +inc +−→ Graph(S) +are isomorphisms. +Proof. Let R := Q[χ±1, (χ − 2)−1, (χ − 3)−1, (χ − 4)−1] and implicitly base change +to this ring. We have already shown in Corollary 5.3 that the second map is an +isomorphism, and Φ is certainly an epimorphism, so it remains to show that the +composition is a monomorphism. + +28 +OSCAR RANDAL-WILLIAMS +For an undecorated trivalent graph Γ, define a double edge to be an unordered +pair of vertices which share precisely two edges, and a triple edge to be an unordered +pair of vertices which share precisely three edges, i.e. form a theta-graph. Define +µ(Γ) := 2 · #double edges of Γ + 3 · #triple edges of Γ, +filter Graphundec by letting F kGraphundec be spanned by those Γ with µ(Γ) ≥ k, +and give Graphundec/(IHmod) the induced filtration. +If Γ = ΓH is a graph with µ(Γ) = k and a distinguished “H” subgraph, and ΓI +is obtained by replacing this “H”-subgraph by “I”, then by applying the relation +IHmod to this subgraph we find that +(i) if the edge involved is not part of a double or triple edge then the relation +gives ΓH − ΓI ∈ F k+1Graphundec/(IHmod), +(ii) if the edge involved is part of a double or triple edge then the relation is trivial +(i.e. already holds in Graphundec). +Thus the associated graded of the induced filtration on Graphundec/(IHmod) can +be described as Graphundec/(IH0), where as in [GN98] the relation IH0 means +imposing the “I = H” relation when the four half-edges belong to different edges. +Now IH0 is an equivalence relation on the set of isomorphism classes of trivalent +graphs without loops, and similarly to [GN98, Proof of Proposition 2.3 (c)] it is +easy to see that all connected trivalent graph without loops of the same rank and +with the same legs are equivalent to each other: in other words the equivalences +classes of such are given by partitions of S (the parts are the legs of each connected +component) labelled by a power of e (recording the rank of the graph). It follows +that the rank of Graphundec/(IHmod) in each degree, as an R-module, is at most that +of Graph(∅) as determined in Lemma 5.1, and so the composition in the statement +of the theorem, which is an epimorphism, must be an isomorphism. +□ +5.5. On the work of Garoufalidis and Nakamura. The discussion of the last +few sections can be used to complete the work of Garoufalidis and Nakamura [GN98, +GN07], concerning the calculation of the invariants [Λ∗V13/(V22)]Sp in a stable +range. Here we write Vλ for the irreducible Sp-representation corresponding to the +partition λ, which was written as [λ]sp in those papers, and V22 denotes the unique +copy of this irreducible in Λ2V13. +Combining Theorem 1.1 and Proposition 2.3 +(c) of [GN98] was supposed to calculate [Λ∗V13/(V22)]Sp in a stable range, but for +the corrected version of Theorem 1.1 in [GN07], which expresses these invariants as +Graphundec(∅)g/(IHbis +0 ), the authors say “it turns out that a simple stable structure +of [these invariants] as in Proposition 2.3 (c) will not be easy to detect”. However +Theorem 5.7 and equation (5.2) gives that +[Λ∗V13/(V22)]Sp ∼= Graphundec(∅)g/(IHbis +0 ) ∼= Graph(∅)g ∼= Q[Γ1, Γ2, . . .] +in a stable range. Thus in fact Proposition 2.3 (c) of [GN98] is correct as stated. +Remark 5.8. This can also be obtained from the work of Felder, Naef, and Willwacher +[FNW21]. Specifically, the graded-commutative algebra A(g) defined just before +Theorem 6 of that paper is Λ∗V13/(V22), and Theorem 6 together with Proposition +36 (3) also gives the above. +References +[Aka05] +H. Akazawa, Symplectic invariants arising from a Grassmann quotient and trivalent +graphs, Math. J. Okayama Univ. 47 (2005), 99–117. +[Bol12] +S. K. Boldsen, Improved homological stability for the mapping class group with inte- +gral or twisted coefficients, Math. Z. 270 (2012), no. 1-2, 297–329. +[FNW21] +M. Felder, F. Naef, and T. Willwacher, Stable cohomology of graph complexes, +https://arxiv.org/abs/2106.12826, 2021. + +ON THE COHOMOLOGY OF TORELLI GROUPS. II +29 +[GN98] +S. Garoufalidis and H. Nakamura, Some IHX-type relations on trivalent graphs and +symplectic representation theory, Math. Res. Lett. 5 (1998), no. 3, 391–402. +[GN07] +, Corrigendum: “Some IHX-type relations on trivalent graphs and symplectic +representation theory” [Math. Res. Lett. 5 (1998), no. 3, 391–402], Math. Res. Lett. +14 (2007), no. 4, 689–690. +[GRW14] +S. Galatius and O. Randal-Williams, Stable moduli spaces of high-dimensional man- +ifolds, Acta Math. 212 (2014), no. 2, 257–377. +[GRW17] +, Homological stability for moduli spaces of high dimensional manifolds. II, +Ann. of Math. (2) 186 (2017), no. 1, 127–204. +[GRW18] +, Homological stability for moduli spaces of high dimensional manifolds. I, J. +Amer. Math. Soc. 31 (2018), no. 1, 215–264. +[GRW19] +, Moduli spaces of manifolds: a user’s guide, Handbook of homotopy theory, +Chapman & Hall/CRC, CRC Press, Boca Raton, FL, 2019, pp. 445–487. +[GTMW09] S. Galatius, U. Tillmann, I. Madsen, and M. Weiss, The homotopy type of the cobor- +dism category, Acta Math. 202 (2009), no. 2, 195–239. +[Hai20] +R. Hain, Johnson homomorphisms, EMS Surv. Math. Sci. 7 (2020), no. 1, 33–116. +[Joh85] +D. Johnson, The structure of the Torelli group. III. The abelianization of T , Topology +24 (1985), no. 2, 127–144. +[KM96] +N. Kawazumi and S. Morita, The primary approximation to the cohomology of the +moduli space of curves and cocycles for the stable characteristic classes, Math. Res. +Lett. 3 (1996), no. 5, 629–641. +[KM01] +, +The +primary +approximation +to +the +cohomology +of +the +mod- +uli +space +of +curves +and +cocycles +for +the +Mumford-Morita-Miller +classes, +www.ms.u-tokyo.ac.jp/preprint/pdf/2001-13.pdf, 2001. +[Kre79] +M. +Kreck, +Isotopy +classes +of +diffeomorphisms +of +(k − 1)-connected +almost- +parallelizable 2k-manifolds, Algebraic topology, Aarhus 1978 (Proc. Sympos., Univ. +Aarhus, Aarhus, 1978), Lecture Notes in Math., vol. 763, Springer, Berlin, 1979, +pp. 643–663. +[KRW20a] +A. Kupers and O. Randal-Williams, The cohomology of Torelli groups is algebraic, +Forum of Mathematics, Sigma 8 (2020), e64. +[KRW20b] +, On the cohomology of Torelli groups, Forum of Mathematics, Pi 8 (2020), +e7. +[KRW21] +, On the Torelli Lie algebra, https://arxiv.org/abs/2106.16010, 2021. +[Mor96] +S. Morita, A linear representation of the mapping class group of orientable sur- +faces and characteristic classes of surface bundles, Topology and Teichm¨uller spaces +(Katinkulta, 1995), World Sci. Publ., River Edge, NJ, 1996, pp. 159–186. +[Qui71] +D. Quillen, The spectrum of an equivariant cohomology ring. I, Ann. of Math. (2) 94 +(1971), 549–572. +[RW16] +O. Randal-Williams, Resolutions of moduli spaces and homological stability, J. Eur. +Math. Soc. (JEMS) 18 (2016), no. 1, 1–81. +Email address: o.randal-williams@dpmms.cam.ac.uk +Centre for Mathematical Sciences, Wilberforce Road, Cambridge CB3 0WB, UK + diff --git a/OtAzT4oBgHgl3EQfIftM/content/tmp_files/load_file.txt b/OtAzT4oBgHgl3EQfIftM/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..63e18c946ebe1bb327d4d2b9ec426408b629e4a3 --- /dev/null +++ b/OtAzT4oBgHgl3EQfIftM/content/tmp_files/load_file.txt @@ -0,0 +1,1166 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf,len=1165 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='01062v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='AT] 3 Jan 2023 ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II OSCAR RANDAL-WILLIAMS Abstract.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We describe the ring structure of the rational cohomology of the Torelli groups of the manifolds #gSn × Sn in a stable range, for 2n ≥ 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Some of our results are also valid for 2n = 2, where they are closely related to unpublished results of Kawazumi and Morita.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Contents 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Introduction 1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Characteristic classes 3 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Twisted cohomology of diffeomorphism groups 9 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Cohomology of Torelli groups 19 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The case 2n = 2 22 References 28 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Introduction This paper can be considered as a (somewhat extensive) addendum to our earlier work with Kupers [KRW20b].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We shall be concerned with the manifold Wg := #gSn × Sn generalising to higher dimensions the orientable surface of genus g, its topological group Diff+(Wg) of orientation-preserving diffeomorphisms, and various subgroups of it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The first kind of subgroups are Diff(Wg, D2n) ≤ Diff+(Wg, ∗) ≤ Diff+(Wg), the diffeomorphisms which fix a disc and a point respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The second kind are their Torelli subgroups Tor(Wg, D2n), Tor+(Wg, ∗), Tor+(Wg), consisting of those diffeomorphisms which in addition act trivially on Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The intersection form on this middle cohomology group is nondegenerate and (−1)n- symmetric, giving a homomorphism αg : Diff+(Wg) −→ Gg := � Sp2g(Z) if n is odd, Og,g(Z) if n is even.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This map is not always surjective, but its image is a certain finite-index subgroup G′ g ≤ Gg, even when restricted to Diff(Wg, D2n), so there is an outer G′ g-action on each of the Torelli subgroups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This makes the rational cohomology of each of the Torelli groups into G′ g-representations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In [KRW20b], for 2n ≥ 6 we determined H∗(BTor(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) as a ring and as a G′ g-representation in a range of degrees tending to infinity with g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using the Serre spectral sequence associated to various simple fibrations relating the dif- ferent Torelli groups we were able to also determine H∗(BTor+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) and H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) as G′ g-representations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This kind of argument was not able to 2010 Mathematics Subject Classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 55R40, 11F75, 57S05, 18D10, 20G05.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Key words and phrases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Cohomology of diffeomorphism groups, Torelli groups, cohomology of arithmetic groups, Miller-Morita-Mumford classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 1 2 OSCAR RANDAL-WILLIAMS determine the ring structure, however, as multiplicative information gets lost when passing to the associated graded of the Serre filtration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Here we shall determine H∗(BTor+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) and H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) as Q-algebras too: this is achieved in Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The statement given there is more powerful, but just as in [KRW20b, Section 5] one can extract from it the following presentation for H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), which is easier to parse.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (A presentation for H∗(BTor+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) can be extracted in a similar way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=') Let us write H(g) := Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), on which G′ g operates in the evident way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let λ : H(g) ⊗ H(g) → Q denote the intersection form, and {ai}2g i=1 be a basis of H(g) with dual basis {a# i }2g i=1 in the sense that λ(a# i , aj) = δij, so that the form dual to the pairing λ is ω = �2g i=1 ai ⊗ a# i .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 we will construct certain “modified twisted Miller–Morita–Mumford classes”, which when restricted to the Torelli group yield G′ g-equivariant maps ¯κc : H(g)⊗r −→ Hn(r−2)+|c|(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) for each c ∈ Q[e, p1, p2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , pn−1] = H∗(BSO(2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) and each s ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' When r = 0 we write ¯κc = ¯κc(1);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' these agree with the usual Miller–Morita–Mumford classes κc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If 2n ≥ 6 then, in a range of degrees tending to infinity with g, H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is generated as a Q-algebra by the classes ¯κc(v1 ⊗ · · · ⊗ vr) for c a monomial in e, p1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , pn−1, and r ≥ 0, such that n(r −2)+|c| > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' A complete set of relations in this range is given by (i) ¯κc(vσ(1) ⊗ · · · ⊗ vσ(r)) = sign(σ)n · ¯κc(v1 ⊗ · · · ⊗ vr), (ii) ¯κe(v1) = 0, (iii) � i ¯κx(v ⊗ ai) · ¯κy(a# i ⊗ w) = ¯κx·y(v ⊗ w) + 1 χ2 ¯κe2 · ¯κx(v) · ¯κy(w) − 1 χ � ¯κe·x(v) · ¯κy(w) + ¯κx(v) · ¯κe·y(w) � , (iv) � i ¯κx(v ⊗ ai ⊗ a# i ) = χ−2 χ ¯κe·x(v) + 1 χ2 ¯κe2 · ¯κx(v), (v) ¯κLi = 0, for v ∈ H(g)⊗r and w ∈ H(g)⊗s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For 2n = 4 or 2n = 2 there is still a map from the Q-algebra given by this presentation to H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If 2n = 2 then (in a stable range) this map is an isomorphism onto the maximal algebraic subrepresentation in degrees ≤ N, assuming that H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is finite-dimensional in degrees < N for all large enough g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This is known to hold for N = 2 by work of Johnson [Joh85].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Outline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The overall strategy is parallel to [KRW20b].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There we defined cer- tain twisted Miller–Morita–Mumford classes and used them to describe the twisted cohomology groups H∗(BDiff+(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗s) in a stable range of degrees, where H is the local coefficient system corresponding to Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) with the action by dif- feomorphisms of Wg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This calculation was valid for 2n = 2 as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using that for 2n ≥ 6 the G′ g-representations H∗(BTor+(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) extend to representations of the ambient algebraic group (namely Sp2g or Og,g) by [KRW20a]1, the argument was completed by establishing the degeneration of the Serre spectral sequence Ep,q 2 = Hp(G′ g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Hq(BTor+(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)⊗H⊗s) =⇒ Hp+q(BDiff+(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗s) using work of Borel, and then using a categorical form of Schur–Weyl duality to ex- tract the structure of H∗(BTor+(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) from the H∗(BDiff+(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗s) for all s’s and various structure maps between them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 1In fact we did something more complicated in [KRW20b] because this algebraicity result was not known at the time, but please allow some narrative leeway.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 3 The twisted Miller–Morita–Mumford classes may be defined on BDiff+(Wg, ∗) too, but not on BDiff+(Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Our first task will be to define so-called “modi- fied twisted Miller–Morita–Mumford classes” in H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗s) and analyse their behaviour: it turns out that their behaviour is significantly more complicated than the unmodified version, though still understandable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We will then use them to describe the twisted cohomology groups H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗s) in a stable range of degrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This description will be in terms of a certain vector space of graphs with vertices labelled by monomials in Euler and Pontrjagin classes, which play the role here of the vector spaces of labelled partitions from [KRW20b].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The passage from this calculation to H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is as above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The case of dimension 2n = 2 is somewhat special, in precisely the same way as it was in [KRW20b]: the calculation of H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗s) is valid in this case, but as the cohomology of BTor+(Wg) is not even known to be finite-dimensional in a stable range, we cannot make a conclusion about it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (Instead one can make a conclusion about the continuous cohomology of the Torelli group, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' the Lie algebra cohomology of its Mal’cev Lie algebra: see [KRW21], [FNW21], [Hai20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=') In addition, in this case our modified twisted Miller–Morita–Mumford classes are essentially the same as those that have been defined by Kawazumi and Morita [Mor96, KM96, KM01], and the graphical calculus that we employ is similar to theirs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In Section 5 we fully explain this connection, and also relate it to work of Garoufalidis and Nakamura [GN98, GN07] and Akazawa [Aka05].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To avoid a great deal of repetition we have refrained from spelling out a lot of the background that was given in [KRW20b], and from giving in detail arguments that are very similar to those given there.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As such this paper should not be considered as attempting to be self-contained: given that its interest will be to readers of [KRW20b] this should not present a problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Acknowledgements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' I am grateful to Alexander Kupers for feedback on an earlier draft.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' I was supported by the ERC under the European Union’s Horizon 2020 research and innovation programme (grant agreement No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 756444) and by a Philip Leverhulme Prize from the Leverhulme Trust.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Characteristic classes 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Recollection on twisted Miller–Morita–Mumford classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If π′ : E′ → X′ is an oriented smooth W 2n g -bundle equipped with a section s : X′ → E′, and H denotes the local coefficient system x �→ Hn((π′)−1(x);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) on X′, then it is explained in [KRW20b, Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2] that there is a unique class ε = εs ∈ Hn(E′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) characterised by (i) for each x ∈ X′ the element ε|(π′)−1(x) ∈ Hn((π′)−1(x);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)⊗Hn((π′)−1(x);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is coevaluation, and (ii) s∗ε = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The proof is as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The Serre spectral sequence yields an exact sequence 0 → Hn(X′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) (π′)∗ → Hn(E′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) → H0(X′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H∨⊗H) dn+1 → Hn+1(X′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) (π′)∗ → Hn+1(E′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) and the section s shows that the right-hand map (π′)∗ is injective, so that the map dn+1 is zero, and splits the left-hand map (π′)∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The class coev ∈ H0(X′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H∨ ⊗ H) then gives rise to a unique ε satisfying the given properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We then defined the twisted Miller–Morita–Mumford class (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) κεac = κεac(π′, s) := � π′ εa · c(Tπ′E′) ∈ H(a−2)n+|c|(X′;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 4 OSCAR RANDAL-WILLIAMS 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Modified twisted Miller–Morita–Mumford classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If π : E → X is an oriented smooth W 2n g -bundle but is not equipped with a section then, as long as χ := χ(Wg) = 2 + (−1)n2g ̸= 0 (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (n, g) ̸= (odd, 1), cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1), the cohomological role of the section can instead be played by the transfer map 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · −) : H∗(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) −→ H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H), where e := e(TπE) ∈ H2n(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) denotes the Euler class of the vertical tangent bundle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The projection formula 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · π∗(x)) = 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e) · x = χ χx = x shows that this map splits π∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus in this situation there is a unique class ¯ε ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) characterised by (i) for each x ∈ X the element ¯ε|π−1(x) ∈ Hn(π−1(x);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ Hn(π−1(x);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is coevaluation, and (ii) 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · ¯ε) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If (n, g) = (odd, 1) then there is no class ¯ε ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) satisfying (i) and natural under pullback.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To see this it suffices to give one example of a smooth oriented W1-bundle for which ¯ε does not exist.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider the Borel construction for the evident action of S1 × S1 on W1 = Sn × Sn given by considering Sn as the unit sphere in C(n+1)/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This gives a smoth oriented W1-bundle over B(S1 × S1) with total space E ≃ CP(n−1)/2 × CP(n−1)/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) = 0 as n is odd but E has a cell structure with only even-dimensional cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By analogy with (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) we may then define the modified twisted Miller–Morita– Mumford class (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2) κ¯εac = κ¯εac(π) := � π ¯εa · c(TπE) ∈ H(a−2)n+|c|(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If π : E → X does have a section s : X → E then the class ε ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) is also defined, and we may compare it with ¯ε as follows: Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If π : E → X has a section then ¯ε = ε − 1 χπ∗κεe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The classes ε, ¯ε ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) are both defined, and agree when restricted to the fibres of the map π, so by considering the Serre spectral sequence for π we must have ¯ε − ε = π∗(x) for some class x ∈ Hn(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Applying 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · −) we see that x = 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · (¯ε − ε)) = 0 − 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · ε) = − 1 χκεe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (Here we have used, as we often will, the fact that e has even degree to commute it past ε.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=') □ Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 (Splitting principle).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The pullback (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3) E1 ×X E2 E2 E1 X, pr1 pr2 π2 π1 where πi : Ei → X are copies of the map π, is equipped with a section given by the diagonal map ∆ : E1 → E1 ×X E2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As the maps π∗ 1 and pr∗ 2 are injective (they are split by their corresponding transfer maps), for the purpose of establishing identities between the characteristic classes we have discussed it suffices to do so for bundles which do have a section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There is another description of ¯ε which is sometimes useful.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let pr1 : E ×X E → E be as in (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3), which is an oriented Wg-bundle with section given by the diagonal map ∆, and so has the class κεe(pr1, ∆) defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 5 Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We have ¯ε = − 1 χκεe(pr1, ∆) ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 we may suppose without loss of generality that π : E → X has a section s : X → E, defining a class ε = εs ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider the pullback square (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' let ei = (pri)∗(e) ∈ H2n(E1 ×X E2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) be the Euler class of the vertical tangent bundle on the ith factor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Considering pr1 as a Wg-bundle with section given by the diagonal map ∆, there is a class ε∆ ∈ Hn(E1 ×X E2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As both ε∆ and pr∗ 2(εs) restrict to coevaluation on the fibres of pr1, we have ε∆ − pr∗ 2(εs) = pr∗ 1(x) for some class x ∈ Hn(E1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Pulling this equation back along ∆ shows that x = −εs, so ε∆ = pr∗ 2(εs) − pr∗ 1(εs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Then we have κεe(pr1, ∆) = (pr1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (ε∆ · e2) = (pr1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ((pr∗ 2(εs) − pr∗ 1(εs)) · e2) = (pr1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (pr∗ 2(εs · e)) − (pr1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (pr∗ 1(εs) · e2) = π∗ 1(π2)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (εs · e) − χεs = π∗ 1κεe(π, s) − χεs = −χ¯ε as required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ The intersection form of the fibres of π : E → X provides a map of local coeffi- cient systems λ : H⊗H → Q;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' as we will often be concerned with applying it to two factors of a tensor power H⊗k and will have to specify which factors we apply it to, we will denote λ by λ1,2 and more generally write λi,j : H⊗k → H⊗k−2 for the map that applies λ to the ith and jth factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We call such operations contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If p : E1 ×X E2 → X denotes the fibre product of two copies of π : E → X, and if this has a section s : X → E, then in [KRW20b, Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='9] we have established the formula (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) λ1,2(ε × ε) = ∆!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (1) − 1 × v − v × 1 + p∗s∗e ∈ H2n(E1 ×X E2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), where v = s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (1) ∈ H2n(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is the fibrewise Poincar´e dual to the section s, cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' [KRW20b, Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The analogue of this formula for ¯ε is as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We have λ1,2(¯ε × ¯ε) = ∆!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (1) + 1 χ2 p∗κe2 − 1 χ(e × 1 + 1 × e) ∈ H2n(E1 ×X E2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As in Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 we may suppose without loss of generality that π : E → X has a section s : X → E, so that ε ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) is defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 we have ¯ε = ε − 1 χπ∗κεe ∈ Hn(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H), and so λ1,2(¯ε × ¯ε) = λ1,2((ε − 1 χπ∗κe·ε) × (ε − 1 χπ∗κe·ε)) = λ1,2(ε × ε) − λ1,2( 1 χπ∗κεe × ε) − λ1,2(ε × 1 χπ∗κεe) + λ1,2( 1 χπ∗κεe × 1 χπ∗κεe).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The first term is given by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4), and using [KRW20b, Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='10] the last term is given by λ1,2( 1 χπ∗κεe × 1 χπ∗κεe) = 1 χ2 p∗λ1,2(κεe · κεe) = 1 χ2 p∗(κe2 + (χ2 − 2χ)s∗e).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For the middle two terms, note that ε × 1 χπ∗κεe = 1 χ(ε × 1) · p∗(κe·ε) = 1 χ(ε · π∗κεe) × 1 6 OSCAR RANDAL-WILLIAMS so we need to calculate λ1,2(ε · π∗κεe) ∈ H2n(E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The class ε · κεe is the fibre integral along pr1 : E1 ×X E2 → E1 of ε × (ε · e) = (ε × ε) · (1 × e), so λ1,2(ε · κεe) = (pr1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (λ1,2(ε × ε) · (1 × e)) = (pr1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='((∆!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (1) − 1 × v − v × 1 + p∗s∗e) · (1 × e)) = e − π∗s∗e − χv + χπ∗s∗e and hence λ1,2(ε × 1 χκεe) = 1 χ(e − π∗s∗e − χv + χπ∗s∗e) × 1 = 1 χe × 1 + χ−1 χ p∗s∗e − v × 1 and similarly λ1,2( 1 χκεe × ε) = 1 χ1 × e + χ−1 χ p∗s∗e − 1 × v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Combining these gives λ1,2(¯ε × ¯ε) = ∆!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (1) − 1 × v − v × 1 + p∗s∗e + 1 χ2 p∗κe2 + χ−2 χ p∗s∗e − ( 1 χe × 1 + χ−1 χ p∗s∗e − v × 1) − ( 1 χ1 × e + χ−1 χ p∗s∗e − 1 × v) = ∆!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (1) + 1 χ2 p∗κe2 − 1 χ(e × 1 + 1 × e) as required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ If in addition we have a lift ℓ : E → B of the fibrewise Gauss map along some fibration θ : B → BSO(2n) then for any c ∈ H∗(B;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) we can define modified twisted Miller–Morita–Mumford classes by the formula κ¯εac := π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯εa · ℓ∗c) ∈ Hn(a−2)+|c|(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Under the action of a permutation σ ∈ Sa of the tensor factors these classes transform as sign(σ)n, as ¯ε has degree n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus for any finite set S there is a well-defined element (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5) κ¯εSc := π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯εa · ℓ∗c) ∈ Hn(a−2)+|c|(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) ⊗ (det QS)⊗n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To keep track of signs, for an ordered set S = {s1 < s2 < · · · < sa} we will often write κ¯εs1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',sac ∈ Hn(a−2)+|c|(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) for the corresponding element, understand- ing that if σ is a reordering of S then κ¯εσ(s1),.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',σ(sa)c = sign(σ)nκ¯εs1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',sa c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5 we immediately see that these characteristic classes satisfy the following analogue of the contraction formula from [KRW20b, Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6 (Modified contraction formula).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−) we have the identities λ1,2(π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a · ℓ∗c)) = ( χ−2 χ )π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε3,4,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a · ℓ∗(e · c)) + 1 χ2 κe2 · π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε3,4,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a · ℓ∗c) and λa,a+1(π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a · ℓ∗c) · π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯εa+1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a+b · ℓ∗c′)) = π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a−1,a+2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a+b · ℓ∗(c · c′)) + 1 χ2 κe2 · π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a−1 · ℓ∗c) · π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯εa+2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a+b · ℓ∗c′) − 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a−1 · ℓ∗(e · c)) · π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯εa+2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a+b · ℓ∗c′) − 1 χπ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯ε1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a−1 · ℓ∗c) · π!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (¯εa+2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',a+b · ℓ∗(e · c′)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Similarly, from Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 we immediately obtain the following: ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 7 Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If the bundle π : E → X has a section, so that the class ε and hence κεSc is defined, then κ¯εSc = � I⊆S κεIc(− 1 χκεe)S\\I ∈ H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) ⊗ (det QS)⊗n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let us give an example of using the modified contraction formula to evaluate an expression.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider the class λ1,5λ2,6λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Then λ1,5λ2,6λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6) = λ1,5λ2,6 � κ¯ε1,2,5,6 + 1 χ2 κe2κ¯ε1,2κ¯ε5,6 − 1 χ(κ¯ε1,2eκ¯ε5,6 + κ¯ε1,2κ¯ε5,6e) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The first term is λ1,5λ2,6(κ¯ε1,2,5,6) = (−1)nλ1,5λ2,6(κ¯ε1,5,2,6) = (−1)nλ2,6( χ−2 χ κ¯ε2,6e + 1 χ2 κe2κ¯ε2,6) = (−1)n χ−2 χ ( χ−2 χ κe2 + 1 χ2 κe2χ) + (−1)n 1 χ2 κe2( χ−2 χ χ) = (−1)n( (χ−2)2 χ2 + 2 χ−2 χ2 )κe2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The second term is 1 χ2 κe2λ1,5λ2,6(κ¯ε1,2κ¯ε5,6) = (−1)n 1 χ2 κe2λ1,5λ2,6(κ¯ε1,2κ¯ε6,5) = (−1)n 1 χ2 κe2λ1,5(κ¯ε1,5) = (−1)n χ−2 χ2 κe2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The third term is − 1 χλ1,5λ2,6(κ¯ε1,2eκ¯ε5,6) = (−1)n+1 1 χλ1,5λ2,6(κ¯ε1,2eκ¯ε6,5) = (−1)n+1 1 χλ1,5(κ¯ε1,5e − 1 χκ¯ε1eκ¯ε5e) = (−1)n+1 1 χ � ( χ−2 χ κe2 + 1 χ2 κe2χ) − 1 χ(κe2 + 1 χ2 κe2χ2 − 1 χ(2χκe2)) � = (−1)n+1( χ−2 χ2 + 1 χ2 − 1 χ2 − 1 χ2 + 2 χ2 )κe2 = (−1)n+1 χ−1 χ2 κe2 and the fourth term is the same as the third by the evident symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In total we have λ1,5λ2,6λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6) = (−1)n( (χ−2)2 χ2 + 2 χ−2 χ2 + χ−2 χ2 − 2 χ−1 χ2 )κe2 = (−1)n χ−3 χ κe2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Graphical interpretation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In [KRW20b, Section 5] it was found to be very convenient to adopt a graphical formalism where κεac corresponds to a vertex with a half-edges incident to it and a formal label c, a product of κεac’s corresponds to a disjoint union of such vertices, and applying the contraction λi,j corresponds to pairing up the half-edges labelled i and j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It will be convenient to adopt a similar formalism here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let S be a finite set, and V be a graded Q-algebra with a distinguished element e ∈ V2n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Slightly modifying2 2The difference is that we allow labelled vertices whose contribution to the degree is 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 8 OSCAR RANDAL-WILLIAMS the definition from [KRW20b, Proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1], a marked oriented graph with legs S and labelled by V consists of the following data: (i) a totally ordered finite set ⃗V (of vertices), a totally ordered finite set ⃗H (of half-edges), and a monotone function a: ⃗H → ⃗V (encoding that a half-edge h is incident to the vertex a(h)), (ii) an ordered matching m = {(ai, bi)}i∈I of the set H ⊔ S (encoding the oriented edges of the graph), (iii) a function c: V → V with homogeneous values, such that |c(v)|+n(|a−1(v)|− 2) ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Marked oriented graphs Γ = (⃗V , ⃗H, a, m, c) and Γ′ = (⃗V ′, ⃗H′, a′, m′, c′) with the same set of legs S are isomorphic if there are order-preserving bijections ⃗V ∼ → ⃗V ′ and ⃗H ∼ → ⃗H′ which intertwine a and a′, intertwine c and c′, and send m to m′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' An oriented graph is an isomorphism class [Γ] of marked oriented graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We assign to a marked oriented graph Γ = (⃗V , ⃗H, a, m, c) the degree deg(Γ) := � v∈V � |c(v)| + n(|a−1(v)| − 2) � = n(|H| − 2|V |) + � v∈V |c(v)|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let π : E → X be an oriented Wg-bundle with a lift ℓ : E → B of the map clas- sifying the vertical tangent bundle along θ : B → BSO(2n), and let V := H∗(B;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) and e := θ∗e ∈ V2n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Then given a marked oriented graph Γ = (⃗V , ⃗H, a, m, c) with legs S we form a class ¯κ(Γ) ∈ Hdeg(Γ)(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) by the following recipe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Firstly, we may form (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6) � v∈V κ¯εa−1(v)c(v) ∈ H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗H), where we have used the ordering on ⃗V to order the product, and the ordering on ⃗H to trivialise the factor of (det QH)⊗n = (� v∈V det Qa−1(v))⊗n that arises from (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Secondly, taking two copies S1 and S2 of the set S and writing si ∈ Si for the element corresponding to s ∈ S we can form (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7) � s∈S κ¯εs1,s2 ∈ H∗(X, H⊗(S1⊔S2)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As each κ¯εs1,s2 has degree 0, the product does not depend on how the factors are ordered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Taking the product of (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6) and (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7) and then applying λx,y for each ordered pair (x, y) in the matching m on H ⊔ S = H ⊔ S1 gives the required class ¯κ(Γ) ∈ H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S2) = H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In this graphical interpretation we recognise the class evaluated in Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='8 as that associated to the theta-graph with a certain ordering and orientation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Clearly ¯κ(Γ) only depends on the underlying oriented graph [Γ].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We now describe how it transforms when the orderings on V , H, and the pairs m are changed, without changing the underlying labelled graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If Γ′ = (⃗V ′, ⃗H′, a′, m′, c′) is another marked oriented graph and there are bijections f : H → H′ and g : V → V ′ intertwining a and a′ and c and c′ and such that under these bijections the matching m′ differs from m by reversing the order of k pairs, then ¯κ(Γ′) = (−1)nksign(f)sign(g) · ¯κ(Γ) for certain signs described on [KRW20b, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 55-56].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Graphs considered as representing ¯κ’s behave differently to those representing κ’s described in [KRW20b, Section 5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To distinguish them we will depict the graphs ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 9 representing κ’s in red, as we did in that paper, and the graphs representing ¯κ’s in blue.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The contraction formula of [KRW20b, Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='10] was interpreted in [KRW20b, Section 5] as giving relations among red graphs which yield equivalent κ-classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In the generality of a smooth oriented Wg-bundle π : E → X with section s : X → E these may be depicted as follows: c = ce +s∗e c −2s∗c c c′ = cc′ +s∗e c c′ −s∗c c′ −s∗c′ c Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The contraction formula, displayed graphically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Here the negative terms only arise when they make sense, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' when the vertex has valence 2 in the first case, when the vertex labelled c has valence 1 in the second case, and when the vertex labelled c′ has valence 1 in the third case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Convention.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In these and the following figures, to avoid clutter we have adopted the following ordering conventions: vertices are numbered starting from 1 from left to right, half-edges around each vertex are ordered clockwise starting from the marked half-edge, and edges are oriented from the smaller half-edge to the larger one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Similarly, the modified contraction formula of Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6 can be interpreted as giving the following relations among blue graphs which yield equivalent ¯κ-classes: c = χ−2 χ ce + 1 χ2 c e2 c c′ = cc′ + 1 χ2 c c′ e2 − 1 χ( ce c′ + c c′e ) Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The modified contraction formula, displayed graphically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Twisted cohomology of diffeomorphism groups The main goal of this section is to describe the twisted cohomology groups H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) and H∗(BDiff+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) in a stable range of degrees, of the classifying space BDiff+(Wg) of the group of orientation-preserving diffeomorphisms of Wg (which classifies oriented Wg-bundles), and the classifying space BDiff+(Wg, ∗) of the group of orientation-preserving dif- feomorphisms of Wg which fix a point ∗ ∈ Wg (which classifies oriented Wg-bundles with section).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15] the analogous calculation was given for 10 OSCAR RANDAL-WILLIAMS the classifying space BDiff(Wg, D2n) of the group of diffeomorphisms of Wg which fix a disc D2n ⊂ Wg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In order to do this we will also discuss the manifolds Wg equipped with θ- structures for the tangential structure θ : BSO(2n)⟨n⟩ → BO(2n), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' the n- connected cover of BO(2n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In this case we will consider the homotopy quotients BDiffθ(Wg) := Bun(T Wg, θ∗γ2n)//Diff(Wg) BDiffθ(Wg, ∗) := Bun(T Wg, θ∗γ2n)//Diff(Wg, ∗) where Bun(T Wg, θ∗γ2n) denotes the space of vector bundle maps T Wg → θ∗γ2n from the tangent bundle of Wg to the bundle classified by θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The group Diff(Wg) acts on the space of bundle maps by precomposing with the derivative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There is a factorisation θ : BSO(2n)⟨n⟩ θor → BSO(2n) σ→ BO(2n), and by ob- struction theory one sees that the space Bun(T Wg, σ∗γ2n) has two contractible path components corresponding to the two orientations of Wg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular there are equivalences Bun(T Wg, σ∗γ2n)//Diff(Wg) ≃ BDiff+(Wg) Bun(T Wg, σ∗γ2n)//Diff(Wg, ∗) ≃ BDiff+(Wg, ∗) and so θor induces maps BDiffθ(Wg) −→ BDiff+(Wg) and BDiffθ(Wg, ∗) −→ BDiff+(Wg, ∗).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It is shown in [GRW19, Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2] that these are principal SO[0, n − 1]-fibrations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular the spaces BDiffθ(Wg) and BDiffθ(Wg, ∗) are path-connected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Spaces of graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Our description of the twisted cohomology groups of BDiff+(Wg), BDiff+(Wg, ∗), BDiff(Wg, D2n), BDiffθ(Wg) and BDiffθ(Wg, ∗) in a stable range will be—via the graphical interpretation given in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3—in terms of graded vector spaces of labelled graphs, modulo certain relations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (Readers of [KRW20b] may have been expecting vector spaces of labelled partitions instead: here we have found spaces of graphs more convenient for formulating results, cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Remark 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2, though spaces of labelled partitions will still play a role in the proofs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=') To describe these spaces of graphs we will use the graded Q-algebras V := H∗(BSO(2n)⟨n⟩;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = Q[p⌈ n+1 4 ⌉, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , pn−1, e] W := H∗(BSO(2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = Q[p1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , pn−1, e] with distinguished elements e of degree 2n given by the Euler class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In order to work in a way which is agnostic about the genus g of the manifold Wg under consideration, we will work over the ring Q[χ±1] instead of Q, where χ is an invertible formal parameter which will—later—be set to the Euler characteristic 2 + (−1)n2g of Wg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Definition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (i) Let Graph1(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in V}/ ∼ where ∼ (a) imposes the sign rule for changing orderings of vertices and half-edges and for reversing orientations of edges;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (b) imposes linearity in the labels, and sets a graph containing an a-valent vertex labelled by c with |c| + n(a − 1) < 0 to zero;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (c) sets the 0-valent vertex labelled by e ∈ V2n equal to χ, and if 2n ≡ 0 mod 4 sets the 0-valent vertex labelled by pn/2 ∈ V2n equal to 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 11 (d) imposes the contraction relations3 c = ce − 2c c c′ = cc′ − c c′ − c′ c where the negative terms only arises when they makes sense, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' in the first case when the vertex has valence 2 and its label c is a scalar multiple of 1 ∈ V0, in the second case when c is a scalar multiple of 1 ∈ V0 and has valence 1, and similarly in the third case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (ii) Let Graphθ ∗(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in V} ⊗ V/ ∼ where ∼ imposes (a)–(c) as well as (d′) imposes the contraction relations of Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (iii) Let Graph∗(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in W} ⊗ W/ ∼ where ∼ imposes (a) and (b), as well as (c′′) sets the 0-valent vertex labelled by e ∈ W2n equal to χ, sets the 0-valent vertex labelled by any degree 2n monomial in Pontrjagin classes equal to 0, and for any 1 ≤ i ≤ ⌊n/4⌋ sets cpi = 1 χ c ⊗pi and (d′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (iv) Let Graphθ(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in V}/ ∼ where ∼ imposes (a) and (b), as well as (c′′′) sets the 0-valent vertex labelled by e ∈ V2n equal to χ, if 2n ≡ 0 mod 4 sets the 0-valent vertex labelled by pn/2 ∈ V2n equal to 0, and sets the 1-valent vertex labelled by e ∈ V2n equal to 0, (d′′′) imposes the contraction relations of Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (v) Let Graph(S) := Q[χ±1]{Γ oriented graph with legs S, labelled in W}/ ∼ where ∼ imposes (a), (b), as well as (c′′′′) sets the 0-valent vertex labelled by e ∈ W2n equal to χ, sets the 0-valent vertex labelled by any degree 2n monomial in Pontrjagin classes equal to 0, sets the 1-valent vertex labelled by e ∈ W2n equal to 0, and for any 1 ≤ i ≤ ⌊n/4⌋ sets 3These are the relations from Figure 1 when s∗ kills all positive-degree classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 12 OSCAR RANDAL-WILLIAMS cpi = 1 χ c epi and (d′′′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Remark 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 (Graphs and partitions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In all cases one can apply the (modified) contraction formula to pass from a graph to a sum of graphs with strictly fewer edges, and so by iterating to a sum of graphs with no edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' These are disjoint unions of labelled corollas, and so correspond to partitions of S with labels in V or W, plus additional external labels in cases (ii) and (iii).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There are two issues with this.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The first is that in cases (iv) and (v) it is not clear that the resulting sum of disjoint unions of labelled corollas is unique, as one has to choose an order in which to eliminate edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The second is that even if it is, then the functoriality on the Brauer category which we describe below would involve gluing in edges and then eliminating them, leading to a complicated formula.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This is why we have found it convenient to work with spaces of graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We wish to consider each of the above as defining functors on the (signed) Brauer category as in [KRW20b, Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3], but to take into account the parameter χ we must slightly generalise to a Q[χ]-linear version of the (signed) Brauer category.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Definition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For finite sets S and T let preBrχ(S, T ) be the free Q[χ]-module on tuples (f, mS, mT ) of a bijection f from a subset S◦ ⊂ S to a subset T ◦ ⊂ T , an ordered matching mS of S \\ S◦, and an ordered matching mT of T \\ T ◦.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let Brχ(S, T ) be the quotient of preBrχ(S, T ) by the span of (f, mS, mT ) − (f, m′ S, m′ T ) whenever mS agrees with m′ S after reversing some pairs, and mT agrees with m′ T after reversing some pairs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let sBrχ(S, T ) be the quotient of preBrχ(S, T ) by the span of (f, mS, mT ) − (−1)kl(f, m′ S, m′ T ) whenever mS agrees with m′ S after reversing k pairs, and mT agrees with m′ T after reversing l pairs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let (s)Brχ be the Q[χ]-linear category whose objects are finite sets, and whose morphisms are the Q[χ]-modules (s)Brχ(S, T ) defined above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In the case of Brχ we think of [f, mS, mT ] as representing 1-dimensional cobordisms with no closed components: then the composition law is given by composing cobordisms and then replacing each closed 1-manifold by a factor of χ − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In the case of sBrχ we think of (f, mS, mT ) as representing oriented 1-dimensional cobordisms with no closed components: then the composition law is given by composing cobordisms and then replacing each compatibly oriented closed 1-manifold by a factor of −(χ − 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let d(s)Brχ denote the subcategories having all objects and morphisms spanned by [f, mS, mT ] with T ◦ = ∅.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For a central charge d ∈ Q let (d)(s)Brd denote the Q-linear category obtained by specialising the Q[χ]-linear category (d)(s)Brχ to χ = 2+d for (d)Br or χ = 2−d for (d)sBr.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (This notation then agrees with [KRW20b, Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='14, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=') We consider the spaces of graphs above as defining Q[χ]-linear functors Graph1(−), Graphθ ∗(−), Graph∗(−), Graphθ(−), Graph(−) : (s)Brχ → Gr(Q[χ±1]-mod) in the evident way, by gluing of oriented graphs (after orientations have been ar- ranged to be compatible).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We endow them with a lax symmetric monoidality by disjoint union of graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We write Graph1(−)g : (s)Br2g → Gr(Q-mod) and so on for their specialisations at χ = 2 + (−1)n2g (defined for (n, g) ̸= (odd, 1)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 13 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The isomorphism theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 below extends [KRW20b, Theo- rem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15] to BDiffθ(Wg, ∗), BDiff+(Wg, ∗), BDiffθ(Wg), and BDiff+(Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To formulate it we first observe that when π : E → X is a smooth oriented Wg-bundle and H is the local coefficient system over X given by the fibrewise nth homology of this bundle, the fibrewise intersection form λ : H⊗H → Q and its dual ω : Q → H ⊗ H are (−1)n-symmetric and satisfy λ ◦ ω = (−1)n2g · Id, so provide a Q-linear functor S �→ H⊗S from (s)Br2g to the category of local coefficient systems of Q-modules over X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (Strictly speaking our definitions require χ = 2 + (−1)n2g to be invertible, so we omit the case (n, g) = (odd, 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=') Composing this with taking cohomology gives a functor H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−) : (s)Br2g −→ Gr(Q-mod) S �−→ H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The relations in the various spaces of graphs defined in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 were chosen precisely to match the contraction formula of [KRW20b, Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='10] (in the case of Graph1) and the modified contraction formula of Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6 (in the other cases), so that assigning to a graph its associated κ- or ¯κ-class provides natural transformations (i) κ : Graph1(−)g → H∗(BDiff(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−), (ii) κ : Graphθ ∗(−)g → H∗(BDiffθ(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−), (iii) κ : Graph∗(−)g → H∗(BDiff+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−), (iv) ¯κ : Graphθ(−)g → H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−), (v) ¯κ : Graph(−)g → H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−), of functors (s)Br2g → Gr(Q-mod).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For 2n = 2 or 2n ≥ 6 the maps (i)–(v) are isomorphisms in a range of cohomological degrees tending to infinity with g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We will first give the proof in cases (i), (ii), (iii), and in case (v) assuming case (iv);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' the much more involved case (iv) will be treated afterwards.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof of Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 (i), (ii), (iii), (v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For case (i) observe that Graph1(−)g is naturally isomorphic to the functor G(−, V) from [KRW20b, Proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1], which is shown there to be isomorphic to the functor P(−, V)≥0 ⊗ det⊗n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This case then follows from [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For case (ii) we first construct the homotopy fibre sequence (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) BDiff(Wg, D2n) −→ BDiffθ(Wg, ∗) −→ BSO(2n)⟨n⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The left-hand term may be written as the homotopy quotient of Diff(Wg, ∗) acting on the Stiefel manifold Fr(T∗Wg) given by the space of frames in the tangent space to Wg at the point ∗ ∈ Wg, as this action is transitive and its stabiliser is the subgroup which fixes a point and its tangent space, which is homotopy equivalent to fixing a disc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The middle term was defined as the homotopy quotient of Diff(Wg, ∗) acting on Bun(T Wg, θ∗γ2n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Evaluation at ∗ ∈ Wg defines a Diff(Wg, ∗)-invariant map ev : Bun(T Wg, θ∗γ2n) −→ BSO(2n)⟨n⟩, which is a fibration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If we choose a point x ∈ BSO(2n)⟨n⟩ and a framing ξ : (θ∗γ2n)x ∼ → R2n, then there is a map ξ∗ : ev−1(x) → Fr(T∗Wg) given by sending a bundle map ˆℓ : T Wg → θ∗γ2n whose underlying map sends ∗ to x to the framing ξ ◦ ˆℓx : T∗Wg → (θ∗γ2n)x → R2n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' One verifies by obstruction theory that ξ∗ : ev−1(x) → Fr(T∗Wg) is a weak equivalence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Taking homotopy orbits for Diff(Wg, ∗) then gives the required homotopy fibre sequence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 14 OSCAR RANDAL-WILLIAMS As H∗(BDiff(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) is spanned by products of twisted Miller–Morita– Mumford classes κεac with c ∈ V in a stable range by (i), and these classes may be defined on BDiffθ(Wg, ∗), the Serre spectral sequence H∗(BSO(2n)⟨n⟩;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ H∗(BDiff(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) ⇒ H∗(BDiffθ(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) for the homotopy fibre sequence (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) collapses in a stable range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The result then follows by observing that the analogue of the Serre filtration of Graphθ ∗(−)g, induced by the descending filtration by degrees of H∗(BSO(2n)⟨n⟩;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = V, has gr(Graphθ ∗(−)g) ∼= V ⊗ Graph1(−)g, because modulo V>0 the formula of (d′) specialises to that of (d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The induced map gr(κ) : gr(Graphθ ∗(−)g) −→ gr(H∗(BDiffθ(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−)) therefore has the form V ⊗ {the map κ in case (i)} so is an isomorphism in a stable range by case (i).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Case (ii) follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Case (iii) is just like the above, using the homotopy fibre sequence BDiff(Wg, D2n) −→ BDiff+(Wg, ∗) −→ BSO(2n) instead, which is established in the analogous way, and W in place of V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Case (v) can be deduced from case (iv) by applying the same method to the homotopy fibre sequence BDiffθ(Wg) −→ BDiff+(Wg) ξ −→ BSO[0, n] established in [GRW19, Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The filtration step is a little different, so we give some details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It follows from (iv) that H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) is spanned by products of twisted Miller–Morita–Mumford classes κ¯εac with c ∈ V in a stable range, and these may be defined on BDiff+(Wg) (in fact they may be defined even for c ∈ W) so the corresponding Serre spectral sequence H∗(BSO[0, n];' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) ⇒ H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) degenerates in a stable range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In this case the analogue of the Serre filtration on Graph(−)g is induced by giving the graph Υi := ({0}, ∅, ∅ → {0}, ∅, c(0) = epi) filtration 4i for 1 ≤ i ≤ ⌊n/4⌋, giving all other connected graphs filtration 0, and extending multiplicatively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The associated graded of this filtration has the form gr(Graph(−)g) ∼= Q[Υ1, Υ2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , Υ⌊n/4⌋] ⊗ Graphθ(−)g, because the relation in (c′′′′) shows that any graph with a vertex labelled cpi for 1 ≤ i ≤ ⌊n/4⌋ is equivalent to a graph of strictly larger filtration, unless the vertex is 0-valent and the label is epi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As ¯κ(Υi) = κepi = χ · ξ∗(pi) by [GRW19, Remark 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5] it follows that the induced map gr(¯κ) : gr(Graph(−)g) −→ gr(H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S)) has the form {an isomorphism} ⊗ {the map ¯κ in case (iv)} so is an isomorphism in a stable range by case (iv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof of Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 (iv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The proof of Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 (iv) is of a less formal nature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It will be parallel to that of [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15], but algebraically more complicated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' An important tool will be the following lemma, inspired by [Qui71, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 566].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let G be a topological group and p : P → X be a principal G-bundle with action a : G×P → P, which satisfies the Leray–Hirsch property in cohomology over a field F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Then H∗(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' F) H∗(P;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' F) H∗(G;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' F) ⊗F H∗(P;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' F) p∗ a∗ 1⊗Id ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 15 is an equaliser diagram.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let us leave F implicit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By the Leray–Hirsch property H∗(P) is a free H∗(X)-module and hence is faithfully flat.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus it suffices to prove that the dia- gram is an equaliser diagram after applying −⊗H∗(X) H∗(P).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By the Leray–Hirsch property we also have H∗(P) ⊗H∗(X) H∗(P) ∼ → H∗(P ×X P).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus it suffices to show that H∗(P) H∗(P ×X P) H∗(G) ⊗ H∗(P ×X P) pr∗ 2 a∗ 1⊗Id is an equaliser diagram, which is the same question for the principal G-bundle pr2 : P ×X P → P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' But this principal G-bundle has a section given by the diagonal map, which trivialises it: this trivialisation identifies the diagram with H∗(P) H∗(G) ⊗ H∗(P) H∗(G) ⊗ H∗(G) ⊗ H∗(P) 1⊗Id µ∗⊗Id 1⊗Id which is indeed an equaliser diagram as it has a contraction induced by a∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ We adapt the proof of [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15], supposing for concreteness that n is odd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider the tangential structure θ × Y : BSO(2n)⟨n⟩ × Y → BSO(2n) with Y = K(W ∨, n + 1) and W a generic rational vector space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Then we have H∗(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ∼= Sym∗(W[n + 1]), the symmetric algebra on the vector space W places in (even) degree n + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If n is even then like at the end of the proof of [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15] we would take Y = K(W ∨, n + 2) instead, so H∗(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) would still be a symmetric algebra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Apart from this there is no essential difference, and we will not comment further on the differences in the case n even.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There are associated universal Wg-bundles π : Eθ −→ BDiffθ(Wg) πY : Eθ×Y −→ BDiffθ×Y (Wg) and an evaluation map ℓ : Eθ×Y → Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Neglecting the “maps to Y ” part of the tangential structure gives a homotopy fibre sequence map(Wg, Y ) −→ BDiffθ×Y (Wg) −→ BDiffθ(Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We can take Y to be a topological abelian group, which then acts fibrewise on the map θ × Y and hence acts on compatibly Eθ×Y and BDiffθ×Y (Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using this we can form the homotopy fibre sequence map(Wg, Y )//Y −→ BDiffθ×Y (Wg)//Y −→ BDiffθ(Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The space map(Wg, Y )//Y is a K(Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)⊗W ∨, 1), so there is an identification of graded local coefficient systems H∗(map(Wg, Y )//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = Λ∗(H ⊗ W[1]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This is natural in the vector space W, and scaling by u ∈ Q× acts on Λk(H⊗ W[1]) by uk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It follows that it acts this way on the kth row of the Serre spectral sequence Ep,q 2 = Hp(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Λq(H ⊗ W[1])) ⇒ Hp+q(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As the differentials in this spectral sequence must be equivariant for this Q×-action, it follows that they must all be trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Furthermore this action gives a weight decomposition of both sides, which identifies H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Λk(H ⊗ W)) ∼= H∗+k(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)(k), the weight k-subspace.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To access the latter groups, we use that there is a map α : BDiffθ×Y (Wg) −→ Ω∞ 0 (MTθ ∧ Y+) 16 OSCAR RANDAL-WILLIAMS which by the main theorems of [Bol12, RW16, GTMW09] (for 2n = 2) and [GRW18, GRW14, GRW17] for (2n ≥ 6) is an isomorphism on cohomology in a stable range of degrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Here MTθ is the Thom spectrum of −θ∗γ2n, so writing u−2n ∈ H−2n(MTθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) for its Thom class, by the Thom isomorphism we have H∗(MTθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ∼= u−2n · H∗(BSO(2n)⟨n⟩;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = u−2n · Q[p⌈n+1 4 ⌉, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , pn−1, e].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The rational cohomology of Ω∞ 0 (MTθ ∧ Y+) is then given by Sym∗([H∗(MTθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ Sym∗(W[n + 1])]>0), which can be considered as the free (graded-)commutative algebra on the even- degree classes κc,w1···wr with c ∈ Q[p⌈ n+1 4 ⌉, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , pn−1, e] and wi ∈ W, modulo lin- earity in c and in the wi, and modulo commutativity of the wi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The pullbacks of these classes along α we again denote κc,w1···wr, and they may be described intrinsically as the fibre integrals πY !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (c(TπY Eθ×Y ) · ℓ∗(w1 · · · wr)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There are unique classes ¯κc,w1···wr ∈ H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) which pull back to � I⊔J={1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r} κc,wI · � j∈J (− 1 χκe,wj) ∈ H∗(BDiffθ×Y (Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), and in a stable range of degrees H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is the free graded-commutative algebra on the classes ¯κc,w1···wr, modulo linearity in c and in the wi, commutativity of the wi, and modulo ¯κe,w1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We wish to apply Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5 to the principal Y -bundle (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2) BDiffθ×Y (Wg) −→ BDiffθ×Y (Wg)//Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' First observe that the fibre inclusion j : Y → BDiffθ×Y (Wg) classifies the Wg- bundle pr1 : Y × Wg → Y equipped with the product θ-structure and the map ℓ = pr1 : Y × Wg → Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus for any w ∈ W we have j∗κe,w = χw ∈ Hn+1(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), and so (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2) satisfies the Leray–Hirsch property.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5 then describes H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) as the equaliser of (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3) H∗(BDiffθ×Y (Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) H∗(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ H∗(BDiffθ×Y (Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' a∗ 1⊗Id In a stable range H∗(BDiffθ×Y (Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is described in terms of the classes κc,w1···wr, so to make use of this equaliser description we must determine how these classes pull back along the action map a : Y × BDiffθ×Y (Wg) −→ BDiffθ×Y (Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This map classifies the Wg-bundle Y × πY : Y × Eθ×Y → Y × BDiffθ×Y (Wg) equipped with the structure map Y × Eθ×Y Y ×ℓ → Y × Y → Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As the wi ∈ W = Hn+1(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) are primitive with respect to the coproduct induced by the multiplication on Y , we have a∗(κc,w1···wr) = (Y × πY )!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ((1 × c(TπY Eθ×Y )) · r � i=1 (wi × 1 + 1 × ℓ∗(wi))) = � I⊔J={1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r} wI × κc,wJ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 17 Our goal now is to show that the classes defined by ¯κc,w1···wr := � I⊔J={1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r} κc,wI · � j∈J (− 1 χκe,wj) ∈ H∗(BDiffθ×Y (Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) are equalised by the maps (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3), so by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5 descend to unique classes of the same name in H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To see this, we calculate using the formula above that a∗(¯κc,w1···wr) = � I⊔J={1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r} � � S⊔T =I wS × κc,wT � (−1)|J| � j∈J (wj × 1 + 1 χ1 × κe,wj) = � S⊔T ⊔U⊔V ={1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r} (−1)|U|wS⊔U × � κc,wT · � v∈V (− 1 χκe,wv) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For each A ⊆ {1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=', r} the coefficient of wA is \uf8eb \uf8ed � U⊆A (−1)|U| \uf8f6 \uf8f8 \uf8eb \uf8ed � T ⊔V ={1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r}\\A κc,wT · � v∈V (− 1 χκe,wv) \uf8f6 \uf8f8 and � U⊆A(−1)|U| vanishes if A ̸= ∅, and is 1 if A = ∅ (it is the binomial expansion of (1 − 1)|A|), which shows that a∗(¯κc,w1···wr) = 1 × ¯κc,w1···wr as required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Finally, that these classes (except ¯κe,w1 = 0) freely generate the Q-algebra H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) in a stable range follows from the fact that the κc,w1···wr freely generate H∗(BDiffθ×Y (Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) in a stable range, together with the observa- tion that ¯κc,w1···wr ≡ κc,w1···wr modulo the ideal generated by classes κe,w and the Leray–Hirsch property again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ Let us provide a “fibre-integral” interpretation of the classes we have just con- structed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider the map of principal Y -bundles Y Eθ×Y Eθ×Y //Y Y BDiffθ×Y (Wg) BDiffθ×Y (Wg)//Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' i πY πY //Y j The composition ℓ ◦ i : Y → Y is the identity, so i∗ℓ∗(w) = w ∈ Hn+1(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We showed in the proof above that j∗κe,w = χw ∈ Hn+1(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), so in particular both these principal Y -bundles satisfy the Leray–Hirsch property.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Together these give that i∗(ℓ∗(w) − 1 χ(πY )∗κe,w) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As Y is n-connected it follows from the Serre spectral sequence that there exists a unique class ¯ℓ∗(w) ∈ Hn+1(Eθ×Y //Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) which pulls back to ℓ∗(w) − 1 χ(πY )∗κe,w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We have ¯κc,w1···wr = (πY //Y )!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (c · ¯ℓ∗(w1) · · · ¯ℓ∗(wr)) ∈ H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As the lower of the above principal Y -bundles satisfies the Leray–Hirsch property, this identity may be verified after pulling back to BDiffθ×Y (Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In H∗(Eθ×Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) we have ¯ℓ∗(w) = ℓ∗(w) − 1 χ(πY )∗κe,w, so expanding out gives (πY )!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (c · ¯ℓ∗(w1) · · · ¯ℓ∗(wr)) = (πY )!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (c · r � i=1 (ℓ∗(wi) − 1 χ(πY )∗κe,wi)) = � I⊔J={1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',r} κc,wI · � j∈J (− 1 χκe,wj) 18 OSCAR RANDAL-WILLIAMS as required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ The classes ¯κc,w1···wr provide an isomorphism Sym∗ �[H∗(MTθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ Sym∗(W[n + 1])]>0 u−2n · e ⊗ W[n + 1] � −→ H∗(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) in a stable range, natural in W, which with the discussion above gives an identifi- cation of graded vector spaces H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Λ∗(H ⊗ W[1])) ∼= Sym∗ �[H∗(MTθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ Sym∗(W[n + 1])]>0 u−2n · e ⊗ W[n + 1] � natural in W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Just as in the proof of [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15], and using its notation, this implies that there is a natural transformation (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) Pbis(−, V)≥0 ⊗ det⊗n −→ H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−) of lax symmetric monoidal functors FB → Gr(Q-mod) which is an isomorphism in a stable range, where P(−, V)≥0 → Pbis(−, V)≥0 is the quotient by those partitions containing a part of size 1 labelled by e ∈ V2n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Assigning to a labelled part the corolla with that label gives a natural transformation (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5) Pbis(−, V)≥0 ⊗ det⊗n −→ Graphθ(−)g, of lax symmetric monoidal functors FB → Gr(Q-mod), and we claim that using this (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) factors through the map ¯κ : Graphθ(−)g → H∗(BDiffθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Assuming this claim for now, observe that using the contraction relations in Definition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 (iv) (d′′′) to contract all edges shows that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5) is surjective, which with the fact that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) is an isomorphism in a stable range will show that the map ¯κ is an isomorphism in a stable range too (as well as the map (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It remains to show the factorisation, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' that the map (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) sends a part of size a labelled by c ∈ V to the class κ¯εac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We again proceed as in the relevant step of the proof of [KRW20b, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There is a fibration sequence map(Wg, Y ) −→ Eθ×Y −→ Eθ and so, taking homotopy orbits for the fibrewise Y -action, a fibration sequence map(Wg, Y )//Y −→ Eθ×Y //Y −→ Eθ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Again by functoriality in W the associated Serre spectral sequence collapses to identify the weight decomposition as H∗(Eθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Λk(H ⊗ W)) ∼= H∗+k(Eθ×Y //Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)(k).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Given the description in Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7 we must show that the map ¯ℓ(−) : W −→ Hn+1(Eθ×Y //Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)(1) ∼= Hn(Eθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H) ⊗ W is given by w �→ ¯ε ⊗ w, which is the analogue of [KRW20b, Claim 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As it is natural in the vector space W it must certainly be given by ¯ℓ(w) = x ⊗ w for some x ∈ Hn(Eθ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H), and we must show that x = ¯ε.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' That the restriction of x to the fibre Wg of π : Eθ → BDiffθ(Wg) is given by coevaluation may be done precisely as in [KRW20b, Claim 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By the characterisation of ¯ε it remains to check that 1 χ(πY )!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (e · ¯ℓ∗(w)) = 0 ∈ Hn+1(BDiffθ×Y (Wg)//Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By the Leray–Hirsch property this may be checked after pulling back to BDiffθ×Y (Wg), but as ¯ℓ∗(w) = ℓ∗(w) − 1 χ(πY )∗κe,w ∈ Hn+1(Eθ×Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) by definition, the vanishing is immediate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 19 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Comparisons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There are natural maps BDiff(Wg, D2n) BDiffθ(Wg, ∗) BDiffθ(Wg) BDiff(Wg, D2n) BDiff+(Wg, ∗) BDiff+(Wg) a b c d e f which each induce maps on H∗(−;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There are corresponding maps of spaces of graphs Graph1(−)g Graphθ ∗(−)g Graphθ(−)g Graph1(−)g Graph∗(−)g Graph(−)g a∗ b∗ e∗ c∗ d∗ f ∗ given as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The maps c∗ and d∗ are induced by the projections W → V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The maps a∗ and e∗ are induced by applying the augmentations V → Q and W → Q to the second tensor factor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The maps b∗ and f ∗ are more subtle, as they involve converting between blue graphs and red graphs, via the formula of Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Graphically it is given by �→ − 1 χ( e e e + + ) with certain orderings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The maps b and f are also oriented Wg-bundles, so they also induce fibre- integration maps b!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' and f!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' on cohomology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' These are b∗- and f ∗-linear respectively, so are determined by the maps (of degree −2n) b!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' : V −→ Graphθ(−)g f!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' : W −→ Graph(−)g which each send a monomial c in pi’s and e to the graph given by a single vertex labelled by c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Cohomology of Torelli groups The isomorphisms provided by Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 can be converted into information about the spaces BTor(Wg, D2n), BTorθ(Wg, ∗), BTor+(Wg, ∗), BTorθ(Wg), BTor+(Wg) just as [KRW20a, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1] is deduced from [KRW20a, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let us give the definition of these spaces and formulate the result: the following is largely a reminder of some points from [KRW20a], and we do not spell out all details again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The group Diff+(Wg) acts on Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Z) preserving the nondegenerate (−1)n- symmetric intersection form λ : Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Z) ⊗ Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Z) → Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This provides a homomorphism αg : Diff+(Wg) −→ Gg := � Sp2g(Z) if n is odd, Og,g(Z) if n is even.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This map is not always surjective, but its image is a certain finite-index subgroup G′ g ≤ Gg, an arithmetic group associated to the algebraic group Sp2g or Og,g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This subgroup has been determined by Kreck [Kre79]: it is the whole of Gg if n is even or n = 1, 3, 7, and otherwise is the subgroup Spq 2g(Z) ≤ Sp2g(Z) of those matrices which preserve the standard quadratic refinement (of Arf invariant 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 20 OSCAR RANDAL-WILLIAMS We define Tor+(Wg) to be the kernel of this homomorphism, and Tor+(Wg, ∗) and Tor(Wg, D2n) to be the kernel of its restriction to the subgroups Diff+(Wg, ∗) and Diff(Wg, D2n) respectively (these restrictions still have image G′ g).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Further- more, we define BTorθ(Wg) := Bun+(T Wg, θ∗γ2n)//Tor+(Wg) BTorθ(Wg, ∗) := Bun+(T Wg, θ∗γ2n)//Tor+(Wg, ∗), where Bun+(T Wg, θ∗γ2n) ⊂ Bun(T Wg, θ∗γ2n) consists of the orientation-preserving bundle maps (for some choice of orientation of θ∗γ2n that we make once and for all).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By the discussion at the beginning of Section 3 the spaces Bun+(T Wg, θ∗γ2n) are path-connected, so each of the BTor’s we have defined are principal G′ g-bundles over the corresponding BDiff’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular, their rational cohomologies are both Q-algebras and G′ g-representations, and we will describe them as such in a stable range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Before doing so, we recall that the work of Borel identifies H∗(G′ g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = � Q[σ2, σ6, σ10, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='] if n is odd, Q[σ4, σ8, σ12, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='] if n is even.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' in a stable range of degrees, where σ4i−2n may be chosen so that it pulls back to the Miller–Morita–Mumford class κLi ∈ H4i−2n(BDiff+(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) associated to the ith Hirzebruch L-class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular the κLi vanish in the cohomology of BTor+(Wg).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let us write H(g) := Hn(Wg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q), which is the standard representation of G′ g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Pulled back from BDiff+(Wg) to BTor+(Wg) the coefficient system H is canonically trivialised, but has an action of G′ g: it can be identified with the dual H(g)∨.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The edge homomorphism of the Serre spectral sequence (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) −→ � H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ (H(g)∨)⊗S�G′ g allows us to consider the modified twisted Miller–Morita–Mumford classes ¯κεSc as providing G′ g-equivariant homomorphisms ¯κc : H(g)⊗S −→ Hn(|S|−2)+|c|(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The identities from the modified contraction formula correspond to identities among these maps: this will give relations analogous to [KRW20b, Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2], which we will spell out after the proof of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' First we explain how these relations can be organised in a categorical way, as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Considering (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) as a natural transformation of functors on (s)Br2g, we may precompose it with the map ¯κ : Graphg(−) −→ H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−) (which is an isomorphism in a stable range for n ̸= 2 by Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This gives G′ g-equivariant maps H(g)⊗S ⊗ Graphg(S) → H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) which assemble to a map K∨ ⊗(s)Br2g Graphg(−) −→ H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) out of the coend, where K : (s)Br2g → Rep(G′ g) sends S to H(g)⊗S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The domain obtains a graded-commutative Q-algebra structure coming from the lax symmetric monoidality of Graphg(−) and strong symmetric monoidality of K(−).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 below will say that this is surjective in a stable range, with kernel the ideal generated by the κLi, but before stating it we explain a simplification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let us write i : d(s)Br → (s)Br2g for the inclusion of the downward (signed) Brauer category.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus subcategory is independent if g, as no circles can be created by composing morphisms in the downward Brauer category.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Write Graph1(−)′ ⊂ i∗Graph1(−)g for the subfunctor where we forbid bivalent vertices labelled by 1 ∈ V both of whose half-edges are legs;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' similarly, this functor is independent of g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Like ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 21 just after [KRW20b, Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='11], Graph1(−)g is then the left Kan extension i∗Graph1(−)′ of Graph1(−)′ along i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We similarly define Graphθ ∗(−)′, Graph∗(−)′, Graphθ(−)′, and Graph(−)′, whose left Kan extensions again recover the original functors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The following is the analogue of [KRW20b, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There are G′ g-equivariant ring homomorphisms i∗(K∨) ⊗d(s)Br Graph1(−)′ (κLi | 4i − 2n > 0) −→ H∗(BTor(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) (i) i∗(K∨) ⊗d(s)Br Graphθ ∗(−)′ (κLi | 4i − 2n > 0) −→ H∗(BTorθ(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) (ii) i∗(K∨) ⊗d(s)Br Graph∗(−)′ (κLi | 4i − 2n > 0) −→ H∗(BTor+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) (iii) i∗(K∨) ⊗d(s)Br Graphθ(−)′ (κLi | 4i − 2n > 0) −→ H∗(BTorθ(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) (iv) i∗(K∨) ⊗d(s)Br Graph(−)′ (κLi | 4i − 2n > 0) −→ H∗(BTor+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) (v) which for 2n ≥ 6 are isomorphisms in a stable range of degrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If 2n = 2 then, in a stable range of degrees and assuming that the target is finite-dimensional in degrees ∗ < N for all large enough g, these maps are iso- morphisms onto the maximal algebraic subrepresentations in degrees ∗ ≤ N, and monomorphisms in degrees ∗ ≤ N + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By the main theorem of [KRW20a], as long as 2n ≥ 6 the G′ g-representations Hi(BTor(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) are algebraic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using the inheritance properties for algebraic representations from [KRW20a, Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2], the Serre spectral sequences for the homotopy fibre sequences BTor(Wg, D2n) −→BTor+(Wg, ∗) −→ BSO(2n) BTor(Wg, D2n) −→BTorθ(Wg, ∗) −→ BSO(2n)⟨n⟩ show that the cohomology groups of BTor+(Wg, ∗) and BTorθ(Wg, ∗) are also al- gebraic G′ g-representations, and the same for the homotopy fibre sequences Wg −→BTor+(Wg, ∗) −→ BTor+(Wg) Wg −→BTorθ(Wg, ∗) −→ BTorθ(Wg) show that the cohomology groups of BTor+(Wg) and BTorθ(Wg) are algebraic G′ g-representations too.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using this algebraicity property, case (i) is precisely [KRW20b, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1], using that by [KRW20b, Proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1] Graph1(−)g is isomorphic to the functor P(−, V)≥0⊗det⊗n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The other cases follow in the same way, using [KRW20b, Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='16], from Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4, with one elaboration which we describe below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The addendum in the case 2n = 2 is precisely as in [KRW20b, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The elaboration comes when verifying the first hypothesis of [KRW20b, Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3], which in case (v) for example requires us to know that H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) is a free H∗(G′ g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)-module in a stable range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' But by transfer H∗(BDiff+(Wg);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) is a summand of H∗(BDiff+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) (as H∗(G′ g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)-modules), and similarly with θ-structures, so cases (ii) and (iii) imply cases (iv) and (v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In the other hand in case (iii) for example we have discussed in the proof of Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 the degeneration of the Serre spectral sequence in a stable range, giving gr(H∗(BDiff+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S)) ∼= H∗(BSO(2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) ⊗ H∗(BDiff(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 22 OSCAR RANDAL-WILLIAMS The Serre filtration is one of H∗(G′ g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)-modules, so as the associated graded is a free H∗(G′ g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q)-module in a stable range (because H∗(BDiff(Wg, D2n);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) is the case treated in [KRW20b, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1]), it follows that H∗(BDiff+(Wg, ∗);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗S) is too.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The same argument applies in case (ii).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ This quite categorical description can be used to get a more down-to-earth pre- sentation for these cohomology rings: in case (v) this is the presentation we have recorded in Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This is deduced just as in [KRW20b, Section 5], though most of the work has been done as we have already expressed things in terms of graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As in [KRW20b, Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4] this is not the smallest possible presentation: it can be simplified by manipulating graphs;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' we leave the details to the interested reader.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The case 2n = 2 Although Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 is only known to hold in a limited range of degrees in the case 2n = 2 (N = 2 is currently the best known constant for g ≥ 3, using the work of Johnson [Joh85]), Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 does hold in a range of cohomological degrees tending to infinity with g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In this case our discussion is closely related to the work of Kawazumi and Morita [Mor96, KM96, KM01], and in this section we we take the opportunity to revisit that work from our perspective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Throughout this section we assume that g ≥ 2, so that χ(Wg) = 2 − 2g ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In terms of Kawazumi and Morita’s notation we have Mg := π0(Diff+(Wg)) Mg,∗ := π0(Diff+(Wg, ∗)) Mg,1 := π0(Diff+(Wg, D2)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Under our assumption g ≥ 2 the groups Diff+(Wg), Diff+(Wg, ∗), and Diff+(Wg, D2) all have contractible path-components, so the group cohomology of Mg is the co- homology of BDiff+(Wg), and so on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 gives a natural transformation ¯κ : Graph(−)g −→ H∗(Mg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' H⊗−) of functors sBr2g → Gr(Q-mod), which is an isomorphism in a stable range of degrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Note that in this case H∗(BSO(2);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) = Q[e] so V = W = Q[e] and there is no difference between the tangential structure θ and an orientation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular if we denote by Γi ∈ Graph(∅) the graph with a single vertex, no edges, and labelled by ei+1, then ¯κ(Γi) = κi ∈ H2i(Mg;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Q) is the usual Miller–Morita–Mumford class4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Our goal in Sections 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1–5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 is to analyse Graph(−) in several ways, making contact with the work of Kawazumi and Morita mentioned above as well as work of Garoufalidis and Nakamura [GN98, GN07] and Akazawa [Aka05].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Reduction to corollas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The possible labels for the vertices of graphs in Graph(S) are powers of the Euler class e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Given any graph we may iteratedly apply the modified contraction formula to write it as a linear combination of graphs with fewer edges, and hence any graph is equivalent to a linear combination of graphs with no edges: these are disjoint unions of corollas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Of these, by definition of Graph: the 0-valent corolla labelled by e is equal to the scalar χ, the 1-valent corolla labelled by 1 ∈ V is trivial, and the 1-valent corolla labelled by e ∈ V is trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Define a labelled partition of a finite set S to be a partition {Sα}α∈I of S into (possibly empty) subsets and a label enα for each part, such that (i) If |Sα| = 0 then nα ≥ 2, (ii) If |Sα| = 1 then nα ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 4Our κi is denoted ei in the work of Kawazumi and Morita.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 23 We give a part (Sα, nα) degree 2nα + |Sα| − 2, and a labelled partition the degree given by the sums of the degrees of its parts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Similarly to the proof of Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 (iv) (particularly around equation (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5)), let Pbis(S, V)≥0 denote the free Q[χ±1]- module with basis the set of labelled partitions of S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Assigning to a labelled part (Sα, enα) the corolla with legs Sα and label enα defines a map (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) Pbis(S, V)≥0 ⊗ det QS −→ Graph(S), natural in S with respect to bijections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The map (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1) is an isomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It is surjective, as explained above, by repeatedly applying the modified contraction formula to express a graph in terms of graphs without edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If it were not injective then it would have some nontrivial Q[χ±1]-linear com- bination of labelled partitions in its kernel, of a given degree d, and this would remain a nontrivial Q-linear combination of labelled partitions when specialised to χ = 2 − 2g for all g ≫ 0 (as a Laurent polynomial in χ has finitely-many roots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' But in the proof of Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 (iv), in the discussion after equation (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5), it is explained that when specialised to χ = 2 − 2g this map is an isomorphism in a range of degrees tending to infinity with g;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' for large enough g the degree d will be in this stable range, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ In particular, for the graphs Γi described above there is an isomorphism (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2) Q[χ±1][Γ1, Γ2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='] ∼= Graph(∅).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Reduction to trivalent graphs without labels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In this section we will prove the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using the modified contraction formula any marked oriented graph is equivalent to a Q[χ±1, (χ − 2)−1, (χ − 3)−1, (χ − 4)−1]-linear combination of trivalent graphs with all vertices labelled by 1 ∈ V0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let Graphtri(S) ≤ Graph(S) denote the sub-Q[χ±1]-module spanned by those marked oriented graphs which are trivalent and all of whose labels are 1 ∈ V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Corollary 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The monomorphism i : Graphtri(−) → Graph(−) becomes an iso- morphism upon inverting χ − 2, χ − 3, and χ − 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular Graphtri(−)g = Graph(−)g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Remark 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 (2-valent vertices labelled by 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using the relation λ2,3(κ¯ε1,2κ¯ε3,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',nc) = κ¯ε1,3,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=',nc we can always remove 2-valent vertices labelled by 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It is sometimes convenient when writing formulas for 3-valent graphs to also allow 2-valent vertices labelled by 1: we allow ourselves to do so, noting that the above can always be used to eliminate the 2-valent vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As a matter of notation we will formally manipulate modi- fied twisted Miller–Morita–Mumford classes, but this is equivalent to manipulating marked oriented graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Rearranging the first contraction formula gives (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3) κ¯εaeb = χ χ−2 � λ1,2κ¯ε2+aeb−1 − 1 χ2 κe2κ¯εaeb−1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Rearranging the second contraction formula gives κ¯εa+b = λa+1,a+2(κ¯εa+1 · κ¯ε1+b) − 1 χ2 (κe2 · κ¯εa · κ¯εb) + 1 χ(κ¯εae · κ¯εb + κ¯εa · κ¯εbe) 24 OSCAR RANDAL-WILLIAMS and using (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3) to eliminate the Euler classes from the last two terms gives κ¯εa+b = λa+1,a+2(κ¯εa+1 · κ¯ε1+b) − 1 χ2 (κe2 · κ¯εa · κ¯εb) + 1 χ−2((λ1,2(κ¯ε2+a) − 1 χ2 κe2κ¯εa) · κ¯εb + κ¯εa · (λ1,2(κ¯ε2+b) − 1 χ2 κe2κ¯εb)) = λa+1,a+2(κ¯εa+1 · κ¯ε1+b) + 1 χ−2 ((λ1,2(κ¯ε2+a) · κ¯εb + κ¯εa · λ1,2(κ¯ε2+b)) − 1 χ(χ−2)κe2 · κ¯εa · κ¯εb.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It suffices to show that each corolla κ¯εaeb may be represented by a linear combi- nation of trivalent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='8 the class κe2 may be represented by a trivalent graph (after inverting χ − 3) so by iteratedly applying (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3) it suffices to show that each κ¯εn can too.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' By Remark 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4 we may as well show that classes can be represented by 2- and 3-valent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' To get started we have κ¯ε = 0 as it has negative degree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider the class λ2,5λ3,4(κ¯ε1,2,3 ·κ¯ε4,5,6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using the form of the relations above, which avoid creating Euler classes, this is λ2,5(κ¯ε1,2,5,6 − 1 χ−2(λu,v(κ¯εu,v,1,2)κ¯ε5,6 + κ¯ε1,2λu,v(κ¯εu,v,5,6)) + 1 χ(χ−2)(κe2κ¯ε1,2κ¯ε5,6)) = λ2,5(κ¯ε1,2,5,6) − 2 χ−2λu,v(κ¯εu,v,1,6) + 1 χ(χ−2)κe2κ¯ε1,6 = χ−4 χ−2λ2,5(κ¯ε1,2,5,6) + 1 χ(χ−2)κe2κ¯ε1,6 Renumbering legs and rearranging, this shows that λ1,2(κ¯ε4) may be represented by 2- and 3-valent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Applied with (a, b) = (2, 2) the second relation gives κ¯ε4 = λ3,4(κ¯ε3 · κ¯ε3) + 1 χ−2 ((λ1,2(κ¯ε4) · κ¯ε2 + κ¯ε2 · λ1,2(κ¯ε4)) − 1 χ(χ−2)κe2 · κ¯ε2 · κ¯ε2, which with the above shows that κ¯ε4 may be represented by 2- and 3-valent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Similarly to the above, consider λ2,5λ3,4(κ¯ε1,2,3 · κ¯ε4,5,6,7), which is λ2,5(κ¯ε1,2,5,6,7 + 1 χ(χ−2)κe2κ¯ε1,2κ¯ε5,6,7 − 1 χ−2(λu,v(κ¯εu,v,1,2)κ¯ε5,6,7 + κ¯ε1,2λu,v(κ¯εu,v,5,6,7))) = λ2,5(κ¯ε1,2,5,6,7) + 1 χ(χ−2)κe2κ¯ε1,6,7 − 1 χ−2(λ2,5λu,v(κ¯εu,v,1,2κ¯ε5,6,7) + λu,v(κ¯εu,v,1,6,7)) = χ−3 χ−2λ2,5(κ¯ε1,2,5,6,7) + 1 χ(χ−2)κe2κ¯ε1,6,7 − 1 χ−2λ2,5λu,v(κ¯εu,v,1,2)κ¯ε5,6,7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Renumbering legs and rearranging, this shows that λ1,2(κ¯ε5) may be represented by 2-, 3-, and 4-valent graphs;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' with the above it follows that it can also be represented by 2- and 3-valent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Applied with (a, b) = (2, 3) the second relation gives κ¯ε5 = λ3,4(κ¯ε3 · κ¯ε4) + 1 χ−2 ((λ1,2(κ¯ε4) · κ¯ε3 + κ¯ε2 · λ1,2(κ¯ε5)) − 1 χ(χ−2)κe2 · κ¯ε2 · κ¯ε3, so it follows that κ¯ε5 may be represented by 2- and 3-valent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If n ≥ 6 then we can write n = a + b with a, b ≥ 3, so a + 2, b + 2 < n and so the second relation expresses κ¯εn in terms of κ¯εm’s with m < n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus all κ¯εn’s may be represented by 2- and 3-valent graphs as required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ It is worth observing that we have the relation (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) λ1,2(κ¯ε3) = χ−2 χ κ¯εe + 1 χ2 κe2κ¯ε = 0, using that κ¯εe = 0 (by definition) and that κ¯ε = 0 (as it has negative degree).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This means that any graph having a trivalent vertex with a loop is trivial in Graph(−).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 25 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' A remark on orderings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' A curious normalisation is possible when consider- ing trivalent graphs, allowing one to neglect the orderings of vertices, of half-edges, and the orientations of edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In [Mor96, KM96, KM01] this is implemented ab initio and (marked) oriented graphs play no role.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let us explain this normalisation, extended to trivalent graphs with legs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' A trivalent graph ˜Γ with legs S consists of a set V of vertices, a set H of half- edges, a 3-to-1 map a : H → V recording to which vertex each half-edge is incident, and an unordered matching µ on H ⊔ S recording which half-edges span an edge, and which half-edges are connected to which legs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Given a trivalent graph ˜Γ = (V, H, a : H → V, µ) with legs S, we may choose an ordering of V and choose an ordering of H such that a : H → V is weakly monotone (equivalently, choose an ordering of the half-edges incident at each vertex).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We also choose an ordering of S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' There is an induced ordering of H ⊔ S by putting ⃗S after ⃗H, and we form an ordered matching m of H ⊔ S by taking those pairs (a, b) with a < b and {a, b} ∈ µ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using this we form an oriented trivalent graph Γchoice = (⃗V , ⃗H, a : H → V, m), depending on these choices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The normalisation is as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let x1 < x2 < x3 < x4 < .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' < x2k ∈ H ⊔ S be the total order on H ⊔ S, and let a1 < b1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' , ak < bk be the ordered pairs which span an edge, with a1 < a2 < .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' < ak ∈ H ⊔ S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Then there is a bijection given by ρ := � a1 b1 a2 b2 a3 b3 ··· ak bk x1 x2 x3 x4 x5 x6 ··· x2k−1 x2k � and we define Γ := sign(ρ) · Γchoice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' As long as ˜Γ has no vertices with loops, the element Γ does not depend on the choice of ordering of V or H, and depends on the ordering of S precisely as the sign representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In particular if we set5 Graphundec(S) := Q[χ±1][˜Γ trivalent graph with legs S]/(graphs with loops) then the Claim together with the relation (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4) provides an epimorphism Φ : Graphundec(S) ⊗ det QS −→ Graphtri(S) of Q[χ±1]-modules, natural with respect to bijections in S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This can be extended to a natural transformation of functors on sBrχ by letting an ordered matching (a, b) of elements of S act by adding an edge to the trivalent graph connecting a and b, and contracting the determinant by a ∧ b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Doing so might create a circle with no vertices, which should be replaced by the scalar χ − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof of Claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If (h1, h2, h3) are the half-edges incident at a vertex v and we change their ordering to (hσ(1), hσ(2), hσ(3)) giving Γ′ choice, then (under the assump- tion that Γ does not have loops) the relative ordering of half-edges forming an edge has not changed, so m′ = m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus Γ′ choice = sign(σ) · Γchoice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' On the other hand ρ′ is obtained from ρ by postcomposing with σ, and precomposing with a permutation which permutes some (ai < bi)’s, which is an even permutation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus sign(ρ′) = sign(σ) · sign(ρ), so Γ′ = Γ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Suppose a vertex v1 has half edges (h1 1, h1 2, h1 3) and v2 has half edges (h2 1, h2 2, h2 3), and v1 < v2 ∈ ⃗V are adjacent in the ordering on V , and consider transposing the ordering of these vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For edges between a u < v1 and a vi or between a vi and a u > v2 the relative ordering of their half-edges does not change.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Edges between v1 and v2 have the relative ordering of their half-edges reversed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus if there are N such edges we have Γ′ choice = (−1)1+N ·Γchoice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' But the permutation ρ is changed 5In [Mor96, KM96, KM01] they restrict to “trivalent graphs without loops”, however we find it more natural to allow loops but set graphs with a loop to zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 26 OSCAR RANDAL-WILLIAMS by permuting (h2 1, h2 2, h2 3) past (h1 1, h1 2, h1 3), which has sign −1, and N transpositions (aibi), which has sign (−1)N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus again Γ′ = Γ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Finally, changing the order of S by a permutation τ changes ρ by postcomposition with τ, so acts as sign(τ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ Example 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For the ordering of vertices and half-edges corresponding to the theta-graph in Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='8 the associated permutation is ρ = (1)(235)(46) which is odd, so the undecorated theta-graph yields χ−3 χ κe2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This is precisely minus the evaluation of βΓ2 on [KM01, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 39] (unfortunately the theta-graph is denoted Γ2 in that paper).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This minus comes from the use of a different sign convention, see the discussion at [KRW20b, top of p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Relations among trivalent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The modified contraction formula de- scribes relations among graphs involving contracting an edge, but this necessarily involves graphs with vertices of different valencies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 we have ex- plained that, in the case of surfaces, all graphs may be expressed purely in terms of trivalent graphs: one may ask what relations among trivalent graphs Γ are imposed by the contraction formula.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' For the unmodified contraction formula discussed in [KRW20b], the answer is that it imposes the “I = H” relation among trivalent graphs: this is because both the I- and H-graphs admit contractions to the X-graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Furthermore, as all connected trivalent graphs with the same number of legs and of the same genus are equivalent under the “I = H” relation, and the contraction formula never changes the genus or number of legs, there are no further relations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In the setting of the modified contraction formula discussed here it is more complicated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It is best given in the setting of undecorated trivalent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' After inverting χ−2, χ−3, and χ−4, undecorated trivalent graphs which differ locally by (IHmod) = + 1 (χ−4)(3−χ)( − ) + 1 χ−4( + − − ) give the same elements in Graphtri[(χ − 2)−1, (χ − 3)−1, (χ − 4)−1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We establish this relation in Graphtri({a, b, c, d})⊗detQ{a,b,c,d}, and it then follows in general using functoriality on the signed Brauer category.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We order the legs as a < b < c < d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' (i) a b c d 1 3 5 6 2 4 (ii) a b c d 1 2 6 3 4 5 Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Some marked graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider first the H-shaped graph shown in Figure 3 (i), with the depicted names of half edges, ordered as 3 < 1 < 5 < 6 < 2 < 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Its corresponding permutation is � 3 c 1 a 5 6 2 b 4 d 3 1 5 6 2 4 a b c d � which is even.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus this ordering data represents the underlying ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 27 undecorated H-shaped trivalent graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Ignoring for now the matchings to the legs (which are given by matching 1 with a, 2 with b, and so on), it corresponds to λ5,6(κ¯ε3,1,5 · κ¯ε6,2,4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using the form of the relations which avoid creating Euler classes from the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 we have λ5,6(κ¯ε3,1,5 · κ¯ε6,2,4) = κ¯ε3,1,2,4 + 1 χ(χ−2)κe2κ¯ε3,1κ¯ε2,4 − 1 χ−2(λu,v(κ¯εu,v,3,1)κ¯ε2,4 + κ¯ε3,1λu,v(κ¯εu,v,2,4)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Consider now the I-shaped graph shown in Figure 3 (ii), with the depicted names of the half-edges, ordered as 4 < 3 < 5 < 6 < 1 < 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Its corresponding permutation is � 4 d 3 c 5 6 1 a 2 b 4 3 5 6 1 2 a b c d � which is odd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus this ordering data represents minus the underlying undecorated I-shaped trivalent graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Ignoring again the matchings to the legs, it corresponds to λ5,6(κ¯ε4,3,5 · κ¯ε6,1,2) = κ¯ε4,3,1,2 + 1 χ(χ−2)κe2κ¯ε4,3κ¯ε1,2 − 1 χ−2(λu,v(κ¯εu,v,4,3)κ¯ε1,2 + κ¯ε4,3λu,v(κ¯εu,v,1,2)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The sum of these two expressions therefore represents the image under Φ of the difference H − I of the underlying undecorated trivalent graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Furthermore, κ¯ε4,3,1,2 = −κ¯ε3,1,2,4 so these terms cancel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' From the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2 we have the identity λu,v(κ¯εu,v,s,t) = χ−2 χ−4λi,jλk,l(κ¯εs,i,k · κ¯εl,j,t) − 1 χ(χ−4)κe2κ¯εs,t, expressing terms of the form λu,v(κ¯εu,v,s,t) in terms of (2- and) 3-valent vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Applying it to the sum of the two expressions above, and collecting terms, therefore gives Φ(H − I) = 1 χ(χ−4)κe2� κ¯ε3,1κ¯ε2,4 + κ¯ε4,3κ¯ε2,1� − 1 χ−4 � λi,jλk,l(κ¯ε3,i,k · κ¯εl,j,1)κ¯ε2,4 + κ¯ε3,1λi,jλk,l(κ¯ε2,i,k · κ¯εl,j,4) λi,jλk,l(κ¯ε4,i,k · κ¯εl,j,3)κ¯ε1,2 + κ¯ε4,3λi,jλk,l(κ¯ε1,i,k · κ¯εl,j,2) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Using that κe2 = Φ( χ χ−3Θ) and carefully putting the graphs corresponding to the other terms into the normal form of Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 gives the identity in the statement of the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ Our relation IHmod is graphically identical to the relation called IHbis 0 by Akazawa [Aka05, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 100] and in the corrigendum [GN07] to the paper of Garo- ufalidis and Nakamura [GN98].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' In those papers it is emphasised that IHbis 0 means this identity is imposed only when the 4 half-edges belong to distinct edges, but in fact this is redundant: if the 4 half-edges do not belong to distinct edges, then the identity already holds in Graphundec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' So in fact imposing our relation IHmod is identical to imposing their relation IHbis 0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Upon inverting χ − 2, χ − 3, and χ − 4, the maps Graphundec(S) (IHmod) ⊗ det QS Φ −→ Graphtri(S) inc −→ Graph(S) are isomorphisms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Let R := Q[χ±1, (χ − 2)−1, (χ − 3)−1, (χ − 4)−1] and implicitly base change to this ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' We have already shown in Corollary 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 that the second map is an isomorphism, and Φ is certainly an epimorphism, so it remains to show that the composition is a monomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 28 OSCAR RANDAL-WILLIAMS For an undecorated trivalent graph Γ, define a double edge to be an unordered pair of vertices which share precisely two edges, and a triple edge to be an unordered pair of vertices which share precisely three edges, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' form a theta-graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Define µ(Γ) := 2 · #double edges of Γ + 3 · #triple edges of Γ, filter Graphundec by letting F kGraphundec be spanned by those Γ with µ(Γ) ≥ k, and give Graphundec/(IHmod) the induced filtration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' If Γ = ΓH is a graph with µ(Γ) = k and a distinguished “H” subgraph, and ΓI is obtained by replacing this “H”-subgraph by “I”, then by applying the relation IHmod to this subgraph we find that (i) if the edge involved is not part of a double or triple edge then the relation gives ΓH − ΓI ∈ F k+1Graphundec/(IHmod), (ii) if the edge involved is part of a double or triple edge then the relation is trivial (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' already holds in Graphundec).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus the associated graded of the induced filtration on Graphundec/(IHmod) can be described as Graphundec/(IH0), where as in [GN98] the relation IH0 means imposing the “I = H” relation when the four half-edges belong to different edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Now IH0 is an equivalence relation on the set of isomorphism classes of trivalent graphs without loops, and similarly to [GN98, Proof of Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 (c)] it is easy to see that all connected trivalent graph without loops of the same rank and with the same legs are equivalent to each other: in other words the equivalences classes of such are given by partitions of S (the parts are the legs of each connected component) labelled by a power of e (recording the rank of the graph).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' It follows that the rank of Graphundec/(IHmod) in each degree, as an R-module, is at most that of Graph(∅) as determined in Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1, and so the composition in the statement of the theorem, which is an epimorphism, must be an isomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' □ 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' On the work of Garoufalidis and Nakamura.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' The discussion of the last few sections can be used to complete the work of Garoufalidis and Nakamura [GN98, GN07], concerning the calculation of the invariants [Λ∗V13/(V22)]Sp in a stable range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Here we write Vλ for the irreducible Sp-representation corresponding to the partition λ, which was written as [λ]sp in those papers, and V22 denotes the unique copy of this irreducible in Λ2V13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Combining Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 and Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 (c) of [GN98] was supposed to calculate [Λ∗V13/(V22)]Sp in a stable range, but for the corrected version of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='1 in [GN07], which expresses these invariants as Graphundec(∅)g/(IHbis 0 ), the authors say “it turns out that a simple stable structure of [these invariants] as in Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 (c) will not be easy to detect”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' However Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='7 and equation (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='2) gives that [Λ∗V13/(V22)]Sp ∼= Graphundec(∅)g/(IHbis 0 ) ∼= Graph(∅)g ∼= Q[Γ1, Γ2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='] in a stable range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Thus in fact Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='3 (c) of [GN98] is correct as stated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Remark 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' This can also be obtained from the work of Felder, Naef, and Willwacher [FNW21].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Specifically, the graded-commutative algebra A(g) defined just before Theorem 6 of that paper is Λ∗V13/(V22), and Theorem 6 together with Proposition 36 (3) also gives the above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' References [Aka05] H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Akazawa, Symplectic invariants arising from a Grassmann quotient and trivalent graphs, Math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Okayama Univ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 47 (2005), 99–117.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' [Bol12] S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Boldsen, Improved homological stability for the mapping class group with inte- gral or twisted coefficients, Math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 270 (2012), no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' 1-2, 297–329.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' [FNW21] M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Felder, F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Naef, and T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Willwacher, Stable cohomology of graph complexes, https://arxiv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='org/abs/2106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content='12826, 2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' ON THE COHOMOLOGY OF TORELLI GROUPS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' II 29 [GN98] S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Garoufalidis and H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/OtAzT4oBgHgl3EQfIftM/content/2301.01062v1.pdf'} +page_content=' Nakamura, Some 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b/PNFJT4oBgHgl3EQfIiwq/content/tmp_files/2301.11456v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..28c0af4e7b68211b56c092f0842e5e753bf1f4a9 --- /dev/null +++ b/PNFJT4oBgHgl3EQfIiwq/content/tmp_files/2301.11456v1.pdf.txt @@ -0,0 +1,3854 @@ +Graph Scattering beyond Wavelet Shackles +Christian Koke +Technical University of Munich & +Ludwig Maximilian University Munich +christian.koke@tum.de +Gitta Kutyniok +Ludwig Maximilian University Munich & +University of Tromsø +kutyniok@math.lmu.de +Abstract +This work develops a flexible and mathematically sound framework for the design +and analysis of graph scattering networks with variable branching ratios and generic +functional calculus filters. Spectrally-agnostic stability guarantees for node- and +graph-level perturbations are derived; the vertex-set non-preserving case is treated +by utilizing recently developed mathematical-physics based tools. Energy propaga- +tion through the network layers is investigated and related to truncation stability. +New methods of graph-level feature aggregation are introduced and stability of +the resulting composite scattering architectures is established. Finally, scattering +transforms are extended to edge- and higher order tensorial input. Theoretical +results are complemented by numerical investigations: Suitably chosen scattering +networks conforming to the developed theory perform better than traditional graph- +wavelet based scattering approaches in social network graph classification tasks +and significantly outperform other graph-based learning approaches to regression +of quantum-chemical energies on QM7. +1 +Introduction +Euclidean wavelet scattering networks [22, 4] are deep convolutional architectures where output- +features are generated in each layer. Employed filters are designed rather than learned and derive +from a fixed (tight) wavelet frame, resulting in a tree structured network with constant branching ratio. +Such networks provide state of the art methods in settings with limited data availability and serve +as a mathematically tractable model of standard convolutional neural networks (CNNs). Rigorous +investigations — establishing remarkable invariance- and stability properties of wavelet scattering +networks — were initially carried out in [22]. The extensive mathematical analysis [38] generalized +the term ’scattering network’ to include tree structured networks with varying branching rations and +frames of convolutional filters, thus significantly narrowing the conceptual gap to general CNNs. +With increasing interest in data on graph-structured domains, well performing networks generalizing +Euclidean CNNs to this geometric setting emerged [18, 5, 9]. If efficiently implemented, such graph +convolutional networks (GCNs) replace Euclidean convolutional filters by functional calculus filters; +i.e. scalar functions applied to a suitably chosen graph-shift-oprator capturing the geometry of the +underlying graph [18, 14, 9]. Almost immediately, proposals aimed at extending the success story of +Euclidean scattering networks to the graph convolutional setting began appearing: In [48], the authors +utilize dyadic graph wavelets (see e.g. [14]) based on the non-normalized graph Laplacian resulting +in a norm preserving graph wavelet scattering transform. In [10], diffusion wavelets (see e.g. [8]) are +used to construct a graph scattering transform enjoying spectrum-dependent stability guarantees to +graph level perturbations. For scattering transforms with N layers and K distinct functional calculus +filters, the work [11] derives node-level stability bounds of OpKN{2q and conducts corresponding +numerical experiments choosing diffusion wavelets, monic cubic wavelets [14] and tight Hann +wavelets [35] as filters. In [12] the authors, following [8], construct so called geometric wavelets and +establish the expressivity of a scattering transform based on such a frame through extensive numerical +Preprint. Under review. +arXiv:2301.11456v1 [cs.LG] 26 Jan 2023 + +experiments. A theoretical analysis of this and a closely related wavelet based scattering transform is +the main focus of [28]. Additionally, graph-wavelet based scattering transforms have been extended +to the spatio-temporal domain [27], utilized to overcome the problem of oversmoothing in GCNs +[25] and pruned to deal with their exponential (in network depth) increase in needed resources [15]. +Common among all these contributions is the focus on graph wavelets, which are generically +understood to derive in a scale-sampling procedure from a common wavelet generating kernel +function g : R Ñ R satisfying various properties [14]. Established stability or expressivity properties +— especially to structural perturbations — are then generally linked to the specific choice of the +wavelet kernel g and utilized graph shift operator [10, 28]. This severely limits the diversity of +available filter banks in the design of scattering networks and draws into question their validity as +models for more general GCNs whose filters generically do not derive from a wavelet kernel. +A primary focus of this work is to provide alleviation in this situation: After reviewing the graph signal +processing setting in Section 2, we introduce a general framework for the construction of (generalized) +graph scattering transforms beyond the wavelet setting in Section 3. Section 4 establishes spectrum- +agnostic stability guarantees on the node signal level and for the first time also for graph-level +perturbations. To handle the vertex-set non-preserving case, a new ’distance measure’ for operators +capturing the geometry of varying graphs is utilized. After providing conditions for energy decay +(with the layers) and relating it to truncation stability, we consider graph level feature aggregation +and higher order inputs in Sections 5 and 6 respectively. In Section 7 we then provide numerical +results indicating that general functional calculus filter based scattering is at least as expressive as +standard wavelet based scattering in graph classification tasks and outperforms leading graph neural +network approaches to regression of quantum chemical energies on QM7. +2 +Graph Signal Processing +Taking a signal processing approach, we consider signals on graphs as opposed to graph embeddings: +Node-Signals: +Given a graph pG, Eq, we are primarily interested in node-signals, which are +functions from the node-set G to the complex numbers, modelled as elements of C|G|. We equip this +space with an inner product according to xf, gy “ ř|G| +i“1 figiµi (with all vertex weights µi ě 1) and +denote the resulting inner product space by ℓ2pGq. We forego considering arbitrary inner products on +C|G| solely in the interest of increased readability. +Functional Calculus Filters: +Our fundamental objects in investigating node-signals will be func- +tional calculus filters based on a normal operator ∆ : ℓ2pGq Ñ ℓ2pGq. Prominent examples include +the adjacency matrix W, the degree matrix D, normalized p1 ´ D´ 1 +2 WD´ 1 +2 q or un-normalized +(L :“ D´W) graph Laplacians Writing normalized eigenvalue-eigenvector pairs of ∆ as pλi, φiq|G| +i“1, +the filter obtained from applying g : C Ñ C is given by gp∆qf “ ř|G| +i“1 gpλiqxφi, fyℓ2pV qφi. The +operator we utilize in our numerical investigations of Section 6, is given by L :“ L{λmaxpLq. We +divide by the largest eigenvalue to ensure that the spectrum σpL q is contained in the interval r0, 1s, +which aids in the choice of functions from which filters are derived. +Generalized Frames: +We are most interested in filters that arise from a collection of functions +adequately covering the spectrum of the operator to which they are applied. To this end we call a +collection tgip¨quiPI of functions a generalized frame if it satisfies the generalized frame condition +A ď ř +iPI |gipcq|2 ď B for any c in C for constants A; B ą 0. As proved in Appendix B, this +condition is sufficient to guarantee that the associated operators form a frame: +Theorem 2.1. Let ∆ : ℓ2pGq Ñ ℓ2pGq be normal. If the family tgip¨quiPI of bounded functions +satisfies A ď ř +iPI |gipcq|2 ď B for all c in the spectrum σp∆q, we have (@f P ℓ2pGq) +A}f}2 +ℓ2pGq ď +ÿ +iPI +}gip∆qf}2 +ℓ2pGq ď B}f}2 +ℓ2pGq. +Notably, the functions tgiuiPI need not be continuous: In fact, in our numerical implementations, we +will – among other mappings – utilize the function δ0p¨q, defined by δ0p0q “ 1 and δ0pcq “ 0 for +c ‰ 0 as well as a modified cosine, defined by cosp0q “ 0 and cospcq “ cospcq for c ‰ 0. +2 + +3 +The Generalized Graph Scattering Transform +A generalized graph scattering transform is a non-linear map Φ based on a tree structured multilayer +graph convolutional network with constant branching factor in each layer. For an input signal +f P ℓ2pGq, outputs are generated in each layer of such a scattering network, and then concatenated to +form a feature vector in a feature space F. The network is built up from three ingredients: +Connecting Operators: +To allow intermediate signal representations in the ’hidden’ network +layers to be further processed with functional calculus filters based on varying operators, which might +not all be normal for the same choice of node-weights, we allow these intermediate representations +to live in varying graph signal spaces. In fact, we do not even assume that these signal spaces are +based on a common vertex set. This is done to allow for modelling of recently proposed networks +where input- and ’processing’ graphs are decoupled (see e.g. [1, 36]), as well as architectures +incorporating graph pooling [20]. Instead, we associate one signal space ℓ2pGnq to each layer +n. Connecting operators are then (not necessarily linear) operators Pn : ℓ2pGn´1q Ñ ℓ2pGnq +connecting the signal spaces of subsequent layers. We assume them to be Lipschitz continuous +(}Ppfq ´ Ppgq}ℓ2pGn´1q ď R`}f ´ g}ℓ2pGnqq and triviality preserving (Pp0q “ 0). For our original +node-signal space we also write ℓ2pGq ” ℓ2pG0q . +Non-Linearities: +To each layer, we also associate a (possibly) non-linear function ρn : C Ñ C +acting poinwise on signals in ℓ2pGnq. Similar to connecting operators, we assume ρn preserves zero +and is Lipschitz-continuous with Lipschitz constant denoted by L` +n . This definition allows for the +absolute value non-linearity, but also ReLu or – trivially – the identity function. +Operator Frames: +Beyond these ingredients, the central building block of our scattering +architecture is comprised of a family of functional calculus filters in each layer. That is, we +assume that in each layer, the node signal space ℓ2pGnq carries a normal operator ∆n and an +associated collection of functions comprised of an output generating function χnp¨q as well +as a filter bank tgγnp¨quγnPΓn indexed by an index set Γn. As the network layer n varies (and +in contrast to wavelet-scattering networks) we allow the index set Γn as well as the collection +tχnp¨qu Ťtgγnp¨quγnPΓn of functions to vary. We only demand that in each layer the functions in the +filter bank together with the output generating function constitute a generalized frame with frame +constants An, Bn ě 0. +We refer to the collection of functions ΩN +:“ pρn, tχnp¨qu Ťtgγnp¨quγnPΓnqN +n“1 as a mod- +ule sequence and call DN :“ pPn, ∆nqN +n“1 our operator collection. The generalized scattering +transform is then constructed iteratively: +Figure 1: Schematic Scattering Architecture +To our initial signal f P ℓ2pGq we first apply +the connecting operator P1, yielding a signal rep- +resentation in ℓ2pG1q. Subsequently, we apply +the pointwise non-linearity ρ1. Then we apply +our graph filters tχ1p∆1qu Ťtgγ1p∆1quγ1PΓ1 +to ρ1pP1pfqq yielding the output V1pfq :“ +χ1p∆1qρ1pP1pfqq as well as the intermedi- +ate hidden representations tU1rγ1spfq +:“ +gγ1p∆1qρ1pP1pfqquγ1PΓ1 obtained in the first +layer. Here we have introduced the one-step +scattering propagator Unrγns : ℓ2pGn´1q Ñ +ℓ2pGnq mapping f +ÞÑ +gγnp∆nqρnpPnpfqq +as well as the output generating operator +Vn +: ℓ2pGn´1q Ñ ℓ2pGnq mapping f to +χnp∆nqρnpPnpfqq. +Upon defining the set +ΓN´1 :“ ΓN´1 ˆ ... ˆ Γ1 of paths of length +pN ´ 1q terminating in layer N ´ 1 (with Γ0 +taken to be the one-element set) and iterating the +above procedure, we see that the outputs gener- +ated in the N th-layer are indexed by paths ΓN´1 +terminating in the previous layer. +3 + +p3(P3() +(△2) +p2(P2()) +qa2 +9b2 (△2) +P3(P3() +X2(△2) +gal +P3(P3()) +(△2) +IP1(Pi())/gbr (△1). [p2(P2()) +ga2 +9b2 (2) +m +P3(P3()) +l2(G) +gc1 +(△1 +X2(△2) +p3(P3()) +(△2) +p2(P2()) +qa2 +9b2 (△2 +p3(P3()) +X1(△1) +X2(△2) +l2(G1) +l2(G2) +l2(G3)Outputs generated in the N th layer are thus given by tVN ˝UrγN´1s˝...˝Urγ1spfqupγN´1,...,γ1qPΓN´1. +Concatenating the features obtained in the various layers of a network with depth N, our full feature +vectors thus live in the feature space +FN “ ‘N +n“1 +` +ℓ2pGnq +˘|Γn´1| . +(1) +The associated canonical norm is denoted } ¨ }FN . For convenience, a brief review of direct sums of +spaces, their associated norms and a discussion of corresponding direct sums of maps is provided in +Appendix A. We denote the hence constructed generalized scattering transform of length N, based +on a module sequence ΩN and operator collection DN by ΦN. +In our numerical experiments in Section 7, we consider two particular +instantiations of the above general architecture. In both cases the +utilized shift-operator is L :“ L{λmaxpLq, node weights satisfy +µi “ 1, the branching ratio in each layer is chosen as 4 and the +depth is set to N “ 4 as well. The connecting operators are set to the +identity and non-linearities are set to the modulus (|¨|). The two archi- +tectures differ in the utilized filters, which are repeated in each layer +and depicted in Fig. 2. Postponing a discussion of other parameter- +choices, we note here that the filters tsinpπ{2¨q, cospπ{2¨qu provide +a high and a low pass filter on the spectrum σpL q Ď r0, 1s, while +tsinpπ¨q, cospπ¨qu provides a spectral refinement of the former two +filters. The inner two elements of the filter bank in Architecture II +thus separate an input signal into high- and low-lying spectral +Figure 2: Filters of tested Ar- +chitectures +components. The outer two act similarly at a higher spectral scale. Additionally Architecture I – +utilizing cos and δ0 as introduced Section 2 – prevents the lowest lying spectral information from +propagating. Instead it is extracted via δ0p¨q in each layer. Note that Id arises from applying the +constant-1 function to L . Normalizations are chosen to generate frames with upper bounds B ž 1. +4 +Stability Guarantees +In order to produce meaningful signal representations, a small change in input signal should produce +a small change in the output of our generalized scattering transforms. This property is captured in the +result below, which is proved in Appendix C. +Theorem 4.1. With the notation of Section 3, we have for all f, h P ℓ2pGq: +}ΦNpfq ´ ΦNphq}FN ď +˜ +1 ` +N +ÿ +n“1 +maxtrBn ´ 1s, rBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +k“1 +Bk +¸ 1 +2 +}f ´ h}ℓ2pGq +In the case where upper frame bounds Bn and Lipschitz constants L` +n and R` +n are all smaller than or +equal one, this statement reduces to the much nicer inequality: +}ΦNpfq ´ ΦNphq}FN ď }f ´ h}ℓ2pGq. +(2) +Below, we always assume R` +n , L` +n ď 1 as this easily achievable through rescaling. We will keep Bn +variable to demonstrate how filter size influences stability results. As for our experimentally tested +architectures (cf. Fig. 2), we note for Architecture I that Bn “ 1{2 for all n, so that (2) applies. For +Architecture II we have Bn “ 3, which yields a stability constant of +? +1 ` 2 ¨ 3 ` 2 ¨ 32 ` 2 ¨ 33 “ 9. +Similar to other constants derived in this section, this bound is however not necessarily tight. +Operators capturing graph geometries might only be known approximately in real world tasks; e.g. if +edge weights are only known to a certain level of precision. Hence it is important that our scattering +representation be insensitive to small perturbations in the underlying normal operators in each layer, +which is captured by our next result, proved in Appendix D. Smallness here is measured in Frobenius +norm } ¨ }F , which for convenience is briefly reviewed in Appendix A). +Theorem 4.2. Let ΦN and rΦN be two scattering transforms based on the same module sequence +ΩN and operator sequences DN, r +DN with the same connecting operators (Pn “ rPn) in each +layer. Assume R` +n , L` +n ď 1 and Bn ď B for some B and n ď N. Assume that the respective +normal operators satisfy }∆n ´ r∆n}F ď δ for some δ ą 0. Further assume that the functions +4 + +() +()SO0 +cOs() +cos() + sin() +sin() +sin(π) +() +Id +Architecture I +Architecture IItgγnuγnPΓn and χn in each layer are Lipschitz continuous with associated Lipschitz constants +satisfying L2 +χn ` ř +γnPΓn L2 +gγn ď D2 for all n ď N and some D ą 0. Then we have +}rΦNpfq ´ ΦNpfq}FN ď +b +2p2N ´ 1q ¨ +b +pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq +for all f P ℓ2pGq. If B ď 1{2, the stability constant improves to +a +2p1 ´ BNq{p1 ´ Bq ¨ D ď 2 ¨ D. +The condition B ď 1 +2 is e.g. satisfied by our Architecture I, but –strictly speaking– we may not +apply Theorem 4.2, since not all utilized filters are Lipschitz continuous. Remark D.3 in Appendix D +however shows, that the above stability result remains applicable for this architecture as long as we +demand that ∆ and r∆ are (potentially rescaled) graph Laplacians. For Architecture II we note that +D “ π +? +10{2 and thus the stability constant is given by +a +2p24 ´ 1q ¨ +? +33 ¨ π +? +10{2 “ 45π. +We are also interested in perturbations that change the vertex set of the graphs in our architecture. +This is important for example in the context of social networks, when passing from nodes representing +individuals to nodes representing (close knit) groups of individuals. To investigate this setting, we +utilize tools originally developed within the mathematical physics community [29]: +Definition 4.3. Let H and r +H be two finite dimensional Hilbert spaces. Let ∆ and r∆ be normal +operators on these spaces. Let J : H Ñ r +H and rJ : r +H Ñ H be linear maps — called identification +operators. We call the two spaces δ-quasi-unitarily-equivalent (with δ ě 0) if for any f P H and +u P r +H we have +}Jf} r +H ď 2}f}H, +}pJ ´ rJ˚qf} r +H ď δ}f}H, +}f ´ rJJf}H ď δ +b +}f}2 +H ` xf, |∆| fyH, +}u ´ J rJu} r +H ď δ +b +}u}2 +r +H ` xu, |r∆| uy r +H. +If, for some w P C the resolvent R :“ p∆ ´ ωq´1 satisfies }p rRJ ´ JRqf} r +H ď δ}f}H for all f P H, +we say that ∆ and r∆ are ω-δ-close with identification operator J. +Absolute value |∆| and adjoint rJ˚ of operators are briefly reviewed in +Appendix A. While the above definition might seem fairly abstract at +first, it is in fact a natural setting to investigate structural perturbations +as Figure 3 exemplifies. In our current setting, the Hilbert spaces +in Definition 4.3 are node-signal spaces H “ ℓ2pGq, r +H “ ℓ2p rGq +of different graphs. The notion of ω-δ-closeness is then useful, as +it allows to compare filters defined on different graphs but obtained +from applying the same function to the respective graph-operators: +Lemma 4.4. In the setting of Definition 4.3 let ∆ and r∆ be ω-δ- +close and satisfy }∆}op, }r∆}op ď K for some K ą 0. If g : C Ñ C +is holomorphic on the disk BK`1p0q of radius pK ` 1q, there is a +constant Cg ě 0 so that +}gpr∆qJ ´ Jgp∆q}op ď Cg ¨ δ +with Cg depending on g, ω and K. +An explicit characterization of Cg together with a proof of this result +is presented in Appendix F. Lemma 4.4 is our main tool in establish- +ing our next result, proved in Appendix G, which captures stability +under vertex-set non-preserving perturbations: +Figure 3: Prototypical Exam- +ple of δ-unitary-equivalent +Node +Signal +Spaces +with +p´1q-12δ-close +Laplacians. +Details in Appendix E. +Theorem 4.5. Let ΦN, rΦN be scattering transforms based on a common module sequence ΩN and +differing operator sequences DN, r +DN. Assume R` +n , L` +n ď 1 and Bn ď B for some B and n ě 0. +Assume that there are identification operators Jn : ℓ2pGnq Ñ ℓ2p rGnq, rJn : ℓ2p rGnq Ñ ℓ2pGnq +(0 ď n ď N) so that the respective signal spaces are δ-unitarily equivalent, the respective normal +operators ∆n, r∆n are ω-δ-close as well as bounded (in norm) by K ą 0 and the connecting +operators satisfy } rPnJn´1f ´ JnPnf}ℓ2p r +Gnq “ 0. For the common module sequence ΩN assume +that the non-linearities satisfy }ρnpJnfq ´ Jnρnpfq}ℓ2p r +Gnq “ 0 and that the constants Cχn and +5 + +tCgγn uγnPΓN associated through Lemma 4.4 to the functions of the generalized frames in each layer +satisfy C2 +χn ` ř +γnPΓN C2 +gγn ď D2 for some D ą 0. Denote the operator that the family tJnun of +identification operators induce on FN through concatenation by JN : FN Ñ Ă +FN. Then, with +KN “ +a +p2N ´ 1q2D2 ¨ BN´1 if B ą 1{2 and KN “ +a +2D2 ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{2: +}rΦNpJ0fq ´ JNΦNpfq} Ă +FN ď KN ¨ δ ¨ }f}ℓ2pG, +@f P ℓ2pGq. +The stability result persists with slightly altered stability constants, if identification operators only +almost commute with non-linearities and/or connecting operators, as Appendix G further elucidates. +Theorem 4.5 is not applicable to Architecture I, where filters are not all holomorphic, but is directly +applicable to Architecture II. Stability constants can be calculated in terms of D and B as before. +Beyond these results, stability under truncation of the scattering transform is equally desirable: Given +the energy WN :“ ř +pγN,...,γ1qPΓN }UrγNs ˝ ... ˝ Urγ1spfq}2 +ℓ2pGNq stored in the network at layer N, +it is not hard to see that after extending ΦNpfq by zero to match dimensions with ΦN`1pfq we have +}ΦNpfq ´ ΦN`1pfq}2 +FN`1 ď +` +R` +N`1L` +N`1 +˘2 BN`1 ¨ WN (see Appendix H for more details). A +bound for WN is then given as follows: +Theorem 4.6. Let Φ8 be a generalized graph scattering transform based on a an operator sequence +D8 “ pPn, ∆nq8 +n“1 and a module sequence Ω8 with each ρnp¨q ě 0. Assume in each layer n ě 1 +that there is an eigenvector ψn of ∆n with solely positive entries; denote the smallest entry by mn :“ +miniPGn ψnris and the eigenvalue corresponding to ψn by λn. Quantify the ’spectral-gap’ opened up +at this eigenvalue through neglecting the output-generating function by ηn :“ ř +γnPΓn |gγnpλnq|2 +and assume Bnmn ě ηn. We then have (with C` +N :“ śN +i“1 max +␣ +1, BipL` +i R` +i q2( +) +WNpfq ď C` +N ¨ +« N +ź +n“1 +ˆ +1 ´ +ˆ +mn ´ ηn +Bn +˙˙ff +¨ }f}2 +ℓ2pGq. +(3) +The product in (3) decays if C` +N Ñ C` converges and řN +n“1pmn ´ ηn{Bnq Ñ 8 diverges as +N Ñ 8. The positivity-assumptions on the eigenvectors ψn can e.g. always be ensured if they are +chosen to lie in the lowest lying eigenspace of a graph Laplacian or normalized graph Laplacian +(irrespective of the connectedness of the underlying graphs). As an example, we note that if we extend +our Architecture I to infinite depth (recall from Section 3 that we are using the same filters, operators, +etc. in each layer) we have upon choosing λn “ 0 and ψn to be the constant normalized vector that +ηn “ 0, CN “ 1 and mn “ 1{ +a +|G|, for a graph with |G| vertices. On a graph with 16 vertices, we +then e.g. have WN ď p3{4qN}f}2 +ℓ2pGq and thus }ΦNpfq ´ ΦN`1pfq}FN`1 ď p3{4qN ¨ }f}2 +ℓ2pGq{2. +As detailed in Appendix H, Theorem 4.6 also implies that under the given assumptions the scattering +transform has trivial ’kernel’ for N Ñ 8, mapping only 0 to 0. +5 +Graph-Level Feature Aggregation +To solve tasks such as graph classification or regression over multiple graphs, we need to represent +graphs of varying sizes in a common feature space. Given a scattering transform ΦN, we thus +need to find a stability preserving map from the feature space FN to some Euclidean space that is +independent of any vertex set cardinalities. Since FN is a large direct sum of smaller spaces (cf. (1)), +we simply construct such maps on each summand independently and then concatenate them. +General non-linear feature aggregation: +Our main tool in passing to graph-level features is a +non-linear map N G +p : ℓ2pGq Ñ Rp given as +N G +p pfq “ +1 +?pp}f}ℓ1pGq{?µG, }f}ℓ2pGq, }f}ℓ3pGq, ..., }f}ℓppGqqJ, +(4) +with µG :“ ř +iPG µi and }f}ℓqpGq :“ př +iPG |fi|qµiq1{q. Our inspiration to use this map stems from +the standard case where all µi “ 1: For p ě |G|, the vector |f| “ pp|f1|, ..., |fG|qJ can then be +recovered from N G +p pfq up to permutation of indices [23]. Hence, employing N G +p (with p ě |G|) to +aggregate node-information into graph-level information, we lose the minimal necessary information +6 + +about node permutation (clearly N G +p pfq “ N G +p pΠfq for any permutation matrix Π) and beyond that +only information about the complex phase (respectively the sign in the real case) in each entry of f. +Figure 4: Graph Level Scattering +Given a scattering transform ΦN mapping from ℓ2pGq to +the feature space FN “ ‘N +n“1 +` +ℓ2pGnq +˘|Γn´1|, we ob- +tain a corresponding map ΨN mapping from ℓ2pGq to +RN “ ‘N +n“1 pRpnq|Γn´1| by concatenating the feature +map ΦN with the operator that the family of non-linear +maps tN pn +GnuN +n“1 induces on FN by concatenation. Simi- +larly we obtain the map rΨN : ℓ2p rGq Ñ RN by concatenat- +ing the map rΦN : ℓ2p rGq Ñ ‘N +n“1 +´ +ℓ2p rGnq +¯|Γn´1| +with +the operator induced by the family tN pn +r +GnuN +n“1. The feature +space RN is completely determined by path-sets ΓN and +used maximal p-norm indices pn. It no longer depends +on cardinalities of vertex sets of any graphs, allowing to +compare (signals on) varying graphs with each other. Most +of the results of the previous sections then readily transfer +to the graph-level-feature setting (c.f. Appendix I.1). +Low-pass feature aggregation: +The spectrum-free aggregation scheme of the previous paragraph +is especially adapted to settings where there are no high-level spectral properties remaining constant +under graph perturbations. However, many commonly utilized operators, such as normalized and +un-normalized graph Laplacians, have a somewhat ’stable’ spectral theory: Eigenvalues are always +real, non-negative, the lowest-lying eigenvalue equals zero and simple (if the graph is connected). In +this section we shall thus assume that each mentioned normal operator ∆n (r∆n) has these spectral +properties. We denote the lowest lying normalized eigenvector (which is generically determined up +to a complex phase) by ψ∆n and denote by M |x¨,¨y| +Gn +: ℓ2pGnq Ñ C the map given by M |x¨,¨y| +Gn +pfq “ +|xψ∆n, fyℓ2pGnq|. The absolute value around the inner product is introduced to absorb the phase- +ambiguity in the choice of ψ∆n. Given a scattering transform ΦN mapping from ℓ2pGq to the feature +space FN, we obtain a corresponding map Ψ|x¨,¨y| +N +mapping from ℓ2pGq to CN “ ‘N +n“1C|Γn´1| by +concatenating the feature map ΦN with the operator that the family of maps tM |x¨,¨y| +Gn +uN +n“1 induces on +FN by concatenation. As detailed in Appendix I.2, this map inherits stability properties in complete +analogy to the discussion of Section 4. +6 +Higher Order Scattering +Node signals capture information about nodes in isolation. However, one might be interested in +binary, ternary or even higher order relations between nodes such as distances or angles in graphs +representing molecules. In this section we focus on binary relations – i.e. edge level input – as this is +the instantiation we also test in our regression experiment in Section 7. Appendix J.2 provides more +details and extends these considerations beyond the binary setting. We equip the space of edge inputs +with an inner product according to xf, gy “ ř|G| +i,j“1 fijgijµij and denote the resulting inner-product +space by ℓ2pEq with E “ GˆG the set of edges. Setting e.g. node-weights µi and edge weights µik to +one, the adjacency matrix W as well as normalized or un-normalized graph Laplacians constitute self- +adjoint operators on ℓ2pEq, where they act by matrix multiplication. Replacing the Gn of Section 3 +by En, we can then follow the recipe laid out there in constructing 2nd-order scattering transforms; all +that we need are a module sequence ΩN and an operator sequence D2 +N :“ pP 2 +n, ∆2 +nqN +n“1, where now +P 2 +n : ℓ2pEn´1q Ñ ℓ2pEnq and ∆2 +n : ℓ2pEnq Ñ ℓ2pEnq. We denote the resulting feature map by Φ2 +N +and write F 2 +N for the corresponding feature space. The map N G +p introduced in (4) can also be adapted +to aggregate higher-order features into graph level features: With }f}q :“ př +ijPG |fij|qµijq1{q and +µE :“ ř|G| +ij“1 µij, we define N E +p pfq “ p}f}ℓ1pEq{?µE, }f}ℓ2pEq, }f}ℓ3pEq, ..., }f}ℓppEqqJ{?p. +Given a feature map Φ2 +N with feature space F 2 +N “ ‘N +n“1 +` +ℓ2pEnq +˘|Γn´1|, we obtain a corresponding +7 + +f pi(Pi() +qc1 +(△2) +X1(△1) +p2(P2()) +9b2 (△2 +X2(△2) +12(G1) +NG1 +NG2 +P1 +P2 +RP1map Ψ2 +N mapping from ℓ2pEq to RN “ ‘N +n“1 pRpnq|Γn´1| by concatenating ΦE +N with the map that +the family of non-linear maps tN En +pn uN +n“1 induces on F N by concatenation. The stability results of +the preceding sections then readily translate to Φ2 +N and Ψ2 +N (c.f. Appendix J). +7 +Experimental Results +We showcase that even upon selecting the fairly simple Architectures I and II introduced in Section +3 (c.f. also Fig. 2), our generalized graph scattering networks are able to outperform both wavelet- +based scattering transforms and leading graph-networks under different circumstances. To aid visual +clarity when comparing results, we colour-code the best-performing method in green, the second-best +performing in yellow and the third-best performing method in orange respectively. +Social Network Graph Classification: +To facilitate contact between our generalized graph scat- +tering networks, and the wider literature, we combine a network conforming to our general theory +namely Architecture I in Fig. 2 (as discussed in Section 3 with depth N “ 4, identity as connect- +ing operators and | ¨ |-non-linearities) with the low pass aggregation scheme of Section 5 and a +Euclidean support vector machine with RBF-kernel (GGSN+EK). The choice N “ 4 was made +to keep computation-time palatable, while aggregation scheme and non-linearities were chosen +to facilitate comparison with standard wavelet-scattering approaches. For this hybrid architecture +(GGSN+EK), classification accuracies under the standard choice of 10-fold cross validation on five +common social network graph datasets are compared with performances of popular graph kernel +approaches, leading deep learning methods as well as geometric wavelet scattering (GS-SVM) [12]. +More details are provided in Appendix K. As evident from Table 1, our network consistently achieves +higher accuracies than the geometric wavelet scattering transform of [12], with the performance gap +becoming significant on the more complex REDDIT datasets, reaching a relative mean performance +increase of more than 10% on REDDIT-12K. This indicates the liberating power of transcending +the graph wavelet setting. While on comparatively smaller and somewhat simpler datasets there is +a performance gap between our static architecture and fully trainable networks, this gap closes on +more complex datasets: While P-Poinc e.g. outperforms our method on IMDB datasets, the roles +are reversed on REDDIT datasets. On REDDIT-B our approach trails only GIN; with difference in +accuracies insignificant. On REDDIT-5K our method comes in third, with the gap to the second best +method (GIN) being statistically insignificant. On REDDIT-12K we generate state of the art results. +Table 1: Classification Accuracies on Social Network Datasets +Method +Classification Accuracies r%s +COLLAB +IMDB- B +IMDB-M +REDDIT-B +REDDIT-5K +REDDIT-12K +WL [33] +77.82˘1.45 +71.60˘5.16 +N/A +78.52˘2.01 +50.77 ˘ 2.02 +34.57 ˘ 1.32 +Graphlet [34] +73.42˘2.43 +65.40˘5.95 +N/A +77.26˘2.34 +39.75 ˘ 1.36 +25.98 ˘ 1.29 +DGK [42] +73.00˘0.20 +66.90˘0.50 +44.50˘0.50 +78.00˘0.30 +41.20 ˘ 0.10 +32.20 ˘ 0.10 +DGCNN [46] +73.76˘0.49 +70.03˘0.86 +47.83˘0.85 +N/A +48.70 ˘ 4.54 +N/A +PSCN [26] +72.60˘2.15 +71.00˘2.29 +45.23˘2.84 +86.30˘1.58 +49.10 ˘ 0.70 +41.32 ˘ 0.42 +P-Poinc [19] +N/A +81.86˘4.26 +57.31˘4.27 +79.78˘3.21 +51.71 ˘ 3.01 +42.16 ˘ 3.41 +S2S-N2N-PP [16] +81.75˘0.80 +73.80˘0.70 +51.19˘0.50 +86.50˘0.80 +52.28 ˘ 0.50 +42.47 ˘ 0.10 +GSN-e [3] +85.5 ˘ 1.2 +77.8 ˘ 3.3 +54.3 ˘ 3.3 +N/A +N/A +N/A +WKPI-kC[47] +N/A +75.1 ˘ 1.1 +49.5 ˘ 0.4 +N/A +59.5 ˘ 0.6 +48.4 ˘ 0.5 +GIN [41] +80.20˘1.90 +75.10˘5.10 +52.30˘2.80 +92.40˘2.50 +57.50 ˘ 1.50 +N/A +GS-SVM [12] +79.94˘1.61 +71.20˘3.25 +48.73˘2.32 +89.65˘1.94 +53.33 ˘ 1.37 +45.23 ˘ 1.25 +GGSN+EK [OURS] +80.34˘1.68 +73.20˘3.76 +49.47˘2.27 +91.60˘1.97 +56.89 ˘ 2.24 +49.03 ˘ 1.58 +Regression of Quantum Chemical Energies: +In order to showcase the prowess of both our higher +order scattering scheme and our spectrum-agnostic aggregation method of Section 5, we combine +these building blocks into a hybrid architecture which we then apply in combination with kernel +methods (2GGST + EK) to the task of atomization energy regression on QM7. This is a comparatively +small dataset of 7165 molecular graphs, taken from the 970 million strong molecular database GDB- +13 [2]. Each graph in QM7 represents an organic molecule, with nodes corresponding to individual +atoms. Beyond the node-level information of atomic charge, there is also edge level information +characterising interaction strengths between individual nodes/atoms available. This is encoded into so +called Coulomb matrices (see e.g. [31] or Appendix K) of molecular graphs, which for us serve a dual +purpose: On the one hand we consider a Coulomb matrix as an edge-level input signal on a given graph. +8 + +On the other hand, we also treat it as an adjacency matrix from which we build up a graph Laplacian +L. Our normal operator is then chosen as L “ L{λmaxpLq again. Connecting operators are set to +the identity, while non-linearities are fixed to ρně1p¨q “ | ¨ |. Filters are chosen as psinpπ{2 ¨ L q, +cospπ{2 ¨ L q, sinpπ ¨ L q, cospπ ¨ L qq acting through matrix multiplication. Output generating +functions are set to the identity and depth is N “ 4, so that we essentially recover Architecture II of +Figure 5: Atomization Energy as a Function of pri- +mary Principal Components of Scattering Features +Fig. +2; now applied to edge-level input. +Graph level features are aggregated via the +map N E +5 of Section 6. We chose p “ 5 +(and not p " 5) for N E +p to avoid overfitting. +Generated feature vectors are combined with +node level scattering features obtained from +applying Architecture II of Fig. 2 to the in- +put signal of atomic charge into composite +feature vectors; plotted in Figure 5. As is +visually evident, even when reduced to the +low-dimensional subspace of their first three +principal components, the generated scatter- +ing features are able to aptly resolve the atom- +ization energy of the molecules. This aptitude +is also reflected in Table 2, comparing our +approach with leading graph-based learning methods trained with ten-fold cross validation on node +and (depending on the model) edge level information. Our +method is the best performing. We significantly outperform +the next best model (DTNN), producing less than half of its +mean absolute error (MAE). Errors of other methods are at +least one — sometimes two — orders of magnitude greater. In +part, this performance discrepancy might be explained by the +hightened suitability of our scattering transform for environ- +ments with somewhat limited training-data availability. Here +we speculate that the additional performance gap might be ex- +plained by the fact that our graph shift operator ∆ carries the +same information as the Coulomb matrix (a proven molecular +graph descriptor in itself [31]). Additionally, our filters being +infinite series’ in powers of the underlying normal operator +allows for rapid dispersion of information across underlying +molecular graphs, as opposed to e.g. the filters in GraphConv +Table 2: Comparison of Methods +Method +MAE [kcal/mol] +AttentiveFP [40] +66.2 ˘ 2.8 +DMPNN [44] +105.8 ˘ 13.2 +DTNN [39] +8.2 ˘ 3.9 +GraphConv [18] +118.9 ˘ 20.2 +GROVER (base)[30] +72.5 ˘ 5.9 +MPNN [13] +113.0 ˘ 17.2 +N-GRAM[21] +125.6 ˘ 1.5 +PAGTN (global) [6] +47.8 ˘ 3.0 +PhysChem [45] +59.6 ˘ 2.3 +SchNet [32] +74.2 ˘ 6.0 +Weave [17] +59.6 ˘ 2.3 +GGST+EK [OURS] +11.3 ˘ 0.6 +2GGST+EK [OURS] +3.4 ˘ 0.3 +or SchNet, which do not incorporate such higher powers. To quantify the effect of including second +order scattering coefficients, we also include the result of performing kernel-regression solely on +first order features generated through Architecture II of Fig. 2 (GGST + EK). While results are still +better than those of all but one leading approach, incorporating higher order scattering improves +performance significantly. +8 +Discussion +Leaving behind the traditional reliance on graph wavelets, we developed a theoretically well founded +framework for the design and analysis of (generalized) graph scattering networks; allowing for +varying branching rations, non-linearities and filter banks. We provided spectrum independent +stability guarantees, covering changes in input signals and for the first time also arbitrary normal +perturbations in the underlying graph-shift-operators. After introducing a new framework to quantify +vertex-set non-preserving changes in graph domains, we obtained spectrum-independent stability +guarantees for this setting too. We provided conditions for energy decay and discussed implications +for truncation stability. Then we introduced a new method of graph-level feature aggregation and +extended scattering networks to higher order input data. Our numerical experiments showed that +a simple scattering transform conforming to our framework is able to outperform the traditional +graph-wavelet based approach to graph scattering in social network graph classification tasks. On +complex datasets our method is also competitive with current fully trainable methods, ouperforming +all competitors on REDDIT-12K. Additionally, higher order graph scattering transforms significantly +outperform current leading graph-based learning methods in predicting atomization energies on QM7. +A reasonable critique of scattering networks as tractable models for general graph convolutional +9 + +kcal +mo] +-100 +-600 +-800 +-50 +3rd eigenvector +-1000 +0 +1200 +8 +50 +1400 +! +100 +-1600 +-1800 +150 +2000 +-100 +-400 +0 +-200 +0 +100 +200 +200 +1st eigenvector +400 +600 +300 +800 +2nd eigenvectornetworks is their inability to emulate non-tree-structured network topologies. While transcending +the wavelet setting has arguably diminished the conceptual gap between the two architectures, this +structural difference persists. Additionally we note that despite a provided promising example, it is +not yet clear whether the newly introduced graph-perturbation framework can aptly provide stability +guarantees to all reasonable coarse-graining procedures. Exploring this question is the subject of +ongoing work. +Broader Impact +We caution against an over-interpretation of established mathematical guarantees: Such guarantees +do not negate biases that may be inherent to utilized datasets. +Disclosure of Funding +Christian Koke acknowledges support from the German Research Foundation through the MIMO +II-project (DFG SPP 1798, KU 1446/21-2). Gitta Kutyniok acknowledges support from the ONE +Munich Strategy Forum (LMU Munich, TU Munich, and the Bavarian Ministery for Science and +Art), the Konrad Zuse School of Excellence in Reliable AI (DAAD), the Munich Center for Machine +Learning (BMBF) as well as the German Research Foundation under Grants DFG-SPP-2298, KU +1446/31-1 and KU 1446/32-1 and under Grant DFG-SFB/TR 109, Project C09 and the Federal +Ministry of Education and Research under Grant MaGriDo. +References +[1] Uri Alon and Eran Yahav. +On the bottleneck of graph neural networks and its practical +implications. 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[Yes] A discussion of how and in which order the main claims +made in Abstract and Introduction were substantiated within the paper is a main focus +of Section 8 +(b) Did you describe the limitations of your work? [Yes] This is a second focus of Section +8. +(c) Did you discuss any potential negative societal impacts of your work? [Yes] This is +part of Section 8. +(d) Have you read the ethics review guidelines and ensured that your paper conforms to +them? [Yes] +2. If you are including theoretical results... +(a) Did you state the full set of assumptions of all theoretical results? [Yes] Every Theorem +and Lemma is stated in a mathematically precise way, with all underlying assumptions +included. Additionally, Appendix A briefly reviews some terminology that might not +be immediately present in every readers mind, but is utilized in order to be able to state +theoretical results in a precise and concise manner. +(b) Did you include complete proofs of all theoretical results? [Yes] This is the Focus +of Appendices B, C, D, F, G, H and I. Results in Appendix J are merely stated, as +statements and corresponding proofs are in complete analogy (in fact almost verbatim +the same) to previously discussed statements and proofs. +3. If you ran experiments... +(a) Did you include the code, data, and instructions needed to reproduce the main experi- +mental results (either in the supplemental material or as a URL)? [Yes] Yes; please see +the supplementary material. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they +were chosen)? [Yes] This is the main focus of Appendix K. +13 + +(c) Did you report error bars (e.g., with respect to the random seed after running experi- +ments multiple times)? [Yes] Errors for results of conducted experiments are included +in Table 1 and Table 2 respectively. +(d) Did you include the total amount of compute and the type of resources used (e.g., type +of GPUs, internal cluster, or cloud provider)? [Yes] This is described at the beginning +of Appendix K +4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... +(a) If your work uses existing assets, did you cite the creators? [Yes] All utilized datasets +were matched to the papers that introduced them (cf. Section K). Additionally, we +partially built on code corresponding to [12] which we mentioned in Appendix K. +(b) Did you mention the license of the assets? [Yes] We mentioned in Appendix K that the +code corresponding to [12] is freely available under an Apache License. +(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] +Please see supplementary material. +(d) Did you discuss whether and how consent was obtained from people whose data you’re +using/curating? [N/A] +(e) Did you discuss whether the data you are using/curating contains personally identifiable +information or offensive content? [Yes] For the utilized social network datasets, we +mention in Appendix K that neither personally identifyable data nor content that might +be considered offensive is utilised. +5. If you used crowdsourcing or conducted research with human subjects... +(a) Did you include the full text of instructions given to participants and screenshots, if +applicable? [N/A] +(b) Did you describe any potential participant risks, with links to Institutional Review +Board (IRB) approvals, if applicable? [N/A] +(c) Did you include the estimated hourly wage paid to participants and the total amount +spent on participant compensation? [N/A] +A +Some Concepts in Linear Algebra +In the interest of self-containedness, we provide a brief review of some concepts from linear algebra +utilized in this work that might potentially be considered more advanced. Presented results are all +standard; a very thorough reference is [24]. +Hilbert Spaces: +To us, a Hilbert space — often denoted by H — is a vector space over the complex +numbers which also has an inner product — often denoted by x¨, ¨yH. Prototypical examples are +given by the Euclidean spaces Cd with inner product xx, yyCd :“ řd +i“1 xiyi. Associated to an inner +product is a norm, denoted by } ¨ }H and defined by }x}H :“ +a +xx, xyH for x P H. +Direct Sums of Spaces: +Given two potentially different Hilbert spaces H and p +H, one can form +their direct sum H ‘ p +H. Elements of H ‘ p +H are vectors of the form pa, bq, with a P H and b P p +H. +Addition and scalar multiplication are defined in the obvious way by +pa, bq ` λpc, dq :“ pa ` λc, b ` λdq +for a, c P H, b, d P p +H and λ P C. The inner product on the direct sum is defined by +xpa, bq, pc, dqyH‘ p +H :“ xa, cyH ` xb, dy p +H. +As is readily checked, this implies that the norm } ¨ }H‘ p +H on the direct sum is given by +}pa, bq}2 +H‘ p +H :“ }a}2 +H ` }b}2 +p +H. +Standard examples of direct sums are again the Euclidean spaces, where one has Cd “ Cn ‘ Cm if +m ` n “ d, as is easily checked. One might also consider direct sums with more than two summands, +writing Cd “ ‘d +i“1C for example. In fact, one might also consider infinite sums of Hilbert spaces: +14 + +The space ‘8 +i“1Hi is made up of those elements a “ pa1, a2, a3, ...q with ai P Hi for which the +norm +}a}2 +‘8 +i“1Hi :“ +8 +ÿ +i“1 +}ai}2 +Hi +is finite. This means for example that the vector p1, 0, 0, 0, ...q is in ‘8 +i“1C, while p1, 1, 1, 1, ...q is +not. +Direct Sums of Maps: +Suppose we have two collections of Hilbert spaces tHiuΓ +i“1, t r +HiuΓ +i“1 with +Γ P N or Γ “ 8. Suppose further that for each i ď Γ (resp. i ă Γ) we have a (not necessarily linear) +map Ji : Hi Ñ r +Hi. Then the collection tJiuΓ +i“1 of these ’component’ maps induce a ’composite’ +map +J : ‘Γ +i“1Hi ÝÑ ‘Γ +i“1 r +Hi +between the direct sums. Its value on an element a “ pa1, a2, a3, ...q P ‘Γ +i“1Hi is defined by +J paq “ pJ1pa1q, J2pa2q, J3pa3q, ...q P ‘Γ +i“1 r +Hi. +Strictly speaking, one has to be a bit more careful in the case where Γ “ 8 to ensure that +}J paq}‘8 +i“1 r +Hi ‰ 8. This can however be ensured if we have }Jipaiq} r +Hi ď C}ai}Hi for all +1 ď i and some C independent of all i, since then }J paq}‘8 +i“1 r +Hi ď C}a}‘8 +i“1Hi ď 8. If each Ji is +a linear operator, such a C exists precisely if the operator norms (defined below) of all Ji are smaller +than some constant. +Operator Norm: +Let J : H Ñ r +H be a linear operator between Hilbert spaces. We measure its +’size’ by what is called the operator norm, denoted by } ¨ }op and defined by +}J}op :“ +sup +ψPH,}ψ}H“1 +}Aψ} r +H +}ψ}H +. +Adjoint Operators +Let J : H Ñ r +H be a linear operator from the Hilbert space H to the Hilbert +space r +H. Its adjoint J˚ : r +H Ñ H is an operator mapping in the opposite direction. It is uniquely +determined by demanding that +xJf, uy r +H “ xf, J˚uyH +holds true for arbitrary f P H and u P r +H. +Normal Operators: +If a linear operator ∆ : H Ñ H maps from and to the same Hilbert space, +we can compare it directly with its adjoint. If ∆∆˚ “ ∆˚∆, we say that the operator ∆ is normal. +Special instances of normal operators are self-adjoint operators, for which we have the stronger +property ∆ “ ∆˚. If an operator is normal, there are unitary maps U : H Ñ H diagonalizing ∆ as +U ˚∆U “ diagpλ1, ...λnq, +with eigenvalues in C. We call the collection of eigenvalues the spectrum σp∆q of ∆. If dim H “ d, +we may write σp∆q “ tλud +i“1. It is a standard exercise to verify that each eigenvalue satisfies +|λi| ď }∆}op. Associated to each eigenvalue is an eigenvector φi. The collection of all (normalized) +eigenvectors forms an orthonormal basis of H. We may then write +∆f “ +dÿ +i“1 +λi xφi, fyHφi. +Resolvent of a (normal) Operator: +Given a normal operator ∆ on some Hilbert space H, we have +that the operator p∆ ´ zq : H Ñ H is invertible precisely if z ‰ σp∆q. In this case we write +Rpz, ∆q “ p∆ ´ zq´1 +and call this operator the resolvent of ∆ at z. It can be proved that the norm of the resolvent satisfies +}Rpz, ∆q}op “ +1 +distpz, σp∆qq, +where distpz, σp∆qq denotes the minimal distance between z and any eigenvalue of ∆. +15 + +Functional Calculus: +Given a normal operator ∆ : H Ñ H on a Hilbert space of dimension d and +a complex function g : C Ñ C, we can define another normal operator obtained from applying the +function g to ∆ by +gp∆qf “ +fÿ +i“1 +gpλiqxφi, fyHφi. +For example if gp¨q “ | ¨ |, we obtain the absolute value |∆| of ∆ by specifying for all f P H that +|∆|f “ +dÿ +i“1 +|λi|xφi, fyHφi. +Similarly we find (if z R σp∆q and for f P H) +1 +∆ ´ z “ +dÿ +i“1 +1 +λi ´ z xφi, fyHφi “ p∆ ´ zq´1 “ Rpz, ∆q +where we think of the left-hand-side as applying a function to ∆, while we think of the right-hand-side +as inverting the operator p∆ ´ zq. This now allows us to apply tools from complex analysis also to +operators: If a function g is analytic (i.e. can be expanded into a power series), we have +gpλq “ ´ 1 +2πi +¿ +S +gpzq +λ ´ z dz +for any circle S Ď C encircling λ by Cauchy’s integral formula. Thus, if we chose S large enough to +encircle the entire spectrum σp∆q, we have +gp∆qf “ ´ +dÿ +i“1 +1 +2πi +¿ +S +gpzq +λi ´ z dzxφi, fyHφi “ ´ 1 +2πi +¿ +S +gpzqRpz, λqdz. +Frobenius Norm: +Given a finite dimensional Hilbert space H with inner product x¨, ¨yH, and an +orthonormal basis tφiud +i“1, we define the trace of an operator A : H Ñ H as +TrpAq :“ +dÿ +k“1 +xφk, AφkyH. +It is a standard exercise to show that this is independent of the choice of orthonormal basis. The +associated Frobenius inner product on the space of operators is then given as +xB, AyF :“ TrpB˚Aq +dÿ +k“1 +xφk, B˚AφkyH. +Hence the Frobenius norm of an operator is determined by +}A}2 +F “ TrpA˚Aq “ +dÿ +k“1 +xφk, A˚AφkyH. +It is a standard exercise to verify that we have }A}op ď }A}F . Since the trace is independent of the +choice of orthonormal basis, the Frobenius norm is invariant under unitary transformations. More +precisely, if U, V : H Ñ H are unitary, we have +}UAV }2 +F “ }A}2 +F . +Frobenius norms can be used to transfer Lipschitz continuity properties of complex functions to the +setting of functions applied to normal operators: +Lemma A.1. Let g : C Ñ C be Lipschitz continuous with Lipschitz constant Dg. This implies +}gpXq ´ gpY q}F ď Dg ¨ }X ´ Y }F . +for normal operators X, Y on H. +16 + +Proof. This proof is taken (almost) verbatim from [37]. For an operator A : H Ñ H denote by Aij +its matrix representation with respect to the orthonormal basis tφiud +i“1: +Aij :“ xφi, AφjyH. +We then have +}A}2 +F “ +dÿ +i,j“1 +|Aij|2 +as a quick calculation shows. Let now U, W be unitary (with respect to the inner product x¨, ¨yH) +operators diagonalizing the normal operators X and Y as +V ˚XV “ diagpλ1, ...λnq “: DpXq +W ˚Y W “ diagpµ1, ...µnq “: DpY q. +Since the Frobenius norm is invariant under unitary transformations we find +}gpXq ´ gpY q||2 +F “ ||gpV DpXqV ˚q ´ gpWDpY qW ˚q}2 +F +“ }V gpDpXqqV ˚ ´ WgpDpY qqW ˚}2 +F +“ }W ˚V gpDpXqq ´ gpDpY qqW ˚V }2 +F +“ +dÿ +i,j“1 +|pW ˚V gpDpXqq ´ gpDpY qqW ˚V qij|2 +“ +dÿ +i,j“1 +ˇˇˇˇˇ +n +ÿ +k“1 +rW ˚V sikrgpDpXqqskj ´ rgpDpY qqsikrW ˚V skj +ˇˇˇˇˇ +2 +“ +dÿ +i,j“1 +|rW ˚V sij|2 |gpλjq ´ gpµiq|2 +ď +dÿ +i,j“1 +|rW ˚V sij|2 D2 +g|λj ´ µi|2 +“ D2 +g +dÿ +i,j“1 +ˇˇˇˇˇ +n +ÿ +k“1 +rW ˚V sikrDpXqskj ´ rDpY qsikrW ˚V skj +ˇˇˇˇˇ +2 +“ D2 +g}X ´ Y }2 +F . +B +Proof of Theorem 2.1 +Theorem B.1. Let ∆ : ℓ2pGq Ñ ℓ2pGq be normal. If the family tgip¨quiPI of bounded functions +satisfies A ď ř +iPI |gipcq|2 ď B for all c in the spectrum σp∆q, we have (@f P ℓ2pGq) +A}f}2 +ℓ2pGq ď +ÿ +iPI +}gip∆qf}2 +ℓ2pGq ď B}f}2 +ℓ2pGq. +Proof. Writing the normalized eigenvalue-eigenvector sequence of ∆ as pλi, φiq|G| +i“1, we simply note +ÿ +iPI +|G| +ÿ +k“1 +|xgipλkqφk, fyℓ2pGq|2 “ +|G| +ÿ +k“1 +˜ÿ +iPI +|gipλkq|2 +¸ +|xφk, fyℓ2pGq|2. +Now under the assumption, we can estimate the sum in brackets by A from below and by B from +above. Then we need only use Bessel’s (in)equality to prove +A||f||2 ď +ÿ +iPpI +|G| +ÿ +k“1 +|xgipλkqφk, fyℓ2pGq|2 ď B||f||2. +17 + +C +Proof of Theorem 4.1 +Theorem C.1. With the notation of Section 3 and setting B0 “ 1, we have: +}ΦNpfq ´ ΦNphq}2 +FN ď +˜ +1 ` +N +ÿ +n“1 +maxtrBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +k“0 +BkpR` +k L` +k q2 +¸ +}f ´ h}2 +ℓ2pGq +To streamline the argumentation let us first introduce some notation: +Notation C.2. Let us denote paths in ΓN as q :“ pγN, ..., γ1q. For f P ℓ2pGq let us write +fq :“ UrγNs ˝ ... ˝ Urγ1spfq. +Proof. By Definition, we have +}ΦNpfq ´ ΦNpgq}2 +FN “ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}Vnpfqq ´ Vnphqq}2 +ℓ2pGnq +˛ +‚ +“ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}χnp∆nqρnpPnpfqqq ´ χnp∆nqρnpPnphqqq}2 +ℓ2pGnq +˛ +‚ +looooooooooooooooooooooooooooooooooooooomooooooooooooooooooooooooooooooooooooooon +“:an +. +We proceed in two steps: +Our initial goal is to upper bound an as +an ď BnpL` +n R` +n q2 ¨ bn´1 ´ bn ” pbn´1 ´ bnq ` +“ +BnpL` +n R` +n q2 ´ 1 +‰ +¨ bn´1 +(5) +for bn :“ ř +qPΓn }fq ´ hq}2 +ℓ2pGnq with b0 “ }f ´ h}2 +ℓ2pGq. To achieve this we note that (5) is +equivalent to +an ` bn ď BnpL` +n R` +n q2 ¨ bn´1 +which upon unraveling definitions may be written as +ÿ +qPΓn´1 +}χnp∆nqρnpPnppfqqqq ´ χnp∆nqρnpPnphqq}2 +ℓ2pGnq ` +ÿ +pqPΓn +}fpq ´ hpq}2 +ℓ2pGnq +ďBnpL` +n R` +n q2 +ÿ +qPΓn´1 +}fq ´ hq}2 +ℓ2pGn´1q. +(6) +To establish (6), we note, that in the sum over paths of length n, any pq P Γn can uniquely be written +as pq “ pγn, qq, with the path q P Γn´1 of length pn ´ 1q determined by +pq “ pγn, γn´1, ..., γ1 +looooomooooon +“:q +q. +With this we find +ÿ +pqPΓn +}fpq ´ hpq}2 +ℓ2pGnq “ +ÿ +γnPΓn +ÿ +qPΓn´1 +}gγnp∆nqρnpPnppfqqqq ´ gγnp∆nqρnpPnphqqq}2 +ℓ2pGnq. +Thus we can rewrite the left hand side of (6) as +ÿ +qPΓn´1 +}χnp∆nqρnpPnppfqqqq ´ χnp∆nqρnpPnphqq}2 +ℓ2pGnq ` +ÿ +pqPΓn +}fpq ´ hpq}2 +ℓ2pGnq +“ +ÿ +qPΓn´1 +ˆ +}χnp∆nqρnpPnpfqq ´ χnp∆nqρnpPnphqq}2 +ℓ2pGnq +` +ÿ +γnPΓn +}gγnp∆nqρnpPnppfqqqq ´ gγnp∆nqρnpPnphqqq}2 +ℓ2pGnq +¸ +“:‹ +18 + +The fact that in each layer the function tχnp¨qu Ťtgγnp¨quγnPΓn form a generalized frame with upper +frame constant Bn implies by Theorem 2.1, that we can further bound this as +‹ ď Bn +ÿ +qPΓn´1 +}ρnpPnpfqq ´ ρnpPnphqq}2 +ℓ2pGnq. +Using the Lipschitz continuity of ρn and Pn, we arrive at the desired expression (6). +Having established that +an ď pbn´1 ´ bnq ` +“ +BnpL` +n R` +n q2 ´ 1 +‰ +¨ bn´1 +holds true, we note that we can establish +bn´1 ď +n´1 +ź +k“1 +BkpL` +k R` +k q2bn´2 +arguing similarly as in the case of (6) by using (for f P ℓ2pGn´1q) +ÿ +γn´1PΓn´1 +}gγn´1p∆n´1qf}2 +ℓ2pGn´1q ď }χn´1p∆n´1qf}2 +ℓ2pGn´1q ` +ÿ +γPΓ +}gγn´1p∆n´1qf}2 +ℓ2pGn´1q +together with the frame property and Lipschitz continuities. We then iterate this inequality and recall +that b0 “ }f ´ h}2 +ℓ2pGq. Using the fact that +N +ÿ +n“1 +pbn´1 ´ bnq “ b0 ´ bN ď b0, +we finally find +}ΦNpfq ´ ΦNphq}2 +FN ď +˜ +1 ` +N +ÿ +n“1 +maxtrBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +k“0 +BkpR` +k L` +k q2 +¸ +}f ´ h}2 +ℓ2pGq. +D +Proof or Theorem 4.2 +Theorem D.1. Let ΦN and rΦN be two scattering transforms based on the same module sequence +ΩN and operator sequences DN, r +DN with the same connecting operators (Pn “ rPn) in each +layer. Assume R` +n , L` +n ď 1 and Bn ď B for some B and n ď N. Assume that the respective +normal operators satisfy }∆n ´ r∆n}F ď δ for some δ ą 0. Further assume that the functions +tgγnuγnPΓn and χn in each layer are Lipschitz continuous with associated Lipschitz constants +satisfying L2 +χn ` ř +γnPΓn L2 +gγn ď D2 for all n ď N and some D ą 0. Then we have +}rΦNpfq ´ ΦNpfq}FN ď +b +2p2N ´ 1q ¨ +b +pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq +for all f P ℓ2pGq. If B ď 1{2, the stability constant improves to +a +2p1 ´ BNq{p1 ´ Bq ¨ D ď 2 ¨ D. +Notation D.2. Let us denote scattering propagators based on operators ∆n and connecting operators +Pn by Un and scattering propagators based on operators r∆n by rUn. Similarly, to Notation C.2, let us +then write (with q “ pγN, ..., γ1q) +rfq :“ rUnrγns ˝ ... ˝ rU1rγ1spfq. +Proof. By definition we have +}ΦNpfq ´ rΦN}2 +FN “ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}χnp∆nqρnpPnppfqqqq ´ χnpr∆nqρnpPnp rfqqq}2 +ℓ2pGnq +˛ +‚ +loooooooooooooooooooooooooooooooooooooooomoooooooooooooooooooooooooooooooooooooooon +“:an +. +19 + +We define bn :“ ř +qPΓn }fq ´ rfq}2 +ℓ2pGnq, with b0 “ }f ´ h}2 +ℓ2pGq “ 0 and note +an ` bn “ +ÿ +qPΓn´1 +ˆ +}χnp∆nqρnpPnpfqq ´ χnpr∆nqρnpPnp rfqq}2 +ℓ2pGnq +` +ÿ +γnPΓn +}gγnp∆nqρnpPnppfqqqq ´ gγnpr∆nqρnpPnp rfqqq}2 +ℓ2pGnq +¸ +. +Using (with |a ` b|2 ď 2p|a|2 ` |b|2q) +1 +2}gγnp∆nqρnpPnpfqqq ´ gγnpr∆nqρnpPnp rfqqq}2 +ℓ2pGnq +ď}rgγnp∆nq ´ gγnpr∆nqsρnpPnpfqqq}2 +ℓ2pGnq +`}gγnpr∆nqrρnpPnppfqqqq ´ ρnpPnp rfqqqs}2 +ℓ2pGnq +ď}rgγnp∆nq ´ gγnpr∆nqs}2 +8 ¨ }ρnpPnpfqqq}2 +ℓ2pGnq +`}gγnpr∆nqrρnpPnpfqqq ´ ρnpPnp rfqqqs}2 +ℓ2pGnq, +and +}rgγnp∆nq ´ gγnpr∆nqs}2 +8 ď }rgγnp∆nq ´ gγnpr∆nqs}2 +F ď L2 +gγ ¨ δ2 +(c.f. Lemma A.1 ), we find +an ` bn ď2 +ÿ +qPΓn´1 +˜ +L2 +χn ` +ÿ +γnPΓn +Lg2γn +¸ +pL` +n R` +n q2δ2||ρnpPnpfqqq||2 +ℓ2pGnq +`2 +ÿ +qPΓn´1 +Bn||ρnpPnpfqqq ´ ρnpPnp rfqqq||2 +ℓ2pGnq. +Using L2 +χn ` ř +γnPΓn L2 +γn ď D2, we then infer (using the assumption L` +n , R` +n ď 1) +an ď pbn´1 ´ bnq ` r2B ´ 1sbn´1 ` Bn´12D2δ2||f||ℓ2pGq. +Now if B ď 1 +2, we have +an ď pbn´1 ´ bnq ` Bn´12D2δ2||f||ℓ2pGq +and results of geometric sums leads to the desired bound after summing over n. +Hence let us assume B ą 1 +2. Using similar arguments as before, we find +bn´1 ďBn´22D2δ2||f||2 +ℓ2pGq ` 2Bbn´2 ď Bn´22D2δ2||f||2 +ℓ2pGq ` Bn´24D2δ2||f||2 +ℓ2pGq ` 4bn´3 +ďBn´2 +˜n´1 +ÿ +k“1 +2k +¸ +D2δ2||f||2 +ℓ2pGq “ Bn´2p2n ´ 2qD2δ2||f||2 +ℓ2pGq. +Thus we now know +an ď 2D2δ2Bn´1||f||2 +ℓ2pGq ` r2B ´ 1sp2n ´ 2qD2δ2Bn´2||f||2 +ℓ2pGq ` pbn´1 ´ bnq +In total we find +g +f +f +e +N +ÿ +n“1 +an ď +b +2p2N ´ 1q ¨ +? +BN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq, +where we have estimated the sum over pbn´1 ´ bnq by zero from above again. This establishes the +claim. +Remark D.3. To see that this also holds for our Architecture I of Fig. 2, we note that the critical step +is establishing that Lemma A.1 also applies to δ0 and cos, as defined in Section 2. Here we establish +that +}δ0p∆q ´ δ0pr∆q}F “ 0 +20 + +and +}cosp∆q ´ cospr∆q}F ď Dcos}∆ ´ r∆}F . +Indeed, since ∆ and r∆ are (possibly) rescaled graph Laplacians on the same graph, the spectral +projections to their lowest lying eigen space, associated to the eigenvalue λmin “ 0 agree. Denoting +this spectral projection by P, we have +cosp∆q ´ cospr∆q “ rcosp∆q ´ Ps ´ rcospr∆q ´ Ps “ cosp∆q ´ cospr∆q +and we can apply Lemma A.1. Similar considerations apply to δ0. +E +Prototypical Example illustrating ω-δ Closeness and δ-Unitary +Equivalence +To investigate the example of Figure 3, we label the vertices of +the respective graphs as depicted in Figure 6. We denote the left +graph by G and the right graph by rG. The node-weights on rG are +given as rµi “ 1 for 1 ď i ď 7, while on G the weights are given +as µi “ 1 for 1 ď i ď 5 while µ6 “ 2. We then consider the +respective un-normalized graph Laplacians ∆ : ℓ2pGq Ñ ℓ2pGq and +r∆ : ℓ2p rGq Ñ ℓ2p rGq, which for a given adjacency matrix W on a +graph signal space ℓ2pGq with node weights tµiui is given as +p∆fqi “ 1 +µi +ÿ +j +Wijpfi ´ fjq. +Such operators are positive and hence |∆| “ ∆ (similarly for r∆). +We now need to find operators J : ℓ2pGq Ñ ℓ2p rGq and rJ : ℓ2p rGq Ñ +ℓ2pGq satisfying the conditions of Definition 4.3. To construct J, we +define a family tψiu6 +i“1 of vectors on ℓ2p rGq as +ψ1 “ p1, 0, 0, 0, 0, 0, 0q, ψ2 “ p0, 1, 0, 0, 0, 0, 0q, +ψ3 “ p0, 0, 1, 0, 0, 0, 0q, ψ4 “ p0, 0, 0, 1, 0, 0, 0q, +ψ5 “ p0, 0, 0, 0, 1, 0, 0q, ψ6 “ p0, 0, 0, 0, 0, 1, 1q. +Figure 6: Indexing on the re- +spective graphs +The map J : ℓ2pGq Ñ ℓ2p rGq is then defined as +Jf :“ +6ÿ +i“1 +fiψi, +for any f P ℓ2pGq. We take rJ : ℓ2p rGq Ñ ℓ2pGq to be its adjoint ( rJ :“ J˚), which determined +explicitly by +p rJuqi “ 1 +µi +xψi, uyℓ2p r +Gq +for any u P ℓ2p rGq We shall now first check the conditions for δ-quasi unitary equivalence, which we +list again for convenience; now adapted to our current setting: +}Jf}ℓ2p r +Gq ď 2}f}ℓ2pGq, +}pJ ´ rJ˚qf}ℓ2p r +Gq ď δ}f}ℓ2pGq, +}f ´ rJJf}2 +ℓ2pGq ď δ2 ´ +}f}2 +ℓ2pGq ` xf, ∆, fyℓ2pGq +¯ +, +}u ´ J rJu}2 +ℓ2p r +Gq ď δ2 ´ +}u}2 +ℓ2p r +Gq ` xu, r∆ uyℓ2p r +Gq +¯ +. +We first note that since rJ “ J˚, we have }pJ ´ rJ˚qf}ℓ2p r +Gq “ 0. Next we note +}Jf}2 +ℓ2p r +Gq “ +7ÿ +i“1 +|pJfqi|2 “ |f6|2 ` +6ÿ +i“1 +|fi|2 “ +6ÿ +i“1 +µi “ }f}2 +ℓ2pGq. +21 + +Furthermore we note +p rJJfqi “ +6ÿ +k“1 +fk +1 +µi +xψi, ψkyℓ2p r +Gq +loooooooomoooooooon +“δik +“ fi +and hence }f ´ rJJf}2 +ℓ2pGq “ 0. It remains to control }u ´ J rJu}2 +ℓ2p r +Gq. We note +rJu “ pu1, u2, u3, u4, u5, pu5 ` u6q{2qJ +and thus +J rJu “ pu1, u2, u3, u4, u5, pu6 ` u7q{2, pu6 ` u7q{2qJ, +Which implies +u ´ J rJu “ p0, 0, 0, 0, 0, pu7 ´ u6q{2, pu6 ´ u7q{2qJ, +and thus +}u ´ J rJu}2 +ℓ2p r +Gq “ 2|u6 ´ u7|2 +4 +“ |u6 ´ u7|2 +2 +. +We have +xu, r∆ uyℓ2p r +Gq “ 1 +2 +dÿ +i,j“1 +Ă +Wij|ui ´ uj|2. +Since Ă +W67 “ 1{δ2 by assumption, we have +}u ´ J rJu}2 +ℓ2p r +Gq “ 1 +2|u6 ´ u7|2 “ 1 +2 +δ2 +δ2 |u6 ´ u7|2 “ 1 +2δ2Ă +W67|u6 ´ u7|2 +ď 1 +2δ2 +dÿ +i,j“1 +Ă +Wij|ui ´ uj|2 “ δ2xu, r∆ uyℓ2p r +Gq +ď δ2 ´ +}u}2 +ℓ2p r +Gq ` xu, r∆ uyℓ2p r +Gq +¯ +. +Thus we have proven δ-unitary-equivalence and it remains to establish p´1q-12δ closeness. Com- +bining Proposition 4.4.12. and Theorem 4.4.15 of [29], instead of bounding }p rRJ ´ JRqf}ℓ2p r +Gq ď +12δ}f}ℓ2pGq directly, we may instead establish that there are operators J1 : ℓ2pGq Ñ ℓ2p rGq, +Ă +J1 : ℓ2p rGq Ñ ℓ2pGq satisfying +}J1f ´ Jf}ℓ2p r +Gq ď δ2 ` +}f}ℓ2pGq ` xf, ∆, fyℓ2pGq +˘ +, +(7) +}Ă +J1u ´ rJu}ℓ2pGq ď δ2 ´ +}u}ℓ2p r +Gq ` xf, r∆, uyℓ2p r +Gq +¯ +, +(8) +and +xJ1f, r∆ uyℓ2p r +Gq “ xf, ∆ Ă +J1uyℓ2pGq. +(9) +We chose J1 “ J and determine Ă +J1 by setting (for (1 ď i ď 6)) +pĂ +J1uqi “ ui. +Thus (7) is clearly satisfied. For (8) we note that we have +p rJu ´ Ă +J1uq “ p0, 0, 0, 0, 0, pu7 ´ u6q{2q. +Thus we have +}Ă +J1u ´ rJu}ℓ2pGq “ 1 +2|u6 ´ u7|2 ď δ2 ´ +}u}2 +ℓ2p r +Gq ` xu, r∆ uyℓ2p r +Gq +¯ +as before. It remains to establish (9). We have +xf, ∆ Ă +J1uyℓ2pGq “ +6ÿ +i,j“1 +fiWijpui ´ ujq, +22 + +while we have +xJ1f, r∆ uyℓ2p r +Gq “ +6ÿ +i“1 +fi ¨ xψi, r∆ uyℓ2p r +Gq +“ +5ÿ +i,j“1 +fiWijpUj ´ uiq ` f6 ¨ xψ6, r∆ uyℓ2p r +Gq. +We have (with all node-weights on ℓ2pGq equal to unity) +xψ6, r∆ uyℓ2p r +Gq “ p∆ uq6 ` p∆ uq7 “ +˜ÿ +j +W6jpf6 ´ fjq ` 1 +δ2 pf6 ´ f7q +¸ +` +ˆ 1 +δ2 pf7 ´ f6q +˙ +“ +˜ÿ +j +W6jpf6 ´ fjq ` 1 +δ2 pf6 ´ f7q +¸ +And thus +xJ1f, r∆ uyℓ2p r +Gq “ +6ÿ +i,j“1 +fiWijpui ´ ujq “ xf, ∆ Ă +J1uyℓ2pGq +which proves the claim. +F +Proof of Lemma 4.4 +Lemma F.1. In the setting of Definition 4.3 let ∆ and r∆ be ω-δ-close and satisfy }∆}op, }r∆}op ď K +for some K ą 0. If g : C Ñ C is holomorphic on the disk BK`1p0q of radius pK ` 1q, there is a +constant Cg ě 0 so that +}gpr∆qJ ´ Jgp∆q}op ď Cg ¨ δ +with Cg depending on g , ω and K. +Proof. Without loss of generality, let us assume that K ą |ω|. Let us denote the circle of radius r in +C by Sr. For any holomorphic function g and (normal) operator ∆ whose spectrum is enclosed by +the circle Sr, we can express the operator gp∆q as +gp∆q “ ´ 1 +2πi +¿ +Sr +gpzq +∆ ´ z dz +as discussed in Appendix A (see also [7] for more details). Note that in our case the resolvent +Rpz, ∆q “ p∆ ´ zq´1 is well defined for |z| ě K, since with our assumptions all eigenvalues are +within the circle of radius K. Additionally note that we have +distpz, σp∆qq ě distpz, SKq “ |z| ´ K +if |z| ě K. The same holds true after replacing ∆ with r∆. Since for any normal operator ∆ we have +}Rpz, ∆q}op “ 1{distpz, σp∆qq, +we find +|Rpz, r∆q}op, }Rpz, ∆q}op ď 1{p|z| ´ Kq. +To quantify the difference }Rpz, r∆qJ ´ JRpz, ∆q}op in terms of the difference } rRpωqJ ´ +JRpωq}op ď δ, we define the function +γ0pzq :“ 1 ` |z ´ ω| +|z| ´ K , +for which +}Rpz, r∆qJ ´ JRpz, ∆q}op ď γ0pzq2}Rpω, r∆qJ ´ JRpω, r∆q}op +23 + +holds, as proved (in more general form) in Lemma 4.5.9 in [29]. Since on SK`1 we have and +|z ´ ω| ď 2K ` 1 hence γ0pzq ď 2pK ` 1q, we find +}gpr∆qJ ´ Jgp∆q}op “ +››››››› +1 +2πi +¿ +SK`1 +gpzq +´ +Rpz, r∆q ´ Rpz, ∆q +¯ +dz +››››››› +op +ď 1 +2π +¿ +SK`1 +|gpzq| +›››Rpz, r∆q ´ Rpz, ∆q +››› +op dz +ď2pK ` 1q2 +π +¨ +˚ +˝ +¿ +SK`1 +|gpzq|dz +˛ +‹‚¨ }Rpω, r∆qJ ´ JRpω, r∆q}op. +Thus we may set +Cg :“ 2pK ` 1q2 +π +¿ +SK`1 +|gpzq|dz. +G +Proof of Theorem 4.5 +We state and prove a somewhat more general theorem, incorporating also the case where the identifi- +cation operators only almost commute with connecting operators or non-linearities. We also would +like to point out that the constant 2 in Definition 4.3 is arbitrary and any constant larger than one +would suffice. Much more details are provided in Chapter IV of [29]. +Theorem G.1. Let ΦN, rΦN be scattering transforms based on a common module sequence ΩN and +differing operator sequences DN, r +DN. Assume R` +n , L` +n ď 1 and Bn ď B for some B and n ě 0. +Assume that there are identification operators Jn : ℓ2pGnq Ñ ℓ2p rGnq, rJn : ℓ2p rGnq Ñ ℓ2pGnq +(0 ď n ď N) so that the respective signal spaces are δ-unitarily equivalent, the respective normal +operators ∆n, r∆n are ω-δ-close as well as bounded (in norm) by K ą 0 and the connecting +operators satisfy } rPnJn´1f ´ JnPnf}ℓ2p r +Gnq ď δ}f}ℓ2pGn´1q. For the common module sequence +ΩN assume that the non-linearities satisfy }ρnpJnfq ´ Jnρnpfq}ℓ2p r +Gnq ď δ}f}ℓ2pGnq and that the +constants Cχn and tCgγn uγnPΓN associated through Lemma 4.4 to the functions of the generalized +frames in each layer satisfy C2 +χn ` ř +γnPΓN C2 +gγn ď D2 for some D ą 0. Denote the operator +that the family tJnun of identification operators induce on FN through concatenation by JN : +FN Ñ Ă +FN. Then we have with KN “ +a +p8N ´ 1qp2D2 ` 12Bq{7 ¨ BN´1 if B ą 1{8 and +KN “ +a +p2D2 ` 12Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{8 that +}rΦNpJ0fq ´ JNΦNpfq} Ă +FN ď KN ¨ δ ¨ }f}ℓ2pG, +@f P ℓ2pGq. +If additionally } rPnJn´1f ´ JnPnf}ℓ2p r +Gnq “ 0 or }ρnpJnfq ´ Jnρnpfq}ℓ2p r +Gnq “ 0 holds in +each layer, then we have KN “ +a +p4N ´ 1qp2D2 ` 4Bq{3 ¨ BN´1 if B ą 1{4 and KN “ +a +p2D2 ` 4Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{4. +If both additional equations hold, we have +KN “ +a +p2N ´ 1q2D2 ¨ BN´1 if B ą 1{2 and KN “ +a +2D2 ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{2. +Notation G.2. Let us denote scattering propagators based on operators ∆n and Pn by Un and +scattering propagators based on operators r∆n and rPn by rUn. Similarly, to Notation D.2 and , let us +then write (with q “ pγN, ..., γ1q) +rfq :“ rUnrγns ˝ ... ˝ rU1rγ1spJ0fq. +24 + +Proof. By definition we have +}J ΦNpfq ´ rΦNpJ0fq}2 +Ă +FN “ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}Jnχnp∆nqρnpPnpfqqq ´ χnpr∆nqρnpPnp rfqqq}2 +ℓ2p r +Gnq +˛ +‚ +looooooooooooooooooooooooooooooooooooooooomooooooooooooooooooooooooooooooooooooooooon +“:an +. +We define bn :“ ř +qPΓn }Jnfq ´ rfq}2 +ℓ2p r +Gnq, with b0 “ }J0f ´ J0f}2 +ℓ2p r +Gq “ 0 and note +an ` bn “ +ÿ +qPΓn´1 +ˆ +}Jnχnp∆nqρnpPnpfqq ´ χnpr∆nqρnpPnp rfqq}2 +ℓ2p r +Gnq +` +ÿ +γnPΓn +}Jngγnp∆nqρnpPnppfqqqq ´ gγnpr∆nqρnpPnp rfqqq}2 +ℓ2p r +Gnq +¸ +. +Using +1 +2}Jngγnp∆nqρnpPnppfqqqq ´ gγnpr∆nqρnpPnp rfqqq}2 +ℓ2p r +Gnq +ď}rJngγnp∆nq ´ gγnpr∆nqJnsρnpPnpfqqq}2 +ℓ2p r +Gnq +`}gγnpr∆nqrJnρnpPnppfqqqq ´ ρnpPnp rfqqqs}2 +ℓ2p r +Gnq +ď}rJngγnp∆nq ´ gγnpr∆nqJns}op ¨ }ρnpPnpfqqq}2 +ℓ2p r +Gnq +`}gγnpr∆nqrJnρnpPnppfqqqq ´ ρnpPnp rfqqqs}2 +ℓ2p r +Gnq, +and }rgγnp∆nq ´ gγnpr∆nqs}8 ď C2 +gγ ¨ δ2 (c.f. Lemma 4.4), we find +an ` bn ď2 +ÿ +qPΓn´1 +˜ +C2 +χn ` +ÿ +γnPΓn +Cg2γn +¸ +pL` +n R` +n q2δ2||ρnpPnp rfqqq||2 +ℓ2p r +Gnq +`2 +ÿ +qPΓn´1 +Bn||JnρnpPnpfqqq ´ ρnpPnp rfqqq||2 +ℓ2p r +Gnq +ď2 +ÿ +qPΓn´1 +δ2 +˜ +C2 +χn ` +ÿ +γnPΓn +Cg2γn +¸ +pL` +n R` +n q2||ρnpPnp rfqqq||2 +ℓ2p r +Gnq +`4B ¨ Bn´1||f||2 +ℓ2pGqδ2 ` 8B ¨ Bn´1||f||2 +ℓ2pGqδ2 ` 8Bbn´1, +where the second inequality arises from permuting the identification operator Jn through non-linearity +and connecting operator. Using C2 +χn ` ř +γnPΓn C2 +γn ď D2, we then infer +an ď pbn´1 ´ bnq ` r8B ´ 1sbn´1 ` p2D2 ` 12BqBn´1δ2||f||2 +ℓ2pGq. +If B ď 1 +8, summing over n and using a geometric sum argument yields the desired stability constant. +Hence let us assume B ą 1 +8. Using similar arguments as before, we find +bn´1 ďp2D2 ` 12Bqδ2Bn´2||f||2 +ℓ2pGq ` 8Bbn´2 +ď +˜n´1 +ÿ +k“1 +8k´1 +¸ +Bn´2p2D2 ` 12Bqδ2||f||2 +ℓ2pGq “ 1 +56p8n ´ 8qp2D2 ` 12qδ2||f||2 +ℓ2pGq. +In total we find +N +ÿ +n“1 +an +ď pb0 ´ bNq +loooomoooon +ď0 +`p2D2 ` 12BqBn´1δ2||f||2 +ℓ2pGq ` p8B ´ 1qp8n´1 ´ 1q{7Bn´2 ¨ p2D2 ` 12Bqδ2||f||2 +ℓ2pGq +ďp8N ´ 1qp2D2 ` 12Bq{7 ¨ BN´1||f||2 +ℓ2pGq. +25 + +If one of the additional equations holds, we find +an ` bn ď pbn´1 ´ bnq ` r4B ´ 1sbn´1 ` p2D2 ` 4Bqδ2||f||2 +ℓ2pGq. +and +bn´1 ďp2D2 ` 4Bqδ2Bn´2||f||2 +ℓ2pGq ` 4Bbn´2 +ď +˜n´1 +ÿ +k“1 +4k´1 +¸ +Bn´2p2D2 ` 4qδ2||f||2 +ℓ2pGq “ 1 +12p4n ´ 4qBn´2p2D2 ` 4qδ2||f||2 +ℓ2pGq. +Arguing as previously yields the desired stability bounds. +If both additional equations are satisfied the proof is virtually the same as the one for Theorem +4.2. +H +Details on Energy Decay and Truncation Stability +We first prove the statement made about the relation between truncation stability and energy: +Lemma H.1. Given the energy WN :“ ř +pγN,...,γ1qPΓN }UrγNs ˝ ... ˝ Urγ1spfq}2 +ℓ2pGNq stored in +the network at layer N, we have after extending ΦNpfq by zero to match dimensions with ΦN`1pfq +that +}ΦNpfq ´ ΦN`1pfq}2 +FN`1 ď +` +R` +N`1L` +N`1 +˘2 BN`1 ¨ WN. +Proof. We note +}ΦNpfq ´ ΦN`1pfq}2 +FN`1 “ +ÿ +pγN´1,...,γ1qPΓN +}VN`1 ˝ UrγNs ˝ ... ˝ Urγ1spfq}2 +ℓ2pGN`1q +ď +` +R` +N`1L` +N`1 +˘2 BN`1 +ÿ +pγN´1,...,γ1qPΓN´1 +}UrγNs ˝ ... ˝ Urγ1spfq}2 +ℓ2pGN`1q. +In fact one can prove even more: +Lemma H.2. The energy WN stored in layer N satisfies +C´ +N}f}2 +ℓ2pGq ď }ΦNpfq}FN ` WNpfq ď C` +N}f}2 +ℓ2pGq, +with constants C´ +N :“ +Nś +i“1 +min +␣ +1, AipL´ +i R´ +i q2( +and C` +N :“ +Nś +i“1 +max +␣ +1, BipL` +i R` +i q2( +. +Proof. +min +␣ +1, A1pL´ +1 R´ +1 q2( +||f||2 +ℓ2pGq +“A1pL´ +1 R´ +1 q2||f||2 +ℓ2pGq +“A1||ρ1pP1pfqq||2 +ℓ2pG1q +ď +ÿ +γ1PΓ1 +||gγ1p∆1qρ1pP1pfqq||2 +ℓ2pG1q ` ||χ1p∆1qρ1pP1pfqq||2 +ℓ2pG1q +“ +ÿ +qPΓ1 +||Urqspfq||2 +ℓ2pG1q ` ||χ1p∆1qρ1pP1pfqq||2 +ℓ2pG1q +“||χ1p∆1qρ1pP1pfqq||2 +ℓ2pG1q ` W1pfq, +and similarly +||χ1p∆1qρ1pP1pfqq||2 +ℓ2pG1q ` W1pfq +“ +ÿ +qPΓ1 +||Urqspfq||2 +ℓ2pG1q ` ||χ1p∆1qρ1pP1pfqq||2 +ℓ2pG1q +ďB1pL` +1 R` +1 q2||f||2 +ℓ2pGq. +26 + +This yields the starting point for our induction. Now for the inductive step assume the claim holds up +until layer N ´ 1. Then we have +C´ +N´1||f||2 +ℓ2pGq ď +N´1 +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +||χnp∆nqfq||2 +ℓ2pGnq +˛ +‚` WN´1pfq ď C` +N´1||f||2 +ℓ2pGq. +using Notation C.2. We note +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +||χnp∆nqρnpPnpfqqq||2 +ℓ2pGnq +˛ +‚` WN +“ +N´1 +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +||χnp∆nqρnpPnpfqqq||2 +ℓ2pGnq +˛ +‚` +ÿ +qPΓN´1 +||χNp∆NqρNpPNpfqqq||2 +ℓ2pGNq +` +ÿ +qPΓN +||fq||2 +ℓ2pGNq. +Every path rq P ΓN may be written as q “ pγn, qq, for some γn P Γn and q P ΓN´1. Thus we have +ÿ +qPΓN +||fq||2 +ℓ2pGNq “ +ÿ +qPΓN´1 +ÿ +γNPΓN +||gγN p∆NqPNpρNpfqqq||2 +ℓ2pGNq +Inserting this in the above equation yields +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +||χnp∆nqρnpPnpfqqq||2 +ℓ2pGnq +˛ +‚` WN +“ +N´1 +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +||χnp∆nqρnpPnpfqqq||2 +ℓ2pGnq +˛ +‚ +` +ÿ +qPΓN´1 +˜ +||χNp∆NqρNpPNpfqqq||2 +ℓ2pGn´1q ` +ÿ +γnPΓN +||gγN p∆NqPNpρNpfqq||2 +ℓ2pGNq +¸ +looooooooooooooooooooooooooooooooooooooooooooooooomooooooooooooooooooooooooooooooooooooooooooooooooon +“:βpfqq +. +We have +pL´ +NR´ +Nq2AN||fq||2 +ℓ2pGn´1q ď βpfqq ď pL` +NR` +Nq2BN||fq||2 +ℓ2pGn´1q, +by the operator frame property. With this we find: +mint1, pL´ +NR´ +Nq2ANu +¨ +˝ +N´1 +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +||χnp∆nqρnpPnpfqqq||2 +ℓ2pGnq +˛ +‚` WN´1 +˛ +‚ +ď +N +ÿ +n“1 +ÿ +qPΓn´1 +||χnp∆nqρnpPnpfqqq||2 +ℓ2pGnq ` WN +ď maxt1, pL´ +NR´ +Nq2BNu +˜N´1 +ÿ +n“1 +˜ ÿ +qPΓn +||χnp∆nqUrqspfq||2 +ℓ2pGnq +¸ +` WN´1 +¸ +, +after unravelling the definition +WN´1pfq ” +ÿ +qPΓN +||fq||2 +ℓ2pGn´1q. +The induction hypothesis together with the definition of C˘ +N now yields the claim. +27 + +With this we now prove our main theorem concerning energy decay. +Theorem H.3. Let Φ8 be a generalized graph scattering transform based on a an operator sequence +D8 “ pPn, ∆nq8 +n“1 and a module sequence Ω8 with each ρnp¨q ě 0. Assume in each layer +n ě 1 that there is an eigenvector ψn of ∆n with solely positive entries; denote the smallest +entry by mn :“ miniPGn ψnris. Denote the eigenvalue corresponding to ψn by λn. Quantify the +’spectral-gap’ opened up at this eigenvalue through neglecting the output-generating function by +ηn :“ ř +γnPΓn |gγnpλnq|2 and assume Bnmn ě ηn. We then have +WNpfq ď C` +N ¨ +« N +ź +n“1 +ˆ +1 ´ +ˆ +m2 +n ´ ηn +Bn +˙˙ff +¨ }f}2 +ℓ2pGq. +Proof. Denote the spectral projection (i.e. the orthogonal projection projecting to the space of +eigenvectors) onto the eigenspace corresponding to λn by P n +c . +Then we have +WNpfq “ +ÿ +qPΓN´1 +ÿ +γNPΓN +||gγN p∆NqρNpPNpfqqq||2 +ℓ2pGNq +“ +ÿ +qPΓN´1 +ÿ +γNPΓN +||gγN p∆Nqp1 ´ P N +c qρNpPNpfqqq||2 +ℓ2pGNq +` +ÿ +qPΓN´1 +ÿ +γNPΓN +||gγN p∆NqP N +c ρNpPNpfqqq||2 +ℓ2pGNq +ď +ÿ +qPΓN´1 +BN||p1 ´ P N +c qρNpPNpfqqq||2 +ℓ2pGNq +` +ÿ +qPΓN´1 +ηN||P N +c ρNpPNpfqqq||2 +ℓ2pGNq +ď +ÿ +qPΓN´1 +BN||p1 ´ P N +c qρNpPNpfqqq||2 +ℓ2pGNq +` +ÿ +qPΓN´1 +ηN||ρNpPNpfqqq||2 +ℓ2pGNq. +By orthogonality of the spectral projection, we then have +||p1 ´ P N +c qρNpPnpfqqq||2 +ℓ2pGNq “ ||ρNpPNpfqqq||2 +ℓ2pGNq ´ ||P N +c ρNpPnpfqqq||2 +ℓ2pGNq. +Furthermore, we have +|xψN, ρNpPnpfqqqyℓ2pGNq|2 ď ||P N +c ρNpPnpfqqq||2 +ℓ2pGNq +with equality if the multiplicity of λN is exactly one. With this we find +||p1 ´ P N +c qρNpPNpfqqq||2 +ℓ2pGNq “ ||ρNpPNpfqqq||2 +ℓ2pGNq ´ ||P N +c ρNpPNpfqqq||2 +ℓ2pGNq +ď ||ρNpPNpfqqq||2 +ℓ2pGNq ´ |xψN, ρNpPNpfqqqyℓ2pGNq|2. +28 + +Since the image of ρN is contained in R` by assumption, we have +|xψN, ρNpPNpfqqqyℓ2pGNq|2 “ +ˇˇˇˇˇˇ +|GN| +ÿ +i“1 +ρNpPNpfqqqipψNqiµi +ˇˇˇˇˇˇ +2 +ě +ˇˇˇˇˇˇ +|GN| +ÿ +i“1 +|ρNpPNpfqqqi|µi +ˇˇˇˇˇˇ +2 +¨ m2 +N +ě +ˇˇˇˇˇˇ +|GN| +ÿ +i“1 +|ρNpPNpfqqqi|2µ2 +i +ˇˇˇˇˇˇ +¨ m2 +N +ě +ˇˇˇˇˇˇ +|GN| +ÿ +i“1 +|ρNpPNpfqqqi|2µi +ˇˇˇˇˇˇ +¨ m2 +N +ě ||ρNpPNpfqqq||2 +ℓ2pGNq ¨ m2 +N +Here the second to last inequality follows since in any finite dimensional vector space, the 1-norm is +larger than the 2-norm (||f||1 ě ||f||2) and all weights are assumed to satisfy µi ě 1. Thus we now +know +||p1 ´ P N +c qρNpPNpfqqq||2 +ℓ2pGNq ď +` +1 ´ m2 +N +˘ +||ρNpPNpfqqq||2 +ℓ2pGNq. +Inserting this in our estimate for WNpfq we find +WNpfq ď +ˆ +1 ´ +ˆ +m2 +N ´ ηn +Bn +˙˙ +L` +NR` +NBN ¨ WN´1pfq +ď C` +N +N +ź +n“1 +ˆ +1 ´ +ˆ +m2 +N ´ ηn +Bn +˙˙ +||f||2 +ℓ2pGq. +Taking N to infinity, we know that C` +N converges to something larger than zero by assumption. +For products of the form +Nś +n“0 +p1 ´ qnq with 0 ď qn ă 1 it is a standard exercise to prove that the limit +is non-zero precisely if the sum over the qn converges. Combining the above result with Lemma H.2, +we obtain as an immediate Corollary: +Corollary H.4. In the setting of Theorem 4.6, the generalized scattering transform satisfies Φ´1 +8 p0q “ +t0u if C˘ +N Ñ C˘ for some positive constants C˘ and řN +n“1pmn ´ ηn{Bnq Ñ 8 as N Ñ 8. +I +Stability of Graph Level Feature Aggregation +I.1 +General non-linear feature aggregation: +Our main stability theorem for non-linear feature aggregation is as follows: +Theorem I.1. We have +}ΨNpfq´ΨNpgq}RN ď +˜ +1 ` +N +ÿ +n“1 +maxtrBn ´ 1s, rBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +k“1 +Bk +¸ 1 +2 +}f ´h}ℓ2pGq. +With the conditions and notation of Theorem 4.2 we have +}ΨNpfq ´ rΨNpfq}RN ď +b +2p2N ´ 1q ¨ +b +pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq. +29 + +Additionally, in the setting of Theorem 4.5, assuming that for each n ď N the identification operator +Jn satisfies +ˇˇ}Jnf}ℓ1p r +Gnq{?µ r +Gn ´}f}ℓ1pGnq{?µGn +ˇˇ, +ˇˇ}Jnf}ℓkp r +Gnq´}f}ℓkpGnq +ˇˇ ď δ¨K ¨}f}ℓ2pGnq +(2 ď k ď pn) implies (@f P ℓ2pGq) +}rΨNpJ0fq ´ ΨNpfq}RN ď +? +2 ¨ +b +K2 +N ¨ `K2 ¨ δ ¨ }f}ℓ2pGq. +Furhermore, under the assumptions of Corollary H.4 Ψ8pfq “ 0 implies f “ 0. +Proof. Let f, h P ℓ2pGq. To prove the first two claims, it suffices to prove +}ΨNpfq ´ ΨNphq}RN ď }ΦNpfq ´ ΦNphq}FN , +and +}ΨNpfq ´ rΨNpfq}RN ď }ΦNpfq ´ rΦNpfq}FN . +Both statements follow immediately, as soon as we have proved +}N G +p pfq ´ N G +p phq}Rp ď }f ´ h}ℓ2pGq +for arbitrary choices of p and G. To this end we note that for p ě 2 we have }f}ℓppGq ď }f}ℓ2pGq +by the monotonicity of p-norms, while we have }f}ℓ1pGq ď ?µG ¨ }f}ℓ2pGq by Hölder’s inequality. +With this we find +}N G +p pfq ´ N G +p phq}2 +Rp “ 1 +p +˜ +1 +µG +|}f}ℓ1pGq ´ }h}ℓ1pGq|2 ` +pÿ +i“2 +|}f}ℓipGq ´ }h}ℓipGq|2 +¸ +ď 1 +p +˜ +1 +µG +|}f ´ h}ℓ1pGq|2 ` +pÿ +i“2 +|}f ´ h}ℓipGq|2 +¸ +ď 1 +p ¨ p ¨ |}f ´ h}ℓ2pGq|2 +“ }f ´ h}ℓ2pGq. +where we have employed the reverse triangle inequality in the first step. +To prove the second claim, we note that we have +}ΨNpfq ´ rΨNpJ0fq}2 +RN +“ +N +ÿ +n“1 +¨ +˚ +˝ +ÿ +qPΓn´1 +}N Gn +pn pχnp∆nqρnpPnppfqqqq +loooooooooooomoooooooooooon +“:xq +q ´ N +r +Gn +pn pχnpr∆nqρnpPnp rfqqq +loooooooooomoooooooooon +“:rxq +q}2 +Rpn +˛ +‹‚ +ď2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}N +r +Gn +pn pJnxqq ´ N +r +Gn +pn prxqq}Rpn +˛ +‚ +`2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}N +r +Gn +pn pJnxqq ´ N Gn +pn pxqq}Rpn +˛ +‚ +“2}J ΦNpfq ´ rΦNpJ0fq}2 +FN +`2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}N +r +Gn +pn pJnxqq ´ N Gn +pn pxqq}Rpn +˛ +‚. +Thus it remains to bound the last expression. We have +}N +r +Gn +p +pJnxqq ´ N Gn +pn pxqq}Rpn +“ 1 +pn +¨ +˝ +ˇˇˇˇˇ +1 +?µGn +}f}ℓ1pGq ´ +1 +?µ r +Gn +}Jnf}ℓ1p r +Gq +ˇˇˇˇˇ +2 +` +pn +ÿ +i“2 +|}f}ℓipGq ´ }Jnf}ℓip r +Gq|2 +˛ +‚ +ďK2 ¨ δ2 ¨ }xq}2 +ℓ2pGnq. +30 + +By our results of Appendix C and since we assume admissibility, we have +N +ÿ +n“1 +ÿ +qPΓn´1 +}xq}2 +ℓ2pGnq ď }f}2 +ℓ2pGq. +Thus in total +}ΨNpfq ´ rΨNpJ0fq}2 +FN ď 2}J ΦNpfq ´ rΦNpJ0fq}2 +FN ` 2Kδ}f}ℓ2pGq, +from which our stability claim follows. +It remains to prove that the assumptions of Corollary H.4 Ψ8pfq “ 0 imply f “ 0. But since +N G +p pfq “ 0 implies f “ 0, this is clear. +I.2 +Low-Pass feature Aggregation +The main assumption we have in this section is that each operator ∆n (and r∆n) has a simple lowest +lying eigenvalue equal to zero. We denote the associated eigenvector (determined up to a complex +phase) by ψ∆n and the associated spectral projection to the lowest lying eigenvalue by P∆n. It acts +as +P∆nf ” ψ∆nxψ∆n, fyℓ2pGnq. +Now we are ready to state our main stability result under these circumstances: +Theorem I.2. We have +}Ψ|x¨,¨y| +N +pfq´Ψ|x¨,¨y| +N +pgq}CN ď +˜ +1 ` +N +ÿ +n“1 +maxtrBn ´ 1s, rBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +k“1 +Bk +¸ 1 +2 +}f´h}ℓ2pGq. +With the conditions and notation of Theorem 4.2 and under the additional assumption }pP∆n ´ +P r∆nq}op ď K ¨ δ for n ď N and some K ě 0, we have +}Ψ|x¨,¨y| +N +pfq ´ rΨ|x¨,¨y| +N +pfq}CN ď +? +2 ¨ +b +2p2N ´ 1qpmaxtB, 1{2uqN´1 ` K2 ¨ δ ¨ }f}ℓ2pGq. +In the setting of Theorem 4.5 and under the additional assumption |}P∆nf}ℓ2pGnq ´ +}P r∆nJnf}ℓ2p r +Gnq| ď Kδ||f||ℓ2pGnq for all f P ℓ2pGnq (n ď N), we have +}rΨ|x¨,¨y| +N +pJ0fq ´ Ψ|x¨,¨y| +N +pfq}CN ď +? +2 ¨ +b +K2 +N ¨ `K2 ¨ δ ¨ }f}ℓ2pGq. +Proof. Let f, h P ℓ2pGq. To prove the first claim, it suffices to prove +}Ψ|x¨,¨y| +N +pfq ´ Ψ|x¨,¨y| +N +phq}CN ď }ΦNpfq ´ ΦNphq}FN . +This immediately follows from the fact that for all f P ℓ2pGnq +|xψ∆n, fyℓ2pGnq|2 ď }ψ∆n}2 +ℓ2pGnq ¨ }f}2 +ℓ2pGnq +by Hölder’s inequality. +The next claim we want to prove is that we have for all f P ℓ2pGq +}Ψ|x¨,¨y| +N +pfq ´ rΨ|x¨,¨y| +N +pfq}CN ď +? +2 ¨ +b +2p2N ´ 1q ` K2 ¨ δ ¨ }f}ℓ2pGq. +We note +31 + +}Ψ|x¨,¨y| +N +pfq ´ rΨ|x¨,¨y| +N +pfq}2 +CN +“ +N +ÿ +n“1 +¨ +˚ +˝ +ÿ +qPΓn´1 +ˇˇˇˇˇˇˇ +|xψ∆n, χnp∆nqρnpPnpfqqq +loooooooooomoooooooooon +“:xq +yℓ2pGnq| ´ |xψ r∆n, χnpr∆nqρnpPnp rfqqq +loooooooooomoooooooooon +rxq +yℓ2pGnq| +ˇˇˇˇˇˇˇ +2˛ +‹‚ +“ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nrxq}ℓ2pGnq +ˇˇˇ +2 +˛ +‚ +ď +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}P∆nxq ´ P r∆nrxq}2 +ℓ2pGnq +˛ +‚ +ď2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}P r∆npxq ´ rxqq}2 +ℓ2pGnq +˛ +‚` 2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}pP∆n ´ P r∆nqxq}2 +ℓ2pGnq +˛ +‚ +ď2}ΦNpfq ´ ΦNphq}2 +FN ` 2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}pP∆n ´ P r∆nqxq}2 +ℓ2pGnq +˛ +‚ +Hence we need to bound the expression "}pP∆n ´ P r∆nqxq}2 +ℓ2pGnq". We note +}pP∆n ´ P r∆nqxq}2 +ℓ2pGnq ď }pP∆n ´ P r∆nq}op ¨ }xq}2 +ℓ2pGnq +ď K2 ¨ δ2 ¨ }xq}2 +ℓ2pGnq +and thus +}Ψ|x¨,¨y| +N +pfq ´ rΨ|x¨,¨y| +N +pfq}2 +CN +ď2}ΦNpfq ´ ΦNphq}2 +FN ` 2K2 ¨ δ2 ¨ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +}χnp∆nqρnpPnppfqqqq}2 +ℓ2pGnq +˛ +‚ +ď2}ΦNpfq ´ ΦNphq}2 +FN ` 2K2 ¨ δ2 ¨ }f}2 +ℓ2pGq +and the claim follows. +Finally we want to prove +}rΨ|x¨,¨y| +N +pJ0fq ´ Ψ|x¨,¨y| +N +pfq}CN ď +? +2 ¨ +b +K2 +N ¨ `K2 ¨ δ ¨ }f}ℓ2pGq. +We note +32 + +}Ψ|x¨,¨y|2 +N +pfq ´ rΨ|x¨,¨y| +N +pfq}CN +“ +N +ÿ +n“1 +¨ +˚ +˝ +ÿ +qPΓn´1 +ˇˇˇˇˇˇˇ +|xψ∆n, χnp∆nqρnpPnppfqqqq +loooooooooooomoooooooooooon +“:xq +yℓ2pGnq| ´ |xψ r∆n, χnpr∆nqρnpPnp rfqqq +loooooooooomoooooooooon +rxq +yℓ2p r +Gnq| +ˇˇˇˇˇˇˇ +2˛ +‹‚ +“ +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nrxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +ď +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r +Gnq ` }P r∆nJnxq}ℓ2p r +Gnq ´ }P r∆nrxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +ď2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P r∆nJnxq}ℓ2p r +Gnq ´ }P r∆nrxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +`2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +ď2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P r∆nJnxq}ℓ2p r +Gnq ´ }P r∆nrxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +`2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +ď2}J ΦNpfq ´ rΦNpJ0fq}2 +Ă +FN ` 2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r +Gnq +ˇˇˇ +2 +˛ +‚ +ď2}J ΦNpfq ´ rΦNpJ0fq}2 +Ă +FN ` 2 +N +ÿ +n“1 +¨ +˝ ÿ +qPΓn´1 +K2 ¨ δ2}xq}2 +ℓ2pGnq +˛ +‚ +ď2}J ΦNpfq ´ rΦNpJ0fq}2 +Ă +FN ` 2K2 ¨ δ2}f}2 +ℓ2pGq. +which proves the claim. +In establishing triviality of the ’kernel’, we have to be a tiny bit more careful: +Theorem I.3. In the setting of of Corollary H.4, assume that in each layer n, the output generating +function χn of the underlying scattering transform satisfies χnp0q ‰ 0 and χnpλiq “ 0 for ordered +non-zero eigenvalues λ2 ď ... ď λ|Gn| of the operator ∆n. Then Ψ|x¨,¨y| +8 +pfq “ 0 implies f “ 0. +Proof. Under these assumptions, we do not lose any information by projecting to ψ∆n in each +ℓ2pGnq, since the image of χnp∆nq is already contained in the one-dimensional space generated by +the lowest lying eigenvector ψ∆n. +J +Details on Higher Order Scattering +Node signals capture information about nodes in isolation. However, one might also want to analyse +or incorporate information about binary, ternary or even higher order relations between nodes, such +as distances or angles between nodes representing atoms in a molecule. This can be formalized by +considering tensorial input signals: +33 + +Tensorial input: +A 2-tensor on a graph G, as it was already utilized in Section 6, is simply an +element of C|G|ˆ|G| or – equivalently – a map from GˆG to C, since it associates a complex number +to each element pg1, g2q P G ˆ G. Since G ˆ G is precisely the set of (possible) edges E, we can +equivalently think of 2-tensors edge-signals. A 3-tensor an element of C|G|ˆ|G|ˆ|G| or equivalently +a map from G ˆ G ˆ G ” G3 to C. A 4-tensor then is a map from G4 ” G ˆ G ˆ G ˆ G to C +or equivalenlty an element of C|G|ˆ|G|ˆ|G|ˆ|G| and so forth. Clearly the space of k-tensors forms a +linear vector space. Addition and scalar multiplication by λ P C are given by +pf ` λgqi1,...,ik :“ fi1,...,ik ` λgi1,...,ik +with f and g being k-tensors. For fixed k, we equip the space of k-tensors with an inner product +according to +xf, gy “ +|G| +ÿ +i1,...,ik“1 +fi1,...,ikgi1,...,ikµi1,...,ik +and denote the resulting inner-product space by ℓ2pGkq. +Operators on Spaces of Tensors: +Since for fixed k the space ℓ2pGkq is simply a |G|k-dimensional +complex inner product space, there are exist normal operators ∆k : ℓ2pGkq Ñ ℓ2pGkq on this space. +Note that the k in ∆k signifies on which space this operator acts. It does not signify that an operator +is raised to the kth power. Setting for example node-weights µi and edge weights µik to one, the +adjacency matrix W as well as normalized or un-normalized graph Laplacians constitute self-adjoint +operators on ℓ2pG2q, where they act by matrix multiplication. +Higher order Scattering Transforms: +We can then follow the recipe laid out Section 3 in con- +structing kth-order scattering transforms; all that we need are a module sequence ΩN and an operator +sequence Dk +N :“ pP k +n, ∆k +nqN +n“1, where now P k +n : ℓ2pGk +n´1q Ñ ℓ2pGk +nq and ∆k +n : ℓ2pGk +nq Ñ ℓ2pGk +nq. +Figure 7: Schematic Higher Order Scattering Ar- +chitecture +To our initial signal f P ℓ2pGkq we first apply +the connecting operator P k +1 , yielding a signal rep- +resentation in ℓ2pGk +1q. Subsequently, we apply +the pointwise non-linearity ρ1. Then we apply +our graph filters tχ1p∆k +1qu Ťtgγ1p∆k +1quγ1PΓ1 +to ρ1pP k +1 pfqq yielding the output V1pfq :“ +χ1p∆k +1qρ1pP k +1 pfqq as well as the interme- +diate hidden representations tU1rγ1spfq +:“ +gγ1p∆k +1qρ1pP k +1 pfqquγ1PΓ1 obtained in the first +layer. Here we have introduced the one-step +scattering propagator Unrγns : ℓ2pGk +n´1q Ñ +ℓ2pGk +nq mapping f +ÞÑ +gγnp∆nqρnpPnpfqq +as well as the output generating operator +Vn +: ℓ2pGk +n´1q Ñ ℓ2pGk +nq mapping f to +χnp∆k +nqρnpP k +npfqq. +Upon defining the set +ΓN´1 :“ ΓN´1 ˆ ... ˆ Γ1 of paths of length +pN ´ 1q terminating in layer N ´ 1 (with Γ0 +taken to be the one-element set) and iterating the +above procedure, we see that the outputs gener- +ated in the N th-layer are indexed by paths ΓN´1 +terminating in the previous layer. +We denote the resulting feature map by Φk +N and write F k +N for the corresponding feature space. The +node-level stability results of the preceding sections then readily translate to higher order scattering +transforms. +As the respective proofs are identical to the corresponding results for the node setting, we do not +repeat them here. +Theorem J.1. With the notation of Section 4, we have for all f, h P ℓ2pGkq: +}Φk +Npfq ´ Φk +Nphq}2 +F k +N ď +˜ +1 ` +N +ÿ +n“1 +maxtrBn ´ 1s, rBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +ℓ“1 +Bℓ +¸ +}f ´ h}2 +ℓ2pGkq +34 + +p3(Pk(.)) +p2(Pk(.)) +ga2 +9b2 (△) +p3(Pk()) +X2(△) +ga +p3(Pk()) +P1(Pk())/gb1(△)、Ip2(Pk()) +qa? +T +p3(Pk()) +6 +JC1 +X2(△5) +p3(Pk()) +(△) +p2(Pk(.)) +qa2 +9b2 (△k +p3(Pk()) +X1(△) +X2(△))Theorem J.2. Let ΦN and rΦN be two scattering transforms based on the same module sequence +ΩN and operator sequences Dk +N, r +Dk +N with the same connecting operators (P k +n “ rP k +n) in each +layer. Assume R` +n , L` +n ď 1 and Bn ď B for some B and n ď N. Assume that the respective +normal operators satisfy }∆k +n ´ r∆k +n}F ď δ for some δ ą 0. Further assume that the functions +tgγnuγnPΓn and χn in each layer are Lipschitz continuous with associated Lipschitz constants +satisfying L2 +χn ` ř +γnPΓn L2 +gγn ď D2 for all n ď N and some D ą 0. Then we have for all +f P ℓ2pGkq +}rΦk +Npfq ´ Φk +Npfq}FN ď +b +2p2N ´ 1q ¨ +b +pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGkq +Theorem J.3. Let Φk +N, rΦk +N be higher order scattering transforms based on a common module +sequence ΩN and differing operator sequences Dk +N, r +Dk +N. Assume R` +n , L` +n ď 1 and Bn ď B +for some B and n ě 0. Assume that there are identification operators Jn : ℓ2pGk +nq Ñ ℓ2p rGk +nq, +rJn : ℓ2p rGk +nq Ñ ℓ2pGk +nq (0 ď n ď N) so that the respective signal spaces are δ-unitarily equivalent, +the respective normal operators ∆k +n, r∆k +n are ω-δ-close as well as bounded (in norm) by K ą 0 and the +connecting operators satisfy } rP k +nJn´1f ´ JnP k +nf}ℓ2p r +Gknq ď δ}f}ℓ2pGk +n´1q. For the common module +sequence ΩN assume that the non-linearities satisfy }ρnpJnfq ´ Jnρnpfq}ℓ2p r +Gknq ď δ}f}ℓ2pGknq +and that the constants Cχn and tCgγn uγnPΓN associated through Lemma 4.4 to the functions of the +generalized frames in each layer satisfy C2 +χn ` ř +γnPΓN C2 +gγn ď D2 for some D ą 0. Denote the +operator that the family tJnun of identification operators induce on F k +N through concatenation by +JN : F k +N Ñ Ă +F k +N. Then we have with KN “ +a +p8N ´ 1qp2D2 ` 12Bq{7 ¨ BN´1 if B ą 1{8 and +KN “ +a +p2D2 ` 12Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{8 that +}rΦk +NpJ0fq ´ JNΦk +Npfq} Ă +F k +N ď KN ¨ δ ¨ }f}ℓ2pG, +@f P ℓ2pGkq. +If additionally } rP k +nJn´1f ´ JnP k +nf}ℓ2p r +Gnq “ 0 or }ρnpJnfq ´ Jnρnpfq}ℓ2p r +Gknq “ 0 holds in +each layer, then we have KN “ +a +p4N ´ 1qp2D2 ` 4Bq{3 ¨ BN´1 if B ą 1{4 and KN “ +a +p2D2 ` 4Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{4. +If both additional equations hold, we have +KN “ +a +p2N ´ 1q2D2 ¨ BN´1 if B ą 1{2 and KN “ +a +2D2 ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{2. +The map N G +p introduced in (4) can also be adapted to aggregate higher-order tensorial features into +graph level features: With +}f}q :“ +˜ +ÿ +i1,...,ikPG +|fi1,...,ik|qµi1,...,ik +¸1{q +and µGk :“ ř|G| +i1...ik“1 µi1,...,ik, we define +N Gk +p +pfq “ p}f}ℓ1pGkq{?µGk, }f}ℓ2pGkq, }f}ℓ3pGkq, ..., }f}ℓppGkqqJ{?p. +Given a feature map Φk +N with feature space +FN “ ‘N +n“1 +` +ℓ2pGk +nq +˘|Γn´1| , +we obtain a corresponding map Ψk +N mapping from ℓ2pGkq to +RN “ ‘N +n“1 pRpnq|Γn´1| +by concatenating Φk +N with the map that the family of non-linear maps tN pn +GknuN +n“1 induces on F N by +concatenation. The resulting map Ψk +N again has stability properties analogous to the node level case: +Theorem J.4. Assuming admissibility, we have +}Ψk +Npfq ´ Ψk +Nphq}RN ď +˜ +1 ` +N +ÿ +n“1 +maxtrBn ´ 1s, rBnpL` +n R` +n q2 ´ 1s, 0u +n´1 +ź +ℓ“1 +Bℓ +¸ +}f ´ h}2 +ℓ2pGkq +35 + +for all f, h P ℓ2pGq . With the conditions and notation of Theorem J.2 we have +}Ψk +Npfq ´ rΨk +Npfq}RN ď +b +2p2N ´ 1q ¨ +b +pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGkq. +Additionally, in the setting of Theorem J.3, assuming that for each n ď N the identification operator +Jn satisfies +ˇˇ}Jnf}ℓ1p r +Gknq{aµ r +Gkn ´}f}ℓ1pGknq{?µGkn +ˇˇ, +ˇˇ}Jnf}ℓrp r +Gknq´}f}ℓrpGknq +ˇˇ ď δ¨K¨}f}ℓ2pGknq +for 2 ď r ď pn implies (@f P ℓ2pGkq) +}rΨNpJ0fq ´ ΨNpfq}RN ď +? +2 ¨ +b +K2 +N ` K2 ¨ δ ¨ }f}ℓ2pGkq. +As the proofs here are virtually the same as for the corresponding results in previous sections – +essentially only replacing G by Gk, we omit a repetition of them here. +K +Additional Details on Experiments +Here we provide additional details on utilized scattering architectures, training procedures, datasets +and (performance of) other methods our approach is being compared to. Irrespective of task, our +models are trained on an NVIDIA DGX A100 architecture utilizing between two and eight NVIDIA +Tesla A100 GPUs with 80GB memory each. Running 10-fold cross validation for the respective +experiments took at most 71 hours (which was needed for social network graph classification on +REDDIT-12K). +K.1 +Social Network Graph Classification +Datasets: +The data we are working with is taken from [43]. In particular this work introduced six +social network datasets extracted from from scientific collaborations (COLLAB), movie collabora- +tions (IMDB-B, IMDB-M) and Reddit discussion threads (REDDIT-B, REDDIT-5K, REDDIT-12K). +Data is anonymised and contains no content that might be considered offensive. Each graph carries a +class label, and the goal is to predict this label. Some basic properties of these datasets are listed in +Table 3 below. +Table 3: Social Network Dataset Characteristics +Attributes: +COLLAB +IMDB- B +IMDB-M +REDDIT-B +REDDIT-5K +REDDIT-12K +Graphs +5K +1K +1.5K +2K +5K +12K +Nodes +372.5K +19.8K +19.5K +859.2K +2.5M +4.7M +Edges +49.1M +386.1K +395.6 +4M +11.9M +21.8M +Maximum Degree +2k +540 +352 +12.2K +8K +12.2K +Minimum Degree +4 +4 +4 +4 +4 +4 +Average Degree +263 +39 +40 +9 +9 +9 +Target Labels +3 +2 +3 +2 +5 +11 +Disconnected Graphs +No +No +No +Yes +Yes +Yes +These datasets contain graph structures, however they don’t contain associated weights or graph +signals. Having unspecified weights simply means that the adjacency matrix W from which we +construct the graph Laplacian +L “ D ´ W +on which our operator ∆ is based simply has each entry corresponding to an edge set to unity. If +no edge is present between vertices i and j, the entry Wij is set to zero. It remains to solve the +problem of the missing input signals. Our strategy is to generate signals reflecting the geometry +of the underlying graph. We do this by utilizing features that associate to each node a number that +characterizes its role or importance within its local environment or within the entire graph. We briefly +describe them here: +1. Degree: The degree of a node is the number of edges incident at this node. +2. Eccentricity: For a connected graph, the eccentricity of a node is the maximum distance +from this node to all other nodes. On a disconnected graph it is not defined. +36 + +3. Clustering: For unweighted graphs the clustering cpuq of a node u is the fraction of possible +triangles through that node that actually exist. It is calculated as +cpuq “ +2Tpuq +degpuqpdegpuq ´ 1q. +4. Number of triangles: The number of triangles containing the given node as a vertex. +5. Core number: A k-core is a maximal subgraph that only contains nodes of degree k or +more. The core number of a node is the largest value k of a k-core containing that node. +6. Clique number: A clique is a subset of vertices of an undirected graph such that every two +distinct vertices in the clique are adjacent. This input assigns the number of cliques the +nodes participates in to each node. +7. Pagerank: This returns the PageRank of the respective nodes in the graph. PageRank +computes a ranking of the nodes in the graph based on the structure of the edges. Originally +it was designed as an algorithm to rank web pages. +For the first three datasets listed in Table 3 we utilize all listed input features. For the latter three +datasets we have to refrain from using eccentricity as an input signal, as these datasets contain graphs +that have multiple non-connected graph components. +Scattering Architecture: +We chose a generalized scattering architecture of depth N “ 4. As +normal-operators, we utilize in each layer the un-normalized graph Laplacian L “ D ´ W scaled +by its largest eigenvalue (∆ “ L{λmaxpLq). Filters are chosen as 1 +2psinpπ{2 ¨ ∆q, rcospπ{2 ¨ ∆q ´ +ψ∆ψJ +∆s, sinpπ ¨ ∆q, rcospπ ¨ ∆q ´ ψ∆ψJ +∆sq, which allows to specify the output generating function +solely by demanding χp0q “ 1 and χpλq “ 0 on all other eigenvalues of ∆. Here ψ∆ is the +normalized vector of all ones (satisfying ∆ψ∆ “ 0). Connecting operators are chosen as the identity, +while we set ρně1p¨q “ | ¨ |. We note that for connected graphs, this recovers Architecture I of Fig. 2. +On disconnected graphs (as they can appear in the REDDIT datasets), we however do not account +for vectors other than ψ∆ in the lowest-lying eigenspace of the graph Laplacian. This scattering +architecture is then applied to each of these input signal individually. For each input signal, this +returns a feature vector with 1 ` 4 ` 16 ` 64 “ 85 entries. These individual feature vectors are +then concatenated into one final composite feature vector for each graph. Concerning applicable +theoretical results, we note the following: +Training Procedure: +We train RBF kernel support vector classifiers on our composite scattering +features. We fix ϵ “ 0.1. The hyperparameter γ scaling the exponent is chosen from +Gpool :“ t0.00001, 0.0001, 0.001, 0.01, 0.1, 1, 10, 100u, +while we pick the C that controls the error our slack variables introduce among +Cpool :“ t0.001, 0.01, 0.1, 1, 10, 25, 50, 100, 1000u. +We chose these parameters in agreement with the choices of [12] to facilitate comparison between +the two works. +We could simply implement the training of the RBF-classifier on our composite scattering features +by dividing each social-network dataset into 10 folds, then iteratively choosing one fold for testing +and among the remaining 9 folds randomly choosing one for validation (i.e. for tuning the hyperpa- +rameters). Instead, following [12] (whose code is released under an Apache license and on which +we partially built), we take a slightly different approach: We still randomly split our dataset into 10 +folds. Among the 10 folds, we iteratively pick one for testing. Say we have picked the nth fold for +testing. Then there are 9 remaining folds. We iteratively pick the mth +n (with 1 ď mn ď 9) of the +remaining 9 folds for choosing hyperparameters. This leaves 8 folds on which we train our model +for each choice of hyper parameter in Cpool ˆ Gpool. The resulting classifiers are all evaluated on the +mth +n fold. The one that performs best is retained as classifier mn. As mn varies between 1 and 9 +(still for fixed n), this yields a set tfmn : 1 ď mn ď 9u of nine classifiers. From these we build the +classifier fn, whose classification result is obtained from a majority vote among the nine classifiers +in tfmn : 1 ď mn ď 9u. Then we evaluate the performance of fn on the nth fold to obtain the +nth estimation of how well our model performs. As n varies from one to ten, we built the mean +and variance of the performances of the classifiers fn on the nth fold expressed as the percentage of +correct classifications. +37 + +Reference Methods: +To allow for a comparison of our results to the literature, typical classification +accuracies for graph algorithms on social network datasets are displayed in Table 1. Following the +standard format of reporting classification accuracies, they are presented in the format (Accuracy ˘ +standard deviation). If results are not reported for a dataset, we denote this as not available (N/A). +The first three rows of Table 1 display results for graph kernel methods; namely Weisfeiler-Lehman +graph kernels (WL, [33]), Graphlet kernels (Graphlet, [34]) and deep graph kernels (DGK, [42]). The +subsequent rows display results for geometric deep learning algorithms: Deep graph convolutional +neural networks (DGCNN,[46]), Patchy-san (PSCN (with k=10), [26]), recurrent neural network +autoencoders (S2S-N2N-PP, [16]) and graph isomorphism networks (GIN [41]). These results are +taken from [12]. Additionally we compare with P-Poinc [19], which embeds nodes into a hyperbolic +space (the Poincare ball, to be precise), GSN-e [3] which combines message passing with structural +features extracted via subgraph isomorphism and WKPI-kC [47] which utilizes a weighted kernel +within its metric learning framework. The second to last row (GS-SVM [12]) provides a result that is +also based on a method that combines a static scattering architecture with a support vector machine. +Its filters are based on graph wavelets built from differences between lazy random walks that have +propagated at different time scales. +K.2 +Regression of Quantum Chemical Energies +Dataset: +The dataset we consider is the QM7 dataset, introduced in [2, 31]. This dataset contains +descriptions of 7165 organic molecules, each with up to seven heavy atoms, with all non-hydrogen +atoms being considered heavy. A molecule is represented by its Coulomb matrix CClmb, whose +off-diagonal elements +CClmb +ij +“ +ZiZj +|Ri ´ Rj| +(10) +correspond to the Coulomb-repulsion between atoms i and j, while diagonal elements encode a +polynomial fit of atomic energies to nuclear charge [31]: +CClmb +ii +“ 1 +2Z2.4 +i +For each atom in any given molecular graph, the individual Cartesian coordinates Ri and the atomic +charge Zi are also accessible individually. To each molecule an atomization energy - calculated via +density functional theory - is associated. The objective is to predict this quantity, the performance +metric is mean absolute error. Numerically, atomization energies are negative numbers in the range +´600 to ´2200. The associated unit is rkcal/mols. +Scattering Architecture: +Off-diagonal entries in the Coulomb Matrix clearly represent an inverse +distance. A weight of zero can then heuristically be thought of as the inverse distance between two +infinitely separated atoms. After calculating the degree matrix D associated to C, we obtain the +graph Laplacian once more as L “ D ´ C and set our normal operator to +∆ “ +L +λmaxpLq. +If we continuously vary the distances in (10), staying clear of zero, then the adjacency matrix +and hence the graph Laplacian L varies continuously. As long as we avoid complete degeneracy, +the largest eigenvalue λmaxpLq will remain positive. This implies that our normal operator ∆ +varies continuously under changes of the inter-atomic distances, which implies that our feature +vector also varies continuously, as distances are changed. Connecting operators are set to the +identity, while non-linearities are fixed to ρně1p¨q “ | ¨ |. Filters are chosen as psinpπ{2 ¨ ∆q, +cospπ{2 ¨ ∆q, sinpπ ¨ ∆q, cospπ ¨ ∆qq acting through matrix multiplication. The output generating +functions are set to the identity as well. Graph level features are aggregated via the map N E +5 p¨q +of Section 6; slightly modified to neglect the normalizing factor in the first entry for improved +convenience in numerical implementability. As weights µij for our second-order feature space are set +to unity and molecular graphs in QM7 contain at most 23-molecules, we note that ?µG2 ď +? +232 “ +23. Going through the proofs of our graph-level stability results, we see that they remain valid after +multiplying each stability constant by 23. The Coulomb matrix (divided by a factor of 10 as this +empirically improved performance) is then also utilized as an edge level input signal. Node level +38 + +features are obtained by applying the above architecture to the node level information provided by +the respective atomic charges tZiu on each graph. We aggregate to graph level features using N G +5 +(cf. Section 5), again neglecting the normalizing factor in the first entry for improved convenience in +implementing. The network depth is set to N “ 4 in both cases. We then concatenate graph level +features obtained from node- and edge level input into a composite scattering feature vector. +Training Procedure: +The QM7 dataset comes with a precomputed partition into five subsets; each +containing a representative amount of heavy and light molecules covering the entire complexity range +of QM7. To allow for 10-fold cross validation, we further dissect each of these subsets into two +smaller datasets, one containing graphs indexed by an even number, one containing graphs indexed +by an odd number. On these 10-subsets, we then perform 10-fold cross validation. Among the 10 +folds, we iteratively pick one for testing. Say we have picked the nth fold for testing. Then there +are 9 remaining folds. We iteratively pick the mth +n (with 1 ď mn ď 9) of the remaining 9 folds for +choosing hyperparameters. This leaves 8 folds on which we train our model for each choice of hyper +parameter in Cpool ˆ Gpool. This yields 8 regression models, which we average to built our final +predictor for the nth run. This mean absolute error of this predictor is then evaluated on the nth fold +which was retained for testing. As n varies from one to ten, we built the mean and variance of the +performances of the generated regression models. We chose log-linear equidistant hyperparameters +from +Gpool :“ t0.00003, 0.0003, 0.003, 0.03, 0.3, 3, 30u, +and +Cpool :“ t400000, 40000, 4000, 400, 40, 4, 0.4u. +Reference Methods: +We comprehensively evaluate our method against 11 popular baselines and +state of the art approaches. Among these methods are graph convolutional methods such as GraphConv +[18], Weave [17] or SchNet [32]. MPNN [13] and its variant DMPNN [44] are models considering +edge features during message passing. AttentiveFP [40] is an extension of the graph attention +framework, while N-Gram [21] is a pretrained method. Results for these methods as well as for +GROVER are taken from [30]. PhysChem [45] learns molecular representations via fusing physical +and chemical information. Deep Tensor Neural Networks (DTNN [39]) are adaptable extensions of the +Coulomb Matrix featurizer mapping atom numbers to trainable embeddings which are then updated +based on distance information and other (node-level) atomic features. Finally Path-Augmented Graph +Transformer Networks (PATGN, [6]) exploit the connectivity structure of the data in a global attention +mechanism. +39 + diff --git a/PNFJT4oBgHgl3EQfIiwq/content/tmp_files/load_file.txt b/PNFJT4oBgHgl3EQfIiwq/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..bf1e24ba606cc708a209aec0dfef22e3bf79ab7d --- /dev/null +++ b/PNFJT4oBgHgl3EQfIiwq/content/tmp_files/load_file.txt @@ -0,0 +1,1629 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf,len=1628 +page_content='Graph Scattering beyond Wavelet Shackles Christian Koke Technical University of Munich & Ludwig Maximilian University Munich christian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='koke@tum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='de Gitta Kutyniok Ludwig Maximilian University Munich & University of Tromsø kutyniok@math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='lmu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='de Abstract This work develops a flexible and mathematically sound framework for the design and analysis of graph scattering networks with variable branching ratios and generic functional calculus filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Spectrally-agnostic stability guarantees for node- and graph-level perturbations are derived;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' the vertex-set non-preserving case is treated by utilizing recently developed mathematical-physics based tools.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Energy propaga- tion through the network layers is investigated and related to truncation stability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' New methods of graph-level feature aggregation are introduced and stability of the resulting composite scattering architectures is established.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Finally, scattering transforms are extended to edge- and higher order tensorial input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theoretical results are complemented by numerical investigations: Suitably chosen scattering networks conforming to the developed theory perform better than traditional graph- wavelet based scattering approaches in social network graph classification tasks and significantly outperform other graph-based learning approaches to regression of quantum-chemical energies on QM7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 1 Introduction Euclidean wavelet scattering networks [22, 4] are deep convolutional architectures where output- features are generated in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Employed filters are designed rather than learned and derive from a fixed (tight) wavelet frame, resulting in a tree structured network with constant branching ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Such networks provide state of the art methods in settings with limited data availability and serve as a mathematically tractable model of standard convolutional neural networks (CNNs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Rigorous investigations — establishing remarkable invariance- and stability properties of wavelet scattering networks — were initially carried out in [22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The extensive mathematical analysis [38] generalized the term ’scattering network’ to include tree structured networks with varying branching rations and frames of convolutional filters, thus significantly narrowing the conceptual gap to general CNNs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With increasing interest in data on graph-structured domains, well performing networks generalizing Euclidean CNNs to this geometric setting emerged [18, 5, 9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If efficiently implemented, such graph convolutional networks (GCNs) replace Euclidean convolutional filters by functional calculus filters;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' scalar functions applied to a suitably chosen graph-shift-oprator capturing the geometry of the underlying graph [18, 14, 9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Almost immediately, proposals aimed at extending the success story of Euclidean scattering networks to the graph convolutional setting began appearing: In [48], the authors utilize dyadic graph wavelets (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [14]) based on the non-normalized graph Laplacian resulting in a norm preserving graph wavelet scattering transform.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In [10], diffusion wavelets (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [8]) are used to construct a graph scattering transform enjoying spectrum-dependent stability guarantees to graph level perturbations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For scattering transforms with N layers and K distinct functional calculus filters, the work [11] derives node-level stability bounds of OpKN{2q and conducts corresponding numerical experiments choosing diffusion wavelets, monic cubic wavelets [14] and tight Hann wavelets [35] as filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In [12] the authors, following [8], construct so called geometric wavelets and establish the expressivity of a scattering transform based on such a frame through extensive numerical Preprint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Under review.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='11456v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='LG] 26 Jan 2023 experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A theoretical analysis of this and a closely related wavelet based scattering transform is the main focus of [28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally, graph-wavelet based scattering transforms have been extended to the spatio-temporal domain [27], utilized to overcome the problem of oversmoothing in GCNs [25] and pruned to deal with their exponential (in network depth) increase in needed resources [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Common among all these contributions is the focus on graph wavelets, which are generically understood to derive in a scale-sampling procedure from a common wavelet generating kernel function g : R Ñ R satisfying various properties [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Established stability or expressivity properties — especially to structural perturbations — are then generally linked to the specific choice of the wavelet kernel g and utilized graph shift operator [10, 28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This severely limits the diversity of available filter banks in the design of scattering networks and draws into question their validity as models for more general GCNs whose filters generically do not derive from a wavelet kernel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A primary focus of this work is to provide alleviation in this situation: After reviewing the graph signal processing setting in Section 2, we introduce a general framework for the construction of (generalized) graph scattering transforms beyond the wavelet setting in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Section 4 establishes spectrum- agnostic stability guarantees on the node signal level and for the first time also for graph-level perturbations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To handle the vertex-set non-preserving case, a new ’distance measure’ for operators capturing the geometry of varying graphs is utilized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' After providing conditions for energy decay (with the layers) and relating it to truncation stability, we consider graph level feature aggregation and higher order inputs in Sections 5 and 6 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In Section 7 we then provide numerical results indicating that general functional calculus filter based scattering is at least as expressive as standard wavelet based scattering in graph classification tasks and outperforms leading graph neural network approaches to regression of quantum chemical energies on QM7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 Graph Signal Processing Taking a signal processing approach, we consider signals on graphs as opposed to graph embeddings: Node-Signals: Given a graph pG, Eq, we are primarily interested in node-signals, which are functions from the node-set G to the complex numbers, modelled as elements of C|G|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We equip this space with an inner product according to xf, gy “ ř|G| i“1 figiµi (with all vertex weights µi ě 1) and denote the resulting inner product space by ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We forego considering arbitrary inner products on C|G| solely in the interest of increased readability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Functional Calculus Filters: Our fundamental objects in investigating node-signals will be func- tional calculus filters based on a normal operator ∆ : ℓ2pGq Ñ ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Prominent examples include the adjacency matrix W, the degree matrix D, normalized p1 ´ D´ 1 2 WD´ 1 2 q or un-normalized (L :“ D´W) graph Laplacians Writing normalized eigenvalue-eigenvector pairs of ∆ as pλi, φiq|G| i“1, the filter obtained from applying g : C Ñ C is given by gp∆qf “ ř|G| i“1 gpλiqxφi, fyℓ2pV qφi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The operator we utilize in our numerical investigations of Section 6, is given by L :“ L{λmaxpLq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We divide by the largest eigenvalue to ensure that the spectrum σpL q is contained in the interval r0, 1s, which aids in the choice of functions from which filters are derived.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Generalized Frames: We are most interested in filters that arise from a collection of functions adequately covering the spectrum of the operator to which they are applied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To this end we call a collection tgip¨quiPI of functions a generalized frame if it satisfies the generalized frame condition A ď ř iPI |gipcq|2 ď B for any c in C for constants A;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' B ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As proved in Appendix B, this condition is sufficient to guarantee that the associated operators form a frame: Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ∆ : ℓ2pGq Ñ ℓ2pGq be normal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If the family tgip¨quiPI of bounded functions satisfies A ď ř iPI |gipcq|2 ď B for all c in the spectrum σp∆q, we have (@f P ℓ2pGq) A}f}2 ℓ2pGq ď ÿ iPI }gip∆qf}2 ℓ2pGq ď B}f}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Notably, the functions tgiuiPI need not be continuous: In fact, in our numerical implementations, we will – among other mappings – utilize the function δ0p¨q, defined by δ0p0q “ 1 and δ0pcq “ 0 for c ‰ 0 as well as a modified cosine, defined by cosp0q “ 0 and cospcq “ cospcq for c ‰ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 3 The Generalized Graph Scattering Transform A generalized graph scattering transform is a non-linear map Φ based on a tree structured multilayer graph convolutional network with constant branching factor in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For an input signal f P ℓ2pGq, outputs are generated in each layer of such a scattering network, and then concatenated to form a feature vector in a feature space F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The network is built up from three ingredients: Connecting Operators: To allow intermediate signal representations in the ’hidden’ network layers to be further processed with functional calculus filters based on varying operators, which might not all be normal for the same choice of node-weights, we allow these intermediate representations to live in varying graph signal spaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In fact, we do not even assume that these signal spaces are based on a common vertex set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This is done to allow for modelling of recently proposed networks where input- and ’processing’ graphs are decoupled (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [1, 36]), as well as architectures incorporating graph pooling [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Instead, we associate one signal space ℓ2pGnq to each layer n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Connecting operators are then (not necessarily linear) operators Pn : ℓ2pGn´1q Ñ ℓ2pGnq connecting the signal spaces of subsequent layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We assume them to be Lipschitz continuous (}Ppfq ´ Ppgq}ℓ2pGn´1q ď R`}f ´ g}ℓ2pGnqq and triviality preserving (Pp0q “ 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For our original node-signal space we also write ℓ2pGq ” ℓ2pG0q .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Non-Linearities: To each layer, we also associate a (possibly) non-linear function ρn : C Ñ C acting poinwise on signals in ℓ2pGnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Similar to connecting operators, we assume ρn preserves zero and is Lipschitz-continuous with Lipschitz constant denoted by L` n .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This definition allows for the absolute value non-linearity, but also ReLu or – trivially – the identity function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Operator Frames: Beyond these ingredients, the central building block of our scattering architecture is comprised of a family of functional calculus filters in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' That is, we assume that in each layer, the node signal space ℓ2pGnq carries a normal operator ∆n and an associated collection of functions comprised of an output generating function χnp¨q as well as a filter bank tgγnp¨quγnPΓn indexed by an index set Γn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As the network layer n varies (and in contrast to wavelet-scattering networks) we allow the index set Γn as well as the collection tχnp¨qu Ťtgγnp¨quγnPΓn of functions to vary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We only demand that in each layer the functions in the filter bank together with the output generating function constitute a generalized frame with frame constants An, Bn ě 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We refer to the collection of functions ΩN :“ pρn, tχnp¨qu Ťtgγnp¨quγnPΓnqN n“1 as a mod- ule sequence and call DN :“ pPn, ∆nqN n“1 our operator collection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The generalized scattering transform is then constructed iteratively: Figure 1: Schematic Scattering Architecture To our initial signal f P ℓ2pGq we first apply the connecting operator P1, yielding a signal rep- resentation in ℓ2pG1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Subsequently, we apply the pointwise non-linearity ρ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we apply our graph filters tχ1p∆1qu Ťtgγ1p∆1quγ1PΓ1 to ρ1pP1pfqq yielding the output V1pfq :“ χ1p∆1qρ1pP1pfqq as well as the intermedi- ate hidden representations tU1rγ1spfq :“ gγ1p∆1qρ1pP1pfqquγ1PΓ1 obtained in the first layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Here we have introduced the one-step scattering propagator Unrγns : ℓ2pGn´1q Ñ ℓ2pGnq mapping f ÞÑ gγnp∆nqρnpPnpfqq as well as the output generating operator Vn : ℓ2pGn´1q Ñ ℓ2pGnq mapping f to χnp∆nqρnpPnpfqq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Upon defining the set ΓN´1 :“ ΓN´1 ˆ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˆ Γ1 of paths of length pN ´ 1q terminating in layer N ´ 1 (with Γ0 taken to be the one-element set) and iterating the above procedure, we see that the outputs gener- ated in the N th-layer are indexed by paths ΓN´1 terminating in the previous layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 3 p3(P3() (△2) p2(P2()) qa2 9b2 (△2) P3(P3() X2(△2) gal P3(P3()) (△2) IP1(Pi())/gbr (△1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [p2(P2()) ga2 9b2 (2) m P3(P3()) l2(G) gc1 (△1 X2(△2) p3(P3()) (△2) p2(P2()) qa2 9b2 (△2 p3(P3()) X1(△1) X2(△2) l2(G1) l2(G2) l2(G3)Outputs generated in the N th layer are thus given by tVN ˝UrγN´1s˝.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝Urγ1spfqupγN´1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',γ1qPΓN´1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Concatenating the features obtained in the various layers of a network with depth N, our full feature vectors thus live in the feature space FN “ ‘N n“1 ` ℓ2pGnq ˘|Γn´1| .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (1) The associated canonical norm is denoted } ¨ }FN .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For convenience, a brief review of direct sums of spaces, their associated norms and a discussion of corresponding direct sums of maps is provided in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We denote the hence constructed generalized scattering transform of length N, based on a module sequence ΩN and operator collection DN by ΦN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In our numerical experiments in Section 7, we consider two particular instantiations of the above general architecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In both cases the utilized shift-operator is L :“ L{λmaxpLq, node weights satisfy µi “ 1, the branching ratio in each layer is chosen as 4 and the depth is set to N “ 4 as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The connecting operators are set to the identity and non-linearities are set to the modulus (|¨|).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The two archi- tectures differ in the utilized filters, which are repeated in each layer and depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Postponing a discussion of other parameter- choices, we note here that the filters tsinpπ{2¨q, cospπ{2¨qu provide a high and a low pass filter on the spectrum σpL q Ď r0, 1s, while tsinpπ¨q, cospπ¨qu provides a spectral refinement of the former two filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The inner two elements of the filter bank in Architecture II thus separate an input signal into high- and low-lying spectral Figure 2: Filters of tested Ar- chitectures components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The outer two act similarly at a higher spectral scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally Architecture I – utilizing cos and δ0 as introduced Section 2 – prevents the lowest lying spectral information from propagating.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Instead it is extracted via δ0p¨q in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Note that Id arises from applying the constant-1 function to L .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Normalizations are chosen to generate frames with upper bounds B ž 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 4 Stability Guarantees In order to produce meaningful signal representations, a small change in input signal should produce a small change in the output of our generalized scattering transforms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This property is captured in the result below, which is proved in Appendix C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With the notation of Section 3, we have for all f, h P ℓ2pGq: }ΦNpfq ´ ΦNphq}FN ď ˜ 1 ` N ÿ n“1 maxtrBn ´ 1s, rBnpL` n R` n q2 ´ 1s, 0u n´1 ź k“1 Bk ¸ 1 2 }f ´ h}ℓ2pGq In the case where upper frame bounds Bn and Lipschitz constants L` n and R` n are all smaller than or equal one, this statement reduces to the much nicer inequality: }ΦNpfq ´ ΦNphq}FN ď }f ´ h}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (2) Below, we always assume R` n , L` n ď 1 as this easily achievable through rescaling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We will keep Bn variable to demonstrate how filter size influences stability results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As for our experimentally tested architectures (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2), we note for Architecture I that Bn “ 1{2 for all n, so that (2) applies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For Architecture II we have Bn “ 3, which yields a stability constant of ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 1 ` 2 ¨ 3 ` 2 ¨ 32 ` 2 ¨ 33 “ 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Similar to other constants derived in this section, this bound is however not necessarily tight.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Operators capturing graph geometries might only be known approximately in real world tasks;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' if edge weights are only known to a certain level of precision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Hence it is important that our scattering representation be insensitive to small perturbations in the underlying normal operators in each layer, which is captured by our next result, proved in Appendix D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Smallness here is measured in Frobenius norm } ¨ }F , which for convenience is briefly reviewed in Appendix A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ΦN and rΦN be two scattering transforms based on the same module sequence ΩN and operator sequences DN, r DN with the same connecting operators (Pn “ rPn) in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume R` n , L` n ď 1 and Bn ď B for some B and n ď N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume that the respective normal operators satisfy }∆n ´ r∆n}F ď δ for some δ ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Further assume that the functions 4 () ()SO0 cOs() cos() sin() sin() sin(π) () Id Architecture I Architecture IItgγnuγnPΓn and χn in each layer are Lipschitz continuous with associated Lipschitz constants satisfying L2 χn ` ř γnPΓn L2 gγn ď D2 for all n ď N and some D ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have }rΦNpfq ´ ΦNpfq}FN ď b 2p2N ´ 1q ¨ b pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq for all f P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If B ď 1{2, the stability constant improves to a 2p1 ´ BNq{p1 ´ Bq ¨ D ď 2 ¨ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The condition B ď 1 2 is e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' satisfied by our Architecture I, but –strictly speaking– we may not apply Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2, since not all utilized filters are Lipschitz continuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Remark D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 in Appendix D however shows, that the above stability result remains applicable for this architecture as long as we demand that ∆ and r∆ are (potentially rescaled) graph Laplacians.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For Architecture II we note that D “ π ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 10{2 and thus the stability constant is given by a 2p24 ´ 1q ¨ ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 33 ¨ π ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 10{2 “ 45π.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We are also interested in perturbations that change the vertex set of the graphs in our architecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This is important for example in the context of social networks, when passing from nodes representing individuals to nodes representing (close knit) groups of individuals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To investigate this setting, we utilize tools originally developed within the mathematical physics community [29]: Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let H and r H be two finite dimensional Hilbert spaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ∆ and r∆ be normal operators on these spaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let J : H Ñ r H and rJ : r H Ñ H be linear maps — called identification operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We call the two spaces δ-quasi-unitarily-equivalent (with δ ě 0) if for any f P H and u P r H we have }Jf} r H ď 2}f}H, }pJ ´ rJ˚qf} r H ď δ}f}H, }f ´ rJJf}H ď δ b }f}2 H ` xf, |∆| fyH, }u ´ J rJu} r H ď δ b }u}2 r H ` xu, |r∆| uy r H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If, for some w P C the resolvent R :“ p∆ ´ ωq´1 satisfies }p rRJ ´ JRqf} r H ď δ}f}H for all f P H, we say that ∆ and r∆ are ω-δ-close with identification operator J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Absolute value |∆| and adjoint rJ˚ of operators are briefly reviewed in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' While the above definition might seem fairly abstract at first, it is in fact a natural setting to investigate structural perturbations as Figure 3 exemplifies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In our current setting, the Hilbert spaces in Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 are node-signal spaces H “ ℓ2pGq, r H “ ℓ2p rGq of different graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The notion of ω-δ-closeness is then useful, as it allows to compare filters defined on different graphs but obtained from applying the same function to the respective graph-operators: Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In the setting of Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 let ∆ and r∆ be ω-δ- close and satisfy }∆}op, }r∆}op ď K for some K ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If g : C Ñ C is holomorphic on the disk BK`1p0q of radius pK ` 1q, there is a constant Cg ě 0 so that }gpr∆qJ ´ Jgp∆q}op ď Cg ¨ δ with Cg depending on g, ω and K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' An explicit characterization of Cg together with a proof of this result is presented in Appendix F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 is our main tool in establish- ing our next result, proved in Appendix G, which captures stability under vertex-set non-preserving perturbations: Figure 3: Prototypical Exam- ple of δ-unitary-equivalent Node Signal Spaces with p´1q-12δ-close Laplacians.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Details in Appendix E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ΦN, rΦN be scattering transforms based on a common module sequence ΩN and differing operator sequences DN, r DN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume R` n , L` n ď 1 and Bn ď B for some B and n ě 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume that there are identification operators Jn : ℓ2pGnq Ñ ℓ2p rGnq, rJn : ℓ2p rGnq Ñ ℓ2pGnq (0 ď n ď N) so that the respective signal spaces are δ-unitarily equivalent, the respective normal operators ∆n, r∆n are ω-δ-close as well as bounded (in norm) by K ą 0 and the connecting operators satisfy } rPnJn´1f ´ JnPnf}ℓ2p r Gnq “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For the common module sequence ΩN assume that the non-linearities satisfy }ρnpJnfq ´ Jnρnpfq}ℓ2p r Gnq “ 0 and that the constants Cχn and 5 tCgγn uγnPΓN associated through Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 to the functions of the generalized frames in each layer satisfy C2 χn ` ř γnPΓN C2 gγn ď D2 for some D ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Denote the operator that the family tJnun of identification operators induce on FN through concatenation by JN : FN Ñ Ă FN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then, with KN “ a p2N ´ 1q2D2 ¨ BN´1 if B ą 1{2 and KN “ a 2D2 ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{2: }rΦNpJ0fq ´ JNΦNpfq} Ă FN ď KN ¨ δ ¨ }f}ℓ2pG, @f P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The stability result persists with slightly altered stability constants, if identification operators only almost commute with non-linearities and/or connecting operators, as Appendix G further elucidates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5 is not applicable to Architecture I, where filters are not all holomorphic, but is directly applicable to Architecture II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Stability constants can be calculated in terms of D and B as before.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Beyond these results, stability under truncation of the scattering transform is equally desirable: Given the energy WN :“ ř pγN,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',γ1qPΓN }UrγNs ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ Urγ1spfq}2 ℓ2pGNq stored in the network at layer N, it is not hard to see that after extending ΦNpfq by zero to match dimensions with ΦN`1pfq we have }ΦNpfq ´ ΦN`1pfq}2 FN`1 ď ` R` N`1L` N`1 ˘2 BN`1 ¨ WN (see Appendix H for more details).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A bound for WN is then given as follows: Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let Φ8 be a generalized graph scattering transform based on a an operator sequence D8 “ pPn, ∆nq8 n“1 and a module sequence Ω8 with each ρnp¨q ě 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume in each layer n ě 1 that there is an eigenvector ψn of ∆n with solely positive entries;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' denote the smallest entry by mn :“ miniPGn ψnris and the eigenvalue corresponding to ψn by λn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Quantify the ’spectral-gap’ opened up at this eigenvalue through neglecting the output-generating function by ηn :“ ř γnPΓn |gγnpλnq|2 and assume Bnmn ě ηn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We then have (with C` N :“ śN i“1 max ␣ 1, BipL` i R` i q2( ) WNpfq ď C` N ¨ « N ź n“1 ˆ 1 ´ ˆ mn ´ ηn Bn ˙˙ff ¨ }f}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (3) The product in (3) decays if C` N Ñ C` converges and řN n“1pmn ´ ηn{Bnq Ñ 8 diverges as N Ñ 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The positivity-assumptions on the eigenvectors ψn can e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' always be ensured if they are chosen to lie in the lowest lying eigenspace of a graph Laplacian or normalized graph Laplacian (irrespective of the connectedness of the underlying graphs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As an example, we note that if we extend our Architecture I to infinite depth (recall from Section 3 that we are using the same filters, operators, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' in each layer) we have upon choosing λn “ 0 and ψn to be the constant normalized vector that ηn “ 0, CN “ 1 and mn “ 1{ a |G|, for a graph with |G| vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On a graph with 16 vertices, we then e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' have WN ď p3{4qN}f}2 ℓ2pGq and thus }ΦNpfq ´ ΦN`1pfq}FN`1 ď p3{4qN ¨ }f}2 ℓ2pGq{2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As detailed in Appendix H, Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6 also implies that under the given assumptions the scattering transform has trivial ’kernel’ for N Ñ 8, mapping only 0 to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 5 Graph-Level Feature Aggregation To solve tasks such as graph classification or regression over multiple graphs, we need to represent graphs of varying sizes in a common feature space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Given a scattering transform ΦN, we thus need to find a stability preserving map from the feature space FN to some Euclidean space that is independent of any vertex set cardinalities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since FN is a large direct sum of smaller spaces (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (1)), we simply construct such maps on each summand independently and then concatenate them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' General non-linear feature aggregation: Our main tool in passing to graph-level features is a non-linear map N G p : ℓ2pGq Ñ Rp given as N G p pfq “ 1 ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pp}f}ℓ1pGq{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µG, }f}ℓ2pGq, }f}ℓ3pGq, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', }f}ℓppGqqJ, (4) with µG :“ ř iPG µi and }f}ℓqpGq :“ př iPG |fi|qµiq1{q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Our inspiration to use this map stems from the standard case where all µi “ 1: For p ě |G|, the vector |f| “ pp|f1|, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', |fG|qJ can then be recovered from N G p pfq up to permutation of indices [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Hence, employing N G p (with p ě |G|) to aggregate node-information into graph-level information, we lose the minimal necessary information 6 about node permutation (clearly N G p pfq “ N G p pΠfq for any permutation matrix Π) and beyond that only information about the complex phase (respectively the sign in the real case) in each entry of f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Figure 4: Graph Level Scattering Given a scattering transform ΦN mapping from ℓ2pGq to the feature space FN “ ‘N n“1 ` ℓ2pGnq ˘|Γn´1|, we ob- tain a corresponding map ΨN mapping from ℓ2pGq to RN “ ‘N n“1 pRpnq|Γn´1| by concatenating the feature map ΦN with the operator that the family of non-linear maps tN pn GnuN n“1 induces on FN by concatenation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Simi- larly we obtain the map rΨN : ℓ2p rGq Ñ RN by concatenat- ing the map rΦN : ℓ2p rGq Ñ ‘N n“1 ´ ℓ2p rGnq ¯|Γn´1| with the operator induced by the family tN pn r GnuN n“1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The feature space RN is completely determined by path-sets ΓN and used maximal p-norm indices pn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It no longer depends on cardinalities of vertex sets of any graphs, allowing to compare (signals on) varying graphs with each other.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Most of the results of the previous sections then readily transfer to the graph-level-feature setting (c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Appendix I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Low-pass feature aggregation: The spectrum-free aggregation scheme of the previous paragraph is especially adapted to settings where there are no high-level spectral properties remaining constant under graph perturbations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' However, many commonly utilized operators, such as normalized and un-normalized graph Laplacians, have a somewhat ’stable’ spectral theory: Eigenvalues are always real, non-negative, the lowest-lying eigenvalue equals zero and simple (if the graph is connected).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In this section we shall thus assume that each mentioned normal operator ∆n (r∆n) has these spectral properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We denote the lowest lying normalized eigenvector (which is generically determined up to a complex phase) by ψ∆n and denote by M |x¨,¨y| Gn : ℓ2pGnq Ñ C the map given by M |x¨,¨y| Gn pfq “ |xψ∆n, fyℓ2pGnq|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The absolute value around the inner product is introduced to absorb the phase- ambiguity in the choice of ψ∆n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Given a scattering transform ΦN mapping from ℓ2pGq to the feature space FN, we obtain a corresponding map Ψ|x¨,¨y| N mapping from ℓ2pGq to CN “ ‘N n“1C|Γn´1| by concatenating the feature map ΦN with the operator that the family of maps tM |x¨,¨y| Gn uN n“1 induces on FN by concatenation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As detailed in Appendix I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2, this map inherits stability properties in complete analogy to the discussion of Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 6 Higher Order Scattering Node signals capture information about nodes in isolation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' However, one might be interested in binary, ternary or even higher order relations between nodes such as distances or angles in graphs representing molecules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In this section we focus on binary relations – i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' edge level input – as this is the instantiation we also test in our regression experiment in Section 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Appendix J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 provides more details and extends these considerations beyond the binary setting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We equip the space of edge inputs with an inner product according to xf, gy “ ř|G| i,j“1 fijgijµij and denote the resulting inner-product space by ℓ2pEq with E “ GˆG the set of edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Setting e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' node-weights µi and edge weights µik to one, the adjacency matrix W as well as normalized or un-normalized graph Laplacians constitute self- adjoint operators on ℓ2pEq, where they act by matrix multiplication.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Replacing the Gn of Section 3 by En, we can then follow the recipe laid out there in constructing 2nd-order scattering transforms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' all that we need are a module sequence ΩN and an operator sequence D2 N :“ pP 2 n, ∆2 nqN n“1, where now P 2 n : ℓ2pEn´1q Ñ ℓ2pEnq and ∆2 n : ℓ2pEnq Ñ ℓ2pEnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We denote the resulting feature map by Φ2 N and write F 2 N for the corresponding feature space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The map N G p introduced in (4) can also be adapted to aggregate higher-order features into graph level features: With }f}q :“ př ijPG |fij|qµijq1{q and µE :“ ř|G| ij“1 µij, we define N E p pfq “ p}f}ℓ1pEq{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µE, }f}ℓ2pEq, }f}ℓ3pEq, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', }f}ℓppEqqJ{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Given a feature map Φ2 N with feature space F 2 N “ ‘N n“1 ` ℓ2pEnq ˘|Γn´1|, we obtain a corresponding 7 f pi(Pi() qc1 (△2) X1(△1) p2(P2()) 9b2 (△2 X2(△2) 12(G1) NG1 NG2 P1 P2 RP1map Ψ2 N mapping from ℓ2pEq to RN “ ‘N n“1 pRpnq|Γn´1| by concatenating ΦE N with the map that the family of non-linear maps tN En pn uN n“1 induces on F N by concatenation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The stability results of the preceding sections then readily translate to Φ2 N and Ψ2 N (c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Appendix J).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 7 Experimental Results We showcase that even upon selecting the fairly simple Architectures I and II introduced in Section 3 (c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' also Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2), our generalized graph scattering networks are able to outperform both wavelet- based scattering transforms and leading graph-networks under different circumstances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To aid visual clarity when comparing results, we colour-code the best-performing method in green, the second-best performing in yellow and the third-best performing method in orange respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Social Network Graph Classification: To facilitate contact between our generalized graph scat- tering networks, and the wider literature, we combine a network conforming to our general theory namely Architecture I in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 (as discussed in Section 3 with depth N “ 4, identity as connect- ing operators and | ¨ |-non-linearities) with the low pass aggregation scheme of Section 5 and a Euclidean support vector machine with RBF-kernel (GGSN+EK).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The choice N “ 4 was made to keep computation-time palatable, while aggregation scheme and non-linearities were chosen to facilitate comparison with standard wavelet-scattering approaches.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For this hybrid architecture (GGSN+EK), classification accuracies under the standard choice of 10-fold cross validation on five common social network graph datasets are compared with performances of popular graph kernel approaches, leading deep learning methods as well as geometric wavelet scattering (GS-SVM) [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' More details are provided in Appendix K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As evident from Table 1, our network consistently achieves higher accuracies than the geometric wavelet scattering transform of [12], with the performance gap becoming significant on the more complex REDDIT datasets, reaching a relative mean performance increase of more than 10% on REDDIT-12K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This indicates the liberating power of transcending the graph wavelet setting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' While on comparatively smaller and somewhat simpler datasets there is a performance gap between our static architecture and fully trainable networks, this gap closes on more complex datasets: While P-Poinc e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' outperforms our method on IMDB datasets, the roles are reversed on REDDIT datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On REDDIT-B our approach trails only GIN;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' with difference in accuracies insignificant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On REDDIT-5K our method comes in third, with the gap to the second best method (GIN) being statistically insignificant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On REDDIT-12K we generate state of the art results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Table 1: Classification Accuracies on Social Network Datasets Method Classification Accuracies r%s COLLAB IMDB- B IMDB-M REDDIT-B REDDIT-5K REDDIT-12K WL [33] 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='82˘1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='45 71.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='60˘5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='16 N/A 78.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='52˘2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='01 50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='77 ˘ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='02 34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='57 ˘ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='32 Graphlet [34] 73.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='60˘1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='97 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='89 ˘ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='24 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='03 ˘ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='58 Regression of Quantum Chemical Energies: In order to showcase the prowess of both our higher order scattering scheme and our spectrum-agnostic aggregation method of Section 5, we combine these building blocks into a hybrid architecture which we then apply in combination with kernel methods (2GGST + EK) to the task of atomization energy regression on QM7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This is a comparatively small dataset of 7165 molecular graphs, taken from the 970 million strong molecular database GDB- 13 [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Each graph in QM7 represents an organic molecule, with nodes corresponding to individual atoms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Beyond the node-level information of atomic charge, there is also edge level information characterising interaction strengths between individual nodes/atoms available.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This is encoded into so called Coulomb matrices (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [31] or Appendix K) of molecular graphs, which for us serve a dual purpose: On the one hand we consider a Coulomb matrix as an edge-level input signal on a given graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 8 On the other hand, we also treat it as an adjacency matrix from which we build up a graph Laplacian L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Our normal operator is then chosen as L “ L{λmaxpLq again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Connecting operators are set to the identity, while non-linearities are fixed to ρně1p¨q “ | ¨ |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Filters are chosen as psinpπ{2 ¨ L q, cospπ{2 ¨ L q, sinpπ ¨ L q, cospπ ¨ L qq acting through matrix multiplication.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Output generating functions are set to the identity and depth is N “ 4, so that we essentially recover Architecture II of Figure 5: Atomization Energy as a Function of pri- mary Principal Components of Scattering Features Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' now applied to edge-level input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Graph level features are aggregated via the map N E 5 of Section 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We chose p “ 5 (and not p " 5) for N E p to avoid overfitting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Generated feature vectors are combined with node level scattering features obtained from applying Architecture II of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 to the in- put signal of atomic charge into composite feature vectors;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' plotted in Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As is visually evident, even when reduced to the low-dimensional subspace of their first three principal components, the generated scatter- ing features are able to aptly resolve the atom- ization energy of the molecules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This aptitude is also reflected in Table 2, comparing our approach with leading graph-based learning methods trained with ten-fold cross validation on node and (depending on the model) edge level information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Our method is the best performing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We significantly outperform the next best model (DTNN), producing less than half of its mean absolute error (MAE).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Errors of other methods are at least one — sometimes two — orders of magnitude greater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In part, this performance discrepancy might be explained by the hightened suitability of our scattering transform for environ- ments with somewhat limited training-data availability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Here we speculate that the additional performance gap might be ex- plained by the fact that our graph shift operator ∆ carries the same information as the Coulomb matrix (a proven molecular graph descriptor in itself [31]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally, our filters being infinite series’ in powers of the underlying normal operator allows for rapid dispersion of information across underlying molecular graphs, as opposed to e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' the filters in GraphConv Table 2: Comparison of Methods Method MAE [kcal/mol] AttentiveFP [40] 66.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ˘ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='8 DMPNN [44] 105.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='8 ˘ 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 DTNN [39] 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ˘ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='9 GraphConv [18] 118.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='9 ˘ 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 GROVER (base)[30] 72.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5 ˘ 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='9 MPNN [13] 113.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='0 ˘ 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 N-GRAM[21] 125.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6 ˘ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5 PAGTN (global) [6] 47.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='8 ˘ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='0 PhysChem [45] 59.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6 ˘ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 SchNet [32] 74.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ˘ 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='0 Weave [17] 59.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6 ˘ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 GGST+EK [OURS] 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 ˘ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6 2GGST+EK [OURS] 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 ˘ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 or SchNet, which do not incorporate such higher powers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To quantify the effect of including second order scattering coefficients, we also include the result of performing kernel-regression solely on first order features generated through Architecture II of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 (GGST + EK).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' While results are still better than those of all but one leading approach, incorporating higher order scattering improves performance significantly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 8 Discussion Leaving behind the traditional reliance on graph wavelets, we developed a theoretically well founded framework for the design and analysis of (generalized) graph scattering networks;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' allowing for varying branching rations, non-linearities and filter banks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We provided spectrum independent stability guarantees, covering changes in input signals and for the first time also arbitrary normal perturbations in the underlying graph-shift-operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' After introducing a new framework to quantify vertex-set non-preserving changes in graph domains, we obtained spectrum-independent stability guarantees for this setting too.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We provided conditions for energy decay and discussed implications for truncation stability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we introduced a new method of graph-level feature aggregation and extended scattering networks to higher order input data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Our numerical experiments showed that a simple scattering transform conforming to our framework is able to outperform the traditional graph-wavelet based approach to graph scattering in social network graph classification tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On complex datasets our method is also competitive with current fully trainable methods, ouperforming all competitors on REDDIT-12K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally, higher order graph scattering transforms significantly outperform current leading graph-based learning methods in predicting atomization energies on QM7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A reasonable critique of scattering networks as tractable models for general graph convolutional 9 kcal mo] 100 600 800 50 3rd eigenvector 1000 0 1200 8 50 1400 !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 100 1600 1800 150 2000 100 400 0 200 0 100 200 200 1st eigenvector 400 600 300 800 2nd eigenvectornetworks is their inability to emulate non-tree-structured network topologies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' While transcending the wavelet setting has arguably diminished the conceptual gap between the two architectures, this structural difference persists.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally we note that despite a provided promising example, it is not yet clear whether the newly introduced graph-perturbation framework can aptly provide stability guarantees to all reasonable coarse-graining procedures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Exploring this question is the subject of ongoing work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Broader Impact We caution against an over-interpretation of established mathematical guarantees: Such guarantees do not negate biases that may be inherent to utilized datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Disclosure of Funding Christian Koke acknowledges support from the German Research Foundation through the MIMO II-project (DFG SPP 1798, KU 1446/21-2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Gitta Kutyniok acknowledges support from the ONE Munich Strategy Forum (LMU Munich, TU Munich, and the Bavarian Ministery for Science and Art), the Konrad Zuse School of Excellence in Reliable AI (DAAD), the Munich Center for Machine Learning (BMBF) as well as the German Research Foundation under Grants DFG-SPP-2298, KU 1446/31-1 and KU 1446/32-1 and under Grant DFG-SFB/TR 109, Project C09 and the Federal Ministry of Education and Research under Grant MaGriDo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' References [1] Uri Alon and Eran Yahav.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On the bottleneck of graph neural networks and its practical implications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In International Conference on Learning Representations, 2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [2] L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' C.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [48] Dongmian Zou and Gilad Lerman.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Graph convolutional neural networks via scattering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Applied and Computational Harmonic Analysis, 49(3):1046–1074, nov 2020.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Checklist 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For all authors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] A discussion of how and in which order the main claims made in Abstract and Introduction were substantiated within the paper is a main focus of Section 8 (b) Did you describe the limitations of your work?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] This is a second focus of Section 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (c) Did you discuss any potential negative societal impacts of your work?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] This is part of Section 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (d) Have you read the ethics review guidelines and ensured that your paper conforms to them?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If you are including theoretical results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (a) Did you state the full set of assumptions of all theoretical results?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] Every Theorem and Lemma is stated in a mathematically precise way, with all underlying assumptions included.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally, Appendix A briefly reviews some terminology that might not be immediately present in every readers mind, but is utilized in order to be able to state theoretical results in a precise and concise manner.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (b) Did you include complete proofs of all theoretical results?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] This is the Focus of Appendices B, C, D, F, G, H and I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Results in Appendix J are merely stated, as statements and corresponding proofs are in complete analogy (in fact almost verbatim the same) to previously discussed statements and proofs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If you ran experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (a) Did you include the code, data, and instructions needed to reproduce the main experi- mental results (either in the supplemental material or as a URL)?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] Yes;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' please see the supplementary material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (b) Did you specify all the training details (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', data splits, hyperparameters, how they were chosen)?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] This is the main focus of Appendix K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 13 (c) Did you report error bars (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', with respect to the random seed after running experi- ments multiple times)?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] Errors for results of conducted experiments are included in Table 1 and Table 2 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (d) Did you include the total amount of compute and the type of resources used (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', type of GPUs, internal cluster, or cloud provider)?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] This is described at the beginning of Appendix K 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If you are using existing assets (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', code, data, models) or curating/releasing new assets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (a) If your work uses existing assets, did you cite the creators?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] All utilized datasets were matched to the papers that introduced them (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Section K).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally, we partially built on code corresponding to [12] which we mentioned in Appendix K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (b) Did you mention the license of the assets?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] We mentioned in Appendix K that the code corresponding to [12] is freely available under an Apache License.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (c) Did you include any new assets either in the supplemental material or as a URL?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] Please see supplementary material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [N/A] (e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [Yes] For the utilized social network datasets, we mention in Appendix K that neither personally identifyable data nor content that might be considered offensive is utilised.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If you used crowdsourcing or conducted research with human subjects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (a) Did you include the full text of instructions given to participants and screenshots, if applicable?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [N/A] (b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [N/A] (c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' [N/A] A Some Concepts in Linear Algebra In the interest of self-containedness, we provide a brief review of some concepts from linear algebra utilized in this work that might potentially be considered more advanced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Presented results are all standard;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' a very thorough reference is [24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Hilbert Spaces: To us, a Hilbert space — often denoted by H — is a vector space over the complex numbers which also has an inner product — often denoted by x¨, ¨yH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Prototypical examples are given by the Euclidean spaces Cd with inner product xx, yyCd :“ řd i“1 xiyi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Associated to an inner product is a norm, denoted by } ¨ }H and defined by }x}H :“ a xx, xyH for x P H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Direct Sums of Spaces: Given two potentially different Hilbert spaces H and p H, one can form their direct sum H ‘ p H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Elements of H ‘ p H are vectors of the form pa, bq, with a P H and b P p H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Addition and scalar multiplication are defined in the obvious way by pa, bq ` λpc, dq :“ pa ` λc, b ` λdq for a, c P H, b, d P p H and λ P C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The inner product on the direct sum is defined by xpa, bq, pc, dqyH‘ p H :“ xa, cyH ` xb, dy p H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As is readily checked, this implies that the norm } ¨ }H‘ p H on the direct sum is given by }pa, bq}2 H‘ p H :“ }a}2 H ` }b}2 p H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Standard examples of direct sums are again the Euclidean spaces, where one has Cd “ Cn ‘ Cm if m ` n “ d, as is easily checked.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' One might also consider direct sums with more than two summands, writing Cd “ ‘d i“1C for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In fact, one might also consider infinite sums of Hilbert spaces: 14 The space ‘8 i“1Hi is made up of those elements a “ pa1, a2, a3, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='q with ai P Hi for which the norm }a}2 ‘8 i“1Hi :“ 8 ÿ i“1 }ai}2 Hi is finite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This means for example that the vector p1, 0, 0, 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='q is in ‘8 i“1C, while p1, 1, 1, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='q is not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Direct Sums of Maps: Suppose we have two collections of Hilbert spaces tHiuΓ i“1, t r HiuΓ i“1 with Γ P N or Γ “ 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Suppose further that for each i ď Γ (resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' i ă Γ) we have a (not necessarily linear) map Ji : Hi Ñ r Hi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then the collection tJiuΓ i“1 of these ’component’ maps induce a ’composite’ map J : ‘Γ i“1Hi ÝÑ ‘Γ i“1 r Hi between the direct sums.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Its value on an element a “ pa1, a2, a3, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='q P ‘Γ i“1Hi is defined by J paq “ pJ1pa1q, J2pa2q, J3pa3q, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='q P ‘Γ i“1 r Hi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Strictly speaking, one has to be a bit more careful in the case where Γ “ 8 to ensure that }J paq}‘8 i“1 r Hi ‰ 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This can however be ensured if we have }Jipaiq} r Hi ď C}ai}Hi for all 1 ď i and some C independent of all i, since then }J paq}‘8 i“1 r Hi ď C}a}‘8 i“1Hi ď 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If each Ji is a linear operator, such a C exists precisely if the operator norms (defined below) of all Ji are smaller than some constant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Operator Norm: Let J : H Ñ r H be a linear operator between Hilbert spaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We measure its ’size’ by what is called the operator norm, denoted by } ¨ }op and defined by }J}op :“ sup ψPH,}ψ}H“1 }Aψ} r H }ψ}H .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Adjoint Operators Let J : H Ñ r H be a linear operator from the Hilbert space H to the Hilbert space r H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Its adjoint J˚ : r H Ñ H is an operator mapping in the opposite direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It is uniquely determined by demanding that xJf, uy r H “ xf, J˚uyH holds true for arbitrary f P H and u P r H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Normal Operators: If a linear operator ∆ : H Ñ H maps from and to the same Hilbert space, we can compare it directly with its adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If ∆∆˚ “ ∆˚∆, we say that the operator ∆ is normal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Special instances of normal operators are self-adjoint operators, for which we have the stronger property ∆ “ ∆˚.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If an operator is normal, there are unitary maps U : H Ñ H diagonalizing ∆ as U ˚∆U “ diagpλ1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='λnq, with eigenvalues in C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We call the collection of eigenvalues the spectrum σp∆q of ∆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If dim H “ d, we may write σp∆q “ tλud i“1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It is a standard exercise to verify that each eigenvalue satisfies |λi| ď }∆}op.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Associated to each eigenvalue is an eigenvector φi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The collection of all (normalized) eigenvectors forms an orthonormal basis of H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We may then write ∆f “ dÿ i“1 λi xφi, fyHφi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Resolvent of a (normal) Operator: Given a normal operator ∆ on some Hilbert space H, we have that the operator p∆ ´ zq : H Ñ H is invertible precisely if z ‰ σp∆q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In this case we write Rpz, ∆q “ p∆ ´ zq´1 and call this operator the resolvent of ∆ at z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It can be proved that the norm of the resolvent satisfies }Rpz, ∆q}op “ 1 distpz, σp∆qq, where distpz, σp∆qq denotes the minimal distance between z and any eigenvalue of ∆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 15 Functional Calculus: Given a normal operator ∆ : H Ñ H on a Hilbert space of dimension d and a complex function g : C Ñ C, we can define another normal operator obtained from applying the function g to ∆ by gp∆qf “ fÿ i“1 gpλiqxφi, fyHφi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For example if gp¨q “ | ¨ |, we obtain the absolute value |∆| of ∆ by specifying for all f P H that |∆|f “ dÿ i“1 |λi|xφi, fyHφi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Similarly we find (if z R σp∆q and for f P H) 1 ∆ ´ z “ dÿ i“1 1 λi ´ z xφi, fyHφi “ p∆ ´ zq´1 “ Rpz, ∆q where we think of the left-hand-side as applying a function to ∆, while we think of the right-hand-side as inverting the operator p∆ ´ zq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This now allows us to apply tools from complex analysis also to operators: If a function g is analytic (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' can be expanded into a power series), we have gpλq “ ´ 1 2πi ¿ S gpzq λ ´ z dz for any circle S Ď C encircling λ by Cauchy’s integral formula.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus, if we chose S large enough to encircle the entire spectrum σp∆q, we have gp∆qf “ ´ dÿ i“1 1 2πi ¿ S gpzq λi ´ z dzxφi, fyHφi “ ´ 1 2πi ¿ S gpzqRpz, λqdz.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Frobenius Norm: Given a finite dimensional Hilbert space H with inner product x¨, ¨yH, and an orthonormal basis tφiud i“1, we define the trace of an operator A : H Ñ H as TrpAq :“ dÿ k“1 xφk, AφkyH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It is a standard exercise to show that this is independent of the choice of orthonormal basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The associated Frobenius inner product on the space of operators is then given as xB, AyF :“ TrpB˚Aq dÿ k“1 xφk, B˚AφkyH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Hence the Frobenius norm of an operator is determined by }A}2 F “ TrpA˚Aq “ dÿ k“1 xφk, A˚AφkyH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It is a standard exercise to verify that we have }A}op ď }A}F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since the trace is independent of the choice of orthonormal basis, the Frobenius norm is invariant under unitary transformations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' More precisely, if U, V : H Ñ H are unitary, we have }UAV }2 F “ }A}2 F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Frobenius norms can be used to transfer Lipschitz continuity properties of complex functions to the setting of functions applied to normal operators: Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let g : C Ñ C be Lipschitz continuous with Lipschitz constant Dg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This implies }gpXq ´ gpY q}F ď Dg ¨ }X ´ Y }F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' for normal operators X, Y on H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 16 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This proof is taken (almost) verbatim from [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For an operator A : H Ñ H denote by Aij its matrix representation with respect to the orthonormal basis tφiud i“1: Aij :“ xφi, AφjyH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We then have }A}2 F “ dÿ i,j“1 |Aij|2 as a quick calculation shows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let now U, W be unitary (with respect to the inner product x¨, ¨yH) operators diagonalizing the normal operators X and Y as V ˚XV “ diagpλ1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='λnq “: DpXq W ˚Y W “ diagpµ1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µnq “: DpY q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since the Frobenius norm is invariant under unitary transformations we find }gpXq ´ gpY q||2 F “ ||gpV DpXqV ˚q ´ gpWDpY qW ˚q}2 F “ }V gpDpXqqV ˚ ´ WgpDpY qqW ˚}2 F “ }W ˚V gpDpXqq ´ gpDpY qqW ˚V }2 F “ dÿ i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='j“1 |pW ˚V gpDpXqq ´ gpDpY qqW ˚V qij|2 “ dÿ i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='j“1 ˇˇˇˇˇ n ÿ k“1 rW ˚V sikrgpDpXqqskj ´ rgpDpY qqsikrW ˚V skj ˇˇˇˇˇ 2 “ dÿ i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='j“1 |rW ˚V sij|2 |gpλjq ´ gpµiq|2 ď dÿ i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='j“1 |rW ˚V sij|2 D2 g|λj ´ µi|2 “ D2 g dÿ i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='j“1 ˇˇˇˇˇ n ÿ k“1 rW ˚V sikrDpXqskj ´ rDpY qsikrW ˚V skj ˇˇˇˇˇ 2 “ D2 g}X ´ Y }2 F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' B Proof of Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1 Theorem B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ∆ : ℓ2pGq Ñ ℓ2pGq be normal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If the family tgip¨quiPI of bounded functions satisfies A ď ř iPI |gipcq|2 ď B for all c in the spectrum σp∆q, we have (@f P ℓ2pGq) A}f}2 ℓ2pGq ď ÿ iPI }gip∆qf}2 ℓ2pGq ď B}f}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Writing the normalized eigenvalue-eigenvector sequence of ∆ as pλi, φiq|G| i“1, we simply note ÿ iPI |G| ÿ k“1 |xgipλkqφk, fyℓ2pGq|2 “ |G| ÿ k“1 ˜ÿ iPI |gipλkq|2 ¸ |xφk, fyℓ2pGq|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Now under the assumption, we can estimate the sum in brackets by A from below and by B from above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we need only use Bessel’s (in)equality to prove A||f||2 ď ÿ iPpI |G| ÿ k“1 |xgipλkqφk, fyℓ2pGq|2 ď B||f||2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 17 C Proof of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1 Theorem C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With the notation of Section 3 and setting B0 “ 1, we have: }ΦNpfq ´ ΦNphq}2 FN ď ˜ 1 ` N ÿ n“1 maxtrBnpL` n R` n q2 ´ 1s, 0u n´1 ź k“0 BkpR` k L` k q2 ¸ }f ´ h}2 ℓ2pGq To streamline the argumentation let us first introduce some notation: Notation C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let us denote paths in ΓN as q :“ pγN, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', γ1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For f P ℓ2pGq let us write fq :“ UrγNs ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ Urγ1spfq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' By Definition, we have }ΦNpfq ´ ΦNpgq}2 FN “ N ÿ n“1 ¨ ˝ ÿ qPΓn´1 }Vnpfqq ´ Vnphqq}2 ℓ2pGnq ˛ ‚ “ N ÿ n“1 ¨ ˝ ÿ qPΓn´1 }χnp∆nqρnpPnpfqqq ´ χnp∆nqρnpPnphqqq}2 ℓ2pGnq ˛ ‚ looooooooooooooooooooooooooooooooooooooomooooooooooooooooooooooooooooooooooooooon “:an .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We proceed in two steps: Our initial goal is to upper bound an as an ď BnpL` n R` n q2 ¨ bn´1 ´ bn ” pbn´1 ´ bnq ` “ BnpL` n R` n q2 ´ 1 ‰ ¨ bn´1 (5) for bn :“ ř qPΓn }fq ´ hq}2 ℓ2pGnq with b0 “ }f ´ h}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To achieve this we note that (5) is equivalent to an ` bn ď BnpL` n R` n q2 ¨ bn´1 which upon unraveling definitions may be written as ÿ qPΓn´1 }χnp∆nqρnpPnppfqqqq ´ χnp∆nqρnpPnphqq}2 ℓ2pGnq ` ÿ pqPΓn }fpq ´ hpq}2 ℓ2pGnq ďBnpL` n R` n q2 ÿ qPΓn´1 }fq ´ hq}2 ℓ2pGn´1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (6) To establish (6), we note, that in the sum over paths of length n, any pq P Γn can uniquely be written as pq “ pγn, qq, with the path q P Γn´1 of length pn ´ 1q determined by pq “ pγn, γn´1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', γ1 looooomooooon “:q q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With this we find ÿ pqPΓn }fpq ´ hpq}2 ℓ2pGnq “ ÿ γnPΓn ÿ qPΓn´1 }gγnp∆nqρnpPnppfqqqq ´ gγnp∆nqρnpPnphqqq}2 ℓ2pGnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we can rewrite the left hand side of (6) as ÿ qPΓn´1 }χnp∆nqρnpPnppfqqqq ´ χnp∆nqρnpPnphqq}2 ℓ2pGnq ` ÿ pqPΓn }fpq ´ hpq}2 ℓ2pGnq “ ÿ qPΓn´1 ˆ }χnp∆nqρnpPnpfqq ´ χnp∆nqρnpPnphqq}2 ℓ2pGnq ` ÿ γnPΓn }gγnp∆nqρnpPnppfqqqq ´ gγnp∆nqρnpPnphqqq}2 ℓ2pGnq ¸ “:‹ 18 The fact that in each layer the function tχnp¨qu Ťtgγnp¨quγnPΓn form a generalized frame with upper frame constant Bn implies by Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1, that we can further bound this as ‹ ď Bn ÿ qPΓn´1 }ρnpPnpfqq ´ ρnpPnphqq}2 ℓ2pGnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using the Lipschitz continuity of ρn and Pn, we arrive at the desired expression (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Having established that an ď pbn´1 ´ bnq ` “ BnpL` n R` n q2 ´ 1 ‰ ¨ bn´1 holds true, we note that we can establish bn´1 ď n´1 ź k“1 BkpL` k R` k q2bn´2 arguing similarly as in the case of (6) by using (for f P ℓ2pGn´1q) ÿ γn´1PΓn´1 }gγn´1p∆n´1qf}2 ℓ2pGn´1q ď }χn´1p∆n´1qf}2 ℓ2pGn´1q ` ÿ γPΓ }gγn´1p∆n´1qf}2 ℓ2pGn´1q together with the frame property and Lipschitz continuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We then iterate this inequality and recall that b0 “ }f ´ h}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using the fact that N ÿ n“1 pbn´1 ´ bnq “ b0 ´ bN ď b0, we finally find }ΦNpfq ´ ΦNphq}2 FN ď ˜ 1 ` N ÿ n“1 maxtrBnpL` n R` n q2 ´ 1s, 0u n´1 ź k“0 BkpR` k L` k q2 ¸ }f ´ h}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' D Proof or Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 Theorem D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ΦN and rΦN be two scattering transforms based on the same module sequence ΩN and operator sequences DN, r DN with the same connecting operators (Pn “ rPn) in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume R` n , L` n ď 1 and Bn ď B for some B and n ď N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume that the respective normal operators satisfy }∆n ´ r∆n}F ď δ for some δ ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Further assume that the functions tgγnuγnPΓn and χn in each layer are Lipschitz continuous with associated Lipschitz constants satisfying L2 χn ` ř γnPΓn L2 gγn ď D2 for all n ď N and some D ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have }rΦNpfq ´ ΦNpfq}FN ď b 2p2N ´ 1q ¨ b pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq for all f P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If B ď 1{2, the stability constant improves to a 2p1 ´ BNq{p1 ´ Bq ¨ D ď 2 ¨ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Notation D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let us denote scattering propagators based on operators ∆n and connecting operators Pn by Un and scattering propagators based on operators r∆n by rUn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Similarly, to Notation C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2, let us then write (with q “ pγN, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', γ1q) rfq :“ rUnrγns ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ rU1rγ1spfq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' By definition we have }ΦNpfq ´ rΦN}2 FN “ N ÿ n“1 ¨ ˝ ÿ qPΓn´1 }χnp∆nqρnpPnppfqqqq ´ χnpr∆nqρnpPnp rfqqq}2 ℓ2pGnq ˛ ‚ loooooooooooooooooooooooooooooooooooooooomoooooooooooooooooooooooooooooooooooooooon “:an .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 19 We define bn :“ ř qPΓn }fq ´ rfq}2 ℓ2pGnq, with b0 “ }f ´ h}2 ℓ2pGq “ 0 and note an ` bn “ ÿ qPΓn´1 ˆ }χnp∆nqρnpPnpfqq ´ χnpr∆nqρnpPnp rfqq}2 ℓ2pGnq ` ÿ γnPΓn }gγnp∆nqρnpPnppfqqqq ´ gγnpr∆nqρnpPnp rfqqq}2 ℓ2pGnq ¸ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using (with |a ` b|2 ď 2p|a|2 ` |b|2q) 1 2}gγnp∆nqρnpPnpfqqq ´ gγnpr∆nqρnpPnp rfqqq}2 ℓ2pGnq ď}rgγnp∆nq ´ gγnpr∆nqsρnpPnpfqqq}2 ℓ2pGnq `}gγnpr∆nqrρnpPnppfqqqq ´ ρnpPnp rfqqqs}2 ℓ2pGnq ď}rgγnp∆nq ´ gγnpr∆nqs}2 8 ¨ }ρnpPnpfqqq}2 ℓ2pGnq `}gγnpr∆nqrρnpPnpfqqq ´ ρnpPnp rfqqqs}2 ℓ2pGnq, and }rgγnp∆nq ´ gγnpr∆nqs}2 8 ď }rgγnp∆nq ´ gγnpr∆nqs}2 F ď L2 gγ ¨ δ2 (c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1 ), we find an ` bn ď2 ÿ qPΓn´1 ˜ L2 χn ` ÿ γnPΓn Lg2γn ¸ pL` n R` n q2δ2||ρnpPnpfqqq||2 ℓ2pGnq `2 ÿ qPΓn´1 Bn||ρnpPnpfqqq ´ ρnpPnp rfqqq||2 ℓ2pGnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using L2 χn ` ř γnPΓn L2 γn ď D2, we then infer (using the assumption L` n , R` n ď 1) an ď pbn´1 ´ bnq ` r2B ´ 1sbn´1 ` Bn´12D2δ2||f||ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Now if B ď 1 2, we have an ď pbn´1 ´ bnq ` Bn´12D2δ2||f||ℓ2pGq and results of geometric sums leads to the desired bound after summing over n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Hence let us assume B ą 1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using similar arguments as before, we find bn´1 ďBn´22D2δ2||f||2 ℓ2pGq ` 2Bbn´2 ď Bn´22D2δ2||f||2 ℓ2pGq ` Bn´24D2δ2||f||2 ℓ2pGq ` 4bn´3 ďBn´2 ˜n´1 ÿ k“1 2k ¸ D2δ2||f||2 ℓ2pGq “ Bn´2p2n ´ 2qD2δ2||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we now know an ď 2D2δ2Bn´1||f||2 ℓ2pGq ` r2B ´ 1sp2n ´ 2qD2δ2Bn´2||f||2 ℓ2pGq ` pbn´1 ´ bnq In total we find g f f e N ÿ n“1 an ď b 2p2N ´ 1q ¨ ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' BN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq, where we have estimated the sum over pbn´1 ´ bnq by zero from above again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This establishes the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Remark D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To see that this also holds for our Architecture I of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2, we note that the critical step is establishing that Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1 also applies to δ0 and cos, as defined in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Here we establish that }δ0p∆q ´ δ0pr∆q}F “ 0 20 and }cosp∆q ´ cospr∆q}F ď Dcos}∆ ´ r∆}F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Indeed, since ∆ and r∆ are (possibly) rescaled graph Laplacians on the same graph, the spectral projections to their lowest lying eigen space, associated to the eigenvalue λmin “ 0 agree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Denoting this spectral projection by P, we have cosp∆q ´ cospr∆q “ rcosp∆q ´ Ps ´ rcospr∆q ´ Ps “ cosp∆q ´ cospr∆q and we can apply Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Similar considerations apply to δ0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' E Prototypical Example illustrating ω-δ Closeness and δ-Unitary Equivalence To investigate the example of Figure 3, we label the vertices of the respective graphs as depicted in Figure 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We denote the left graph by G and the right graph by rG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The node-weights on rG are given as rµi “ 1 for 1 ď i ď 7, while on G the weights are given as µi “ 1 for 1 ď i ď 5 while µ6 “ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We then consider the respective un-normalized graph Laplacians ∆ : ℓ2pGq Ñ ℓ2pGq and r∆ : ℓ2p rGq Ñ ℓ2p rGq, which for a given adjacency matrix W on a graph signal space ℓ2pGq with node weights tµiui is given as p∆fqi “ 1 µi ÿ j Wijpfi ´ fjq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Such operators are positive and hence |∆| “ ∆ (similarly for r∆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We now need to find operators J : ℓ2pGq Ñ ℓ2p rGq and rJ : ℓ2p rGq Ñ ℓ2pGq satisfying the conditions of Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To construct J, we define a family tψiu6 i“1 of vectors on ℓ2p rGq as ψ1 “ p1, 0, 0, 0, 0, 0, 0q, ψ2 “ p0, 1, 0, 0, 0, 0, 0q, ψ3 “ p0, 0, 1, 0, 0, 0, 0q, ψ4 “ p0, 0, 0, 1, 0, 0, 0q, ψ5 “ p0, 0, 0, 0, 1, 0, 0q, ψ6 “ p0, 0, 0, 0, 0, 1, 1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Figure 6: Indexing on the re- spective graphs The map J : ℓ2pGq Ñ ℓ2p rGq is then defined as Jf :“ 6ÿ i“1 fiψi, for any f P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We take rJ : ℓ2p rGq Ñ ℓ2pGq to be its adjoint ( rJ :“ J˚), which determined explicitly by p rJuqi “ 1 µi xψi, uyℓ2p r Gq for any u P ℓ2p rGq We shall now first check the conditions for δ-quasi unitary equivalence, which we list again for convenience;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' now adapted to our current setting: }Jf}ℓ2p r Gq ď 2}f}ℓ2pGq, }pJ ´ rJ˚qf}ℓ2p r Gq ď δ}f}ℓ2pGq, }f ´ rJJf}2 ℓ2pGq ď δ2 ´ }f}2 ℓ2pGq ` xf, ∆, fyℓ2pGq ¯ , }u ´ J rJu}2 ℓ2p r Gq ď δ2 ´ }u}2 ℓ2p r Gq ` xu, r∆ uyℓ2p r Gq ¯ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We first note that since rJ “ J˚, we have }pJ ´ rJ˚qf}ℓ2p r Gq “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Next we note }Jf}2 ℓ2p r Gq “ 7ÿ i“1 |pJfqi|2 “ |f6|2 ` 6ÿ i“1 |fi|2 “ 6ÿ i“1 µi “ }f}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 21 Furthermore we note p rJJfqi “ 6ÿ k“1 fk 1 µi xψi, ψkyℓ2p r Gq loooooooomoooooooon “δik “ fi and hence }f ´ rJJf}2 ℓ2pGq “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It remains to control }u ´ J rJu}2 ℓ2p r Gq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note rJu “ pu1, u2, u3, u4, u5, pu5 ` u6q{2qJ and thus J rJu “ pu1, u2, u3, u4, u5, pu6 ` u7q{2, pu6 ` u7q{2qJ, Which implies u ´ J rJu “ p0, 0, 0, 0, 0, pu7 ´ u6q{2, pu6 ´ u7q{2qJ, and thus }u ´ J rJu}2 ℓ2p r Gq “ 2|u6 ´ u7|2 4 “ |u6 ´ u7|2 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have xu, r∆ uyℓ2p r Gq “ 1 2 dÿ i,j“1 Ă Wij|ui ´ uj|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since Ă W67 “ 1{δ2 by assumption, we have }u ´ J rJu}2 ℓ2p r Gq “ 1 2|u6 ´ u7|2 “ 1 2 δ2 δ2 |u6 ´ u7|2 “ 1 2δ2Ă W67|u6 ´ u7|2 ď 1 2δ2 dÿ i,j“1 Ă Wij|ui ´ uj|2 “ δ2xu, r∆ uyℓ2p r Gq ď δ2 ´ }u}2 ℓ2p r Gq ` xu, r∆ uyℓ2p r Gq ¯ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we have proven δ-unitary-equivalence and it remains to establish p´1q-12δ closeness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Com- bining Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' and Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='15 of [29], instead of bounding }p rRJ ´ JRqf}ℓ2p r Gq ď 12δ}f}ℓ2pGq directly, we may instead establish that there are operators J1 : ℓ2pGq Ñ ℓ2p rGq, Ă J1 : ℓ2p rGq Ñ ℓ2pGq satisfying }J1f ´ Jf}ℓ2p r Gq ď δ2 ` }f}ℓ2pGq ` xf, ∆, fyℓ2pGq ˘ , (7) }Ă J1u ´ rJu}ℓ2pGq ď δ2 ´ }u}ℓ2p r Gq ` xf, r∆, uyℓ2p r Gq ¯ , (8) and xJ1f, r∆ uyℓ2p r Gq “ xf, ∆ Ă J1uyℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' (9) We chose J1 “ J and determine Ă J1 by setting (for (1 ď i ď 6)) pĂ J1uqi “ ui.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus (7) is clearly satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For (8) we note that we have p rJu ´ Ă J1uq “ p0, 0, 0, 0, 0, pu7 ´ u6q{2q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we have }Ă J1u ´ rJu}ℓ2pGq “ 1 2|u6 ´ u7|2 ď δ2 ´ }u}2 ℓ2p r Gq ` xu, r∆ uyℓ2p r Gq ¯ as before.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It remains to establish (9).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have xf, ∆ Ă J1uyℓ2pGq “ 6ÿ i,j“1 fiWijpui ´ ujq, 22 while we have xJ1f, r∆ uyℓ2p r Gq “ 6ÿ i“1 fi ¨ xψi, r∆ uyℓ2p r Gq “ 5ÿ i,j“1 fiWijpUj ´ uiq ` f6 ¨ xψ6, r∆ uyℓ2p r Gq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have (with all node-weights on ℓ2pGq equal to unity) xψ6, r∆ uyℓ2p r Gq “ p∆ uq6 ` p∆ uq7 “ ˜ÿ j W6jpf6 ´ fjq ` 1 δ2 pf6 ´ f7q ¸ ` ˆ 1 δ2 pf7 ´ f6q ˙ “ ˜ÿ j W6jpf6 ´ fjq ` 1 δ2 pf6 ´ f7q ¸ And thus xJ1f, r∆ uyℓ2p r Gq “ 6ÿ i,j“1 fiWijpui ´ ujq “ xf, ∆ Ă J1uyℓ2pGq which proves the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' F Proof of Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 Lemma F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In the setting of Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 let ∆ and r∆ be ω-δ-close and satisfy }∆}op, }r∆}op ď K for some K ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If g : C Ñ C is holomorphic on the disk BK`1p0q of radius pK ` 1q, there is a constant Cg ě 0 so that }gpr∆qJ ´ Jgp∆q}op ď Cg ¨ δ with Cg depending on g , ω and K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Without loss of generality, let us assume that K ą |ω|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let us denote the circle of radius r in C by Sr.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For any holomorphic function g and (normal) operator ∆ whose spectrum is enclosed by the circle Sr, we can express the operator gp∆q as gp∆q “ ´ 1 2πi ¿ Sr gpzq ∆ ´ z dz as discussed in Appendix A (see also [7] for more details).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Note that in our case the resolvent Rpz, ∆q “ p∆ ´ zq´1 is well defined for |z| ě K, since with our assumptions all eigenvalues are within the circle of radius K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally note that we have distpz, σp∆qq ě distpz, SKq “ |z| ´ K if |z| ě K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The same holds true after replacing ∆ with r∆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since for any normal operator ∆ we have }Rpz, ∆q}op “ 1{distpz, σp∆qq, we find |Rpz, r∆q}op, }Rpz, ∆q}op ď 1{p|z| ´ Kq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To quantify the difference }Rpz, r∆qJ ´ JRpz, ∆q}op in terms of the difference } rRpωqJ ´ JRpωq}op ď δ, we define the function γ0pzq :“ 1 ` |z ´ ω| |z| ´ K , for which }Rpz, r∆qJ ´ JRpz, ∆q}op ď γ0pzq2}Rpω, r∆qJ ´ JRpω, r∆q}op 23 holds, as proved (in more general form) in Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='9 in [29].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since on SK`1 we have and |z ´ ω| ď 2K ` 1 hence γ0pzq ď 2pK ` 1q, we find }gpr∆qJ ´ Jgp∆q}op “ ››››››› 1 2πi ¿ SK`1 gpzq ´ Rpz, r∆q ´ Rpz, ∆q ¯ dz ››››››› op ď 1 2π ¿ SK`1 |gpzq| ›››Rpz, r∆q ´ Rpz, ∆q ››› op dz ď2pK ` 1q2 π ¨ ˚ ˝ ¿ SK`1 |gpzq|dz ˛ ‹‚¨ }Rpω, r∆qJ ´ JRpω, r∆q}op.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we may set Cg :“ 2pK ` 1q2 π ¿ SK`1 |gpzq|dz.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' G Proof of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5 We state and prove a somewhat more general theorem, incorporating also the case where the identifi- cation operators only almost commute with connecting operators or non-linearities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We also would like to point out that the constant 2 in Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3 is arbitrary and any constant larger than one would suffice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Much more details are provided in Chapter IV of [29].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ΦN, rΦN be scattering transforms based on a common module sequence ΩN and differing operator sequences DN, r DN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume R` n , L` n ď 1 and Bn ď B for some B and n ě 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume that there are identification operators Jn : ℓ2pGnq Ñ ℓ2p rGnq, rJn : ℓ2p rGnq Ñ ℓ2pGnq (0 ď n ď N) so that the respective signal spaces are δ-unitarily equivalent, the respective normal operators ∆n, r∆n are ω-δ-close as well as bounded (in norm) by K ą 0 and the connecting operators satisfy } rPnJn´1f ´ JnPnf}ℓ2p r Gnq ď δ}f}ℓ2pGn´1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For the common module sequence ΩN assume that the non-linearities satisfy }ρnpJnfq ´ Jnρnpfq}ℓ2p r Gnq ď δ}f}ℓ2pGnq and that the constants Cχn and tCgγn uγnPΓN associated through Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 to the functions of the generalized frames in each layer satisfy C2 χn ` ř γnPΓN C2 gγn ď D2 for some D ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Denote the operator that the family tJnun of identification operators induce on FN through concatenation by JN : FN Ñ Ă FN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have with KN “ a p8N ´ 1qp2D2 ` 12Bq{7 ¨ BN´1 if B ą 1{8 and KN “ a p2D2 ` 12Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{8 that }rΦNpJ0fq ´ JNΦNpfq} Ă FN ď KN ¨ δ ¨ }f}ℓ2pG, @f P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If additionally } rPnJn´1f ´ JnPnf}ℓ2p r Gnq “ 0 or }ρnpJnfq ´ Jnρnpfq}ℓ2p r Gnq “ 0 holds in each layer, then we have KN “ a p4N ´ 1qp2D2 ` 4Bq{3 ¨ BN´1 if B ą 1{4 and KN “ a p2D2 ` 4Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If both additional equations hold, we have KN “ a p2N ´ 1q2D2 ¨ BN´1 if B ą 1{2 and KN “ a 2D2 ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Notation G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let us denote scattering propagators based on operators ∆n and Pn by Un and scattering propagators based on operators r∆n and rPn by rUn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Similarly, to Notation D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 and , let us then write (with q “ pγN, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', γ1q) rfq :“ rUnrγns ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ rU1rγ1spJ0fq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 24 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' By definition we have }J ΦNpfq ´ rΦNpJ0fq}2 Ă FN “ N ÿ n“1 ¨ ˝ ÿ qPΓn´1 }Jnχnp∆nqρnpPnpfqqq ´ χnpr∆nqρnpPnp rfqqq}2 ℓ2p r Gnq ˛ ‚ looooooooooooooooooooooooooooooooooooooooomooooooooooooooooooooooooooooooooooooooooon “:an .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We define bn :“ ř qPΓn }Jnfq ´ rfq}2 ℓ2p r Gnq, with b0 “ }J0f ´ J0f}2 ℓ2p r Gq “ 0 and note an ` bn “ ÿ qPΓn´1 ˆ }Jnχnp∆nqρnpPnpfqq ´ χnpr∆nqρnpPnp rfqq}2 ℓ2p r Gnq ` ÿ γnPΓn }Jngγnp∆nqρnpPnppfqqqq ´ gγnpr∆nqρnpPnp rfqqq}2 ℓ2p r Gnq ¸ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using 1 2}Jngγnp∆nqρnpPnppfqqqq ´ gγnpr∆nqρnpPnp rfqqq}2 ℓ2p r Gnq ď}rJngγnp∆nq ´ gγnpr∆nqJnsρnpPnpfqqq}2 ℓ2p r Gnq `}gγnpr∆nqrJnρnpPnppfqqqq ´ ρnpPnp rfqqqs}2 ℓ2p r Gnq ď}rJngγnp∆nq ´ gγnpr∆nqJns}op ¨ }ρnpPnpfqqq}2 ℓ2p r Gnq `}gγnpr∆nqrJnρnpPnppfqqqq ´ ρnpPnp rfqqqs}2 ℓ2p r Gnq, and }rgγnp∆nq ´ gγnpr∆nqs}8 ď C2 gγ ¨ δ2 (c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4), we find an ` bn ď2 ÿ qPΓn´1 ˜ C2 χn ` ÿ γnPΓn Cg2γn ¸ pL` n R` n q2δ2||ρnpPnp rfqqq||2 ℓ2p r Gnq `2 ÿ qPΓn´1 Bn||JnρnpPnpfqqq ´ ρnpPnp rfqqq||2 ℓ2p r Gnq ď2 ÿ qPΓn´1 δ2 ˜ C2 χn ` ÿ γnPΓn Cg2γn ¸ pL` n R` n q2||ρnpPnp rfqqq||2 ℓ2p r Gnq `4B ¨ Bn´1||f||2 ℓ2pGqδ2 ` 8B ¨ Bn´1||f||2 ℓ2pGqδ2 ` 8Bbn´1, where the second inequality arises from permuting the identification operator Jn through non-linearity and connecting operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using C2 χn ` ř γnPΓn C2 γn ď D2, we then infer an ď pbn´1 ´ bnq ` r8B ´ 1sbn´1 ` p2D2 ` 12BqBn´1δ2||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If B ď 1 8, summing over n and using a geometric sum argument yields the desired stability constant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Hence let us assume B ą 1 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Using similar arguments as before, we find bn´1 ďp2D2 ` 12Bqδ2Bn´2||f||2 ℓ2pGq ` 8Bbn´2 ď ˜n´1 ÿ k“1 8k´1 ¸ Bn´2p2D2 ` 12Bqδ2||f||2 ℓ2pGq “ 1 56p8n ´ 8qp2D2 ` 12qδ2||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In total we find N ÿ n“1 an ď pb0 ´ bNq loooomoooon ď0 `p2D2 ` 12BqBn´1δ2||f||2 ℓ2pGq ` p8B ´ 1qp8n´1 ´ 1q{7Bn´2 ¨ p2D2 ` 12Bqδ2||f||2 ℓ2pGq ďp8N ´ 1qp2D2 ` 12Bq{7 ¨ BN´1||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 25 If one of the additional equations holds, we find an ` bn ď pbn´1 ´ bnq ` r4B ´ 1sbn´1 ` p2D2 ` 4Bqδ2||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' and bn´1 ďp2D2 ` 4Bqδ2Bn´2||f||2 ℓ2pGq ` 4Bbn´2 ď ˜n´1 ÿ k“1 4k´1 ¸ Bn´2p2D2 ` 4qδ2||f||2 ℓ2pGq “ 1 12p4n ´ 4qBn´2p2D2 ` 4qδ2||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Arguing as previously yields the desired stability bounds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If both additional equations are satisfied the proof is virtually the same as the one for Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' H Details on Energy Decay and Truncation Stability We first prove the statement made about the relation between truncation stability and energy: Lemma H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Given the energy WN :“ ř pγN,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',γ1qPΓN }UrγNs ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ Urγ1spfq}2 ℓ2pGNq stored in the network at layer N, we have after extending ΦNpfq by zero to match dimensions with ΦN`1pfq that }ΦNpfq ´ ΦN`1pfq}2 FN`1 ď ` R` N`1L` N`1 ˘2 BN`1 ¨ WN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note }ΦNpfq ´ ΦN`1pfq}2 FN`1 “ ÿ pγN´1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',γ1qPΓN }VN`1 ˝ UrγNs ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ Urγ1spfq}2 ℓ2pGN`1q ď ` R` N`1L` N`1 ˘2 BN`1 ÿ pγN´1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',γ1qPΓN´1 }UrγNs ˝ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˝ Urγ1spfq}2 ℓ2pGN`1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In fact one can prove even more: Lemma H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The energy WN stored in layer N satisfies C´ N}f}2 ℓ2pGq ď }ΦNpfq}FN ` WNpfq ď C` N}f}2 ℓ2pGq, with constants C´ N :“ Nś i“1 min ␣ 1, AipL´ i R´ i q2( and C` N :“ Nś i“1 max ␣ 1, BipL` i R` i q2( .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' min ␣ 1, A1pL´ 1 R´ 1 q2( ||f||2 ℓ2pGq “A1pL´ 1 R´ 1 q2||f||2 ℓ2pGq “A1||ρ1pP1pfqq||2 ℓ2pG1q ď ÿ γ1PΓ1 ||gγ1p∆1qρ1pP1pfqq||2 ℓ2pG1q ` ||χ1p∆1qρ1pP1pfqq||2 ℓ2pG1q “ ÿ qPΓ1 ||Urqspfq||2 ℓ2pG1q ` ||χ1p∆1qρ1pP1pfqq||2 ℓ2pG1q “||χ1p∆1qρ1pP1pfqq||2 ℓ2pG1q ` W1pfq, and similarly ||χ1p∆1qρ1pP1pfqq||2 ℓ2pG1q ` W1pfq “ ÿ qPΓ1 ||Urqspfq||2 ℓ2pG1q ` ||χ1p∆1qρ1pP1pfqq||2 ℓ2pG1q ďB1pL` 1 R` 1 q2||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 26 This yields the starting point for our induction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Now for the inductive step assume the claim holds up until layer N ´ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have C´ N´1||f||2 ℓ2pGq ď N´1 ÿ n“1 ¨ ˝ ÿ qPΓn´1 ||χnp∆nqfq||2 ℓ2pGnq ˛ ‚` WN´1pfq ď C` N´1||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' using Notation C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note N ÿ n“1 ¨ ˝ ÿ qPΓn´1 ||χnp∆nqρnpPnpfqqq||2 ℓ2pGnq ˛ ‚` WN “ N´1 ÿ n“1 ¨ ˝ ÿ qPΓn´1 ||χnp∆nqρnpPnpfqqq||2 ℓ2pGnq ˛ ‚` ÿ qPΓN´1 ||χNp∆NqρNpPNpfqqq||2 ℓ2pGNq ` ÿ qPΓN ||fq||2 ℓ2pGNq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Every path rq P ΓN may be written as q “ pγn, qq, for some γn P Γn and q P ΓN´1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we have ÿ qPΓN ||fq||2 ℓ2pGNq “ ÿ qPΓN´1 ÿ γNPΓN ||gγN p∆NqPNpρNpfqqq||2 ℓ2pGNq Inserting this in the above equation yields N ÿ n“1 ¨ ˝ ÿ qPΓn´1 ||χnp∆nqρnpPnpfqqq||2 ℓ2pGnq ˛ ‚` WN “ N´1 ÿ n“1 ¨ ˝ ÿ qPΓn´1 ||χnp∆nqρnpPnpfqqq||2 ℓ2pGnq ˛ ‚ ` ÿ qPΓN´1 ˜ ||χNp∆NqρNpPNpfqqq||2 ℓ2pGn´1q ` ÿ γnPΓN ||gγN p∆NqPNpρNpfqq||2 ℓ2pGNq ¸ looooooooooooooooooooooooooooooooooooooooooooooooomooooooooooooooooooooooooooooooooooooooooooooooooon “:βpfqq .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have pL´ NR´ Nq2AN||fq||2 ℓ2pGn´1q ď βpfqq ď pL` NR` Nq2BN||fq||2 ℓ2pGn´1q, by the operator frame property.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With this we find: mint1, pL´ NR´ Nq2ANu ¨ ˝ N´1 ÿ n“1 ¨ ˝ ÿ qPΓn´1 ||χnp∆nqρnpPnpfqqq||2 ℓ2pGnq ˛ ‚` WN´1 ˛ ‚ ď N ÿ n“1 ÿ qPΓn´1 ||χnp∆nqρnpPnpfqqq||2 ℓ2pGnq ` WN ď maxt1, pL´ NR´ Nq2BNu ˜N´1 ÿ n“1 ˜ ÿ qPΓn ||χnp∆nqUrqspfq||2 ℓ2pGnq ¸ ` WN´1 ¸ , after unravelling the definition WN´1pfq ” ÿ qPΓN ||fq||2 ℓ2pGn´1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The induction hypothesis together with the definition of C˘ N now yields the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 27 With this we now prove our main theorem concerning energy decay.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let Φ8 be a generalized graph scattering transform based on a an operator sequence D8 “ pPn, ∆nq8 n“1 and a module sequence Ω8 with each ρnp¨q ě 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume in each layer n ě 1 that there is an eigenvector ψn of ∆n with solely positive entries;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' denote the smallest entry by mn :“ miniPGn ψnris.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Denote the eigenvalue corresponding to ψn by λn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Quantify the ’spectral-gap’ opened up at this eigenvalue through neglecting the output-generating function by ηn :“ ř γnPΓn |gγnpλnq|2 and assume Bnmn ě ηn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We then have WNpfq ď C` N ¨ « N ź n“1 ˆ 1 ´ ˆ m2 n ´ ηn Bn ˙˙ff ¨ }f}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Denote the spectral projection (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' the orthogonal projection projecting to the space of eigenvectors) onto the eigenspace corresponding to λn by P n c .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have WNpfq “ ÿ qPΓN´1 ÿ γNPΓN ||gγN p∆NqρNpPNpfqqq||2 ℓ2pGNq “ ÿ qPΓN´1 ÿ γNPΓN ||gγN p∆Nqp1 ´ P N c qρNpPNpfqqq||2 ℓ2pGNq ` ÿ qPΓN´1 ÿ γNPΓN ||gγN p∆NqP N c ρNpPNpfqqq||2 ℓ2pGNq ď ÿ qPΓN´1 BN||p1 ´ P N c qρNpPNpfqqq||2 ℓ2pGNq ` ÿ qPΓN´1 ηN||P N c ρNpPNpfqqq||2 ℓ2pGNq ď ÿ qPΓN´1 BN||p1 ´ P N c qρNpPNpfqqq||2 ℓ2pGNq ` ÿ qPΓN´1 ηN||ρNpPNpfqqq||2 ℓ2pGNq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' By orthogonality of the spectral projection, we then have ||p1 ´ P N c qρNpPnpfqqq||2 ℓ2pGNq “ ||ρNpPNpfqqq||2 ℓ2pGNq ´ ||P N c ρNpPnpfqqq||2 ℓ2pGNq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Furthermore, we have |xψN, ρNpPnpfqqqyℓ2pGNq|2 ď ||P N c ρNpPnpfqqq||2 ℓ2pGNq with equality if the multiplicity of λN is exactly one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With this we find ||p1 ´ P N c qρNpPNpfqqq||2 ℓ2pGNq “ ||ρNpPNpfqqq||2 ℓ2pGNq ´ ||P N c ρNpPNpfqqq||2 ℓ2pGNq ď ||ρNpPNpfqqq||2 ℓ2pGNq ´ |xψN, ρNpPNpfqqqyℓ2pGNq|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 28 Since the image of ρN is contained in R` by assumption,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' we have |xψN,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ρNpPNpfqqqyℓ2pGNq|2 “ ˇˇˇˇˇˇ |GN| ÿ i“1 ρNpPNpfqqqipψNqiµi ˇˇˇˇˇˇ 2 ě ˇˇˇˇˇˇ |GN| ÿ i“1 |ρNpPNpfqqqi|µi ˇˇˇˇˇˇ 2 ¨ m2 N ě ˇˇˇˇˇˇ |GN| ÿ i“1 |ρNpPNpfqqqi|2µ2 i ˇˇˇˇˇˇ ¨ m2 N ě ˇˇˇˇˇˇ |GN| ÿ i“1 |ρNpPNpfqqqi|2µi ˇˇˇˇˇˇ ¨ m2 N ě ||ρNpPNpfqqq||2 ℓ2pGNq ¨ m2 N Here the second to last inequality follows since in any finite dimensional vector space,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' the 1-norm is larger than the 2-norm (||f||1 ě ||f||2) and all weights are assumed to satisfy µi ě 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus we now know ||p1 ´ P N c qρNpPNpfqqq||2 ℓ2pGNq ď ` 1 ´ m2 N ˘ ||ρNpPNpfqqq||2 ℓ2pGNq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Inserting this in our estimate for WNpfq we find WNpfq ď ˆ 1 ´ ˆ m2 N ´ ηn Bn ˙˙ L` NR` NBN ¨ WN´1pfq ď C` N N ź n“1 ˆ 1 ´ ˆ m2 N ´ ηn Bn ˙˙ ||f||2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Taking N to infinity, we know that C` N converges to something larger than zero by assumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For products of the form Nś n“0 p1 ´ qnq with 0 ď qn ă 1 it is a standard exercise to prove that the limit is non-zero precisely if the sum over the qn converges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Combining the above result with Lemma H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2, we obtain as an immediate Corollary: Corollary H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In the setting of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6, the generalized scattering transform satisfies Φ´1 8 p0q “ t0u if C˘ N Ñ C˘ for some positive constants C˘ and řN n“1pmn ´ ηn{Bnq Ñ 8 as N Ñ 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' I Stability of Graph Level Feature Aggregation I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1 General non-linear feature aggregation: Our main stability theorem for non-linear feature aggregation is as follows: Theorem I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have }ΨNpfq´ΨNpgq}RN ď ˜ 1 ` N ÿ n“1 maxtrBn ´ 1s, rBnpL` n R` n q2 ´ 1s, 0u n´1 ź k“1 Bk ¸ 1 2 }f ´h}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With the conditions and notation of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 we have }ΨNpfq ´ rΨNpfq}RN ď b 2p2N ´ 1q ¨ b pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 29 Additionally, in the setting of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5, assuming that for each n ď N the identification operator Jn satisfies ˇˇ}Jnf}ℓ1p r Gnq{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µ r Gn ´}f}ℓ1pGnq{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µGn ˇˇ, ˇˇ}Jnf}ℓkp r Gnq´}f}ℓkpGnq ˇˇ ď δ¨K ¨}f}ℓ2pGnq (2 ď k ď pn) implies (@f P ℓ2pGq) }rΨNpJ0fq ´ ΨNpfq}RN ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 ¨ b K2 N ¨ `K2 ¨ δ ¨ }f}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Furhermore, under the assumptions of Corollary H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 Ψ8pfq “ 0 implies f “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let f, h P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To prove the first two claims, it suffices to prove }ΨNpfq ´ ΨNphq}RN ď }ΦNpfq ´ ΦNphq}FN , and }ΨNpfq ´ rΨNpfq}RN ď }ΦNpfq ´ rΦNpfq}FN .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Both statements follow immediately, as soon as we have proved }N G p pfq ´ N G p phq}Rp ď }f ´ h}ℓ2pGq for arbitrary choices of p and G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To this end we note that for p ě 2 we have }f}ℓppGq ď }f}ℓ2pGq by the monotonicity of p-norms, while we have }f}ℓ1pGq ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µG ¨ }f}ℓ2pGq by Hölder’s inequality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With this we find }N G p pfq ´ N G p phq}2 Rp “ 1 p ˜ 1 µG |}f}ℓ1pGq ´ }h}ℓ1pGq|2 ` pÿ i“2 |}f}ℓipGq ´ }h}ℓipGq|2 ¸ ď 1 p ˜ 1 µG |}f ´ h}ℓ1pGq|2 ` pÿ i“2 |}f ´ h}ℓipGq|2 ¸ ď 1 p ¨ p ¨ |}f ´ h}ℓ2pGq|2 “ }f ´ h}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' where we have employed the reverse triangle inequality in the first step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To prove the second claim,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' we note that we have ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}ΨNpfq ´ rΨNpJ0fq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='RN ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='“ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pn pJnxqq ´ N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pn prxqq}Rpn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='`2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pn pJnxqq ´ N Gn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pn pxqq}Rpn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='“2}J ΦNpfq ´ rΦNpJ0fq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='FN ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='`2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pn pJnxqq ´ N Gn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='pn pxqq}Rpn ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus it remains to bound the last expression.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have }N r Gn p pJnxqq ´ N Gn pn pxqq}Rpn “ 1 pn ¨ ˝ ˇˇˇˇˇ 1 ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µGn }f}ℓ1pGq ´ 1 ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µ r Gn }Jnf}ℓ1p r Gq ˇˇˇˇˇ 2 ` pn ÿ i“2 |}f}ℓipGq ´ }Jnf}ℓip r Gq|2 ˛ ‚ ďK2 ¨ δ2 ¨ }xq}2 ℓ2pGnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 30 By our results of Appendix C and since we assume admissibility, we have N ÿ n“1 ÿ qPΓn´1 }xq}2 ℓ2pGnq ď }f}2 ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Thus in total }ΨNpfq ´ rΨNpJ0fq}2 FN ď 2}J ΦNpfq ´ rΦNpJ0fq}2 FN ` 2Kδ}f}ℓ2pGq, from which our stability claim follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It remains to prove that the assumptions of Corollary H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 Ψ8pfq “ 0 imply f “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' But since N G p pfq “ 0 implies f “ 0, this is clear.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 Low-Pass feature Aggregation The main assumption we have in this section is that each operator ∆n (and r∆n) has a simple lowest lying eigenvalue equal to zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We denote the associated eigenvector (determined up to a complex phase) by ψ∆n and the associated spectral projection to the lowest lying eigenvalue by P∆n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It acts as P∆nf ” ψ∆nxψ∆n, fyℓ2pGnq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Now we are ready to state our main stability result under these circumstances: Theorem I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We have }Ψ|x¨,¨y| N pfq´Ψ|x¨,¨y| N pgq}CN ď ˜ 1 ` N ÿ n“1 maxtrBn ´ 1s, rBnpL` n R` n q2 ´ 1s, 0u n´1 ź k“1 Bk ¸ 1 2 }f´h}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With the conditions and notation of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 and under the additional assumption }pP∆n ´ P r∆nq}op ď K ¨ δ for n ď N and some K ě 0, we have }Ψ|x¨,¨y| N pfq ´ rΨ|x¨,¨y| N pfq}CN ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 ¨ b 2p2N ´ 1qpmaxtB, 1{2uqN´1 ` K2 ¨ δ ¨ }f}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In the setting of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5 and under the additional assumption |}P∆nf}ℓ2pGnq ´ }P r∆nJnf}ℓ2p r Gnq| ď Kδ||f||ℓ2pGnq for all f P ℓ2pGnq (n ď N), we have }rΨ|x¨,¨y| N pJ0fq ´ Ψ|x¨,¨y| N pfq}CN ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 ¨ b K2 N ¨ `K2 ¨ δ ¨ }f}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let f, h P ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To prove the first claim, it suffices to prove }Ψ|x¨,¨y| N pfq ´ Ψ|x¨,¨y| N phq}CN ď }ΦNpfq ´ ΦNphq}FN .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This immediately follows from the fact that for all f P ℓ2pGnq |xψ∆n, fyℓ2pGnq|2 ď }ψ∆n}2 ℓ2pGnq ¨ }f}2 ℓ2pGnq by Hölder’s inequality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The next claim we want to prove is that we have for all f P ℓ2pGq }Ψ|x¨,¨y| N pfq ´ rΨ|x¨,¨y| N pfq}CN ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 ¨ b 2p2N ´ 1q ` K2 ¨ δ ¨ }f}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note 31 }Ψ|x¨,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨y| N pfq ´ rΨ|x¨,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨y| N pfq}2 CN “ N ÿ n“1 ¨ ˚ ˝ ÿ qPΓn´1 ˇˇˇˇˇˇˇ |xψ∆n,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' χnp∆nqρnpPnpfqqq loooooooooomoooooooooon “:xq yℓ2pGnq| ´ |xψ r∆n,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' χnpr∆nqρnpPnp rfqqq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='loooooooooomoooooooooon ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='rxq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='yℓ2pGnq| ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇˇˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‹‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='“ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nrxq}ℓ2pGnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}P∆nxq ´ P r∆nrxq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}P r∆npxq ´ rxqq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚` 2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}pP∆n ´ P r∆nqxq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2}ΦNpfq ´ ΦNphq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='FN ` 2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='}pP∆n ´ P r∆nqxq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Hence we need to bound the expression "}pP∆n ´ P r∆nqxq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGnq".' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note }pP∆n ´ P r∆nqxq}2 ℓ2pGnq ď }pP∆n ´ P r∆nq}op ¨ }xq}2 ℓ2pGnq ď K2 ¨ δ2 ¨ }xq}2 ℓ2pGnq and thus }Ψ|x¨,¨y| N pfq ´ rΨ|x¨,¨y| N pfq}2 CN ď2}ΦNpfq ´ ΦNphq}2 FN ` 2K2 ¨ δ2 ¨ N ÿ n“1 ¨ ˝ ÿ qPΓn´1 }χnp∆nqρnpPnppfqqqq}2 ℓ2pGnq ˛ ‚ ď2}ΦNpfq ´ ΦNphq}2 FN ` 2K2 ¨ δ2 ¨ }f}2 ℓ2pGq and the claim follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Finally we want to prove }rΨ|x¨,¨y| N pJ0fq ´ Ψ|x¨,¨y| N pfq}CN ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 ¨ b K2 N ¨ `K2 ¨ δ ¨ }f}ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note 32 }Ψ|x¨,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨y|2 N pfq ´ rΨ|x¨,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨y| N pfq}CN “ N ÿ n“1 ¨ ˚ ˝ ÿ qPΓn´1 ˇˇˇˇˇˇˇ |xψ∆n,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' χnp∆nqρnpPnppfqqqq loooooooooooomoooooooooooon “:xq yℓ2pGnq| ´ |xψ r∆n,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' χnpr∆nqρnpPnp rfqqq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='loooooooooomoooooooooon ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='rxq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='yℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq| ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇˇˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‹‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='“ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nrxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ` }P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ´ }P r∆nrxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ´ }P r∆nrxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='`2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ´ }P r∆nrxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='`2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2}J ΦNpfq ´ rΦNpJ0fq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Ă ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='FN ` 2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ}P∆nxq}ℓ2pGnq ´ }P r∆nJnxq}ℓ2p r ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Gnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ˇˇˇ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2}J ΦNpfq ´ rΦNpJ0fq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Ă ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='FN ` 2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='n“1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='¨ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˝ ÿ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='qPΓn´1 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='K2 ¨ δ2}xq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGnq ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='˛ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='‚ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ď2}J ΦNpfq ´ rΦNpJ0fq}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='Ă ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='FN ` 2K2 ¨ δ2}f}2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ℓ2pGq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' which proves the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In establishing triviality of the ’kernel’, we have to be a tiny bit more careful: Theorem I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In the setting of of Corollary H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4, assume that in each layer n, the output generating function χn of the underlying scattering transform satisfies χnp0q ‰ 0 and χnpλiq “ 0 for ordered non-zero eigenvalues λ2 ď .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ď λ|Gn| of the operator ∆n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then Ψ|x¨,¨y| 8 pfq “ 0 implies f “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Under these assumptions, we do not lose any information by projecting to ψ∆n in each ℓ2pGnq, since the image of χnp∆nq is already contained in the one-dimensional space generated by the lowest lying eigenvector ψ∆n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' J Details on Higher Order Scattering Node signals capture information about nodes in isolation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' However, one might also want to analyse or incorporate information about binary, ternary or even higher order relations between nodes, such as distances or angles between nodes representing atoms in a molecule.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This can be formalized by considering tensorial input signals: 33 Tensorial input: A 2-tensor on a graph G, as it was already utilized in Section 6, is simply an element of C|G|ˆ|G| or – equivalently – a map from GˆG to C, since it associates a complex number to each element pg1, g2q P G ˆ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Since G ˆ G is precisely the set of (possible) edges E, we can equivalently think of 2-tensors edge-signals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A 3-tensor an element of C|G|ˆ|G|ˆ|G| or equivalently a map from G ˆ G ˆ G ” G3 to C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A 4-tensor then is a map from G4 ” G ˆ G ˆ G ˆ G to C or equivalenlty an element of C|G|ˆ|G|ˆ|G|ˆ|G| and so forth.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Clearly the space of k-tensors forms a linear vector space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Addition and scalar multiplication by λ P C are given by pf ` λgqi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik :“ fi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik ` λgi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik with f and g being k-tensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For fixed k, we equip the space of k-tensors with an inner product according to xf, gy “ |G| ÿ i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik“1 fi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ikgi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ikµi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik and denote the resulting inner-product space by ℓ2pGkq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Operators on Spaces of Tensors: Since for fixed k the space ℓ2pGkq is simply a |G|k-dimensional complex inner product space, there are exist normal operators ∆k : ℓ2pGkq Ñ ℓ2pGkq on this space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Note that the k in ∆k signifies on which space this operator acts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It does not signify that an operator is raised to the kth power.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Setting for example node-weights µi and edge weights µik to one, the adjacency matrix W as well as normalized or un-normalized graph Laplacians constitute self-adjoint operators on ℓ2pG2q, where they act by matrix multiplication.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Higher order Scattering Transforms: We can then follow the recipe laid out Section 3 in con- structing kth-order scattering transforms;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' all that we need are a module sequence ΩN and an operator sequence Dk N :“ pP k n, ∆k nqN n“1, where now P k n : ℓ2pGk n´1q Ñ ℓ2pGk nq and ∆k n : ℓ2pGk nq Ñ ℓ2pGk nq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Figure 7: Schematic Higher Order Scattering Ar- chitecture To our initial signal f P ℓ2pGkq we first apply the connecting operator P k 1 , yielding a signal rep- resentation in ℓ2pGk 1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Subsequently, we apply the pointwise non-linearity ρ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we apply our graph filters tχ1p∆k 1qu Ťtgγ1p∆k 1quγ1PΓ1 to ρ1pP k 1 pfqq yielding the output V1pfq :“ χ1p∆k 1qρ1pP k 1 pfqq as well as the interme- diate hidden representations tU1rγ1spfq :“ gγ1p∆k 1qρ1pP k 1 pfqquγ1PΓ1 obtained in the first layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Here we have introduced the one-step scattering propagator Unrγns : ℓ2pGk n´1q Ñ ℓ2pGk nq mapping f ÞÑ gγnp∆nqρnpPnpfqq as well as the output generating operator Vn : ℓ2pGk n´1q Ñ ℓ2pGk nq mapping f to χnp∆k nqρnpP k npfqq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Upon defining the set ΓN´1 :“ ΓN´1 ˆ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' ˆ Γ1 of paths of length pN ´ 1q terminating in layer N ´ 1 (with Γ0 taken to be the one-element set) and iterating the above procedure, we see that the outputs gener- ated in the N th-layer are indexed by paths ΓN´1 terminating in the previous layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We denote the resulting feature map by Φk N and write F k N for the corresponding feature space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The node-level stability results of the preceding sections then readily translate to higher order scattering transforms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As the respective proofs are identical to the corresponding results for the node setting, we do not repeat them here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Theorem J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With the notation of Section 4, we have for all f, h P ℓ2pGkq: }Φk Npfq ´ Φk Nphq}2 F k N ď ˜ 1 ` N ÿ n“1 maxtrBn ´ 1s, rBnpL` n R` n q2 ´ 1s, 0u n´1 ź ℓ“1 Bℓ ¸ }f ´ h}2 ℓ2pGkq 34 p3(Pk(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=')) p2(Pk(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=')) ga2 9b2 (△) p3(Pk()) X2(△) ga p3(Pk()) P1(Pk())/gb1(△)、Ip2(Pk()) qa?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' T p3(Pk()) 6 JC1 X2(△5) p3(Pk()) (△) p2(Pk(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=')) qa2 9b2 (△k p3(Pk()) X1(△) X2(△))Theorem J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let ΦN and rΦN be two scattering transforms based on the same module sequence ΩN and operator sequences Dk N, r Dk N with the same connecting operators (P k n “ rP k n) in each layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume R` n , L` n ď 1 and Bn ď B for some B and n ď N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume that the respective normal operators satisfy }∆k n ´ r∆k n}F ď δ for some δ ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Further assume that the functions tgγnuγnPΓn and χn in each layer are Lipschitz continuous with associated Lipschitz constants satisfying L2 χn ` ř γnPΓn L2 gγn ď D2 for all n ď N and some D ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have for all f P ℓ2pGkq }rΦk Npfq ´ Φk Npfq}FN ď b 2p2N ´ 1q ¨ b pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGkq Theorem J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Let Φk N, rΦk N be higher order scattering transforms based on a common module sequence ΩN and differing operator sequences Dk N, r Dk N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume R` n , L` n ď 1 and Bn ď B for some B and n ě 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assume that there are identification operators Jn : ℓ2pGk nq Ñ ℓ2p rGk nq, rJn : ℓ2p rGk nq Ñ ℓ2pGk nq (0 ď n ď N) so that the respective signal spaces are δ-unitarily equivalent, the respective normal operators ∆k n, r∆k n are ω-δ-close as well as bounded (in norm) by K ą 0 and the connecting operators satisfy } rP k nJn´1f ´ JnP k nf}ℓ2p r Gknq ď δ}f}ℓ2pGk n´1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For the common module sequence ΩN assume that the non-linearities satisfy }ρnpJnfq ´ Jnρnpfq}ℓ2p r Gknq ď δ}f}ℓ2pGknq and that the constants Cχn and tCgγn uγnPΓN associated through Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 to the functions of the generalized frames in each layer satisfy C2 χn ` ř γnPΓN C2 gγn ď D2 for some D ą 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Denote the operator that the family tJnun of identification operators induce on F k N through concatenation by JN : F k N Ñ Ă F k N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we have with KN “ a p8N ´ 1qp2D2 ` 12Bq{7 ¨ BN´1 if B ą 1{8 and KN “ a p2D2 ` 12Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{8 that }rΦk NpJ0fq ´ JNΦk Npfq} Ă F k N ď KN ¨ δ ¨ }f}ℓ2pG, @f P ℓ2pGkq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If additionally } rP k nJn´1f ´ JnP k nf}ℓ2p r Gnq “ 0 or }ρnpJnfq ´ Jnρnpfq}ℓ2p r Gknq “ 0 holds in each layer, then we have KN “ a p4N ´ 1qp2D2 ` 4Bq{3 ¨ BN´1 if B ą 1{4 and KN “ a p2D2 ` 4Bq ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If both additional equations hold, we have KN “ a p2N ´ 1q2D2 ¨ BN´1 if B ą 1{2 and KN “ a 2D2 ¨ p1 ´ BNq{p1 ´ Bq if B ď 1{2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The map N G p introduced in (4) can also be adapted to aggregate higher-order tensorial features into graph level features: With }f}q :“ ˜ ÿ i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ikPG |fi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik|qµi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik ¸1{q and µGk :“ ř|G| i1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='ik“1 µi1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=',ik, we define N Gk p pfq “ p}f}ℓ1pGkq{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µGk, }f}ℓ2pGkq, }f}ℓ3pGkq, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=', }f}ℓppGkqqJ{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Given a feature map Φk N with feature space FN “ ‘N n“1 ` ℓ2pGk nq ˘|Γn´1| , we obtain a corresponding map Ψk N mapping from ℓ2pGkq to RN “ ‘N n“1 pRpnq|Γn´1| by concatenating Φk N with the map that the family of non-linear maps tN pn GknuN n“1 induces on F N by concatenation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The resulting map Ψk N again has stability properties analogous to the node level case: Theorem J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Assuming admissibility, we have }Ψk Npfq ´ Ψk Nphq}RN ď ˜ 1 ` N ÿ n“1 maxtrBn ´ 1s, rBnpL` n R` n q2 ´ 1s, 0u n´1 ź ℓ“1 Bℓ ¸ }f ´ h}2 ℓ2pGkq 35 for all f, h P ℓ2pGq .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' With the conditions and notation of Theorem J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 we have }Ψk Npfq ´ rΨk Npfq}RN ď b 2p2N ´ 1q ¨ b pmaxtB, 1{2uqN´1 ¨ D ¨ δ ¨ }f}ℓ2pGkq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally, in the setting of Theorem J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3, assuming that for each n ď N the identification operator Jn satisfies ˇˇ}Jnf}ℓ1p r Gknq{aµ r Gkn ´}f}ℓ1pGknq{?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µGkn ˇˇ, ˇˇ}Jnf}ℓrp r Gknq´}f}ℓrpGknq ˇˇ ď δ¨K¨}f}ℓ2pGknq for 2 ď r ď pn implies (@f P ℓ2pGkq) }rΨNpJ0fq ´ ΨNpfq}RN ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2 ¨ b K2 N ` K2 ¨ δ ¨ }f}ℓ2pGkq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As the proofs here are virtually the same as for the corresponding results in previous sections – essentially only replacing G by Gk, we omit a repetition of them here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' K Additional Details on Experiments Here we provide additional details on utilized scattering architectures, training procedures, datasets and (performance of) other methods our approach is being compared to.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Irrespective of task, our models are trained on an NVIDIA DGX A100 architecture utilizing between two and eight NVIDIA Tesla A100 GPUs with 80GB memory each.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Running 10-fold cross validation for the respective experiments took at most 71 hours (which was needed for social network graph classification on REDDIT-12K).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1 Social Network Graph Classification Datasets: The data we are working with is taken from [43].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' In particular this work introduced six social network datasets extracted from from scientific collaborations (COLLAB), movie collabora- tions (IMDB-B, IMDB-M) and Reddit discussion threads (REDDIT-B, REDDIT-5K, REDDIT-12K).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Data is anonymised and contains no content that might be considered offensive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Each graph carries a class label, and the goal is to predict this label.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Some basic properties of these datasets are listed in Table 3 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Table 3: Social Network Dataset Characteristics Attributes: COLLAB IMDB- B IMDB-M REDDIT-B REDDIT-5K REDDIT-12K Graphs 5K 1K 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5K 2K 5K 12K Nodes 372.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5K 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='8K 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5K 859.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2K 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='5M 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='7M Edges 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1M 386.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1K 395.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='6 4M 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='9M 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='8M Maximum Degree 2k 540 352 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2K 8K 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2K Minimum Degree 4 4 4 4 4 4 Average Degree 263 39 40 9 9 9 Target Labels 3 2 3 2 5 11 Disconnected Graphs No No No Yes Yes Yes These datasets contain graph structures, however they don’t contain associated weights or graph signals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Having unspecified weights simply means that the adjacency matrix W from which we construct the graph Laplacian L “ D ´ W on which our operator ∆ is based simply has each entry corresponding to an edge set to unity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If no edge is present between vertices i and j, the entry Wij is set to zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It remains to solve the problem of the missing input signals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Our strategy is to generate signals reflecting the geometry of the underlying graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We do this by utilizing features that associate to each node a number that characterizes its role or importance within its local environment or within the entire graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We briefly describe them here: 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Degree: The degree of a node is the number of edges incident at this node.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Eccentricity: For a connected graph, the eccentricity of a node is the maximum distance from this node to all other nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On a disconnected graph it is not defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 36 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Clustering: For unweighted graphs the clustering cpuq of a node u is the fraction of possible triangles through that node that actually exist.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' It is calculated as cpuq “ 2Tpuq degpuqpdegpuq ´ 1q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Number of triangles: The number of triangles containing the given node as a vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Core number: A k-core is a maximal subgraph that only contains nodes of degree k or more.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The core number of a node is the largest value k of a k-core containing that node.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Clique number: A clique is a subset of vertices of an undirected graph such that every two distinct vertices in the clique are adjacent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This input assigns the number of cliques the nodes participates in to each node.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Pagerank: This returns the PageRank of the respective nodes in the graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' PageRank computes a ranking of the nodes in the graph based on the structure of the edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Originally it was designed as an algorithm to rank web pages.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For the first three datasets listed in Table 3 we utilize all listed input features.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For the latter three datasets we have to refrain from using eccentricity as an input signal, as these datasets contain graphs that have multiple non-connected graph components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Scattering Architecture: We chose a generalized scattering architecture of depth N “ 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As normal-operators, we utilize in each layer the un-normalized graph Laplacian L “ D ´ W scaled by its largest eigenvalue (∆ “ L{λmaxpLq).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Filters are chosen as 1 2psinpπ{2 ¨ ∆q, rcospπ{2 ¨ ∆q ´ ψ∆ψJ ∆s, sinpπ ¨ ∆q, rcospπ ¨ ∆q ´ ψ∆ψJ ∆sq, which allows to specify the output generating function solely by demanding χp0q “ 1 and χpλq “ 0 on all other eigenvalues of ∆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Here ψ∆ is the normalized vector of all ones (satisfying ∆ψ∆ “ 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Connecting operators are chosen as the identity, while we set ρně1p¨q “ | ¨ |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We note that for connected graphs, this recovers Architecture I of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On disconnected graphs (as they can appear in the REDDIT datasets), we however do not account for vectors other than ψ∆ in the lowest-lying eigenspace of the graph Laplacian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This scattering architecture is then applied to each of these input signal individually.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' For each input signal, this returns a feature vector with 1 ` 4 ` 16 ` 64 “ 85 entries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' These individual feature vectors are then concatenated into one final composite feature vector for each graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Concerning applicable theoretical results, we note the following: Training Procedure: We train RBF kernel support vector classifiers on our composite scattering features.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We fix ϵ “ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The hyperparameter γ scaling the exponent is chosen from Gpool :“ t0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='00001, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='0001, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='001, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='01, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1, 1, 10, 100u, while we pick the C that controls the error our slack variables introduce among Cpool :“ t0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='001, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='01, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='1, 1, 10, 25, 50, 100, 1000u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We chose these parameters in agreement with the choices of [12] to facilitate comparison between the two works.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We could simply implement the training of the RBF-classifier on our composite scattering features by dividing each social-network dataset into 10 folds, then iteratively choosing one fold for testing and among the remaining 9 folds randomly choosing one for validation (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' for tuning the hyperpa- rameters).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Instead, following [12] (whose code is released under an Apache license and on which we partially built), we take a slightly different approach: We still randomly split our dataset into 10 folds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Among the 10 folds, we iteratively pick one for testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Say we have picked the nth fold for testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then there are 9 remaining folds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We iteratively pick the mth n (with 1 ď mn ď 9) of the remaining 9 folds for choosing hyperparameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This leaves 8 folds on which we train our model for each choice of hyper parameter in Cpool ˆ Gpool.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The resulting classifiers are all evaluated on the mth n fold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The one that performs best is retained as classifier mn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As mn varies between 1 and 9 (still for fixed n), this yields a set tfmn : 1 ď mn ď 9u of nine classifiers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' From these we build the classifier fn, whose classification result is obtained from a majority vote among the nine classifiers in tfmn : 1 ď mn ď 9u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then we evaluate the performance of fn on the nth fold to obtain the nth estimation of how well our model performs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As n varies from one to ten, we built the mean and variance of the performances of the classifiers fn on the nth fold expressed as the percentage of correct classifications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 37 Reference Methods: To allow for a comparison of our results to the literature, typical classification accuracies for graph algorithms on social network datasets are displayed in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Following the standard format of reporting classification accuracies, they are presented in the format (Accuracy ˘ standard deviation).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If results are not reported for a dataset, we denote this as not available (N/A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The first three rows of Table 1 display results for graph kernel methods;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' namely Weisfeiler-Lehman graph kernels (WL, [33]), Graphlet kernels (Graphlet, [34]) and deep graph kernels (DGK, [42]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The subsequent rows display results for geometric deep learning algorithms: Deep graph convolutional neural networks (DGCNN,[46]), Patchy-san (PSCN (with k=10), [26]), recurrent neural network autoencoders (S2S-N2N-PP, [16]) and graph isomorphism networks (GIN [41]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' These results are taken from [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Additionally we compare with P-Poinc [19], which embeds nodes into a hyperbolic space (the Poincare ball, to be precise), GSN-e [3] which combines message passing with structural features extracted via subgraph isomorphism and WKPI-kC [47] which utilizes a weighted kernel within its metric learning framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The second to last row (GS-SVM [12]) provides a result that is also based on a method that combines a static scattering architecture with a support vector machine.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Its filters are based on graph wavelets built from differences between lazy random walks that have propagated at different time scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='2 Regression of Quantum Chemical Energies Dataset: The dataset we consider is the QM7 dataset, introduced in [2, 31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This dataset contains descriptions of 7165 organic molecules, each with up to seven heavy atoms, with all non-hydrogen atoms being considered heavy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A molecule is represented by its Coulomb matrix CClmb, whose off-diagonal elements CClmb ij “ ZiZj |Ri ´ Rj| (10) correspond to the Coulomb-repulsion between atoms i and j, while diagonal elements encode a polynomial fit of atomic energies to nuclear charge [31]: CClmb ii “ 1 2Z2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4 i For each atom in any given molecular graph, the individual Cartesian coordinates Ri and the atomic charge Zi are also accessible individually.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To each molecule an atomization energy - calculated via density functional theory - is associated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The objective is to predict this quantity, the performance metric is mean absolute error.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Numerically, atomization energies are negative numbers in the range ´600 to ´2200.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The associated unit is rkcal/mols.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Scattering Architecture: Off-diagonal entries in the Coulomb Matrix clearly represent an inverse distance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' A weight of zero can then heuristically be thought of as the inverse distance between two infinitely separated atoms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' After calculating the degree matrix D associated to C, we obtain the graph Laplacian once more as L “ D ´ C and set our normal operator to ∆ “ L λmaxpLq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' If we continuously vary the distances in (10), staying clear of zero, then the adjacency matrix and hence the graph Laplacian L varies continuously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As long as we avoid complete degeneracy, the largest eigenvalue λmaxpLq will remain positive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This implies that our normal operator ∆ varies continuously under changes of the inter-atomic distances, which implies that our feature vector also varies continuously, as distances are changed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Connecting operators are set to the identity, while non-linearities are fixed to ρně1p¨q “ | ¨ |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Filters are chosen as psinpπ{2 ¨ ∆q, cospπ{2 ¨ ∆q, sinpπ ¨ ∆q, cospπ ¨ ∆qq acting through matrix multiplication.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The output generating functions are set to the identity as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Graph level features are aggregated via the map N E 5 p¨q of Section 6;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' slightly modified to neglect the normalizing factor in the first entry for improved convenience in numerical implementability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As weights µij for our second-order feature space are set to unity and molecular graphs in QM7 contain at most 23-molecules, we note that ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='µG2 ď ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 232 “ 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Going through the proofs of our graph-level stability results, we see that they remain valid after multiplying each stability constant by 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The Coulomb matrix (divided by a factor of 10 as this empirically improved performance) is then also utilized as an edge level input signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Node level 38 features are obtained by applying the above architecture to the node level information provided by the respective atomic charges tZiu on each graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We aggregate to graph level features using N G 5 (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Section 5), again neglecting the normalizing factor in the first entry for improved convenience in implementing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' The network depth is set to N “ 4 in both cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We then concatenate graph level features obtained from node- and edge level input into a composite scattering feature vector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Training Procedure: The QM7 dataset comes with a precomputed partition into five subsets;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' each containing a representative amount of heavy and light molecules covering the entire complexity range of QM7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' To allow for 10-fold cross validation, we further dissect each of these subsets into two smaller datasets, one containing graphs indexed by an even number, one containing graphs indexed by an odd number.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' On these 10-subsets, we then perform 10-fold cross validation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Among the 10 folds, we iteratively pick one for testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Say we have picked the nth fold for testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Then there are 9 remaining folds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We iteratively pick the mth n (with 1 ď mn ď 9) of the remaining 9 folds for choosing hyperparameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This leaves 8 folds on which we train our model for each choice of hyper parameter in Cpool ˆ Gpool.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This yields 8 regression models, which we average to built our final predictor for the nth run.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' This mean absolute error of this predictor is then evaluated on the nth fold which was retained for testing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' As n varies from one to ten, we built the mean and variance of the performances of the generated regression models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' We chose log-linear equidistant hyperparameters from Gpool :“ t0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='00003, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='0003, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='003, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='03, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='3, 3, 30u, and Cpool :“ t400000, 40000, 4000, 400, 40, 4, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content='4u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Reference Methods: We comprehensively evaluate our method against 11 popular baselines and state of the art approaches.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Among these methods are graph convolutional methods such as GraphConv [18], Weave [17] or SchNet [32].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' MPNN [13] and its variant DMPNN [44] are models considering edge features during message passing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' AttentiveFP [40] is an extension of the graph attention framework, while N-Gram [21] is a pretrained method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Results for these methods as well as for GROVER are taken from [30].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' PhysChem [45] learns molecular representations via fusing physical and chemical information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Deep Tensor Neural Networks (DTNN [39]) are adaptable extensions of the Coulomb Matrix featurizer mapping atom numbers to trainable embeddings which are then updated based on distance information and other (node-level) atomic features.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' Finally Path-Augmented Graph Transformer Networks (PATGN, [6]) exploit the connectivity structure of the data in a global attention mechanism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} +page_content=' 39' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/PNFJT4oBgHgl3EQfIiwq/content/2301.11456v1.pdf'} diff --git a/QNFPT4oBgHgl3EQfojUh/content/tmp_files/2301.13134v1.pdf.txt b/QNFPT4oBgHgl3EQfojUh/content/tmp_files/2301.13134v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..f0eb51a236f48a7928090cadf24c42abd06c6d11 --- /dev/null +++ b/QNFPT4oBgHgl3EQfojUh/content/tmp_files/2301.13134v1.pdf.txt @@ -0,0 +1,4138 @@ +arXiv:2301.13134v1 [math.RA] 30 Jan 2023 +The fundamental theorem of calculus in +differential rings +Clemens G. Raaba,∗ and Georg Regensburgera,b +aInstitute for Algebra, Johannes Kepler University Linz, Austria +bInstitute of Mathematics, University of Kassel, Germany +clemensr@algebra.uni-linz.ac.at +regensburger@mathematik.uni-kassel.de +Abstract +In this paper, we study the fundamental theorem of calculus and its +consequences from an algebraic point of view. For functions with singu- +larities, this leads to a generalized notion of evaluation. We investigate +properties of such integro-differential rings and discuss many examples. +We also construct corresponding integro-differential operators and pro- +vide normal forms via rewrite rules. They are then used to derive several +identities and properties in a purely algebraic way, generalizing well-known +results from analysis. In identities like shuffle relations for nested integrals +and the Taylor formula, additional terms are obtained that take singular- +ities into account. Another focus lies on treating basics of linear ODEs +in this framework of integro-differential operators. These operators can +have matrix coefficients, which allow to treat systems of arbitrary size in a +unified way. In the appendix, using tensor reduction systems, we give the +technical details of normal forms and prove them for operators including +other functionals besides evaluation. +Keywords +Integro-differential rings, integro-differential operators, normal +forms, generalized shuffle relations, generalized Taylor formula +1 +Introduction +Differential rings are a well-established algebraic structure for modelling dif- +ferentiation by derivations, i.e. linear operations satisfying the Leibniz rule. +More recently, integro-differential algebras have been introduced to additionally +model integration and point evaluation of continuous univariate functions by +∗Corresponding author +1 + +linear operations satisfying corresponding algebraic identities. In contrast, the +integro-differential rings introduced in this paper only use the two identities +d +dx +� x +a +f(t) dt = f(x) +and +� x +a +f ′(t) dt = f(x) − f(a) +of the fundamental theorem of calculus and the Leibniz rule as axioms. +In +particular, this results in a generalized notion of evaluation that is only required +to map to constants. This allows to deal with evaluations of functions even if +singularities or discontinuities are present. For example, it is natural to consider +integro-differential rings containing the rational functions leading to so-called +hyperlogarithms. +It turns out that many analytic identities and general statements about +ODEs, like variation of constants, have a purely algebraic proof in integro- +differential rings that is independent of the analytic properties of concrete +functions. Likewise, computations with and transformations of linear integro- +differential equations and initial conditions can be done in this algebraic setting +as well. +Moreover, exploring algebraic consequences of the Leibniz rule and +the fundamental theorem of calculus, we also find new results that introduce +additional evaluation terms into identities like shuffle relations for nested inte- +grals and the Taylor formula. In short, we investigate the analytic operations +of differentiation, integration, and evaluation from a purely algebraic point of +view. In this context, we implement in some sense the somewhat provocative +statement of Rota [33, p. 57] that “the algebraic structure sooner or later comes +to dominate [. . . ]. Algebra dictates the analysis.” +In order to study linear integro-differential equations and identities, we use +the operator point of view, which treats identities of functions as identities of +corresponding linear operators acting on them. To this end, we algebraically +construct the ring of integro-differential operators. For simplifying expressions +for operators, we use identities as rewrite rules. As a key result, we work out a +particular rewrite system that can be applied straightforwardly to obtain nor- +mal forms and to prove any algebraic identity of integro-differential operators. +Our construction of the ring of operators can be used for operators with scalar +coefficients and for operators with matrix coefficients. In particular, it allows to +uniformly deal with scalar equations as well as with systems, even of undeter- +mined size. Preliminary versions of some results presented in this paper have +already been presented by the authors at the conference “Differential Algebra +and Related Topics” (DART VII) in 2016. +A related approach was taken in the work of Danuta Przeworska-Rolewicz, +see for example [23]. In short, she considers a right invertible linear operator on +a vector subspace as a generalization of derivation. Right inverses and projec- +tions onto the kernel take the role of integration and evaluation, respectively. In +this linear setting, she develops algebraic generalizations of results for calculus +and linear differential equations. She refers to this as algebraic analysis, see +also [24] for historic context and references. Several results, e.g. a Taylor for- +mula, can be formulated already in this purely linear setting. For other results, +multiplication in a commutative algebra is considered. In some statements, the +2 + +Leibniz rule or weakened versions of it are needed. However, she does not con- +sider shuffle relations for nested integrals or additional evaluation terms in the +Taylor formula. Her treatment of operators is limited to properties and iden- +tities of given operators and she does not consider rings generated by them or +normal forms. +Integro-differential algebras and operators over a field of constants were al- +ready introduced in [29, 30], see [31] for a detailed overview and further refer- +ences. More general differential algebras with integration over rings were intro- +duced in [11], see [12] for a unified presentation and comparison. In contrast, the +integro-differential rings defined in [14, 13] require the integration to be linear +over all constants, but the construction of corresponding operators introduced +there allows noncommutative coefficients and constants. Further references to +the literature can be found in the respective sections of the present paper. +So far, all algebraic treatments of integro-differential operators in the litera- +ture restrict to multiplicative evaluations, i.e. evaluation of a product is the prod- +uct of the individual evaluations. Assuming only the Leibniz rule and the iden- +tities of the fundamental theorem of calculus, we deal with non-multiplicative +evaluations quite naturally in this paper. In Section 2, we introduce (general- +ized) integro-differential rings following this principle. Analyzing the relations +imposed, we show for example that any linear projection onto constants may be +used as the evaluation of such an integro-differential ring. We also present many +examples, both with multiplicative and with non-multiplicative evaluation. Re- +mark 2.12 discusses the differences among our definition and the definitions in +the literature. +In Section 3, we investigate identities satisfied by integrals and their prod- +ucts. This reveals a generalization of the Rota-Baxter identity for integration +that contains an additional evaluation term. Focusing on nested integrals, we +discover generalized shuffle relations with elaborate additional terms involving +nested integrals of lower depth. We also characterize properties of repeated in- +tegrals of 1, which form the smallest integro-differential ring with given ring of +constants. +Linear integro-differential operators with coefficients in arbitrary (gener- +alized) integro-differential rings are constructed algebraically in Section 4 by +generators and relations. Working at the operator level enables statements of +broader applicability, since operators not only act on integro-differential rings +but also on more general modules. We compute a complete set of rewrite rules +to simplify such operators to normal form. A precise analysis of the uniqueness +of these normal forms is presented in the appendix only, since it requires a re- +fined construction relying on tensor rings (like in [14, 13] for the multiplicative +case). After a largely self-contained introduction to tensor reduction systems in +the appendix, this is carried out in Section A.4 allowing also other functionals +besides evaluation. In Section 4.1, we collect properties of integro-differential +operators with coefficients from an integral domain (e.g. analytic functions). In +particular, we also characterize the action of such operators when evaluation is +multiplicative. +In the remaining sections, we illustrate how computations in the ring of +3 + +integro-differential operators can be used to prove and generalize well-known +results from analysis. For example, variation of constants remains valid for ar- +bitrary integro-differential rings, which is the focus of Section 5. In particular, +we also detail how integro-differential operators with noncommutative coeffi- +cients can be used for proving statements about systems of arbitrary or even +undetermined size. In Section 6, we discuss how results from analysis need to +be modified for allowing the induced evaluation to be non-multiplicative. First, +we look at the formula for variation of constants, which for multiplicative eval- +uations automatically satisfies homogeneous initial conditions, and include an +extra term to retain this property in general. Finally, we present a version of the +Taylor formula with integral remainder term that is valid also for generalized +evaluations. +Conventions +Throughout the paper, rings are implicitly assumed to have +a unit element and to be different from the zero ring. +Unless stated other- +wise, rings are not assumed to be commutative and can be of arbitrary char- +acteristic. Nevertheless, for easier reading, we use the notions of modules and +linear maps from the commutative setting to refer to bimodules and bimodule- +homomorphisms over noncommutative rings. In addition, we use operator no- +tation for linear maps, e.g. the Leibniz rule for the derivative of products then +reads ∂fg = (∂f)g + f∂g. +2 +Integro-differential rings +To uniformly deal with differentiation of various kinds of functions, we use a +few basic abstract notions. Recall from differential algebra that a derivation on +a ring R is an additive map ∂ : R → R that satisfies the Leibniz rule +∂fg = (∂f)g + f∂g +(1) +for all f, g ∈ R. Then, (R, ∂) is called a differential ring and f ∈ R is called +a constant in this differential ring if and only if ∂f = 0. It is easy to see that +the set of constants forms a subring of R and ∂ is linear w.r.t. the ring of its +constants. +For further theory of differential rings see e.g. [15]. +In addition, +we introduce the following notions of integration and evaluation in differential +rings. +Definition 2.1. Let (R, ∂) be a differential ring and let C be its ring of con- +stants. We call a C-linear map +� +: R → R an integration on R, if +∂ +� +f = f +(2) +holds for all f ∈ R. A C-linear functional e: R → C which acts on C as the +identity is called an evaluation on R. +In other words, integrations on differential rings are right inverses of the +derivation that are linear over the constants and evaluations on differential rings +are C-linear projectors onto the ring of constants C. +4 + +Definition 2.2. Let (R, ∂) be a differential ring and let +� +: R → R be an +integration on R. We call (R, ∂, +� +) a (generalized) integro-differential ring and +we define the (induced) evaluation E on R by +Ef := f − +� +∂f. +(3) +If in addition R is a field or skew field, then we also call (R, ∂, +� +) a (generalized) +integro-differential (skew) field, respectively. +This extends the definition of integro-differential rings in [14] by dropping +the additional requirement that the induced evaluation should be multiplicative. +In the present paper, the notion of integro-differential rings always refers to +Definition 2.2. The following lemma shows that in any integro-differential ring, +the (induced) evaluation E is indeed an evaluation as defined in Definition 2.1. +Moreover, the ring R can be decomposed as direct sum of constant and non- +constant “functions”. +Lemma 2.3. Let (R, ∂, +� +) be an integro-differential ring with constants C. +Then, for all f ∈ R and c ∈ C, we have Ef ∈ C, E +� +f = 0, and Ec = c. +Moreover, +R = C ⊕ +� +R +as direct sum of C-modules. +Proof. First, we compute ∂Ef = ∂(f − � ∂f) = ∂f − ∂f = 0 and E� f = +� +f − +� +∂ +� +f = 0 for f ∈ R as well as Ec = c− +� +∂c = c for c ∈ C. For any f ∈ R, +we have f = Ef + f − Ef = Ef + +� +∂f and hence R = C + +� +R. Let f ∈ C ∩ +� +R +and g ∈ R such that f = +� +g. Then, 0 = ∂f = ∂ +� +g = g, which implies f = 0. +Hence, the sum R = C + +� +R is direct. +By the previous lemma, any integration induces an evaluation by id − +� +∂. +Conversely, any evaluation e can be used to define an integration that has e as +its induced evaluation, as the following theorem shows. It is easy to see that +two different integrations cannot have the same induced evaluation. Altogether, +on differential rings with ∂R = R, there is a one-to-one correspondence of +integrations and evaluations. +Theorem 2.4. Let (R, ∂) be a differential ring such that ∂R = R and let e be +an evaluation on R. Define +� +e : R → R by +� +ef := g − eg +for all f ∈ R, where g ∈ R is such that ∂g = f. Then (R, ∂, +� +e) is an integro- +differential ring and the induced evaluation is E = e. +Moreover, any integration +� +on R can be obtained from its induced evaluation +E via this construction: +� += +� +E. +Proof. Let C be the ring of constants of (R, ∂). First, we show that +� +e is well- +defined. +If g, ˜g ∈ R are such that ∂g = ∂˜g, then with c := ˜g − g ∈ C we +5 + +have ˜g − e˜g = g + c − eg − ec = g − eg, since ec = c by definition of e. For +showing C-linearity of +� +e, we let c ∈ C and f1, f2, g1, g2 ∈ R with ∂gi = fi. +Then, ∂(cg1 + g2) = cf1 + f2 together with C-linearity of id − e implies C- +linearity of +� +e. +Consequently, (R, ∂, +� +e) is an integro-differential ring, since +we also have ∂ +� +ef = f by construction. The induced evaluation is given by +Ef = f − +� +e∂f = f − (f − ef) = ef for f ∈ R. +Let +� +: R → R be any C-linear right inverse of ∂, E its induced evaluation, +and f ∈ R. Then, we have � +Ef = � f − E� f = � f by definition of � +E and by +Lemma 2.3. +In particular, if (R, ∂, +� +) is an integro-differential ring and e is any evaluation +on R, then the integration that induces e can be given in terms of +� +by +� +e := +� +− e +� +. +(4) +This implies that the difference of two integrations +� +1, +� +2 on the same differential +ring can be given as +� +1− +� +2 = E2 +� +1 = −E1 +� +2 in terms of the induced evaluations +E1, E2. More generally, if (R, ∂, +� +) is an integro-differential ring with constants +C and e : R → C is only C-linear, then +� +e defined by (4) can be easily seen to be +an integration on R and its induced evaluation is given by e + (id − e)E, which +agrees with e if and only if the latter is an evaluation (i.e. e1 = 1). +By Lemma 2.3, +� +R is a direct complement of C in an integro-differential ring +R. Conversely, any direct complement of C gives rise to an evaluation on R, +which in turn induces an integration by Theorem 2.4. More precisely, we have +the following characterization of integro-differential rings. +Corollary 2.5. Let (R, ∂) be a differential ring with ring of constants C. Then, +(R, ∂) can be enriched into an integro-differential ring if and only if ∂R = R and +C is a complemented C-module in R. Moreover, if ∂R = R, there exists a one- +to-one correspondence between direct complements of C in R and integrations +on (R, ∂). +This characterization shows that on an integro-differential ring (R, ∂, +� +), +in general, there are many other integrations that make R into an integro- +differential ring with the same derivation. In contrast, the following character- +ization shows that, in general, ∂ is the only derivation that turns R into an +integro-differential ring with the same integration. +Lemma 2.6. Let R be a ring, let C be a subring of R, and let +� +: R → R be a +C-linear map. Then, there exists a derivation ∂ on R such that (R, ∂, � ) is an +integro-differential ring with constants C if and only if the following conditions +hold. +1. +� +is injective. +2. R = C ⊕ +� +R +3. ( +� +f) +� +g − +� +( +� +f)g − +� +f +� +g ∈ C for all f, g ∈ R. +6 + +Moreover, this derivation is unique if it exists. +Proof. First, it is easy to see, from injectivity of +� +and by R = C ⊕ +� +R, that +there exists a C-linear map ∂ : R → R such that ker ∂ = C and ∂ +� += id and +that this map is unique. To show that ∂ is indeed a derivation, we verify the +Leibniz rule on two arbitrary elements of R. By R = C ⊕ +� +R, we write these +two elements as c+ +� +f and d+ +� +g with c, d ∈ C and f, g ∈ R. Now, we compute +∂(c + � f)(d + � g) − (∂(c + � f))(d + � g) − (c + � f)∂(d + � g) += ∂( +� +f) +� +g − f +� +g − ( +� +f)g += ∂ +� +( +� +f) +� +g − +� +( +� +f)g − +� +f +� +g +� +, +which is zero by ker ∂ = C and the last assumption on +� +. +Conversely, if (R, ∂, +� +) is an integro-differential ring with constants C, then +injectivity of +� +follows from the definition (2) and the other two conditions on +� +follow from Lemma 2.3 and Theorem 3.1. +It is straightforward to equip the matrix ring over an integro-differential +ring with an integro-differential ring structure. Such noncommutative integro- +differential rings are relevant when working with linear systems, see Section 5.2. +Lemma 2.7. Let (R, ∂, +� +) be an integro-differential ring with constants C and +let n ≥ 1. +Then, (Rn×n, ∂, � ) is an integro-differential ring with constants +Cn×n, where operations ∂, +� +, E act on matrices by applying the corresponding +operation entrywise in R. +Proof. Clearly, ∂, +� +, E are Cn×n-linear on Rn×n satisfying ∂ +� +A = A and +� +∂A = +A − EA for all A ∈ Rn×n. Moreover, it is straightforward to verify that ∂ is a +derivation on R with constants Cn×n. +Example 2.8. Basic examples for commutative integro-differential rings are +univariate polynomials C[x] and formal power series C[[x]] over a commutative +ring C with Q ⊆ C. The derivation is given by ∂ = +d +dx with ring of constants C +and integration is defined C-linearly by +� +xn = xn+1 +n + 1 +for all n ∈ N. +The induced evaluation extracts the constant coefficient and +corresponds to evaluation at 0. +If C ⊆ C, the integration +� +corresponds to +integration +� x +0 from 0. Also the rings of complex-valued smooth or analytic +functions on a (possibly unbounded) interval I ⊆ R together with derivation +∂ = +d +dx and integration +� += +� x +a , for fixed a ∈ I, are integro-differential rings. +Then, the induced evaluation is the evaluation of functions at the point a. +In particular, the ring of exponential polynomials on the real line generated +by polynomials and exponential functions is closed under differentiation and +integration and hence is an integro-differential ring as well. Algebraically, for any +field C of characteristic zero, we can consider the ring of exponential polynomials +7 + +C[x, eCx], where ecxedx = e(c+d)x for all c, d ∈ C and e0x = 1, together with +derivation ∂ = +d +dx and with the integration that is induced by evaluation at 0 +based on Theorem 2.4. +Example 2.9. A basic example of integro-differential rings of arbitrary charac- +teristic are Hurwitz series, which are closely related to formal power series and +have been defined in [16, 17], with derivation ∂(a0, a1, . . . ) = (a1, a2, . . . ) and +integration given by +� +(a0, a1, . . . ) = (0, a0, a1, . . . ), see also [18]. +The examples mentioned so far have the special property that the evalua- +tion of the integro-differential ring is multiplicative, as in the usual definition of +integro-differential algebras. However, for certain differential rings (in particu- +lar for differential fields, cf. Corollary 5 in [31]), it is not possible to define a +multiplicative evaluation for the following reason. +Remark 2.10. If the induced evaluation is multiplicative, one can see easily +that no element of +� +R can have a multiplicative inverse. Since otherwise we +would have Ef 1 +f = E1 = 1 and (Ef)E 1 +f = 0E 1 +f = 0 for such f ∈ � R. +Analytically, if evaluation should correspond to evaluation of functions at a +fixed point a for functions that are continuous at a, then requiring multiplica- +tivity of evaluation means that functions with poles at a cannot be considered. +In particular, if a function f has a pole of order m at a, then evaluation of the +product (x − a)mf gives a nonzero value, but the factor (x − a)m evaluates to +zero at a. +In the following theorem, based on results from the literature, we briefly +characterize when the induced evaluation is multiplicative. From (3) it imme- +diately follows that the identity (7) is equivalent to multiplicativity of E. Since +in integro-differential rings +� +is C-linear by definition, we have the following +characterization of integro-differential rings with multiplicative evaluation. +Theorem 2.11. Let (R, ∂, +� +) be an integro-differential ring. Then the following +properties are equivalent. +1. E is multiplicative, i.e. for all f, g ∈ R we have +Efg = (Ef)Eg. +(5) +2. +� +satisfies the Rota-Baxter identity, i.e. for all f, g ∈ R we have +(� f)� g = � (� f)g + � f� g. +(6) +3. The hybrid Rota-Baxter identity holds, i.e. for all f, g ∈ R we have +( +� +∂f) +� +∂g = ( +� +∂f)g + f +� +∂g − +� +∂fg. +(7) +Proof. Since (R, ∂) is a differential Z-algebra of weight 0 and +� +is Z-linear, this +immediately follows from items (b), (g), and (a) of Theorem 2.5 in [12]. +8 + +Remark 2.12. In the literature, integro-differential K-algebras (of weight 0) +over a commutative ring K with unit element are defined as differential K- +algebras where the additional map +� +is only required to be K-linear, but has +to satisfy the hybrid Rota-Baxter axiom (7) in addition to (2), see [12]. Analo- +gously, the more general notion of differential Rota-Baxter K-algebras (of weight +0) imposes the Rota-Baxter identity (6) instead of (7) in addition to (2). On a +differential Rota-Baxter K-algebra with constants C, a K-linear map E is defined +by (3) as well and, by Theorem 2.5 in [12], properties (5), (7), and C-linearity +of +� +are equivalent, see also Proposition 10 in [31]. +By the previous theorem, any (generalized) integro-differential ring with +constants C is an integro-differential K-algebra for K = Z and for K = C ∩Z(R) +(i.e. K = C, if R is commutative) if any of the equivalent conditions holds. +Conversely, any differential Rota-Baxter K-algebra (of weight 0) is an integro- +differential ring if and only if +� +is linear over the constants C. In particular, +this is automatically the case for integro-differential K-algebras (of weight 0) by +Proposition 10 in [31]. For concrete differential Rota-Baxter algebras (of weight +0) where +� +is not C-linear, see Example 3 in [30] and the algebraic analog of +piecewise functions constructed in [32]. +As a basic example for integro-differential rings with non-multiplicative eval- +uation, we extend the polynomial ring C[x] over a commutative ring C with +Q ⊆ C by adjoining the multiplicative inverse x−1. In order to have a surjective +derivation ∂ = +d +dx, we also need to adjoin the logarithm ln(x) as in the following +example. +Example 2.13. On C[x, x−1, ln(x)], with Q ⊆ C and ∂ = +d +dx, we can define the +C-linear integration recursively as follows. +� xk ln(x)n := + + + + + + + +xk+1 +k+1 +k ̸= −1 ∧ n = 0 +xk+1 +k+1 ln(x)n − +n +k+1 +� +xk ln(x)n−1 +k ̸= −1 ∧ n > 0 +ln(x)n+1 +n+1 +k = −1 +The same recursive definition also works on the larger ring C((x))[ln(x)] of formal +Laurent series with logarithms, where every element can be written in the form +�∞ +k=−m +�m +n=0 ck,nxk ln(x)n for some m ∈ N and ck,n ∈ C. In both cases, the +induced evaluation acts by +E +∞ +� +k=−m +m +� +n=0 +ck,nxk ln(x)n = c0,0 +and is not multiplicative as expected by Remark 2.10. Moreover, for the integro- +differential subrings of polynomials or formal power series, this evaluation cor- +responds to the usual multiplicative evaluation at 0. +Example 2.14. Rational functions together with nested integrals of rational +functions also form an integro-differential ring with non-multiplicative evalua- +tion. Algebraically, if C is a field of characteristic zero, this can be understood +9 + +as an integro-differential subring of C((x))[ln(x)] with integration +� +as in the +previous example. In fact, this ring is the smallest integro-differential ring con- +taining C(x) and is generated as a C(x)-vector space by 1 and all nested inte- +grals +� +f1 +� +f2 +� +. . . +� +fn of arbitrary depth n ≥ 1, where fi ∈ C(x) are proper +and have irreducible denominators. In particular, if C = C, the integrands can +be chosen as fi = +1 +x−ai with ai ∈ C. These kind of nested integrals are called +hyperlogarithms [21] and have been investigated already in [20]. In [12], the +free integro-differential algebra (having multiplicative evaluation) generated by +C(x) has been constructed at the somewhat unnatural expense that +� +1 ̸∈ C(x) +and the constants of the resulting differential ring contain much more than just +C. +Example 2.15. Another example of an integro-differential ring that contains +the rational functions are the D-finite functions [35]. They are characterized +as solutions of linear differential equations with rational function coefficients +and indeed form a differential ring with surjective derivation +d +dx. +Since the +constants of this differential ring are given by C, there exists an integration by +Corollary 2.5. +Example 2.16. All the examples considered above are just rings, not fields. +In contrast, transseries R[[[x]]] are an explicit construction of a differential +field (with field of constants R) that is closed under taking antiderivatives, +see [36, 8, 1] and references therein. +Thus, R[[[x]]] can be turned into an +integro-differential field by Corollary 2.5 whose evaluation necessarily is non- +multiplicative by Remark 2.10. +As shown by Corollary 2.5, in general, there are many different choices for +an integration +� +in order to turn a differential ring with ∂R = R into an +integro-differential ring. On the same differential ring, for some integrations +the induced evaluation is multiplicative and for others it is not. It may even +be the case that a canonical choice of +� +yields a non-multiplicative evaluation +while there are other choices that would give a multiplicative evaluation. In +particular, this is the case for exponential polynomials, for example. They were +mentioned above with a multiplicative evaluation, while the following canonical +definition of +� +gives rise to a non-multiplicative one. +Example 2.17. The ring of exponential polynomials C[x, eCx] over a field C of +characteristic zero is C-linearly generated by terms of the form xkecx with k ∈ N +and c ∈ C. Apart from the evaluation-based integration on C[x, eCx] mentioned +above, it is quite natural to define a C-linear integration +� +recursively as follows. +� +xkecx := + + + + + + + +xk+1 +k+1 +c = 0 +1 +cecx +k = 0 ∧ c ̸= 0 +1 +cxkecx − k +c +� +xk−1ecx +k > 0 ∧ c ̸= 0 +In terms of the Pochhammer symbol (a)k := a·(a + 1)· . . . ·(a + k − 1), +� +can be +10 + +given explicitly as +� +xkecx = +k +� +i=0 +(−k)k−ici−k−1xiecx. +Then, the induced evaluation Ef := f − +� +∂f acts by +Exkecx = +� +1 +k = c = 0 +0 +otherwise +and is not multiplicative since we have Eecxe−cx = E1 = 1 but Ee±cx = 0 for any +c ̸= 0, for example. On the other hand, C[x, ex] is an integro-differential subring +with multiplicative evaluation, for example. With this integration, for instance, +the subset C[x, ex]ex is closed under addition, multiplication, derivation, and +integration and, hence, could be viewed as an integro-differential subring with- +out unit element and having multiplicative evaluation and the zero ring as its +constants. +All the examples with explicit integration discussed so far contain an integro- +differential subring on which the induced evaluation is multiplicative. In general, +however, this need not be the case as the following example shows. +Example 2.18. On C[x] with the usual derivation and Q ⊆ C, for example, +we can define a C-linear integration by +� +xn = xn+1 +n+1 + c for all n ∈ N for any +fixed c ∈ Z(C). Such an integration induces the evaluation Ef = f(0) − cf ′(1) +on C[x], which is not multiplicative if c ̸= 0 (e.g. f = x and g = x2 − 2x yield +Eg = 0 and Efg = c). +3 +Products of nested integrals +In integro-differential rings with multiplicative evaluation the standard Rota- +Baxter identity (6) allows to write the product of integrals as a sum of two +nested integrals. For nested integrals, this leads to shuffle identities [27] where +a product of two nested integrals is expressed as a sum of nested integrals. +More generally, for Rota-Baxter operators with weight and corresponding shuffle +products involving additional terms, see [10] and references therein. In general +integro-differential rings, i.e. if E is not multiplicative, additional terms involving +the evaluation arise in the identities (6) and (7) and also in the shuffle identi- +ties. Note that all evaluation terms are evaluations of products of integrals. +Therefore, they vanish if E is multiplicative, since E� f = 0 for all f ∈ R. +Theorem 3.1. Let (R, ∂, +� +) be an integro-differential ring. Then the Rota- +Baxter identity with evaluation +( +� +f) +� +g = +� +f +� +g + +� +( +� +f)g + E( +� +f) +� +g +(8) +holds for all f, g ∈ R as well as +( +� +∂f) +� +∂g = ( +� +∂f)g + f +� +∂g − +� +∂fg − E( +� +∂f) +� +∂g. +(9) +11 + +Proof. Using (3), we can effect the decomposition of R shown in Lemma 2.3. +For ( +� +f) +� +g, we thereby obtain the decomposition +� +∂( +� +f) +� +g + E( +� +f) +� +g, which +implies (8) by the Leibniz rule for the derivation ∂. By +� +∂f = f − Ef, +� +∂g = +g − Eg, and +� +∂fg = fg − Efg, one can write (9) in a form that can be easily +verified using the fact that E is an evaluation. +As a first application, we show that in every integro-differential ring the re- +peated integrals of 1 give rise to an integro-differential subring. It is the smallest +integro-differential ring with the same constants. In characteristic zero, this ring +consists of the univariate polynomials with coefficients in the constants and, for +nonzero characteristic, it consists of a finite version of Hurwitz series [17]. +Theorem 3.2. Let (R, ∂, +� +) be an integro-differential ring with constants C. +For all n ≥ 1, let xn := +� n1 ∈ R and let x0 := 1. Then, 1, x1, x2, . . . commute +with all elements of C and are C-linearly independent. The C-module +P := spanC{1, x1, x2, . . .} +is an integro-differential subring of R. If Q ⊆ R, then P = C[x1]. +Moreover, E is multiplicative on P if and only if Exmxn = 0 for m, n ≥ 1. +Assuming E is multiplicative on P, then we have xmxn = +�m+n +m +� +xm+n and, if +in addition Q ⊆ R, xn = 1 +n!xn +1 for m, n ∈ N. +Proof. Since +� +is C-linear, every element of C commutes with xi for every i ∈ N, +even if R or C is noncommutative. +So, every element of P is of the form +�n +i=0 cixi, for some ci ∈ C. To show C-linear independence of x0, x1, . . . , let n ∈ +N be minimal such that there are c0, . . . , cn ∈ C with cn ̸= 0 and �n +i=0 cixi = 0. +Then, �n−1 +i=0 ci+1xi = ∂ �n +i=0 cixi = 0 would imply n = 0 by minimality of +n. Because this would yield c0 = 0, we conclude that x0, x1, . . . are C-linearly +independent. +Obviously, P is closed under ∂ and +� +since both operations are C-linear with +∂xn ∈ P and +� +xn = xn+1 for all n ∈ N. For showing that P is closed under +multiplication, it suffices to show that xmxn ∈ P for all m, n ≥ 1. We proceed +by induction on the sum n + m. For m = n = 1 we have x2 +1 = 2x2 + Ex2 +1 by (8). +For m + n > 2 we have +xmxn = +� +xm−1xn + +� +xmxn−1 + Exmxn +by (8). By the induction hypothesis, xm−1xn and xmxn−1 are in P. Hence, the +same is also true after applying +� +, which completes the induction. Altogether, +P is an integro-differential subring of R. +For showing P = C[x1], it is sufficient to prove that every xn is contained +in C[x1]. By (8), we obtain xn+1 = x1xn − +� +xn−1x1 − Ex1xn for all n ≥ 1. +Therefore, xn ∈ C[x1] follows by induction, if C[x1] is closed under +� +. Assuming +Q ⊆ R, we verify that +� +xn +1 − +1 +n+1xn+1 +1 +∈ C for all n ≥ 1 by applying ∂ to it, +which shows +� +xn +1 ∈ C[x1] for all n ≥ 1. +Moreover, any xn with n ≥ 1 satisfies Exn = 0. So, if E is multiplicative on +P, then trivially Exmxn = (Exm)Exn = 0 for m, n ≥ 1. Conversely, since P +12 + +is generated by 1, x1, x2, . . . as a C-module, we know that +� +P is generated by +x1, x2, . . . as a C-module. Hence, applying E to the product of two elements of +� +P gives 0, if Exmxn = 0 for all m, n ≥ 1. Altogether, using the decomposition +P = C ⊕ +� +P given by Lemma 2.3, we conclude that E is multiplicative on P, if +Exmxn = 0 for all m, n ≥ 1. +Now, we assume E is multiplicative on P and let m, n ∈ N. If m + n ≤ 1, +then xmxn = +�m+n +m +� +xm+n and xn = +1 +n!xn +1 hold trivially. For m + n ≥ 2, it fol- +lows inductively by (8) that xmxn = � �m+n−1 +m−1 +� +xm+n−1 + � �m+n−1 +m +� +xm+n−1 = +�m+n +m +� +xm+n. In particular, for n ≥ 2, x1xn−1 = nxn implies xn = +1 +n!xn +1 induc- +tively, if Q ⊆ R. +Even if E is not multiplicative on P, we can analyze some properties of the +sequence of constants cm,n := Exmxn with n, m ≥ 1. By C-linearity of � and +E, it trivially follows that all cm,n are in Z(C). It can be shown that all xn +commute with each other w.r.t. multiplication if and only if the sequence cm,n +is symmetric. +If Q ⊆ R, it can be shown by lengthy computation that the +constants cm,n are determined by all c1,n via the recursion +cm,n = 1 +m +��m+n−1 +m−1 +� +c1,m+n−1 + +m−2 +� +j=0 +n−1 +� +k=1 +�j+k +j +� +c1,j+kcm−j−1,n−k +� +. +To express xn in terms of powers of x1 in general, for Q ⊆ R, we obtain the +recursion xn = 1 +n!xn +1 − �n +i=2 +1 +i!xn−iExi +1 from Theorem 6.2.2 in [23]. +3.1 +Generalized shuffle relations +In this section, we let (R, ∂, +� +) be a commutative integro-differential ring. Iter- +ating the standard Rota-Baxter identity (6) leads to shuffle relations for nested +integrals expressing a product of two nested integrals of depth m and n as a +sum of nested integrals of depth exactly m + n. Also by recursively applying +the Rota-Baxter identity with evaluation (8), products of nested integrals can +be rewritten in R as sums of nested integrals where also terms of lower depth +may occur. For convenient notation of the formulae involved, it is standard to +work in tensor products of R and to use the shuffle product, which we recall in +the following (see [10] for example). +We consider the C-module C⟨R⟩ := �∞ +n=0 R⊗n, where the tensor prod- +uct is taken over C and the empty tensor is denoted by ε. Let pure tensors +a1⊗ . . . ⊗an ∈ C⟨R⟩ represent nested integrals +� +a1 +� +a2 . . . +� +an ∈ R. More for- +mally, by C-linearity of +� +, we consider the unique C-module homomorphism +ϕ : C⟨R⟩ → R such that +ϕ(a1⊗ . . . ⊗an) = +� +a1 +� +a2 . . . +� +an ∈ R +and ϕ(ε) = 1 ∈ R. For pure tensors a ∈ C⟨R⟩, we denote shortened versions +of them by aj +i := ai⊗ai+1⊗ . . . ⊗aj, where aj +i := ε ∈ R⊗0 if i = j + 1. The +13 + +shuffle product on C⟨R⟩ can be recursively defined as follows. For pure tensors +a, b ∈ C⟨R⟩ of length m and n, respectively, we set +a +� b := +� +a ⊗ b +if m = 0 ∨ n = 0 +a1 ⊗ (am +2 +� b) + b1 ⊗ (a +� bn +2) +otherwise +in R⊗(m+n). Extending this definition to C⟨R⟩ by C-linearity, the shuffle product +turns C⟨R⟩ into a commutative C-algebra. +Using the shuffle product for pure tensors, the product of nested integrals in +R can now be represented as sum of nested integrals as follows. The constant +coefficients of nested integrals of lower depth are evaluations of products of +integrals. Consequently, if E is multiplicative, then we recover the standard +shuffle relations [27] with all these constant coefficients equal zero. +Theorem 3.3. Let (R, ∂, +� +) be a commutative integro-differential ring with +constants C. Let f, g ∈ C⟨R⟩ be pure tensors of length m and n, respectively. +Then, the product of the nested integrals ϕ(f) = +� +f1 +� +f2 . . . +� +fm and ϕ(g) = +� +g1 +� +g2 . . . +� +gn is given by +ϕ(f)ϕ(g) = ϕ(f +� g) + +m−1 +� +i=0 +n−1 +� +j=0 +e(f m +i+1, gn +j+1)ϕ(f i +1 +� gj +1) ∈ R +(10) +with constants e(f m +i+1, gn +j+1) := Eϕ(f m +i+1)ϕ(gn +j+1) ∈ C. +Proof. Without loss of generality, assume m ≤ n. We proceed by induction +on m. If m = 0, then f = cε for some c ∈ C and the equation (10) reads +cϕ(g) = ϕ(cε ⊗ g), which is trivially true since cε ⊗ g = cg and ϕ is C-linear. +For m ≥ 1, we proceed by induction on n. By virtue of (8), for n ≥ m, we have +ϕ(f)ϕ(g) = � f1ϕ(f m +2 )ϕ(g) + � ϕ(f)g1ϕ(gn +2 ) + e(f, g). The product ϕ(f m +2 )ϕ(g) +is covered by the induction hypothesis on m so that we obtain +� +f1ϕ(f m +2 )ϕ(g) = +� +f1ϕ(f m +2 +� g) + +m−1 +� +i=1 +n−1 +� +j=0 +e(f m +i+1, gn +j+1) +� +f1ϕ(f i +2 +� gj +1) +by (10). The product ϕ(f)ϕ(gn +2 ) is covered by the induction hypothesis on n +(or on m, if n = m) so that (10) yields +� ϕ(f)g1ϕ(gn +2 ) = � g1ϕ(f +� gn +2 ) + +m−1 +� +i=0 +n−1 +� +j=1 +e(f m +i+1, gn +j+1)� g1ϕ(f i +1 +� gj +2). +By definition of ϕ and +�, we have +� +f1ϕ(f m +2 +� g) + +� +g1ϕ(f +� gn +2 ) = ϕ(f +� g) +and similarly +� +f1ϕ(f i +2 +� gj +1) + +� +g1ϕ(f i +1 +� gj +2) = ϕ(f i +1 +� gj +1) for i, j ≥ 1 as well +as +� +f1ϕ(f i +2 +� g0 +1) = ϕ(f m +1 +� g0 +1) and +� +g1ϕ(f 0 +1 +� gj +2) = ϕ(f 0 +1 +� gj +1). Altogether, +14 + +this yields +ϕ(f)ϕ(g) = ϕ(f +� g) + +m−1 +� +i=1 +n−1 +� +j=1 +e(f m +i+1, gn +j+1)ϕ(f i +1 +� gj +1) ++ +m−1 +� +i=1 +e(f m +i+1, gn +1 )ϕ(f m +1 +� g0 +1) + +n−1 +� +j=1 +e(f m +i+1, gn +j+1)ϕ(f 0 +1 +� gj +1) + e(f, g), +which proves (10). +4 +Integro-differential operators +In the following, starting from a given integro-differential ring (R, ∂, +� +), we +define the corresponding ring of operators by generators ∂, +� +, E and relations. +As additive maps on R, any f ∈ R acts as multiplication operator g �→ fg and +satisfies certain identities together with the maps ∂, +� +, E. Those identities of +additive maps that correspond to the defining properties of the operations on +R will be used as defining relations for the abstract ring of operators below. +In particular, the Leibniz rule ∂fg = f∂g + (∂f)g of the derivation ∂ on R +implies the identity ∂ ◦ f = f ◦ ∂ + ∂f of additive maps for every multiplication +operator f ∈ R. This motivates the identity (11) in the definition below. Sim- +ilarly, the identities (2) and (3) in R give rise to the identities (12) and (13). +Moreover, from C-linearity of the operations ∂, +� +, E we obtain +� +cg = c +� +g for all +c ∈ C and g ∈ R, for example. In addition, we also obtain +� +fEg = ( +� +f)Eg for +all f, g ∈ R, since Eg ∈ C. Hence, we also impose commutativity of ∂, +� +, E with +elements of C and the identities (14)–(16) in the following definition. +Definition 4.1. Let (R, ∂, +� +) be an integro-differential ring and let C be its ring +of constants. We let +R⟨∂, +� +, E⟩ +be the (noncommutative unital) ring extension of R generated by indeterminates +∂, +� +, E, where ∂, +� +, E commute with all elements of C and the following identities +hold for all f ∈ R. +∂ · f = f · ∂ + ∂f +(11) +∂ · +� += 1 +(12) +� +· ∂ = 1 − E +(13) +∂ · f · E = ∂f · E +(14) +� +· f · E = +� +f · E +(15) +E · f · E = Ef · E +(16) +We call R⟨∂, +� +, E⟩ the ring of (generalized) integro-differential operators (IDO). +Note that, for multiplication in R⟨∂, +� +, E⟩, we always explicitly write · when +one of ∂, +� +, E is involved. This is necessary in order to distinguish the product +15 + +∂ · f of operators from the multiplication operator ∂f, for example. By con- +struction, the ring R⟨∂, +� +, E⟩ has a natural action on R, where the elements of +R act as multiplication operators and ∂, +� +, E act as the corresponding opera- +tions. With this action, R becomes a left R⟨∂, +� +, E⟩-module and multiplication +in R⟨∂, +� +, E⟩ corresponds to composition of additive maps on R. +Since elements of C always commute with ∂, +� +, E in R⟨∂, +� +, E⟩, it follows +that R⟨∂, +� +, E⟩ is a C-algebra whenever R is commutative. For computing in +the ring R⟨∂, � , E⟩ of IDO, we use the identities (11)–(16) as rewrite rules in +the following way. If the left hand side of one of these identities appears in an +expression of an operator, we replace it by the right hand side to obtain a new +expression for the same operator. +If rewrite rules can be applied to a given expression in different ways, then +it may happen that useful consequences of the defining relations (11)–(16) are +discovered. A simple instance starts with the expression +� +· ∂ · +� +, to which we +can apply either (12) or (13) to obtain the expressions +� +and +� +− E · +� +for the +same operator. Hence, by taking their difference, we see that the identity +E · +� += 0 +(17) +holds in R⟨∂, +� +, E⟩. Moreover, for every f ∈ R, the expression +� +· ∂ · f can be +rewritten by (11) and by (13). Thereby we obtain the expressions +� +·f ·∂+ +� +·∂f +and f − E · f for the same operator, which implies the identity +� +· f · ∂ = f − E · f − +� +· ∂f. +(18) +By letting both sides of this identity in R⟨∂, +� +, E⟩ act on any g ∈ R, we show +that integration by parts +� +f∂g = fg − Efg − +� +(∂f)g +holds in R. Furthermore, by considering also the newly obtained identity (18) +as rewrite rule, for every f ∈ R, we can rewrite the expression +� +·f ·∂ · +� +by (12) +and by (18). Substituting f by � f in the difference f ·� −E·f ·� −� ·∂f ·� −� ·f +of the results, we obtain the identity +� +· f · +� += +� +f · +� +− +� +· +� +f − E · +� +f · +� +. +(19) +By acting with both sides of this identity on any g ∈ R, we obtain an alternative +proof for the Rota-Baxter identity with evaluation (8). Note that, for f = 1, we +also obtain the following identities from (14)–(16) and (19). +∂ · E = 0, +� +· E = +� +1 · E, +E · E = E, +(20) +� +· +� += +� +1 · +� +− +� +· +� +1 − E · +� +1 · +� +(21) +In Table 1, we collect the identities (11)–(21) as a rewrite system for expres- +sions of operators in the ring of IDO. In fact, we drop (14) since it is redundant +in the presence of (11) and (20). +16 + +Theorem 4.2. Let (R, ∂, +� +) be an integro-differential ring. Then, by repeatedly +applying the rewrite rules of Table 1 in any order, every element of the ring +R⟨∂, +� +, E⟩ can be written as a sum of expressions of the form +f · ∂j, +f · +� +· g, +f · E · g · ∂j, +or +f · E · h · +� +· g +where j ∈ N0, f, g ∈ R, and h ∈ +� +R. +Note that the expressions specified in the above theorem are irreducible in +the sense that they cannot be rewritten any further by any rewrite rules from +Table 1. The above derivation of identities (17)–(21) is similar to Knuth-Bendix +completion [19] and Buchberger’s algorithm for computing Gröbner bases [4, 22]. +So, one can show that Table 1 represents all consequences of Definition 4.1 +in the sense that every identity in R⟨∂, +� +, E⟩ can be proven by applying the +rewrite rules in the table and by exploiting identities in R. +Moreover, the +irreducible forms of operators specified in the above theorem are unique up to +multiadditivity and commutativity. +In the appendix, we will give a precise statement (Theorem A.3) of this +by giving an explicit construction of the ring R⟨∂, +� +, E⟩ as a quotient of an +appropriate tensor ring. Then, the translation of Table 1 into a tensor reduction +system facilitates the proof. In fact, this proof is carried out in Theorem A.5 for +a more general class of operators including linear functionals, which are useful +for dealing with boundary problems, for instance. +Remark 4.3. In the literature, integro-differential operators were considered +only with multiplicative evaluation so far. Integro-differential operators were +first introduced in [29, 30] over a field of constants using a parametrized Gröb- +ner basis in infinitely many variables and a basis of the commutative coefficient +algebra. Integro-differential operators with polynomial coefficients over a field +of characteristic zero were also studied using generalized Weyl algebras [2], skew +polynomials [28], and noncommutative Gröbner bases [26]. A general construc- +tion of rings of linear operators over commutative operated algebras is presented +in [9]. In particular, integro-differential operators are discussed in that setting +and also differential Rota-Baxter operators are investigated. Tensor reduction +systems have already been used in [14, 13] for the construction of IDO includ- +ing functionals in the special case that the evaluation and all functionals are +multiplicative. +There, also additional operators arising from linear substitu- +tions were included. +In particular, these cover integro-differential-time-delay +operators, which were already constructed algebraically in [25], see also [5]. +∂ · f = f · ∂ + ∂f +� +· f · ∂ = f − E · f − +� +· ∂f +∂ · E = 0 +� · f · E = � f · E +∂ · +� += 1 +� +· f · +� += +� +f · +� +− +� +· +� +f − E · +� +f · +� +E · f · E = Ef · E +� +· ∂ = 1 − E +E · E = E +� +· E = +� +1 · E +E · +� += 0 +� +· +� += +� +1 · +� +− +� +· +� +1 − E · +� +1 · +� +Table 1: Rewrite rules for operator expressions +17 + +To refer to integro-differential operators of special form, we use the following +notions. +Definition 4.4. Let L ∈ R⟨∂, +� +, E⟩, then we call L +1. a differential operator, if there are f0, . . . , fn ∈ R such that +L = +n +� +i=0 +fi · ∂i, +where we call L monic, if fn = 1, +2. an integral operator, if there are f1, . . . , fn, g1, . . . , gn ∈ R such that +L = +n +� +i=1 +fi · +� +· gi, +3. an initial operator, if there are f1, . . . , fn ∈ R and differential and integral +operators L1, . . . , Ln such that +L = +n +� +i=1 +fi · E · Li. +In particular, we call an initial operator L monic, if there is a differential +operator L1 and an integral operator L2 such that +L = E · (L1 + L2). +In R⟨∂, � , E⟩, using Table 1, one can check that the differential operators +are the elements of the subring generated by R and ∂, the integral operators +are the elements of the R-bimodule generated by +� +, the initial operators are the +elements of the two-sided ideal generated by E, and the monic initial operators +are the elements of the right ideal generated by E. Theorem 4.2 says that every +integro-differential operator can be written as the sum of a differential operator, +an integral operator, and an initial operator. In fact, by the stronger results in +the appendix, this decomposition of integro-differential operators even is unique. +Remark 4.5. We outline how the construction of integro-differential opera- +tors changes when the evaluation is multiplicative, see also [31, 14, 13]. For +multiplicative evaluation, we have Efg = (Ef)Eg for all f, g ∈ R. So, for the +algebraic construction of corresponding operators as in Definition 4.1, we need +to impose in addition that +E · f = Ef · E +(22) +for all f ∈ R. This does not give rise to new consequences other than (17)–(21), +but together with (20) it makes (16) redundant. Hence, in Table 1, we can +replace (16) by (22). Moreover, (22) allows to reduce the evaluation term in +(18) and, since E +� +f = 0 for all f ∈ R, to omit the evaluation terms in (19) and +18 + +(21). Consequently, the irreducible forms of operators given in Theorem 4.2 can +be simplified to +f · ∂j, +f · +� +· g, +f · E · ∂j, +where j ∈ N0 and f, g ∈ R. Evidently, this ring of operators is isomorphic to +R⟨∂, +� +, E⟩ factored by the two-sided ideal (E · f − Ef · E | f ∈ R). +4.1 +IDO over integral domains +In many concrete situations, when computing with differential operators or dif- +ferential equations with scalar coefficients, the order of a product of differential +operators is the sum of the orders of the factors. +This is equivalent to the +ring R of coefficients being an integral domain, i.e. a commutative ring without +nontrivial zero divisors. For the rest of this section, we only consider integro- +differential rings that are integral domains. Under this assumption, we can in- +vestigate further properties of computations in the ring of IDO. For instance, an +integro-differential equation can be reduced to a differential equation by differ- +entiation, see Lemma 4.8 below. Additionally, investigating the action of IDOs +on integro-differential rings algebraically leads to analyzing two-sided ideals. +As explained earlier, elements of R⟨∂, +� +, E⟩ naturally act as additive maps +on R. Likewise, they act naturally on any integro-differential ring extension of +R. In Theorem 4.11, we also provide conditions when this action is faithful, i.e. +0 ∈ R⟨∂, +� +, E⟩ is the only element that induces the zero map. +Let (S, +� +, ∂) be the integro-differential ring defined in Example 2.13 and as- +sume C is an integral domain. Then, S⟨∂, � , E⟩ does not act faithfully on S, since +E · ln(x) acts like zero. However, with the integro-differential subring R := C[x] +of S, R⟨∂, +� +, E⟩ acts faithfully on S by Theorem 4.11 below. To see this, let +L := �n +i=0 fi ·∂i ∈ R⟨∂, +� +, E⟩ and let k ∈ N such that coeff(fn, xk) ̸= 0. Apply- +ing E·L to xn−k ln(x)n ∈ S, we obtain (E·L)xn−k ln(x)n = n! coeff(fn, xk) ̸= 0. +As a preparatory step, we need some basic statements involving multiplica- +tion with constants that are valid for integro-differential rings that are integral +domains. Linear independence over constants is tied to the Wronskian. Follow- +ing the analytic definition, the Wronskian of elements f1, . . . , fn of a commuta- +tive differential ring is defined by +W(f1, . . . , fn) := det +�� +∂i−1fj +� +i,j=1,...,n +� +. +Lemma 4.6. Let (R, ∂) be a differential ring that is an integral domain with +ring of constants C and let f1, . . . , fn ∈ R, n ≥ 1. +1. f1, . . . , fn are linearly independent over C if and only if their Wronskian +W(f1, . . . , fn) is zero. +2. If f1, . . . , fn are linearly independent over C, then g1, . . . , gn−1 are linearly +independent over C, where gi := W(fi, fn). +Proof. For showing the first statement, we note that neither linear independence +nor zeroness of the Wronskian changes, if we replace R and hence C by their +19 + +quotient fields. For differential fields, a proof can be found in [15], which implies +the statement given here. +For showing the second statement, we assume that f1, . . . , fn are linearly +independent over C and we let c1, . . . , cn−1 ∈ C such that �n−1 +i=1 cigi = 0. +By definition of gi and multilinearity of the Wronskian over C, we conclude +W(�n−1 +i=1 cifi, fn) = 0. By assumption on f1, . . . , fn, this implies �n−1 +i=1 cifi = 0 +and hence c1 = . . . = cn−1 = 0. +Lemma 4.7. Let (R, ∂, +� +) be an integro-differential ring that is an integral +domain and let C be its ring of constants. Then, elements of C commute with +all elements of R⟨∂, +� +, E⟩. Moreover, for any L ∈ R⟨∂, +� +, E⟩ and any nonzero +c ∈ C, we have that L = 0 if and only if c · L = 0. +Proof. By construction, constants commute with ∂, +� +, E ∈ R⟨∂, +� +, E⟩. Since +R is commutative, it follows that elements of C commute with all elements +of R⟨∂, +� +, E⟩. Therefore, R⟨∂, +� +, E⟩ is a unital C-algebra and hence Q(C) ⊗C +R⟨∂, +� +, E⟩ is a unital C-algebra as well, with multiplication (c1⊗L1)·(c2⊗L2) = +(c1c2) ⊗ (L1 · L2). Now, 1 ⊗ L = c−1 ⊗ (c · L) implies L = 0 if c · L = 0. +Now, we are ready to have a closer look at certain computations with IDO. +The following two lemmas construct left or right multiples of IDO by differential +operators such that the product does not involve the integration operator any- +more. The tricky part will be to ensure that the product is a nonzero operator +again. +Lemma 4.8. Let (R, ∂, +� +) be an integro-differential ring that is an integral +domain. +Let C be the ring of constants of R and let L ∈ R⟨∂, � , E⟩ be not +an initial operator. +Then, there exist nonzero h1, . . . , hn ∈ R such that the +following product is a nonzero differential operator. +(h1 · ∂ − ∂h1) · . . . · (hn · ∂ − ∂hn) · L +Proof. There are n ∈ N, a nonzero c ∈ C, differential operators L0, . . . , Ln ∈ +R⟨∂, +� +, E⟩, and f1, . . . , fn, g1, . . . , gn ∈ R such that f1, . . . , fn are linearly inde- +pendent over C and c · L = L0 + �n +i=1 fi · +�� +· gi + E · Li +� +. Since L is not an +initial operator, L0 and g1, . . . , gn are not all zero by Lemma 4.7. If L0 = 0, +then we assume without loss of generality that g1 ̸= 0. +To remove the sum �n +i=1 fi· +�� +· gi + E · Li +� +, we will multiply c·L iteratively +by n first-order differential operators from the left as follows. If n > 0, then by +(11) and (12) we have (fn ·∂ − ∂fn)·fi · +� +·gi = fnfigi + (fn∂fi − (∂fn)fi)· +� +·gi +for all i. Therefore, using (14), we obtain +(fn · ∂ − ∂fn) · c · L = (fn · ∂ − ∂fn) · L0 + +n +� +i=1 +fnfigi ++ +n−1 +� +i=1 +(fn∂fi − (∂fn)fi) · +�� +· gi + E · Li +� +, +20 + +which has the form ˜L0+�n−1 +i=1 ˜fi · +�� +· gi + E · Li +� +similar to c·L. Note that also +the following two properties of the above representation of c · L are preserved. +First, if L0 is nonzero, the differential operator ˜L0 := (fn · ∂ − ∂fn) · L0 + +�n +i=1 fnfigi is nonzero too, since fn ̸= 0. Second, ˜fi := fn∂fi − (∂fn)fi, for +i ∈ {1, . . . , n − 1}, are again linearly independent over C by Lemma 4.6. Now, +we let hn := fnc such that (hn · ∂ − ∂hn) · L = (fn · ∂ − ∂fn) · c · L. +If n = 1, we only need to show that (hn · ∂ − ∂hn) · L = ˜L0 is nonzero. As +remarked above, if L0 ̸= 0 then ˜L0 ̸= 0. On the other hand, if L0 = 0, then +˜L0 = f 2 +1 g1, which is nonzero as well due to the assumptions. +If n > 1, we continue by repeating what we did with c · L above. That is, +noting ˜f1, . . . , ˜fn−1 are linearly independent over C, we multiply (hn · ∂ − ∂hn) · +L = ˜L0 + �n−1 +i=1 ˜fi · +�� +· gi + E · Li +� +from the left by hn−1 · ∂ − ∂hn−1, where +hn−1 := ˜fn−1. We iterate this a total of n − 1 times, the result is a differential +operator. To see that it is also nonzero, we focus on the last step, i.e. we refer +to the case n = 1 above. +An immediate consequence of the previous lemma is that a left ideal in +R⟨∂, +� +, E⟩ is nontrivial if and only if it contains a nonzero differential operator +or a nonzero initial operator. Left ideals in R⟨∂, +� +, E⟩ arise, for instance, as sets +of operators annihilating a given subset of a left R⟨∂, � , E⟩-module. As another +consequence, for two-sided ideals, we obtain Lemma 4.10 below. +Lemma 4.9. Let (R, ∂, +� +) be an integro-differential ring that is an integral +domain. Let C be the ring of constants of R and let L ∈ R⟨∂, +� +, E⟩ be a nonzero +monic initial operator. Then, there exist nonzero h1, . . . , hn ∈ R and a nonzero +differential operator ˜L ∈ R⟨∂, +� +, E⟩ such that +L · (hn · ∂ + 2∂hn) · . . . · (h1 · ∂ + 2∂h1) = E · ˜L. +Proof. There are n ∈ N, a nonzero c ∈ C, a differential operator L0 ∈ R⟨∂, +� +, E⟩, +nonzero f1, . . . , fn ∈ � R, and nonzero g1, . . . , gn ∈ R such that g1, . . . , gn are +linearly independent over C and L·c = E·L0+�n +i=1 E·fi· +� +·gi. By Lemma 4.7, +L · c = c · L is nonzero. +To remove the sum �n +i=1 E · fi · +� +· gi, we will multiply L · c iteratively by +n first-order differential operators from the right as follows. If n > 0, then we +have +E · fi · +� +· gign · ∂ = E · figign − Efi · E · gign − E · fi · +� +· ((∂gi)gn + gi∂gn) +for all i by (18) and by (16). Therefore, by Efi = 0, we obtain +L · c · (gn · ∂ + 2∂gn) = E · L0 · (gn · ∂ + 2∂gn) + +n +� +i=1 +E · fi · +� +· (gign · ∂ + 2gi∂gn) += E · L1 + +n−1 +� +i=1 +E · fi · +� +· (gi∂gn − (∂gi)gn), +21 + +with L1 := L0 · (gn · ∂ + 2∂gn) + �n +i=1 figign. +Note that gi∂gn − (∂gi)gn, +for i ∈ {1, . . . , n − 1}, are again linearly independent over C by Lemma 4.6. +Consequently, with hn := cgn being nonzero, the operator L · (hn · ∂ + 2∂hn) is +expressed like L · c above, just with L0 replaced by L1, with different gi, and +without the last summand. +By iterating this process of multiplying by a differential operator that is +chosen as above, we obtain a right multiple of L that is of the form E · Ln with +a differential operator Ln. It remains to show that Ln is nonzero. After the +last step, i.e. passing from E · Ln−1 + E · f1 · +� +· ˜g1, with differential operator +Ln−1 and nonzero ˜g1 ∈ R, to E · Ln, we have Ln = Ln−1 · (˜g1 · ∂ + 2∂˜g1) + +f1˜g2 +1. If the differential operator Ln−1 is nonzero, then also Ln is nonzero, since +˜g1 ̸= 0. Otherwise, we have Ln = f1˜g2 +1, which is nonzero as well due to the +assumptions. +Lemma 4.10. Let (R, ∂, +� +) be an integro-differential ring that is an integral +domain and let I ⊆ R⟨∂, +� +, E⟩ be a two-sided ideal. If I contains an operator +that is not an initial operator, then I contains an operator of the form f ·E with +nonzero f ∈ R. +Proof. By Lemma 4.8, I contains a nonzero differential operator L = �n +i=0 fi·∂i. +Let k ∈ {0, . . ., n} be minimal such that fk ̸= 0. Then, fk · E ∈ I since +L · +� k · E = +n +� +i=k +fi · ∂i · +� k · E = +n +� +i=k +fi · ∂i−k · E = fk · E. +Based on the above lemmas, we can find conditions when the action of +R⟨∂, +� +, E⟩ on an integro-differential ring is faithful. In this case, the annihilator +AnnR⟨∂,� +,E⟩(S) = {L ∈ R⟨∂, +� +, E⟩ | ∀f ∈ S : Lf = 0} +is a two-sided ideal in R⟨∂, +� +, E⟩. In particular, we show that the annihilator +only contains initial operators and, if C is a field, can be generated by monic +initial operators. +Theorem 4.11. Let (S, ∂, +� +) be an integro-differential ring with its ring of +constants C being an integral domain. Let R be an integro-differential subring of +S that is an integral domain and contains C. Then, R⟨∂, +� +, E⟩ acts faithfully on +S if and only if there is no nonzero differential operator L ∈ R⟨∂, +� +, E⟩ such that +E · L vanishes on all of S. In any case, the two-sided ideal I = AnnR⟨∂,� +,E⟩(S) +only contains initial operators. Moreover, if C is a field, I has a generating set +consisting only of monic initial operators. +Proof. Since operators of the form f · E, with nonzero f ∈ R, do not vanish on +1 ∈ S, the ideal I only contains initial operators by Lemma 4.10. If there is a +nonzero differential operator L ∈ R⟨∂, +� +, E⟩ such that E · L vanishes on all of +S, then R⟨∂, +� +, E⟩ obviously does not act faithfully on S, since E · L is nonzero +as well. +22 + +Now, we assume that there is no nonzero differential operator L such that +E · L ∈ I. +Let L ∈ I, then there are nonzero c ∈ C, f1, . . . , fn ∈ R, and +nonzero monic initial operators L1, . . . , Ln ∈ R⟨∂, +� +, E⟩ such that f1, . . . , fn are +C-linearly independent and c · L = �n +i=1 fi · Li. If we would have n ̸= 0, then +we would conclude L1, . . . , Ln ∈ I, since �n +i=1 fiLig = cLg = 0 and Lig ∈ C +for all g ∈ S. Therefore, by Lemma 4.9, there would be a nonzero differential +operator ˜L ∈ R⟨∂, +� +, E⟩ such that E · ˜L ∈ I in contradiction to the assumption. +Hence, n = 0, which implies c · L = 0. By Lemma 4.7, it follows that L = 0, +which shows that R⟨∂, +� +, E⟩ acts faithfully on S. +Finally, if C is a field, we show that I has a generating set consisting only +of monic initial operators. Let L ∈ I, then L is an initial operator. Now, there +are nonzero f1, . . . , fn ∈ R, and nonzero monic initial operators L1, . . . , Ln ∈ +R⟨∂, +� +, E⟩ such that f1, . . . , fn are C-linearly independent and L = �n +i=1 fi · Li. +For all g ∈ S, we have Lig ∈ C and �n +i=1 fiLig = Lg = 0, which implies Lig = 0 +for all i. Therefore, L1, . . . , Ln ∈ I, which shows that I is generated by nonzero +monic initial operators. +Assuming additional properties of R resp. of the action of R⟨∂, � , E⟩, gen- +erating sets of annihilators can be narrowed down even more. In particular, +the following two corollaries consider the situation when R is a field or E is +multiplicative. +Corollary 4.12. Let (S, ∂, � ) be an integro-differential ring with its ring of +constants C being a field. Let R be an integro-differential subring of S that is a +field and contains C. Then, the two-sided ideal AnnR⟨∂, +� +,E⟩(S) has a generating +set consisting only of operators of the form E · �n +i=0 fi · ∂i, with f0, . . . , fn ∈ R +where f0 ∈ +� +R is nonzero and fn = 1. +Proof. By Theorem 4.11, I := AnnR⟨∂, +� +,E⟩(S) has a generating set consisting +only of monic initial operators. Now, let L ∈ I be a monic initial operator and +let A be the set of all elements in I that have the form specified in the statement +of the corollary. By Lemma 4.9, we obtain nonzero h1, . . . , hm ∈ R such that +L · M = E · ˜L with M := (hm · ∂ + 2∂hm) · . . . · (h1 · ∂ + 2∂h1) ∈ R⟨∂, +� +, E⟩ +and some nonzero differential operator ˜L = �n +i=0 ˜fi · ∂i ∈ R⟨∂, +� +, E⟩ with +˜fn ̸= 0. Then, by repeated use of (11), there are f0, . . . , fn ∈ R with fn = 1 +such that ˜L · ˜f −1 +n += �n +i=0 fi · ∂i. Let k be minimal such that fk ̸= 0, then +˜L · ˜f −1 +n +· � k = �n−k +i=0 fi+k · ∂i. Since E · ˜L · ˜f −1 +n +· � k ∈ I vanishes on 1 ∈ S, +we conclude fk ∈ +� +R and hence E · �n−k +i=0 fi+k · ∂i ∈ A. Since R is a field, we +can verify by (11) and (12) that h−1 +i +· +� +· hi ∈ R⟨∂, +� +, E⟩ is a right inverse of +hi·∂+2∂hi for every i. Hence, there exists ˜ +M ∈ R⟨∂, +� +, E⟩ such that M · ˜ +M = 1. +Then, E · +��n−k +i=0 fi+k · ∂i� +· ∂k · ˜fn · ˜ +M = E · ˜L · ˜ +M = L · M · ˜ +M = L, i.e. L is in +the ideal generated by A. Altogether, this shows that I is generated by A. +Whenever E is multiplicative on R, the action of R⟨∂, +� +, E⟩ cannot be faithful +on R since the operator E · f acts as zero map for any f ∈ R with Ef = 0. +23 + +By Lemma 2.3, Ef = 0 is equivalent to f ∈ +� +R and one can always choose +f = +� +1, for example. In Remark 4.5, we already discussed factoring the ring of +operators by the relations (22) immediately arising from multiplicativity of E. +The following corollary shows that the resulting quotient always acts faithfully. +Corollary 4.13. Let (S, ∂, +� +) be an integro-differential ring with its ring of +constants C being an integral domain. Let R be an integro-differential subring +of S that is an integral domain and contains C. If Efg = (Ef)Eg for all f ∈ R +and g ∈ S, then the two-sided ideal AnnR⟨∂, +� +,E⟩(S) is generated by the set +{E · f − Ef · E | f ∈ R}. +Proof. Let I := AnnR⟨∂,� +,E⟩(S) and let J ⊆ R⟨∂, +� +, E⟩ be the two-sided ideal +generated by the set {E · f − Ef · E | f ∈ R}. By assumption on E, we have +that J ⊆ I, so it only remains to show I ⊆ J. +By Theorem 4.11, every L ∈ I is an initial operator. Following the form +of initial operators in Remark 4.5, there are f0, . . . , fn ∈ R such that L = +�n +i=0 fi ·E·∂i modulo J. By J ⊆ I, we have that �n +i=0 fi ·E·∂i ∈ I. Therefore, +�n +i=0 fi·E·∂i vanishes on +� k1 ∈ S for all k ∈ {0, . . . , n}. This implies inductively +that f0, . . . , fn are all zero. Consequently, we have L ∈ J. +5 +Equational prover in calculus +In this section, we illustrate how results from analysis can be proven via compu- +tations in the ring of integro-differential operators. The general approach con- +sists in formulating an analytic statement as an identity of integro-differential +operators and then prove this identity algebraically in R⟨∂, +� +, E⟩, with minimal +assumptions on the integro-differential ring (R, ∂, +� +) used in the coefficients. +Note that we prove results directly by a computation with integro-differential +operators, instead of doing the whole computation with elements of R or any +other left R⟨∂, +� +, E⟩-module. +An identity in R⟨∂, +� +, E⟩ can be proven by comparing irreducible forms +of the left hand side and right hand side. Recall that such irreducible forms +are given by Theorem 4.2 and can be computed systematically by the rewrite +rules in Table 1. In this sense, the rewrite rules provide an equational prover +for integro-differential operators provided one can decide equality of irreducible +forms in R⟨∂, +� +, E⟩, which includes deciding identities in R. In practice, this is +often possible for concrete irreducible forms. +Once an identity L1 = L2 is proven in R⟨∂, +� +, E⟩, we immediately infer the +corresponding identity in R, i.e. L1f = L2f for all f ∈ R, by the canonical +action of R⟨∂, +� +, E⟩ on R. Moreover, by acting on any other left R⟨∂, +� +, E⟩- +module, we obtain the analogous identity also in those modules. Furthermore, +any concrete computation with operators acting on functions uses only finitely +many derivatives. Consequently, by inspecting every step of the computation, +an identity proven for infinitely differentiable functions can also be proven for +functions that are only sufficiently often differentiable. +24 + +5.1 +Variation of constants for scalar equations +In this section, we deal with the method of variation of constants for comput- +ing solutions of inhomogeneous ODEs in terms of integro-differential operators. +First, we recall the analytic statement, see e.g. Theorem 6.4 in Chapter 3 of [6]. +Consider the inhomogeneous linear ODE +y(n)(x) + an−1(x)y(n−1)(x) + · · · + a0(x)y(x) = f(x). +Assume that z1(x), . . . , zn(x) is a fundamental system of the homogeneous equa- +tion, i.e. z(n) +i +(x) + an−1(x)z(n−1) +i +(x) + · · · + a0(x)zi(x) = 0 and the Wronskian +w(x) := W(z1(x), . . . , zn(x)) is nonzero. Then, +z∗(x) := +n +� +i=1 +(−1)n−izi(x) +� x +x0 +W(z1(t), . . . , zi−1(t), zi+1(t), . . . , zn(t)) +w(t) +f(t) dt +(23) +is a particular solution of the inhomogeneous equation above. +Algebraically, we model scalar functions by fixing a commutative integro- +differential ring (R, ∂, +� +) and, as indicated above, we model computations with +scalar equations by computations in the corresponding ring of integro-differential +operators R⟨∂, +� +, E⟩. From the operator viewpoint, mapping the inhomogeneous +part f to a solution of the equation Ly = f amounts to constructing a right +inverse of the differential operator L. +In general, for an operator L and a +right inverse H, a particular solution of the inhomogeneous equation is given by +z∗ = Hf, since +Lz∗ = L(Hf) = (L · H)f = 1f = f. +Recall that +� +is a right inverse of ∂ by definition. +Now, we consider an +arbitrary monic first-order differential operator +L = ∂ + a, +with a ∈ R, and assume that z ∈ R is a solution of Ly = 0, i.e. ∂z + az = 0. +Then, using (11), we compute +(∂ + a) · z = ∂ · z + a · z = z · ∂ + ∂z + az = z · ∂. +If, moreover, we assume that z has a multiplicative inverse z−1 ∈ R, we obtain +(∂ + a) · (z · +� +· z−1) = z · ∂ · +� +· z−1 = z · z−1 = 1. +Hence +H = z · +� +· z−1 +is a right inverse of L in R⟨∂, +� +, E⟩. +We also outline the computation for a second order differential operator +L = ∂2 + a1 · ∂ + a0, +25 + +with a1, a0 ∈ R. If z ∈ R is a solution of Ly = 0, then +L · z = z · ∂2 + (2∂z + a1z) · ∂. +Assume that there exist two solutions z1, z2 ∈ R of Ly = 0 such that their +Wronskian +w = z1∂z2 − z2∂z1 +has a multiplicative inverse 1 +w ∈ R. Let +H = −z1 · +� +· z2 +w + z2 · +� +· z1 +w . +In the ring of operators, we can compute +∂ · zi +w = zi +w · ∂ + ∂zi +w − zi∂w +w2 . +Then, using the normal forms of L · zi and ∂ · zi +w , we obtain +L · H = −z1 · ∂ · z2 +w − 2(∂z1) z2 +w − a1z1 z2 +w + z2 · ∂ · z1 +w + 2(∂z2) z1 +w + a1z2 z1 +w += −z1 · ∂ · z2 +w + z2 · ∂ · z1 +w + 2 w +w = −z1∂ z2 +w + z2∂ z1 +w + 2 = 1. +Hence H is a right inverse of L in R⟨∂, +� +, E⟩. +More generally, we have the following formulation of the method of variation +of constants for integro-differential operators. +Recall from Section 4.1, that +the Wronskian W(f1, . . . , fn) of elements f1, . . . , fn ∈ R is defined completely +analogous to the analytic situation. +Theorem 5.1. Let (R, ∂, +� +) be a commutative integro-differential ring and let +L = ∂n + �n−1 +i=0 ai · ∂i ∈ R⟨∂, +� +, E⟩, n ≥ 1, with a0, . . . , an−1 ∈ R. Assume that +z1, . . . , zn ∈ R are such that Lzi = 0 and w := W(z1, . . . , zn) has a multiplicative +inverse +1 +w ∈ R. Then, with +H := +n +� +i=1 +(−1)n−izi · +� +· W(z1, . . . , zi−1, zi+1, . . . , zn) +w +we have that L · H = 1 in R⟨∂, +� +, E⟩. +Proof. The cases n = 1 and n = 2 have been shown above. In principle, an +analogous computation could be done for any concrete n ≥ 3 as well. To obtain +a finite proof for all n ≥ 3 at once, we will utilize a more general framework in +Section 5.3. +5.2 +Linear systems and operators with matrix coefficients +Algebraically, computing with linear systems of differential equations can be +modelled by integro-differential operators over some noncommutative integro- +differential ring, whose elements correspond to matrices. Such noncommutative +integro-differential rings can be obtained from any scalar integro-differential +26 + +ring, since one can equip the ring of n × n matrices with a derivation and an +integration defined entrywise, see Lemma 2.7. +Recall that Definition 4.1 and Theorem 4.2 hold also for operators with +coefficients in noncommutative integro-differential rings, in particular for oper- +ators with matrix coefficients. Consequently, any computation using a general +noncommutative integro-differential ring is automatically valid for concrete ma- +trices of any size, without the need for entrywise computations. This allows for +compact proofs for matrices of general size. For switching to entrywise com- +putations, one can view operators with matrix coefficients equivalently also as +matrices of operators with scalar coefficients by identifying operators ∂, +� +, E +with corresponding diagonal matrices of operators. The following lemma shows +that also computations are equivalent in both viewpoints. Here, we use the +notation Ei,j(L) := (δi,kδj,lL)k,l=1,...,n for matrices with only one nonzero entry +L ∈ R⟨∂, +� +, E⟩. +Lemma 5.2. Let (R, ∂, +� +) an integro-differential ring and let n ≥ 1. Then, +there is exactly one ring homomorphism +ϕ : Rn×n⟨∂, +� +, E⟩ → R⟨∂, +� +, E⟩n×n +with ϕ(A) = A for A ∈ Rn×n and ϕ(L) = diag(L, . . . , L) for L ∈ {∂, +� +, E}. +This ϕ is an isomorphism and its inverse homomorphism +ψ : R⟨∂, � , E⟩n×n → Rn×n⟨∂, � , E⟩ +can be given by ψ(Ei,j(f)) = Ei,j(f) and ψ(Ei,j(L)) = Ei,j(1) · L for all f ∈ R +resp. L ∈ {∂, +� +, E}. +Proof. First, we check that the definition of ϕ indeed provides a unique and +well-defined homomorphism of rings. Uniqueness follows from the fact that ϕ is +defined on a generating set of Rn×n⟨∂, +� +, E⟩. For proving well-definedness, we +need to verify that the definition of ϕ respects all identities of generators given +in Definition 4.1 as follows. Evidently, we have ϕ(1) = In. It is immediate to see +that ϕ(∂) · ϕ( +� +) = ϕ(1) − ϕ(E) and ϕ( +� +) · ϕ(∂) = ϕ(1) hold. For L ∈ {∂, +� +, E}, +we verify in R⟨∂, +� +, E⟩n×n that ϕ(L) commutes with all elements of Cn×n and +that, for all A ∈ Rn×n, we have ϕ(L) · ϕ(A) · ϕ(E) = ϕ(LA) · ϕ(E). +More +explicitly, using (14)–(16) in R⟨∂, +� +, E⟩, we compute +ϕ(L) · ϕ(A) · ϕ(E) = diag(L, . . . , L) · A · diag(E, . . . , E) += (L · ai,j · E)i,j=1,...,n = (Lai,j · E)i,j=1,...,n = ϕ(LA) · ϕ(E). +Analogously, using (11) in R⟨∂, +� +, E⟩, we can also verify that ϕ(∂) · ϕ(A) = +ϕ(A) · ϕ(∂) + ϕ(∂A) for all A ∈ Rn×n. +Similarly, we need to verify that the definition of ψ on a generating set of +R⟨∂, +� +, E⟩n×n gives rise to a well-defined homomorphism. For example, using +27 + +(14)–(16) in Rn×n⟨∂, +� +, E⟩, we compute +ψ(Ei,j(L)) · ψ(Ep,q(f)) · ψ(Ek,l(E)) = Ei,j(1) · L · Ep,q(f) · Ek,l(1) · E += Ei,j(1) · L · δq,kEp,l(f) · E = Ei,j(1) · δq,kLEp,l(f) · E = δj,pδq,kEi,l(Lf) · E += Ei,q(δj,pLf) · Ek,l(1) · E = ψ(Ei,q(δj,pLf)) · ψ(Ek,l(E)) +for all f ∈ R, L ∈ {∂, +� +, E}, and all i, j, k, l, p, q ∈ {1, . . ., n}. +Finally, ψ is the inverse of ϕ, since we have ψ(ϕ(A)) = A, ϕ(ψ(Ei,j(f))) = +Ei,j(f), ψ(ϕ(L)) = L, and ϕ(ψ(Ei,j(L))) = Ei,j(L) for the generators. +Integro-differential operators with coefficients from Rn×n constructed this +way have natural actions on Rn×n and on Rn. +By the above lemma, for +any left R⟨∂, +� +, E⟩-module M, there is a natural way of viewing M n as a +left Rn×n⟨∂, � , E⟩-module. +It is straightforward to show that the action of +Rn×n⟨∂, +� +, E⟩ on M n is faithful if and only if R⟨∂, +� +, E⟩ acts faithfully on M. +5.3 +Variation of constants for first-order systems +Instead of higher order scalar ODEs, we now consider variation of constants for +first-order systems, see Theorem 3.1 in Chapter 3 of [6] for example. Analyti- +cally, it can be stated as follows. For an n × n matrix A(x) and a vector f(x) +of size n, we consider the first-order system given by +y′(x) + A(x)y(x) = f(x). +If Φ(x) is a fundamental matrix of the homogeneous system, i.e. it satisfies +Φ′(x) + A(x)Φ(x) = 0 and det(Φ(x)) ̸= 0, then a particular solution of the +inhomogeneous system is given by +z∗(x) = Φ(x) +� x +x0 +Φ(t)−1f(t) dt. +Theorem 5.3. Let (R, ∂, +� +) be an integro-differential ring. Assume that a ∈ R +is such that there exists z ∈ R that satisfies ∂z +az = 0 and has a multiplicative +right inverse z−1 ∈ R. +Then, in R⟨∂, +� +, E⟩, the operators L := ∂ + a and +H := z · +� +· z−1 satisfy +L · H = 1. +Proof. The same computation as in the commutative case above can be done +also for noncommutative R without any changes. Note that zz−1 = 1 was the +only property of z−1 used there, so it suffices that z−1 is a right inverse of z. +Observe that from this statement over an abstract integro-differential ring +(R, ∂, +� +), which was proven without referring to matrices at all, the analytic +statement follows for arbitrary size n of the matrix A(x), provided we assume +sufficient regularity of the functions involved. +Based on Theorem 5.3, we now can complete the proof of Theorem 5.1 for +arbitrary n ≥ 3. Before doing so, we first detail the required translation from +28 + +a first-order system to the scalar equation entirely at the operator level. For +shorter notation, in the following, we again use the symbol ∂ also for the matrix +diag(∂, . . . , ∂) ∈ R⟨∂, +� +, E⟩n×n. +Lemma 5.4. Let (R, ∂, +� +) be an integro-differential ring and let +L = ∂n + +n−1 +� +i=0 +ai · ∂i ∈ R⟨∂, +� +, E⟩ +with a0, . . . , an−1 ∈ R. Moreover, let H ∈ R⟨∂, +� +, E⟩n×n satisfy (∂+A)·H = In +in R⟨∂, +� +, E⟩n×n, where +A := + + + + + + + + +0 +−1 +0 +· · · +0 +... +... +... +... +... +... +... +... +0 +0 +· · · +· · · +0 +−1 +a0 +a1 +· · · +· · · +an−1 + + + + + + + + +. +Then, the upper right entry H1,n of H satisfies L · H1,n = 1 in R⟨∂, +� +, E⟩ and +Hi,n = ∂i−1 · H1,n for i ∈ {1, . . . , n}. +Proof. For n = 1, the statement is trivial. So, we let n ≥ 2 in the following. In +short, starting from the identity (∂ + A)·H = In of n× n matrices of operators, +we multiply both sides from the left with a suitable S ∈ R⟨∂, +� +, E⟩n×n and +inspect the last column. In particular, for elimination in the last n − 1 columns +of ∂ + A, we use +S := + + + + + + + + + + + +1 +0 +· · · +· · · +· · · +0 +∂ +... +... +... +∂2 +... +... +... +... +... +... +... +... +... +... +∂n−2 +· · · +∂2 +∂ +1 +0 +s1 +· · · +· · · +· · · +sn−1 +1 + + + + + + + + + + + +with sj := ∂n−j+�n−j−1 +i=0 +ai+j ·∂i ∈ R⟨∂, +� +, E⟩ for j ∈ {1, . . ., n−1}. Observing +that, in R⟨∂, � , E⟩, we have −sj + sj+1 · ∂ = −aj for j ∈ {1, . . ., n − 2}, we +29 + +compute S · (∂ + A) explicitly: +S · + + + + + + + + +∂ +−1 +0 +· · · +0 +0 +... +... +... +... +... +... +... +... +0 +0 +· · · +0 +∂ +−1 +a0 +a1 +· · · +an−2 +∂ + an−1 + + + + + + + + += + + + + + + + + +∂ +−1 +0 +· · · +0 +∂2 +0 +−1 +... +... +... +... +... +... +0 +∂n−1 +0 +· · · +0 +−1 +s1 · ∂ + a0 +0 +· · · +0 +−sn−1 + ∂ + an−1 + + + + + + + + += + + + + + + + + + +∂ +−1 +0 +· · · +0 +∂2 +0 +−1 +... +... +... +... +... +... +0 +∂n−1 +... +... +−1 +L +0 +· · · +· · · +0 + + + + + + + + + +. +Altogether, we obtain that + + + + + + + + + +∂ +−1 +0 +· · · +0 +∂2 +0 +−1 +... +... +... +... +... +... +0 +∂n−1 +... +... +−1 +L +0 +· · · +· · · +0 + + + + + + + + + +· H = S · (∂ + A) · H = S, +where comparison of the entries in the last column of the left hand side and +right hand side yields ∂ · H1,n − H2,n = 0, . . . , ∂n−1 · H1,n − Hn,n = 0 and +L · H1,n = 0. +Finally, we proceed with the proof of Theorem 5.1. Recalling the assump- +tions, we fix a commutative integro-differential ring (R, ∂, +� +) and we let L = +∂n+�n−1 +i=0 ai·∂i ∈ R⟨∂, +� +, E⟩ with a0, . . . , an−1 ∈ R. We also let z1, . . . , zn ∈ R +such that Lzi = 0 and such that w := W(z1, . . . , zn) has a multiplicative inverse +1 +w ∈ R. +Proof of Theorem 5.1. Let n ≥ 3. In the (noncommutative) integro-differential +30 + +ring (Rn×n, ∂, +� +), we consider the matrices +A := + + + + + + + + +0 +−1 +0 +· · · +0 +... +... +... +... +... +... +... +... +0 +0 +· · · +· · · +0 +−1 +a0 +a1 +· · · +· · · +an−1 + + + + + + + + +and +Z := + + + + + +z1 +· · · +zn +∂z1 +· · · +∂zn +... +... +∂n−1z1 +· · · +∂n−1zn + + + + + +and note that (∂ + A)Z = 0 and that Z−1 ∈ Rn×n exists, since det(Z) = w +was assumed to be invertible in R. +Then, we apply Theorem 5.3 to obtain +(∂ + A) · (Z · +� +· Z−1) = 1 in Rn×n⟨∂, +� +, E⟩. +Instead of integro-differential +operators with matrix coefficients in Rn×n, we now consider the objects as +n × n matrices whose entries are integro-differential operators with coefficients +in R, cf. Lemma 5.2. Then, by Lemma 5.4, we obtain that L·(Z ·� ·Z−1)1,n = 1 +holds in R⟨∂, +� +, E⟩. In order to compute the entry (Z · +� +·Z−1)1,n, we can easily +determine a general form of the entries of the matrix product Z · +� +· Z−1 ∈ +R⟨∂, +� +, E⟩n×n: +Z · + + + + + + +� +0 +· · · +0 +0 +... +... +... +... +... +... +0 +0 +· · · +0 +� + + + + + + +· Z−1 = Z · + + + +� +· (Z−1)1,1 +· · · +� +· (Z−1)1,n +... +... +� +· (Z−1)n,1 +· · · +� +· (Z−1)n,n + + + += +� n +� +k=1 +(∂i−1zk) · � · (Z−1)k,j +� +i,j=1,...,n +. +Then, we compute all entries +(Z−1)i,n = (−1)n+i W(z1, . . . , zi−1, zi+1, . . . , zn) +w +in the last column of Z−1 ∈ Rn×n via Cramer’s rule (or via the cofactor matrix) +so that we recognize H ∈ R⟨∂, +� +, E⟩ defined in the statement of Theorem 5.1 +as the top right entry (Z · +� +· Z−1)1,n of the above matrix. This concludes the +proof that L · H = 1. +6 +Generalizing identities from calculus +The generalizations of well-known identities presented in this section introduce +additional terms involving the induced evaluation, which vanish if the evaluation +is multiplicative. As explained in the previous section, the proofs mostly rely +on computing irreducible forms for IDO. +31 + +6.1 +Initial value problems +Recall that the formula given in (23) provides a particular solution of the inho- +mogeneous linear ODE +y(n)(x) + an−1(x)y(n−1)(x) + · · · + a0(x)y(x) = f(x). +Moreover, this particular solution also satisfies the homogeneous initial condi- +tions y(x0) = 0, y′(x0) = 0, . . . , y(n−1)(x0) = 0, see e.g. Theorem 6.4 in Chap- +ter 3 of [6]. +The induced evaluation of an integro-differential ring allows us +to model such properties algebraically. Similarly to the general proof of Theo- +rem 5.1, we first investigate the general solution formula for homogeneous initial +value problems of first-order systems. To this end, we fix a (not necessarily com- +mutative) integro-differential ring R and we work in the corresponding ring of +IDO R⟨∂, +� +, E⟩. +As a general principle, not only in the ring R⟨∂, +� +, E⟩ but in any ring with +unit element, if some H is a right inverse of some L and B, P are such that +L · P = 0 and B · P = B, then G := (1 − P) · H satisfies +L · G = 1 +and +B · G = 0. +So, by choosing an appropriate operator P ∈ R⟨∂, +� +, E⟩ that satisfies (∂+a)·P = +0 and E · P = E, we can obtain the following version of Theorem 5.3 that also +solves the homogeneous initial condition. +Theorem 6.1. Let (R, ∂, +� +) be an integro-differential ring and let L = ∂ + a ∈ +R⟨∂, +� +, E⟩ with a ∈ R. Assume that z ∈ R is such that ∂z + az = 0 and in +addition to a multiplicative right inverse z−1 ∈ R also a right inverse (Ez)−1 ∈ C +exists. Then, in R⟨∂, � , E⟩, the operator +G := (1 − z(Ez)−1 · E) · z · +� +· z−1 +satisfies L · G = 1 and E · G = 0. +Proof. By Theorem 5.3, we have that H := z · +� +· z−1 satisfies L · H = 1. Now, +letting P := z(Ez)−1 · E, we compute the normal forms of L · P and E · P: +(∂ + a) · z(Ez)−1 · E = +� +z(Ez)−1 · ∂ + ∂z(Ez)−1� +· E + az(Ez)−1 · E += z(Ez)−1 · ∂ · E = 0, +E · z(Ez)−1 · E = Ez(Ez)−1 · E = E. +Then, from L · P = 0 and E · P = E, it follows straightforwardly that G = +(1 − P) · H has the properties claimed. +Remark 6.2. If the evaluation E is multiplicative, then the existence of (Ez)−1 ∈ +C follows form the existence of z−1 ∈ R and, with (22), we also obtain E·z · +� += +(Ez)E · +� += 0, which implies P · H = 0 and hence G = H. Therefore, the right +inverse H obtained in Theorem 5.3 satisfies the initial value condition E ·H = 0 +already. +32 + +For conversion to the scalar case, we need to compute the element in the top +right corner of G = (1 − Z(EZ)−1 · E) · Z · +� +· Z−1 and show that it has the +desired properties. +Theorem 6.3. Let (R, ∂, +� +) be a commutative integro-differential ring and let +L = ∂n + �n−1 +i=0 ai · ∂i ∈ R⟨∂, +� +, E⟩, n ≥ 1, with a0, . . . , an−1 ∈ R. Assume +that z1, . . . , zn ∈ R are such that Lzi = 0 and w := W(z1, . . . , zn) has a mul- +tiplicative inverse +1 +w ∈ R. Moreover, assume that there are ci,j ∈ C such that +E∂k �n +i=1 ci,jzi = δj,k for all j, k ∈ {0, . . . , n − 1}. Then, with these ci,j and +G := +n +� +k=1 +(−1)n−k +� +zk − +n +� +i,j=1 +zici,j−1 · E · (∂j−1zk) +� +· +� +· W(z1,...,zk−1,zk+1,...,zn) +w +we have that L · G = 1 and E · G = 0 in R⟨∂, +� +, E⟩. +Proof. As in the proof of Theorem 5.1, we consider the matrices +A := + + + + + + + + +0 +−1 +0 +· · · +0 +... +... +... +... +... +... +... +... +0 +0 +· · · +· · · +0 +−1 +a0 +a1 +· · · +· · · +an−1 + + + + + + + + +and +Z := + + + + + +z1 +· · · +zn +∂z1 +· · · +∂zn +... +... +∂n−1z1 +· · · +∂n−1zn + + + + + +and note that (∂ + A)Z = 0 and that Z−1 ∈ Rn×n exists, since det(Z) = w was +assumed to be invertible in R. Furthermore, we note that + + + +c1,0 +· · · +c1,n−1 +... +... +cn,0 +· · · +cn,n−1 + + + +is the multiplicative (right) inverse of EZ in Cn×n. By Theorem 6.1, we conclude +that ˜G := (1−Z(EZ)−1 ·E)·Z · +� +·Z−1 ∈ Rn×n⟨∂, +� +, E⟩ satisfies (∂ +A)· ˜G = 1 +and E · ˜G = 0. Passing to R⟨∂, +� +, E⟩n×n via Lemma 5.2, the latter identity +implies E · ˜Gi,j = 0 and the former implies L · ˜G1,n = 1 and ˜Gi,n = ∂i−1 · ˜G1,n +by Lemma 5.4. Hence, we also have E · ∂i−1 · ˜G1,n = 0 for i ∈ {1, . . . , n}. +Finally, we verify that ˜G1,n = G. With H := Z · +� +· Z−1 ∈ R⟨∂, +� +, E⟩n×n, +we have ˜G1,n = H1,n − �n +i,j=1 Z1,i((EZ)−1)i,j · E · Hj,n. From the proof of +Theorem 5.1, we obtain that Hj,n = (−1)n+k(∂j−1zk)· +� +· W(z1,...,zi−1,zi+1,...,zn) +w +. +Altogether, this yields ˜G1,n = G. +6.2 +Taylor formula +Usually, Taylor’s theorem is only considered for sufficiently smooth functions. +In integro-differential rings, an analog of the Taylor formula with integral re- +mainder term +f(x) = +n +� +k=0 +f (k)(x0) +k! +xk + +� x +x0 +(x − t)n +n! +f (n+1)(t) dt +33 + +can be formulated. While the formula arising from the identity of operators in +Theorem 6.6 is more complicated, it is also valid if singularities are present. +We start by giving a first version of the Taylor formula where the remainder +term is given as repeated integral. It simply follows by iterating (3) resp. (13). +See also Corollary 2.2.1 in [23]. +Lemma 6.4. Let (R, ∂, +� +) be an integro-differential ring. In R⟨∂, +� +, E⟩ we have +for any n ∈ N that +1 = +n +� +i=0 +� i · E · ∂i + +� n+1 · ∂n+1. +Proof. For any n ∈ N, we can use (13) to rewrite the right hand side: +n +� +i=0 +� i · E · ∂i + +� n+1 · ∂n+1 = +n +� +i=0 +� i · E · ∂i + +� n · (1 − E) · ∂n += +n−1 +� +i=0 +� i · E · ∂i + +� n · ∂n. +Setting n = 0 here gives E+ +� +·∂ = 1. Hence, the claim follows by induction. +Using (15) and the related identity in (20), we can always write operators +� i · E as xi · E, where xi := � i1 as in Theorem 3.2. By (19) and (21), we can +always write +� n+1 without higher powers of +� +. To make the resulting expressions +simpler, we restrict to the case that E is multiplicative on polynomials, i.e. +Exmxn = 0 for all m, n ≥ 1. +Lemma 6.5. Let (R, ∂, +� +) be an integro-differential ring such that the induced +evaluation E satisfies Exmxn = 0 for all m, n ≥ 1. Then, in R⟨∂, +� +, E⟩, we +have for any n ∈ N that +� n+1 = +n +� +k=0 +(−1)n−kxk · +� +· xn−k − +n−1 +� +k=0 +n−k +� +j=1 +(−1)n−k−jxk · E · xj · +� +· xn−k−j. +Proof. We prove this identity by induction on n ∈ N. For n = 0, the right +hand side directly yields +� +in agreement with the left hand side. Assuming the +identity holds for some n ∈ N, we multiply both sides by +� +from the left and we +rewrite the right hand side using (19) and (15) to obtain +� n+2 = +n +� +k=0 +(−1)n−k�� xk · � − � · � xk − E · � xk · � � +· xn−k +− +n−1 +� +k=0 +n−k +� +j=1 +(−1)n−k−j� +xk · E · xj · +� +· xn−k−j. +34 + +We have xk+1xn−k = +�n+1 +k+1 +� +xn+1 by Theorem 3.2, so we can expand the right +hand side into +n +� +k=0 +(−1)n−kxk+1 · +� +· xn−k + +n +� +k=0 +(−1)n−k+1 +�n + 1 +k + 1 +�� +· xn+1 +− +n +� +k=0 +(−1)n−kE · xk+1 · � · xn−k − +n−1 +� +k=0 +n−k +� +j=1 +(−1)n−k−jxk+1 · E · xj · � · xn−k−j. +Exploiting �n +k=0(−1)n−k+1�n+1 +k+1 +� += (−1)n+1 in the second sum, we can regroup +terms to obtain the right hand side of the claimed identity for n + 1. +This +completes the induction. +Altogether, we obtain the following identity in R⟨∂, +� +, E⟩ generalizing the +usual Taylor formula with integral remainder term. This identity holds over any +integro-differential ring in which the induced evaluation is multiplicative on the +integro-differential subring generated by 1. +Theorem 6.6 (Taylor formula). Let (R, ∂, +� +) be an integro-differential ring +such that E is multiplicative on the integro-differential subring generated by 1, +i.e. Exmxn = 0 for all m, n ≥ 1. Then, for all f ∈ R and all n ∈ N we have +1 = +n +� +k=0 +xk · E · ∂k + +n +� +k=0 +(−1)n−kxk · +� +· xn−k · ∂n+1 +− +n−1 +� +k=0 +n−k +� +j=1 +(−1)n−k−jxk · E · xj · � · xn−k−j · ∂n+1 +Proof. Follows from Lemma 6.4 using +� i·E = xi·E and Lemma 6.5, as explained +above. +In particular, if in addition to the assumptions of the theorem we have +Q ⊆ R, then, with operators acting on some f, we have that +f = +n +� +k=0 +xk +1 +k! E∂kf + +n +� +k=0 +(−1)n−k +k!(n − k)!xk +1 +� +xn−k +1 +∂n+1f +− +n−1 +� +k=0 +n−k +� +j=1 +(−1)n−k−j +k!j!(n − k − j)!xk +1Exj +1 +� +xn−k−j +1 +∂n+1f +While the first and the second sum correspond to the Taylor polynomial and the +integral remainder term, the third sum corresponds to an additional polynomial +that arises from our general setting allowing non-multiplicative evaluations. It +can be viewed as an integro-differential algebraic version of the analytic formula +− +n−1 +� +k=0 +(x − x0)k +k! +�� x +x0 +(x − t)n−k − (x0 − t)n−k +(n − k)! +f (n+1)(t)dt +� +x=x0 +, +35 + +which vanishes for smooth functions f(x). Although in practice these additional +terms yield zero even for many elements f that model singular functions in con- +crete integro-differential rings, they cannot be dropped in general, as illustrated +in C[x, x−1, ln(x)] by considering n = 1 and f = ln(x), for example. With in- +tegration defined as in Example 2.13, we have x1 = x and with f = ln(x) the +Taylor polynomial Ef + xE∂f vanishes. By ∂2f = − 1 +x2 , the second sum yields +− +� +x∂2f + x +� +∂2f = ln(x) + 1 and the third sum −Ex +� +∂2f = −1 compensates +the constant term. More generally, we can characterize the integro-differential +rings where the additional polynomial does not play a role in the Taylor formula. +Corollary 6.7. Let (R, ∂, +� +) be an integro-differential ring such that E is mul- +tiplicative on the integro-differential subring generated by 1, i.e. Exmxn = 0 for +all m, n ≥ 1. Then, we have Exng = 0 for all n ≥ 1 and g ∈ R if and only if +we have +f = +n +� +k=0 +xkE∂kf + +n +� +k=0 +(−1)n−kxk +� +xn−k∂n+1f +for all n ∈ N and f ∈ R. +Proof. If Exng = 0 for all n ≥ 1 and g ∈ R, then we have in particular +Exj +� +xn−k−j∂n+1f = 0 for all j, k, n ∈ N and f ∈ R with 1 ≤ j ≤ n − k. +Hence, Theorem 6.6 implies the claimed identity for all n ∈ N and f ∈ R. +For the converse, let n ≥ 1 be minimal such that Exng ̸= 0 for some g ∈ R. +With such g, we let f := +� ng and, by minimality of n, we obtain that +n−1 +� +k=0 +n−k +� +j=1 +(−1)n−k−jxkExj +� +xn−k−j∂n+1f = Exn +� +∂g = Exng − ExnEg = Exng +is nonzero. Consequently, Theorem 6.6 implies that the claimed identity does +not hold for this n and f. +Acknowledgements +This work was supported by the Austrian Science Fund (FWF): P 27229, +P 31952, and P 32301. Part of this work was done while both authors were +at the Radon Institute of Computational and Applied Mathematics (RICAM) +of the Austrian Academy of Sciences. The authors would like to thank Alban +Quadrat for bringing the book [23] to the attention of the second author during +his stay at INRIA Saclay. +A +Normal forms for IDO in tensor rings +The goal of this appendix is to state and prove a refinement of Theorem 4.2 +providing uniqueness of normal forms. Uniqueness is achieved by representing +operators by elements of a tensor ring, which is formed on a module of basic +operators generated by R, ∂, +� +, E. The ring of operators can be constructed +36 + +as quotient of the tensor ring, where relations of basic operators are encoded by +tensor reduction rules. The main technical tool for proving uniqueness of nor- +mal forms is a generalization of Bergman’s Diamond Lemma in tensor rings [3]. +For the convenience of the reader, we give a formal and largely self-contained +summary of tensor reduction systems and we explain the translation of identi- +ties of operators into this framework. In this appendix, K denotes a ring (not +necessarily commutative) with unit element. +In Section A.1, we start by recalling basic properties of bimodules and tensor +rings on them. For further details on tensor rings and proofs see, for example, +[34, 7]. Then, we recall decompositions with specialization, which are used for +defining reduction rules. In Section A.2, we state the Diamond Lemma for tensor +reduction systems with specialization from [14] and provide a summary of the +relevant notions. In Section A.3, we construct an appropriate tensor ring along +with a tensor reduction system for dealing with IDO. We use these to state The- +orem A.3, which provides a precise formulation of uniqueness of normal forms +of IDO in terms of tensors. In Section A.4, we give a complete proof of the +theorem, where the necessary computations for verifying uniqueness of normal +forms in the tensor ring are done in an automated way by our package TenReS in +the computer algebra system Mathematica. These computations are contained +in the Mathematica file accompanying this paper, which includes a log of the re- +duction steps and is available at http://gregensburger.com/softw/tenres/. +The theorem proved in that section even covers more general rings of operators, +which allow to deal with additional functionals besides the induced evaluation. +A.1 +Tensor rings on bimodules and decompositions +A K-bimodule is a left K-module M which is also a right K-module satisfying +the associativity condition (km)l = k(ml) for all m ∈ M and k, l ∈ K. A ring R +that is a K-bimodule such that (xy)z = x(yz) for any x, y, z in R or K is called +a K-ring. In particular, if K is a subring of some ring R, then R is a K-ring. +We first recall basic properties of the tensor product on K-bimodules. For +K-bimodules M, N, their K-tensor product M ⊗ N is a K-bimodule generated +by the pure tensors {m ⊗ n | m ∈ M, n ∈ N} with relations +(m + ˜m) ⊗ n = m ⊗ n + ˜m ⊗ n, +m ⊗ (n + ˜n) = m ⊗ n + m ⊗ ˜n, +and +mk ⊗ n = m ⊗ kn +having scalar multiplications +k(m ⊗ n) = (km) ⊗ n +and +(m ⊗ n)k = m ⊗ (nk) +for all m, ˜m ∈ M, n, ˜n ∈ N, and k ∈ K. +We denote the tensor product of M with itself over K by M ⊗n = M ⊗· · ·⊗M +(n factors). In particular, M ⊗1 = M and we interpret M ⊗0 as the K-module +Kε, where ε denotes the empty tensor and right scalar multiplication satisfies +(k1ε)k2 = (k1k2)ε for k1, k2 ∈ K. As a K-bimodule, the tensor ring K⟨M⟩ is +37 + +defined as the direct sum +K⟨M⟩ = +∞ +� +n=0 +M ⊗n. +It can be turned into a K-ring with unit element ε where multiplication M ⊗r × +M ⊗s → M ⊗(r+s) is defined via +(m1 ⊗ · · · ⊗ mr, ˜m1 ⊗ · · · ⊗ ˜ms) �→ m1 ⊗ · · · ⊗ mr ⊗ ˜m1 ⊗ · · · ⊗ ˜ms. +Via the tensor product, any decomposition of the module M carries over to +a decomposition of the tensor ring K⟨M⟩. In particular, we use decompositions +with specialization, which were introduced in [14]. These are given by a family +(Mz)z∈Z of K-subbimodules of M and a subset X ⊆ Z with M = � +z∈Z Mz = +� +x∈X Mx such that every module Mz, z ∈ Z, satisfies +Mz = +� +x∈S(z) +Mx +where S(z) := {x ∈ X | Mx ⊆ Mz} is the set of specializations of z. Note that +this definition implies S(x) = {x} for x ∈ X. For words W = w1 . . . wn in the +word monoid ⟨Z⟩, we define the corresponding K-subbimodule of K⟨M⟩ by +MW := Mw1 ⊗ · · · ⊗ Mwn. +The notion of specialization extends from the alphabet Z to the whole word +monoid ⟨Z⟩ by +S(W) := {v1 . . . vn ∈ ⟨X⟩ | ∀i : vi ∈ S(wi)} +such that S(W) = {V ∈ ⟨X⟩ | MV ⊆ MW }. We have the following generaliza- +tion +MW = +� +V ∈S(W) +MV +of the direct sum above and the decomposition +K⟨M⟩ = +� +W∈⟨Z⟩ +MW = +� +W∈⟨X⟩ +MW +of the tensor ring. +A.2 +Tensor reduction systems with specialization +Fixing a decomposition with specialization of M, a reduction rule for K⟨M⟩ is +given by a pair r = (W, h) of a word W ∈ ⟨Z⟩ and a K-bimodule homomorphism +h: MW → K⟨M⟩. It acts on tensors of the form a⊗w⊗b with a ∈ MA, w ∈ MW , +and b ∈ MB for some A, B ∈ ⟨Z⟩ by a ⊗ w ⊗ b →r a ⊗ h(w) ⊗ b. Later, we will +specify homomorphisms h in concrete reduction rules (W, h) via their values on +a generating set of MW . Formally, well-definedness of such homomorphisms can +38 + +be ensured by the universal property of the tensor product. A set Σ of such +reduction rules is called a reduction system over Z on K⟨M⟩ and induces the +two-sided reduction ideal +IΣ := (t − h(t) | (W, h) ∈ Σ and t ∈ MW ) ⊆ K⟨M⟩. +For computing in the factor ring K⟨M⟩/IΣ, we apply the reduction relation →Σ +induced by Σ on K⟨M⟩. It reduces a tensor t ∈ K⟨M⟩ to a tensor s ∈ K⟨M⟩ +if there is an r ∈ Σ such that t →r s. We say that t can be reduced to s by Σ +if t = s or there exists a finite sequence of reduction rules r1, . . . , rn in Σ such +that +t →r1 t1 →r2 · · · →rn−1 tn−1 →rn s. +If one tensor can be reduced to another, then their difference is contained in +IΣ and they represent the same element of K⟨M⟩/IΣ. The K-subbimodule of +irreducible tensors +K⟨M⟩irr = +� +W∈⟨X⟩irr +MW +can be characterized by the set of irreducible words ⟨X⟩irr ⊆ ⟨X⟩, which consists +of those words that avoid subwords arising as specializations S(W) of words +occurring in reduction rules (W, h) ∈ Σ. The irreducible tensors to which a +given tensor t can be reduced, are called its normal forms. If t has a unique +normal form, it is denoted by t↓Σ. +An ambiguity is a minimal situation where two (not necessarily distinct) re- +duction rules can be applied to tensors in different ways. For each pure tensor +of this kind, the corresponding S-polynomial is the difference of the results of +the two reduction steps. For example, an overlap ambiguity arises from two +reduction rules (AB1, h), (B2C, ˜h) ∈ Σ, where A, B1, B2, C ∈ ⟨Z⟩ are nonempty +such that B1, B2 are equal or have a common specialization, and corresponding +S-polynomials are referred to by SP(AB1, B2C). An ambiguity is called resolv- +able, if all its S-polynomials can be reduced to zero by Σ. If all ambiguities of Σ +are resolvable, then the reduction relation induced by Σ on K⟨M⟩ is confluent +and, by abuse of language, we also call Σ confluent. This means that there are +no hidden consequences implied in K⟨M⟩/IΣ by the identities explicitly specified +by Σ. +The following theorem relies on the existence of a partial order of words in +⟨Z⟩ that has certain properties, which are briefly explained now. A partial order +≤ on ⟨Z⟩ is called a semigroup partial order if it is compatible with concatenation +of words. If in addition the empty word ǫ is the least element of ⟨Z⟩, then ≤ +is called a monoid partial order. It is called Noetherian if there are no infinite +descending chains. We call a partial order ≤ on ⟨Z⟩ consistent with specialization +if every strict inequality V < W implies ˜V < ˜W for all specializations ˜V ∈ S(V ) +and ˜W ∈ S(W). A partial order ≤ on ⟨Z⟩ is compatible with a reduction system +Σ over Z on K⟨M⟩ if for all (W, h) ∈ Σ the image of h is contained in the sum +of modules MV where V ∈ ⟨Z⟩ satisfies V < W. +39 + +Theorem A.1. [14, Thm. 20] Let M be a K-bimodule and let (Mz)z∈Z be +a decomposition with specialization. +Let Σ be a reduction system over Z on +K⟨M⟩ and let ≤ be a Noetherian semigroup partial order on ⟨Z⟩ consistent with +specialization and compatible with Σ. Then, the following are equivalent: +1. All ambiguities of Σ are resolvable. +2. Every t ∈ K⟨M⟩ has a unique normal form t↓Σ. +3. K⟨M⟩/IΣ and K⟨M⟩irr are isomorphic as K-bimodules. +Moreover, if these conditions are satisfied, then we can define a multiplication +on K⟨M⟩irr by s · t := (s ⊗ t)↓Σ so that K⟨M⟩/IΣ and K⟨M⟩irr are isomorphic +as K-rings. +A.3 +Tensor reduction systems for IDO +Before using the tensor setting to construct the ring of integro-differential op- +erators R⟨∂, +� +, E⟩, we illustrate this construction on the well-known ring of +differential operators R⟨∂⟩ to highlight some of the special properties of the +construction. Usually, the ring of differential operators with coefficients from R +is constructed via skew polynomials � +i fi∂i over R in one indeterminate ∂, with +commutation rule ∂ · f = f · ∂ + ∂f. Let (R, ∂, +� +) be an integro-differential ring +and let C denote its ring of constants. In the following, we consider K-tensor +rings with K := C. +Example A.2. The module of basic operators that generates all differential +operators is given by +M := MR ⊕ MD, +with K-bimodules +MR := R +(24) +and MD defined as the free left K-module +MD := K∂ +(25) +generated by the symbol ∂, which we view as a K-bimodule with the right +multiplication c∂ · d = cd∂ for all c, d ∈ K. This definition is based on left +K-linearity of the derivation ∂ on R. The commutation rule ∂ · f = f · ∂ + ∂f +coming from the Leibniz rule in R translates to the tensor reduction rule +(DR, ∂⊗f �→ f⊗∂ + ∂f). +This rule is formalized by the K-bimodule homomorphism MDR = MD ⊗ MR → +K⟨M⟩ defined by ∂⊗f �→ f⊗∂ + ∂f on tensors ∂⊗f generating MDR. Note that +this homomorphism represents a parameterized family of identities. Reduction +of tensors by the rule above allows to syntactically move all multiplication op- +erators to the left of any differentiation operator. +40 + +Note that, in order to correctly model differential operators as equivalence +classes of tensors in K⟨M⟩, other relations among operators need to be phrased +as tensor reduction rules as well. This is because the tensor ring K⟨M⟩ itself +is constructed without respecting relations coming from multiplication in R. +For instance, the composition of two multiplication operators f and g is a mul- +tiplication operator again, which leads to the reduction rule (RR, f⊗g �→ fg) +defined on the module MRR = MR ⊗ MR. Moreover, the multiplication operator +that multiplies by 1 acts like the identity operator, which is represented by the +empty tensor ε. To define reduction rules that act only on C instead of all of R, +we need a direct decomposition of the K-bimodule +MR = MK ⊕ M˜R, +(26) +which in our case can be given by +MK := K +and +M˜R := +� +R +(27) +based on Lemma 2.3. Then, we can define a reduction rule on MK = C by 1 �→ ε. +Altogether, the tensor reduction system ΣDiff = {rK, rRR, rDR} for differential +operators is given by the three reduction rules +{(K, 1 �→ ε), +(RR, f⊗g �→ fg), +(DR, ∂⊗f �→ f⊗∂ + ∂f)} +defined above. It induces the two-sided ideal +IDiff := (t − h(t) | (W, h) ∈ ΣDiff and t ∈ MW ) += (1 − ε, f⊗g − fg, ∂⊗f − f⊗∂ − ∂f | f, g ∈ R) +in the ring K⟨M⟩ and computations with differential operators are modelled in +the quotient ring +R⟨∂⟩ := K⟨M⟩/IDiff. +Tensors that are not reducible w.r.t. ΣDiff are precisely K-linear combinations +of pure tensors of the form ∂⊗i and f ⊗ ∂⊗i, where i ∈ N0 and f ∈ +� +R. With +alphabets X = {K, ˜R, D} and Z = X ∪{R}, one can check that all ambiguities of +ΣDiff are resolvable. Using an appropriate ordering of words, one can show that +the conditions of Theorem A.1 are satisfied by this construction of R⟨∂⟩. +Proceeding to an analogous construction of the ring R⟨∂, +� +, E⟩ from Defini- +tion 4.1, we also require tensor reduction rules corresponding to the identities +(12)–(16), in addition to the three rules from the example above. To this end, +analogous to MD above, we introduce the K-bimodules +MI := K +� +and +ME := KE, +(28) +which are freely generated as left K-modules by the symbols +� +and E, respec- +tively. Then, we consider the K-tensor ring on the K-bimodule +M := MR ⊕ MD ⊕ MI ⊕ ME. +41 + +K +1 �→ ε +ID +� +⊗∂ �→ ε − E +RR +f⊗g �→ fg +DRE +∂⊗f⊗E �→ ∂f⊗E +DR +∂⊗f �→ f⊗∂ + ∂f +IRE +� +⊗f⊗E �→ +� +f⊗E +DI +∂⊗ +� +�→ ε +ERE +E⊗f⊗E �→ (Ef)E +Table 2: Defining reduction system for integro-differential operators +Altogether, we obtain the tensor reduction system given in Table 2. The two- +sided ideal IIDO induced by it allows to construct the ring R⟨∂, +� +, E⟩ as the +quotient K⟨M⟩/IIDO. However, this reduction system is not confluent. In order +to obtain normal forms that are unique as tensors in K⟨M⟩, we need a confluent +tensor reduction system on K⟨M⟩ that induces the same ideal IIDO. The con- +fluent tensor reduction system given in Table 3 can be obtained by turning the +identities of Table 1 into tensor reduction rules and including the rules rK and +rRR from above. This allows us to state the following more precise version of +K +1 �→ ε +EI +E⊗ +� +�→ 0 +RR +f⊗g �→ fg +IRD +� ⊗f⊗∂ �→ f − E⊗f − � ⊗∂f +DR +∂⊗f �→ f⊗∂ + ∂f +IRE +� +⊗f⊗E �→ +� +f⊗E +DE +∂⊗E �→ 0 +IRI +� +⊗f⊗ +� +�→ +� +f⊗ +� +− E⊗ +� +f⊗ +� +− +� +⊗ +� +f +DI +∂⊗ +� +�→ ε +ID +� +⊗∂ �→ ε − E +ERE +E⊗f⊗E �→ (Ef)E +IE +� +⊗E �→ +� +1⊗E +EE +E⊗E �→ E +II +� +⊗ +� +�→ +� +1⊗ +� +− E⊗ +� +1⊗ +� +− +� +⊗ +� +1 +Table 3: Confluent reduction system ΣIDO for integro-differential operators +Theorem 4.2. Note that multiples like f · ∂ are treated differently now, due to +the fact that we are working in the tensor ring K⟨M⟩ and we have the reduction +rule (K, 1 �→ ε), which splits f ∈ R according to Lemma 2.3. +Theorem A.3. Let (R, ∂, +� +) be an integro-differential ring with constants K = +C. Let M be given as above in terms of the modules defined in Eqs. (26), (27), +(25), and (28) and let the tensor reduction system ΣIDO be defined by Table 3. +Then every t ∈ K⟨M⟩ has a unique normal form t↓ΣIDO∈ K⟨M⟩, which can +be written as a K-linear combination of pure tensors of the form +f ⊗ ∂⊗j, +f ⊗ +� +⊗ g, +f ⊗ E ⊗ g ⊗ ∂⊗j, +or +f ⊗ E ⊗ h ⊗ +� +⊗ g +where j ∈ N0, f, g, h ∈ +� +R, and each f and g may be absent. Moreover, +R⟨∂, +� +, E⟩ ∼= K⟨M⟩irr +as K-rings, where multiplication on K⟨M⟩irr is defined by s · t := (s ⊗ t)↓ΣIDO. +Instead of proving this theorem, we will prove a more general one below, +which allows to include additional functionals into the construction of the ring +of operators. Theorem A.3 follows from Theorem A.5 by specializing Φ = {E}. +42 + +A.4 +Proof of normal forms for IDO with functionals +To treat more general problems than the initial value problems in Section 6.1, it +is useful to include additional functionals into the ring of operators. For instance, +dealing with boundary problems requires evaluations at more than one point. +In general, we consider a set Φ of K-linear functionals R → K including E. We +consider the K-bimodule MΦ defined as free left K-module +MΦ := KΦ +(29) +generated by the elements of Φ, where we define right multiplication in terms +of Φ by +�� +ϕ∈Φ cϕϕ +� +· d = � +ϕ∈Φ cϕdϕ for cϕ, d ∈ K. +Note that K-linear +combinations of K-linear maps are not necessarily K-linear again, if K is not +commutative. +Since ∂, +� +, and all elements of Φ are K-linear, we have, for +instance, that ϕfψg = (ϕf)ψg for all f, g ∈ R and ϕ, ψ ∈ Φ. +This allows +to extend the last three reduction rules of Table 2 to cover all elements of Φ +instead of the evaluation E only. Altogether, we consider the K-tensor ring on +the K-bimodule +M := MR ⊕ MD ⊕ MI ⊕ MΦ +(30) +and we have the defining reduction system given in Table 4. +K +1 �→ ε +ID +� ⊗∂ �→ ε − E +RR +f⊗g �→ fg +DRΦ +∂⊗f⊗ϕ �→ ∂f⊗ϕ +DR +∂⊗f �→ f⊗∂ + ∂f +IRΦ +� +⊗f⊗ϕ �→ +� +f⊗ϕ +DI +∂⊗ +� +�→ ε +ΦRΦ +ϕ⊗f⊗ψ �→ (ϕf)ψ +Table 4: Defining reduction system for integro-differential operators with func- +tionals +Definition A.4. Let (R, ∂, +� +) be an integro-differential ring with constants K = +C and let Φ be a set of K-linear functionals R → K including E. Let the K- +bimodule M be defined as above in Eqs. (24), (25), (28), (29), and (30). We +call +R⟨∂, +� +, Φ⟩ := K⟨M⟩/IIDOΦ +the ring of integro-differential operators with functionals Φ, where IIDOΦ is the +two-sided ideal induced by the reduction system obtained from Table 4 using also +submodules of M defined in Eq. (27). +We use Theorem A.1 above to determine unique normal forms of tensors. +Again, the reduction system given by Table 4 is not confluent and we need +to construct a confluent reduction system, like ΣIDOΦ given in Table 5, by a +completion process similar to how Table 3 was obtained. Observe that, whenever +Φ = {E}, the ring R⟨∂, � , Φ⟩ and the relation →ΣIDOΦ specialize to R⟨∂, � , E⟩ +and →ΣIDO, respectively. +43 + +K +1 �→ ε +EI +E⊗ +� +�→ 0 +RR +f⊗g �→ fg +IRD +� +⊗f⊗∂ �→ f − E⊗f − +� +⊗∂f +DR +∂⊗f �→ f⊗∂ + ∂f +IRΦ +� +⊗f⊗ϕ �→ +� +f⊗ϕ +DΦ +∂⊗ϕ �→ 0 +IRI +� +⊗f⊗ +� +�→ +� +f⊗ +� +− E⊗ +� +f⊗ +� +− +� +⊗ +� +f +DI +∂⊗ +� +�→ ε +ID +� +⊗∂ �→ ε − E +ΦRΦ +ϕ⊗f⊗ψ �→ (ϕf)ψ +IΦ +� +⊗ϕ �→ +� +1⊗ϕ +ΦΦ +ϕ⊗ψ �→ (ϕ1)ψ +II +� +⊗ +� +�→ +� +1⊗ +� +− E⊗ +� +1⊗ +� +− +� +⊗ +� +1 +Table 5: Confluent reduction system ΣIDOΦ for integro-differential operators +with functionals +Theorem A.5. Let (R, ∂, +� +) be an integro-differential ring with constants K = +C and let Φ be a set of K-linear functionals R → K including E. Let M and +R⟨∂, +� +, Φ⟩ be defined as in Definition A.4 above and let the tensor reduction +system ΣIDOΦ be defined by Table 5. +Then every t ∈ K⟨M⟩ has a unique normal form t↓ΣIDOΦ∈ K⟨M⟩, which can +be written as a K-linear combination of pure tensors of the form +f ⊗ ∂⊗j, +f ⊗ +� +⊗ g, +f ⊗ ϕ ⊗ h ⊗ ∂⊗j, +or +f ⊗ ϕ ⊗ h ⊗ +� +⊗ g +where j ∈ N0, f, g, h ∈ +� +R, ϕ ∈ Φ, and each f, g, h may be absent such that +ϕ ⊗ h ⊗ +� +does not specialize to E ⊗ +� +. Moreover, +R⟨∂, +� +, Φ⟩ ∼= K⟨M⟩irr +as K-rings, where multiplication on K⟨M⟩irr is defined by s · t := (s ⊗ t)↓ΣIDOΦ. +Proof. We use the alphabets X := {K, ˜R, D, I, E, ˜Φ} and Z := X ∪ {R, Φ}, which +turns (Mz)z∈Z into a decomposition with specialization for the module M, +where S(R) = {K, ˜R} and S(Φ) = {E, ˜Φ}. For defining a Noetherian monoid +partial order ≤ on ⟨Z⟩ consistent with specialization that is compatible with +ΣIDOΦ, it is sufficient to require the order to satisfy +DR > RD +and +I > E˜R. +For instance, we could first define a monoid total order on ⟨{R, D, I, Φ}⟩ ⊆ +⟨Z⟩ by counting occurrences of the letter I and breaking ties with any degree- +lexicographic order satisfying D > R and then generate from it a partial order +on ⟨Z⟩ that is consistent with specialization. +By our Mathematica package TenReS, we generate all ambiguities of ΣIDOΦ +and verify that they are resolvable. +There are 54 ambiguities and indeed +all S-polynomials reduce to zero, see the accompanying Mathematica file at +http://gregensburger.com/softw/tenres/. Here, we just give two short ex- +amples. The first one illustrates in its last step of computation that also iden- +44 + +tities in MR, like the Leibniz rule, need to be used. +SP(IRD, DR) = (f − E ⊗ f − +� +⊗ ∂f) ⊗ g − +� +⊗ f ⊗ (g ⊗ ∂ + ∂g) +→rRR fg − E ⊗ fg − +� +⊗ (∂f)g − +� +⊗ fg ⊗ ∂ − +� +⊗ f∂g +→rIRD − +� +⊗ (∂f)g + +� +⊗ ∂fg − +� +⊗ f∂g += +� +⊗ (−(∂f)g + ∂fg − f∂g) = 0 +The second one illustrates that ambiguities involving specialization also need to +be considered. +SP(ΦΦ, EI) = (ϕ1)E ⊗ +� +− ϕ ⊗ 0 →rEI 0 +Since all ambiguities are resolvable, by Theorem A.1 every element in K⟨M⟩ has +a unique normal form and R⟨∂, +� +, Φ⟩ ∼= K⟨M⟩irr as K-rings. +It remains to determine the explicit form of elements in K⟨M⟩irr. In order to +do so, we determine the set of irreducible words ⟨X⟩irr in ⟨X⟩. Irreducible words +containing only the letters K, ˜R, E, ˜Φ have to avoid the subwords arising from +the reduction rules K, S(RR) = {KK, K˜R, ˜RK, ˜R˜R}, S(ΦΦ) = {EE, E˜Φ, ˜ΦE, ˜Φ˜Φ}, +and S(ΦRΦ). Hence they are given by +ǫ, ˜R, E, ˜Φ, ˜RE, ˜R˜Φ, E˜R, ˜Φ˜R, ˜RE˜R, ˜R˜Φ˜R +Allowing also the letter D, we have to avoid the subwords coming from S(DR) = +{DK, D˜R} and S(DΦ) = {DE, D˜Φ}. Therefore, we can only append words Dj +with j ∈ N0 to the irreducible words determined so far, in order to obtain all +elements of ⟨X⟩irr not containing the letter I. Finally, we also consider the letter +I. Since we have to avoid the subwords S(IΦ) = {IE, I˜Φ}, ID, and II, any letter +immediately following I has to be ˜R. In addition, we have to avoid the subwords +S(IRΦ) = {IKE, IK˜Φ, I˜RE, I˜R˜Φ}, S(IRD) = {IKD, I˜RD}, and S(IRI) = {IKI, I˜RI}, +so the letter I cannot be followed by a subword of length greater than one. +Therefore, the letter I can appear at most once in an element of ⟨X⟩irr and, since +subwords EI and DI have to be avoided, it can only be immediately preceded by +the letters ˜R or ˜Φ. Altogether, the elements of ⟨X⟩irr are precisely of the form +˜RUDj +or +˜RV I˜R, +where j ∈ N0 and each of ˜R and U ∈ {E, ˜Φ, E˜R, ˜Φ˜R} and V ∈ {˜Φ, E˜R, ˜Φ˜R} may +be absent. +Remark A.6. As discussed in Remark 2.12, the induced evaluation of an +integro-differential ring often is multiplicative in concrete examples. Also when +considering several point evaluations of regular functions, the resulting func- +tionals are multiplicative, i.e. ϕfg = (ϕf)ϕg for all f, g ∈ R. We discuss how +reflecting this additional property of some functionals in the ring of operators +influences the normal forms of operators. To this end, we consider a subset +Φm ⊆ {ϕ ∈ Φ | ϕ is multiplicative and ϕ1 = 1} +45 + +of Φ, which may or may not include the evaluation E. For the corresponding +elements ϕ ∈ Φm in R⟨∂, +� +, Φ⟩, we impose +ϕ · f = (ϕf)ϕ +for all f ∈ R. +To model this identity by reduction rules, we consider the +submodule +MΦm := KΦm +of MΦ. Evidently, we have the decomposition +MΦ = ME ⊕ M˜Φm ⊕ M˜Φ +where the submodules M˜Φm and M˜Φ are generated by Φm \ {E} and Φ \ ({E} ∪ +Φm), respectively. We include the reduction rule +(ΦmR, ϕ⊗f �→ (ϕf)ϕ) +into Tables 4 and 5, where ϕ in the formula defining this K-bimodule homomor- +phism on MΦmR is not a general element of MΦm but of Φm and the definition +needs to be extended by left K-linearity to all of MΦmR. +Theorem A.5 generalizes to this situation with the additional restriction on +normal forms in K⟨M⟩ that h needs to be absent whenever ϕ ∈ Φm. +The +proof is analogous by adapting the alphabets and the order accordingly. The +additional reduction rule gives rise to additional ambiguities, whose resolvability +is also checked in the Mathematica file. Determination of irreducible words also +needs to be adapted accordingly. The resulting theorem includes Theorem A.5 +for Φm = ∅ and it includes Theorem 27 from [14] for Φm = Φ, i.e. when all +functionals are multiplicative. +References +[1] Matthias Aschenbrenner, Lou van den Dries, and Joris van der Hoeven, +Asymptotic differential algebra and model theory of transseries, Annals of +Mathematics Studies, vol. 195, Princeton University Press, Princeton, NJ, +2017. +[2] Vladimir V. Bavula, The algebra of integro-differential operators on a poly- +nomial algebra, J. Lond. Math. Soc. (2) 83 (2011), 517–543. +[3] George M. Bergman, The diamond lemma for ring theory, Adv. in Math. +29 (1978), 178–218. +[4] Bruno Buchberger, An algorithm for finding the bases elements of the +residue class ring modulo a zero dimensional polynomial ideal (German), +Ph.D. thesis, University of Innsbruck, 1965. +46 + +[5] Thomas Cluzeau, Jamal Hossein Poor, Alban Quadrat, Clemens G. 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Combin. +1 (1980), no. 2, 175–188. +[36] Joris van der Hoeven, Transseries and real differential algebra, Lecture +Notes in Mathematics, vol. 1888, Springer-Verlag, Berlin, 2006. +49 + diff --git a/QNFPT4oBgHgl3EQfojUh/content/tmp_files/load_file.txt b/QNFPT4oBgHgl3EQfojUh/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..cadc9eb49de3f6c022a991693b3bb5dc366c164a --- /dev/null +++ b/QNFPT4oBgHgl3EQfojUh/content/tmp_files/load_file.txt @@ -0,0 +1,1782 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf,len=1781 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='13134v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='RA] 30 Jan 2023 The fundamental theorem of calculus in differential rings Clemens G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Raaba,∗ and Georg Regensburgera,b aInstitute for Algebra, Johannes Kepler University Linz, Austria bInstitute of Mathematics, University of Kassel, Germany clemensr@algebra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='uni-linz.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='at regensburger@mathematik.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='uni-kassel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='de Abstract In this paper, we study the fundamental theorem of calculus and its consequences from an algebraic point of view.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For functions with singu- larities, this leads to a generalized notion of evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We investigate properties of such integro-differential rings and discuss many examples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We also construct corresponding integro-differential operators and pro- vide normal forms via rewrite rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' They are then used to derive several identities and properties in a purely algebraic way, generalizing well-known results from analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In identities like shuffle relations for nested integrals and the Taylor formula, additional terms are obtained that take singular- ities into account.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Another focus lies on treating basics of linear ODEs in this framework of integro-differential operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' These operators can have matrix coefficients, which allow to treat systems of arbitrary size in a unified way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the appendix, using tensor reduction systems, we give the technical details of normal forms and prove them for operators including other functionals besides evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Keywords Integro-differential rings, integro-differential operators, normal forms, generalized shuffle relations, generalized Taylor formula 1 Introduction Differential rings are a well-established algebraic structure for modelling dif- ferentiation by derivations, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' linear operations satisfying the Leibniz rule.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More recently, integro-differential algebras have been introduced to additionally model integration and point evaluation of continuous univariate functions by ∗Corresponding author 1 linear operations satisfying corresponding algebraic identities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In contrast, the integro-differential rings introduced in this paper only use the two identities d dx � x a f(t) dt = f(x) and � x a f ′(t) dt = f(x) − f(a) of the fundamental theorem of calculus and the Leibniz rule as axioms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, this results in a generalized notion of evaluation that is only required to map to constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This allows to deal with evaluations of functions even if singularities or discontinuities are present.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For example, it is natural to consider integro-differential rings containing the rational functions leading to so-called hyperlogarithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It turns out that many analytic identities and general statements about ODEs, like variation of constants, have a purely algebraic proof in integro- differential rings that is independent of the analytic properties of concrete functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Likewise, computations with and transformations of linear integro- differential equations and initial conditions can be done in this algebraic setting as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, exploring algebraic consequences of the Leibniz rule and the fundamental theorem of calculus, we also find new results that introduce additional evaluation terms into identities like shuffle relations for nested inte- grals and the Taylor formula.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In short, we investigate the analytic operations of differentiation, integration, and evaluation from a purely algebraic point of view.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In this context, we implement in some sense the somewhat provocative statement of Rota [33, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 57] that “the algebraic structure sooner or later comes to dominate [.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Algebra dictates the analysis.” In order to study linear integro-differential equations and identities, we use the operator point of view, which treats identities of functions as identities of corresponding linear operators acting on them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To this end, we algebraically construct the ring of integro-differential operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For simplifying expressions for operators, we use identities as rewrite rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As a key result, we work out a particular rewrite system that can be applied straightforwardly to obtain nor- mal forms and to prove any algebraic identity of integro-differential operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Our construction of the ring of operators can be used for operators with scalar coefficients and for operators with matrix coefficients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, it allows to uniformly deal with scalar equations as well as with systems, even of undeter- mined size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Preliminary versions of some results presented in this paper have already been presented by the authors at the conference “Differential Algebra and Related Topics” (DART VII) in 2016.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A related approach was taken in the work of Danuta Przeworska-Rolewicz, see for example [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In short, she considers a right invertible linear operator on a vector subspace as a generalization of derivation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Right inverses and projec- tions onto the kernel take the role of integration and evaluation, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In this linear setting, she develops algebraic generalizations of results for calculus and linear differential equations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' She refers to this as algebraic analysis, see also [24] for historic context and references.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Several results, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' a Taylor for- mula, can be formulated already in this purely linear setting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For other results, multiplication in a commutative algebra is considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In some statements, the 2 Leibniz rule or weakened versions of it are needed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' However, she does not con- sider shuffle relations for nested integrals or additional evaluation terms in the Taylor formula.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Her treatment of operators is limited to properties and iden- tities of given operators and she does not consider rings generated by them or normal forms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Integro-differential algebras and operators over a field of constants were al- ready introduced in [29, 30], see [31] for a detailed overview and further refer- ences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More general differential algebras with integration over rings were intro- duced in [11], see [12] for a unified presentation and comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In contrast, the integro-differential rings defined in [14, 13] require the integration to be linear over all constants, but the construction of corresponding operators introduced there allows noncommutative coefficients and constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Further references to the literature can be found in the respective sections of the present paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So far, all algebraic treatments of integro-differential operators in the litera- ture restrict to multiplicative evaluations, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' evaluation of a product is the prod- uct of the individual evaluations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assuming only the Leibniz rule and the iden- tities of the fundamental theorem of calculus, we deal with non-multiplicative evaluations quite naturally in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section 2, we introduce (general- ized) integro-differential rings following this principle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Analyzing the relations imposed, we show for example that any linear projection onto constants may be used as the evaluation of such an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We also present many examples, both with multiplicative and with non-multiplicative evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Re- mark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='12 discusses the differences among our definition and the definitions in the literature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section 3, we investigate identities satisfied by integrals and their prod- ucts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This reveals a generalization of the Rota-Baxter identity for integration that contains an additional evaluation term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Focusing on nested integrals, we discover generalized shuffle relations with elaborate additional terms involving nested integrals of lower depth.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We also characterize properties of repeated in- tegrals of 1, which form the smallest integro-differential ring with given ring of constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Linear integro-differential operators with coefficients in arbitrary (gener- alized) integro-differential rings are constructed algebraically in Section 4 by generators and relations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Working at the operator level enables statements of broader applicability, since operators not only act on integro-differential rings but also on more general modules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We compute a complete set of rewrite rules to simplify such operators to normal form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A precise analysis of the uniqueness of these normal forms is presented in the appendix only, since it requires a re- fined construction relying on tensor rings (like in [14, 13] for the multiplicative case).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' After a largely self-contained introduction to tensor reduction systems in the appendix, this is carried out in Section A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4 allowing also other functionals besides evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we collect properties of integro-differential operators with coefficients from an integral domain (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' analytic functions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, we also characterize the action of such operators when evaluation is multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the remaining sections, we illustrate how computations in the ring of 3 integro-differential operators can be used to prove and generalize well-known results from analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For example, variation of constants remains valid for ar- bitrary integro-differential rings, which is the focus of Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, we also detail how integro-differential operators with noncommutative coeffi- cients can be used for proving statements about systems of arbitrary or even undetermined size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section 6, we discuss how results from analysis need to be modified for allowing the induced evaluation to be non-multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, we look at the formula for variation of constants, which for multiplicative eval- uations automatically satisfies homogeneous initial conditions, and include an extra term to retain this property in general.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Finally, we present a version of the Taylor formula with integral remainder term that is valid also for generalized evaluations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Conventions Throughout the paper, rings are implicitly assumed to have a unit element and to be different from the zero ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Unless stated other- wise, rings are not assumed to be commutative and can be of arbitrary char- acteristic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Nevertheless, for easier reading, we use the notions of modules and linear maps from the commutative setting to refer to bimodules and bimodule- homomorphisms over noncommutative rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In addition, we use operator no- tation for linear maps, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' the Leibniz rule for the derivative of products then reads ∂fg = (∂f)g + f∂g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 2 Integro-differential rings To uniformly deal with differentiation of various kinds of functions, we use a few basic abstract notions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Recall from differential algebra that a derivation on a ring R is an additive map ∂ : R → R that satisfies the Leibniz rule ∂fg = (∂f)g + f∂g (1) for all f, g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, (R, ∂) is called a differential ring and f ∈ R is called a constant in this differential ring if and only if ∂f = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is easy to see that the set of constants forms a subring of R and ∂ is linear w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' the ring of its constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For further theory of differential rings see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In addition, we introduce the following notions of integration and evaluation in differential rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂) be a differential ring and let C be its ring of con- stants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We call a C-linear map � : R → R an integration on R, if ∂ � f = f (2) holds for all f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A C-linear functional e: R → C which acts on C as the identity is called an evaluation on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In other words, integrations on differential rings are right inverses of the derivation that are linear over the constants and evaluations on differential rings are C-linear projectors onto the ring of constants C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 4 Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂) be a differential ring and let � : R → R be an integration on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We call (R, ∂, � ) a (generalized) integro-differential ring and we define the (induced) evaluation E on R by Ef := f − � ∂f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (3) If in addition R is a field or skew field, then we also call (R, ∂, � ) a (generalized) integro-differential (skew) field, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This extends the definition of integro-differential rings in [14] by dropping the additional requirement that the induced evaluation should be multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the present paper, the notion of integro-differential rings always refers to Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The following lemma shows that in any integro-differential ring, the (induced) evaluation E is indeed an evaluation as defined in Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, the ring R can be decomposed as direct sum of constant and non- constant “functions”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring with constants C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, for all f ∈ R and c ∈ C, we have Ef ∈ C, E � f = 0, and Ec = c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, R = C ⊕ � R as direct sum of C-modules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, we compute ∂Ef = ∂(f − � ∂f) = ∂f − ∂f = 0 and E� f = � f − � ∂ � f = 0 for f ∈ R as well as Ec = c− � ∂c = c for c ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For any f ∈ R, we have f = Ef + f − Ef = Ef + � ∂f and hence R = C + � R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let f ∈ C ∩ � R and g ∈ R such that f = � g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, 0 = ∂f = ∂ � g = g, which implies f = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, the sum R = C + � R is direct.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By the previous lemma, any integration induces an evaluation by id − � ∂.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Conversely, any evaluation e can be used to define an integration that has e as its induced evaluation, as the following theorem shows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is easy to see that two different integrations cannot have the same induced evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, on differential rings with ∂R = R, there is a one-to-one correspondence of integrations and evaluations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂) be a differential ring such that ∂R = R and let e be an evaluation on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Define � e : R → R by � ef := g − eg for all f ∈ R, where g ∈ R is such that ∂g = f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then (R, ∂, � e) is an integro- differential ring and the induced evaluation is E = e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, any integration � on R can be obtained from its induced evaluation E via this construction: � = � E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let C be the ring of constants of (R, ∂).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, we show that � e is well- defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If g, ˜g ∈ R are such that ∂g = ∂˜g, then with c := ˜g − g ∈ C we 5 have ˜g − e˜g = g + c − eg − ec = g − eg, since ec = c by definition of e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For showing C-linearity of � e, we let c ∈ C and f1, f2, g1, g2 ∈ R with ∂gi = fi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, ∂(cg1 + g2) = cf1 + f2 together with C-linearity of id − e implies C- linearity of � e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, (R, ∂, � e) is an integro-differential ring, since we also have ∂ � ef = f by construction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The induced evaluation is given by Ef = f − � e∂f = f − (f − ef) = ef for f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let � : R → R be any C-linear right inverse of ∂, E its induced evaluation, and f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we have � Ef = � f − E� f = � f by definition of � E and by Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, if (R, ∂, � ) is an integro-differential ring and e is any evaluation on R, then the integration that induces e can be given in terms of � by � e := � − e � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (4) This implies that the difference of two integrations � 1, � 2 on the same differential ring can be given as � 1− � 2 = E2 � 1 = −E1 � 2 in terms of the induced evaluations E1, E2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More generally, if (R, ∂, � ) is an integro-differential ring with constants C and e : R → C is only C-linear, then � e defined by (4) can be easily seen to be an integration on R and its induced evaluation is given by e + (id − e)E, which agrees with e if and only if the latter is an evaluation (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' e1 = 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, � R is a direct complement of C in an integro-differential ring R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Conversely, any direct complement of C gives rise to an evaluation on R, which in turn induces an integration by Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More precisely, we have the following characterization of integro-differential rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂) be a differential ring with ring of constants C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, (R, ∂) can be enriched into an integro-differential ring if and only if ∂R = R and C is a complemented C-module in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, if ∂R = R, there exists a one- to-one correspondence between direct complements of C in R and integrations on (R, ∂).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This characterization shows that on an integro-differential ring (R, ∂, � ), in general, there are many other integrations that make R into an integro- differential ring with the same derivation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In contrast, the following character- ization shows that, in general, ∂ is the only derivation that turns R into an integro-differential ring with the same integration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let R be a ring, let C be a subring of R, and let � : R → R be a C-linear map.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, there exists a derivation ∂ on R such that (R, ∂, � ) is an integro-differential ring with constants C if and only if the following conditions hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � is injective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' R = C ⊕ � R 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ( � f) � g − � ( � f)g − � f � g ∈ C for all f, g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 6 Moreover, this derivation is unique if it exists.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, it is easy to see, from injectivity of � and by R = C ⊕ � R, that there exists a C-linear map ∂ : R → R such that ker ∂ = C and ∂ � = id and that this map is unique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To show that ∂ is indeed a derivation, we verify the Leibniz rule on two arbitrary elements of R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By R = C ⊕ � R, we write these two elements as c+ � f and d+ � g with c, d ∈ C and f, g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, we compute ∂(c + � f)(d + � g) − (∂(c + � f))(d + � g) − (c + � f)∂(d + � g) = ∂( � f) � g − f � g − ( � f)g = ∂ � ( � f) � g − � ( � f)g − � f � g � , which is zero by ker ∂ = C and the last assumption on � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Conversely, if (R, ∂, � ) is an integro-differential ring with constants C, then injectivity of � follows from the definition (2) and the other two conditions on � follow from Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 and Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is straightforward to equip the matrix ring over an integro-differential ring with an integro-differential ring structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Such noncommutative integro- differential rings are relevant when working with linear systems, see Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring with constants C and let n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, (Rn×n, ∂, � ) is an integro-differential ring with constants Cn×n, where operations ∂, � , E act on matrices by applying the corresponding operation entrywise in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Clearly, ∂, � , E are Cn×n-linear on Rn×n satisfying ∂ � A = A and � ∂A = A − EA for all A ∈ Rn×n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, it is straightforward to verify that ∂ is a derivation on R with constants Cn×n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Basic examples for commutative integro-differential rings are univariate polynomials C[x] and formal power series C[[x]] over a commutative ring C with Q ⊆ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The derivation is given by ∂ = d dx with ring of constants C and integration is defined C-linearly by � xn = xn+1 n + 1 for all n ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The induced evaluation extracts the constant coefficient and corresponds to evaluation at 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If C ⊆ C, the integration � corresponds to integration � x 0 from 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Also the rings of complex-valued smooth or analytic functions on a (possibly unbounded) interval I ⊆ R together with derivation ∂ = d dx and integration � = � x a , for fixed a ∈ I, are integro-differential rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the induced evaluation is the evaluation of functions at the point a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, the ring of exponential polynomials on the real line generated by polynomials and exponential functions is closed under differentiation and integration and hence is an integro-differential ring as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Algebraically, for any field C of characteristic zero, we can consider the ring of exponential polynomials 7 C[x, eCx], where ecxedx = e(c+d)x for all c, d ∈ C and e0x = 1, together with derivation ∂ = d dx and with the integration that is induced by evaluation at 0 based on Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A basic example of integro-differential rings of arbitrary charac- teristic are Hurwitz series, which are closely related to formal power series and have been defined in [16, 17], with derivation ∂(a0, a1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ) = (a1, a2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ) and integration given by � (a0, a1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ) = (0, a0, a1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ), see also [18].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The examples mentioned so far have the special property that the evalua- tion of the integro-differential ring is multiplicative, as in the usual definition of integro-differential algebras.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' However, for certain differential rings (in particu- lar for differential fields, cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Corollary 5 in [31]), it is not possible to define a multiplicative evaluation for the following reason.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If the induced evaluation is multiplicative, one can see easily that no element of � R can have a multiplicative inverse.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since otherwise we would have Ef 1 f = E1 = 1 and (Ef)E 1 f = 0E 1 f = 0 for such f ∈ � R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Analytically, if evaluation should correspond to evaluation of functions at a fixed point a for functions that are continuous at a, then requiring multiplica- tivity of evaluation means that functions with poles at a cannot be considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, if a function f has a pole of order m at a, then evaluation of the product (x − a)mf gives a nonzero value, but the factor (x − a)m evaluates to zero at a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the following theorem, based on results from the literature, we briefly characterize when the induced evaluation is multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' From (3) it imme- diately follows that the identity (7) is equivalent to multiplicativity of E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since in integro-differential rings � is C-linear by definition, we have the following characterization of integro-differential rings with multiplicative evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then the following properties are equivalent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' E is multiplicative, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' for all f, g ∈ R we have Efg = (Ef)Eg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (5) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � satisfies the Rota-Baxter identity, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' for all f, g ∈ R we have (� f)� g = � (� f)g + � f� g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (6) 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The hybrid Rota-Baxter identity holds, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' for all f, g ∈ R we have ( � ∂f) � ∂g = ( � ∂f)g + f � ∂g − � ∂fg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (7) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since (R, ∂) is a differential Z-algebra of weight 0 and � is Z-linear, this immediately follows from items (b), (g), and (a) of Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 in [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 8 Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the literature, integro-differential K-algebras (of weight 0) over a commutative ring K with unit element are defined as differential K- algebras where the additional map � is only required to be K-linear, but has to satisfy the hybrid Rota-Baxter axiom (7) in addition to (2), see [12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Analo- gously, the more general notion of differential Rota-Baxter K-algebras (of weight 0) imposes the Rota-Baxter identity (6) instead of (7) in addition to (2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' On a differential Rota-Baxter K-algebra with constants C, a K-linear map E is defined by (3) as well and, by Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 in [12], properties (5), (7), and C-linearity of � are equivalent, see also Proposition 10 in [31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By the previous theorem, any (generalized) integro-differential ring with constants C is an integro-differential K-algebra for K = Z and for K = C ∩Z(R) (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' K = C, if R is commutative) if any of the equivalent conditions holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Conversely, any differential Rota-Baxter K-algebra (of weight 0) is an integro- differential ring if and only if � is linear over the constants C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, this is automatically the case for integro-differential K-algebras (of weight 0) by Proposition 10 in [31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For concrete differential Rota-Baxter algebras (of weight 0) where � is not C-linear, see Example 3 in [30] and the algebraic analog of piecewise functions constructed in [32].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As a basic example for integro-differential rings with non-multiplicative eval- uation, we extend the polynomial ring C[x] over a commutative ring C with Q ⊆ C by adjoining the multiplicative inverse x−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In order to have a surjective derivation ∂ = d dx, we also need to adjoin the logarithm ln(x) as in the following example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' On C[x, x−1, ln(x)], with Q ⊆ C and ∂ = d dx, we can define the C-linear integration recursively as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � xk ln(x)n := \uf8f1 \uf8f4 \uf8f4 \uf8f2 \uf8f4 \uf8f4 \uf8f3 xk+1 k+1 k ̸= −1 ∧ n = 0 xk+1 k+1 ln(x)n − n k+1 � xk ln(x)n−1 k ̸= −1 ∧ n > 0 ln(x)n+1 n+1 k = −1 The same recursive definition also works on the larger ring C((x))[ln(x)] of formal Laurent series with logarithms, where every element can be written in the form �∞ k=−m �m n=0 ck,nxk ln(x)n for some m ∈ N and ck,n ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In both cases, the induced evaluation acts by E ∞ � k=−m m � n=0 ck,nxk ln(x)n = c0,0 and is not multiplicative as expected by Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, for the integro- differential subrings of polynomials or formal power series, this evaluation cor- responds to the usual multiplicative evaluation at 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Rational functions together with nested integrals of rational functions also form an integro-differential ring with non-multiplicative evalua- tion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Algebraically, if C is a field of characteristic zero, this can be understood 9 as an integro-differential subring of C((x))[ln(x)] with integration � as in the previous example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In fact, this ring is the smallest integro-differential ring con- taining C(x) and is generated as a C(x)-vector space by 1 and all nested inte- grals � f1 � f2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � fn of arbitrary depth n ≥ 1, where fi ∈ C(x) are proper and have irreducible denominators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, if C = C, the integrands can be chosen as fi = 1 x−ai with ai ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' These kind of nested integrals are called hyperlogarithms [21] and have been investigated already in [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In [12], the free integro-differential algebra (having multiplicative evaluation) generated by C(x) has been constructed at the somewhat unnatural expense that � 1 ̸∈ C(x) and the constants of the resulting differential ring contain much more than just C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Another example of an integro-differential ring that contains the rational functions are the D-finite functions [35].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' They are characterized as solutions of linear differential equations with rational function coefficients and indeed form a differential ring with surjective derivation d dx.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since the constants of this differential ring are given by C, there exists an integration by Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' All the examples considered above are just rings, not fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In contrast, transseries R[[[x]]] are an explicit construction of a differential field (with field of constants R) that is closed under taking antiderivatives, see [36, 8, 1] and references therein.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Thus, R[[[x]]] can be turned into an integro-differential field by Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 whose evaluation necessarily is non- multiplicative by Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As shown by Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5, in general, there are many different choices for an integration � in order to turn a differential ring with ∂R = R into an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' On the same differential ring, for some integrations the induced evaluation is multiplicative and for others it is not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It may even be the case that a canonical choice of � yields a non-multiplicative evaluation while there are other choices that would give a multiplicative evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, this is the case for exponential polynomials, for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' They were mentioned above with a multiplicative evaluation, while the following canonical definition of � gives rise to a non-multiplicative one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The ring of exponential polynomials C[x, eCx] over a field C of characteristic zero is C-linearly generated by terms of the form xkecx with k ∈ N and c ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Apart from the evaluation-based integration on C[x, eCx] mentioned above, it is quite natural to define a C-linear integration � recursively as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � xkecx := \uf8f1 \uf8f4 \uf8f4 \uf8f2 \uf8f4 \uf8f4 \uf8f3 xk+1 k+1 c = 0 1 cecx k = 0 ∧ c ̸= 0 1 cxkecx − k c � xk−1ecx k > 0 ∧ c ̸= 0 In terms of the Pochhammer symbol (a)k := a·(a + 1)· .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ·(a + k − 1), � can be 10 given explicitly as � xkecx = k � i=0 (−k)k−ici−k−1xiecx.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the induced evaluation Ef := f − � ∂f acts by Exkecx = � 1 k = c = 0 0 otherwise and is not multiplicative since we have Eecxe−cx = E1 = 1 but Ee±cx = 0 for any c ̸= 0, for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' On the other hand, C[x, ex] is an integro-differential subring with multiplicative evaluation, for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' With this integration, for instance, the subset C[x, ex]ex is closed under addition, multiplication, derivation, and integration and, hence, could be viewed as an integro-differential subring with- out unit element and having multiplicative evaluation and the zero ring as its constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' All the examples with explicit integration discussed so far contain an integro- differential subring on which the induced evaluation is multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In general, however, this need not be the case as the following example shows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' On C[x] with the usual derivation and Q ⊆ C, for example, we can define a C-linear integration by � xn = xn+1 n+1 + c for all n ∈ N for any fixed c ∈ Z(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Such an integration induces the evaluation Ef = f(0) − cf ′(1) on C[x], which is not multiplicative if c ̸= 0 (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' f = x and g = x2 − 2x yield Eg = 0 and Efg = c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 3 Products of nested integrals In integro-differential rings with multiplicative evaluation the standard Rota- Baxter identity (6) allows to write the product of integrals as a sum of two nested integrals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For nested integrals, this leads to shuffle identities [27] where a product of two nested integrals is expressed as a sum of nested integrals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More generally, for Rota-Baxter operators with weight and corresponding shuffle products involving additional terms, see [10] and references therein.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In general integro-differential rings, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' if E is not multiplicative, additional terms involving the evaluation arise in the identities (6) and (7) and also in the shuffle identi- ties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that all evaluation terms are evaluations of products of integrals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, they vanish if E is multiplicative, since E� f = 0 for all f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then the Rota- Baxter identity with evaluation ( � f) � g = � f � g + � ( � f)g + E( � f) � g (8) holds for all f, g ∈ R as well as ( � ∂f) � ∂g = ( � ∂f)g + f � ∂g − � ∂fg − E( � ∂f) � ∂g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (9) 11 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Using (3), we can effect the decomposition of R shown in Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For ( � f) � g, we thereby obtain the decomposition � ∂( � f) � g + E( � f) � g, which implies (8) by the Leibniz rule for the derivation ∂.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By � ∂f = f − Ef, � ∂g = g − Eg, and � ∂fg = fg − Efg, one can write (9) in a form that can be easily verified using the fact that E is an evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As a first application, we show that in every integro-differential ring the re- peated integrals of 1 give rise to an integro-differential subring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is the smallest integro-differential ring with the same constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In characteristic zero, this ring consists of the univariate polynomials with coefficients in the constants and, for nonzero characteristic, it consists of a finite version of Hurwitz series [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring with constants C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For all n ≥ 1, let xn := � n1 ∈ R and let x0 := 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, 1, x1, x2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' commute with all elements of C and are C-linearly independent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The C-module P := spanC{1, x1, x2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='} is an integro-differential subring of R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If Q ⊆ R, then P = C[x1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, E is multiplicative on P if and only if Exmxn = 0 for m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assuming E is multiplicative on P, then we have xmxn = �m+n m � xm+n and, if in addition Q ⊆ R, xn = 1 n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xn 1 for m, n ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since � is C-linear, every element of C commutes with xi for every i ∈ N, even if R or C is noncommutative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So, every element of P is of the form �n i=0 cixi, for some ci ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To show C-linear independence of x0, x1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , let n ∈ N be minimal such that there are c0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , cn ∈ C with cn ̸= 0 and �n i=0 cixi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, �n−1 i=0 ci+1xi = ∂ �n i=0 cixi = 0 would imply n = 0 by minimality of n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Because this would yield c0 = 0, we conclude that x0, x1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' are C-linearly independent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Obviously, P is closed under ∂ and � since both operations are C-linear with ∂xn ∈ P and � xn = xn+1 for all n ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For showing that P is closed under multiplication, it suffices to show that xmxn ∈ P for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We proceed by induction on the sum n + m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For m = n = 1 we have x2 1 = 2x2 + Ex2 1 by (8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For m + n > 2 we have xmxn = � xm−1xn + � xmxn−1 + Exmxn by (8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By the induction hypothesis, xm−1xn and xmxn−1 are in P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, the same is also true after applying � , which completes the induction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, P is an integro-differential subring of R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For showing P = C[x1], it is sufficient to prove that every xn is contained in C[x1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By (8), we obtain xn+1 = x1xn − � xn−1x1 − Ex1xn for all n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, xn ∈ C[x1] follows by induction, if C[x1] is closed under � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assuming Q ⊆ R, we verify that � xn 1 − 1 n+1xn+1 1 ∈ C for all n ≥ 1 by applying ∂ to it, which shows � xn 1 ∈ C[x1] for all n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, any xn with n ≥ 1 satisfies Exn = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So, if E is multiplicative on P, then trivially Exmxn = (Exm)Exn = 0 for m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Conversely, since P 12 is generated by 1, x1, x2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' as a C-module, we know that � P is generated by x1, x2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' as a C-module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, applying E to the product of two elements of � P gives 0, if Exmxn = 0 for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, using the decomposition P = C ⊕ � P given by Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, we conclude that E is multiplicative on P, if Exmxn = 0 for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, we assume E is multiplicative on P and let m, n ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If m + n ≤ 1, then xmxn = �m+n m � xm+n and xn = 1 n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xn 1 hold trivially.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For m + n ≥ 2, it fol- lows inductively by (8) that xmxn = � �m+n−1 m−1 � xm+n−1 + � �m+n−1 m � xm+n−1 = �m+n m � xm+n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, for n ≥ 2, x1xn−1 = nxn implies xn = 1 n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xn 1 induc- tively, if Q ⊆ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Even if E is not multiplicative on P, we can analyze some properties of the sequence of constants cm,n := Exmxn with n, m ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By C-linearity of � and E, it trivially follows that all cm,n are in Z(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It can be shown that all xn commute with each other w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' multiplication if and only if the sequence cm,n is symmetric.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If Q ⊆ R, it can be shown by lengthy computation that the constants cm,n are determined by all c1,n via the recursion cm,n = 1 m ��m+n−1 m−1 � c1,m+n−1 + m−2 � j=0 n−1 � k=1 �j+k j � c1,j+kcm−j−1,n−k � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To express xn in terms of powers of x1 in general, for Q ⊆ R, we obtain the recursion xn = 1 n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xn 1 − �n i=2 1 i!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xn−iExi 1 from Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 in [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 Generalized shuffle relations In this section, we let (R, ∂, � ) be a commutative integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Iter- ating the standard Rota-Baxter identity (6) leads to shuffle relations for nested integrals expressing a product of two nested integrals of depth m and n as a sum of nested integrals of depth exactly m + n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Also by recursively applying the Rota-Baxter identity with evaluation (8), products of nested integrals can be rewritten in R as sums of nested integrals where also terms of lower depth may occur.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For convenient notation of the formulae involved, it is standard to work in tensor products of R and to use the shuffle product, which we recall in the following (see [10] for example).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We consider the C-module C⟨R⟩ := �∞ n=0 R⊗n, where the tensor prod- uct is taken over C and the empty tensor is denoted by ε.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let pure tensors a1⊗ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ⊗an ∈ C⟨R⟩ represent nested integrals � a1 � a2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � an ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More for- mally, by C-linearity of � , we consider the unique C-module homomorphism ϕ : C⟨R⟩ → R such that ϕ(a1⊗ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ⊗an) = � a1 � a2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � an ∈ R and ϕ(ε) = 1 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For pure tensors a ∈ C⟨R⟩, we denote shortened versions of them by aj i := ai⊗ai+1⊗ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ⊗aj, where aj i := ε ∈ R⊗0 if i = j + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The 13 shuffle product on C⟨R⟩ can be recursively defined as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For pure tensors a, b ∈ C⟨R⟩ of length m and n, respectively, we set a � b := � a ⊗ b if m = 0 ∨ n = 0 a1 ⊗ (am 2 � b) + b1 ⊗ (a � bn 2) otherwise in R⊗(m+n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Extending this definition to C⟨R⟩ by C-linearity, the shuffle product turns C⟨R⟩ into a commutative C-algebra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Using the shuffle product for pure tensors, the product of nested integrals in R can now be represented as sum of nested integrals as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The constant coefficients of nested integrals of lower depth are evaluations of products of integrals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, if E is multiplicative, then we recover the standard shuffle relations [27] with all these constant coefficients equal zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be a commutative integro-differential ring with constants C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let f, g ∈ C⟨R⟩ be pure tensors of length m and n, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the product of the nested integrals ϕ(f) = � f1 � f2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � fm and ϕ(g) = � g1 � g2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � gn is given by ϕ(f)ϕ(g) = ϕ(f � g) + m−1 � i=0 n−1 � j=0 e(f m i+1, gn j+1)ϕ(f i 1 � gj 1) ∈ R (10) with constants e(f m i+1, gn j+1) := Eϕ(f m i+1)ϕ(gn j+1) ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Without loss of generality, assume m ≤ n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We proceed by induction on m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If m = 0, then f = cε for some c ∈ C and the equation (10) reads cϕ(g) = ϕ(cε ⊗ g), which is trivially true since cε ⊗ g = cg and ϕ is C-linear.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For m ≥ 1, we proceed by induction on n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By virtue of (8), for n ≥ m, we have ϕ(f)ϕ(g) = � f1ϕ(f m 2 )ϕ(g) + � ϕ(f)g1ϕ(gn 2 ) + e(f, g).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The product ϕ(f m 2 )ϕ(g) is covered by the induction hypothesis on m so that we obtain � f1ϕ(f m 2 )ϕ(g) = � f1ϕ(f m 2 � g) + m−1 � i=1 n−1 � j=0 e(f m i+1, gn j+1) � f1ϕ(f i 2 � gj 1) by (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The product ϕ(f)ϕ(gn 2 ) is covered by the induction hypothesis on n (or on m, if n = m) so that (10) yields � ϕ(f)g1ϕ(gn 2 ) = � g1ϕ(f � gn 2 ) + m−1 � i=0 n−1 � j=1 e(f m i+1, gn j+1)� g1ϕ(f i 1 � gj 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By definition of ϕ and �, we have � f1ϕ(f m 2 � g) + � g1ϕ(f � gn 2 ) = ϕ(f � g) and similarly � f1ϕ(f i 2 � gj 1) + � g1ϕ(f i 1 � gj 2) = ϕ(f i 1 � gj 1) for i, j ≥ 1 as well as � f1ϕ(f i 2 � g0 1) = ϕ(f m 1 � g0 1) and � g1ϕ(f 0 1 � gj 2) = ϕ(f 0 1 � gj 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, 14 this yields ϕ(f)ϕ(g) = ϕ(f � g) + m−1 � i=1 n−1 � j=1 e(f m i+1, gn j+1)ϕ(f i 1 � gj 1) + m−1 � i=1 e(f m i+1, gn 1 )ϕ(f m 1 � g0 1) + n−1 � j=1 e(f m i+1, gn j+1)ϕ(f 0 1 � gj 1) + e(f, g), which proves (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 4 Integro-differential operators In the following, starting from a given integro-differential ring (R, ∂, � ), we define the corresponding ring of operators by generators ∂, � , E and relations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As additive maps on R, any f ∈ R acts as multiplication operator g �→ fg and satisfies certain identities together with the maps ∂, � , E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Those identities of additive maps that correspond to the defining properties of the operations on R will be used as defining relations for the abstract ring of operators below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, the Leibniz rule ∂fg = f∂g + (∂f)g of the derivation ∂ on R implies the identity ∂ ◦ f = f ◦ ∂ + ∂f of additive maps for every multiplication operator f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This motivates the identity (11) in the definition below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Sim- ilarly, the identities (2) and (3) in R give rise to the identities (12) and (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, from C-linearity of the operations ∂, � , E we obtain � cg = c � g for all c ∈ C and g ∈ R, for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In addition, we also obtain � fEg = ( � f)Eg for all f, g ∈ R, since Eg ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, we also impose commutativity of ∂, � , E with elements of C and the identities (14)–(16) in the following definition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring and let C be its ring of constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We let R⟨∂, � , E⟩ be the (noncommutative unital) ring extension of R generated by indeterminates ∂, � , E, where ∂, � , E commute with all elements of C and the following identities hold for all f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂ · f = f · ∂ + ∂f (11) ∂ · � = 1 (12) � ∂ = 1 − E (13) ∂ · f · E = ∂f · E (14) � f · E = � f · E (15) E · f · E = Ef · E (16) We call R⟨∂, � , E⟩ the ring of (generalized) integro-differential operators (IDO).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that, for multiplication in R⟨∂, � , E⟩, we always explicitly write · when one of ∂, � , E is involved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This is necessary in order to distinguish the product 15 ∂ · f of operators from the multiplication operator ∂f, for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By con- struction, the ring R⟨∂, � , E⟩ has a natural action on R, where the elements of R act as multiplication operators and ∂, � , E act as the corresponding opera- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' With this action, R becomes a left R⟨∂, � , E⟩-module and multiplication in R⟨∂, � , E⟩ corresponds to composition of additive maps on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since elements of C always commute with ∂, � , E in R⟨∂, � , E⟩, it follows that R⟨∂, � , E⟩ is a C-algebra whenever R is commutative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For computing in the ring R⟨∂, � , E⟩ of IDO, we use the identities (11)–(16) as rewrite rules in the following way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If the left hand side of one of these identities appears in an expression of an operator, we replace it by the right hand side to obtain a new expression for the same operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If rewrite rules can be applied to a given expression in different ways, then it may happen that useful consequences of the defining relations (11)–(16) are discovered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A simple instance starts with the expression � ∂ · � , to which we can apply either (12) or (13) to obtain the expressions � and � − E · � for the same operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, by taking their difference, we see that the identity E · � = 0 (17) holds in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, for every f ∈ R, the expression � ∂ · f can be rewritten by (11) and by (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Thereby we obtain the expressions � f ·∂+ � ∂f and f − E · f for the same operator, which implies the identity � f · ∂ = f − E · f − � ∂f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (18) By letting both sides of this identity in R⟨∂, � , E⟩ act on any g ∈ R, we show that integration by parts � f∂g = fg − Efg − � (∂f)g holds in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Furthermore, by considering also the newly obtained identity (18) as rewrite rule, for every f ∈ R, we can rewrite the expression � f ·∂ · � by (12) and by (18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Substituting f by � f in the difference f ·� −E·f ·� −� ·∂f ·� −� ·f of the results, we obtain the identity � f · � = � f · � − � � f − E · � f · � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (19) By acting with both sides of this identity on any g ∈ R, we obtain an alternative proof for the Rota-Baxter identity with evaluation (8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that, for f = 1, we also obtain the following identities from (14)–(16) and (19).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂ · E = 0, � E = � 1 · E, E · E = E, (20) � � = � 1 · � − � � 1 − E · � 1 · � (21) In Table 1, we collect the identities (11)–(21) as a rewrite system for expres- sions of operators in the ring of IDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In fact, we drop (14) since it is redundant in the presence of (11) and (20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 16 Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, by repeatedly applying the rewrite rules of Table 1 in any order, every element of the ring R⟨∂, � , E⟩ can be written as a sum of expressions of the form f · ∂j, f · � g, f · E · g · ∂j, or f · E · h · � g where j ∈ N0, f, g ∈ R, and h ∈ � R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that the expressions specified in the above theorem are irreducible in the sense that they cannot be rewritten any further by any rewrite rules from Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The above derivation of identities (17)–(21) is similar to Knuth-Bendix completion [19] and Buchberger’s algorithm for computing Gröbner bases [4, 22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So, one can show that Table 1 represents all consequences of Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 in the sense that every identity in R⟨∂, � , E⟩ can be proven by applying the rewrite rules in the table and by exploiting identities in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, the irreducible forms of operators specified in the above theorem are unique up to multiadditivity and commutativity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the appendix, we will give a precise statement (Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3) of this by giving an explicit construction of the ring R⟨∂, � , E⟩ as a quotient of an appropriate tensor ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the translation of Table 1 into a tensor reduction system facilitates the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In fact, this proof is carried out in Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 for a more general class of operators including linear functionals, which are useful for dealing with boundary problems, for instance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Remark 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the literature, integro-differential operators were considered only with multiplicative evaluation so far.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Integro-differential operators were first introduced in [29, 30] over a field of constants using a parametrized Gröb- ner basis in infinitely many variables and a basis of the commutative coefficient algebra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Integro-differential operators with polynomial coefficients over a field of characteristic zero were also studied using generalized Weyl algebras [2], skew polynomials [28], and noncommutative Gröbner bases [26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A general construc- tion of rings of linear operators over commutative operated algebras is presented in [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, integro-differential operators are discussed in that setting and also differential Rota-Baxter operators are investigated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Tensor reduction systems have already been used in [14, 13] for the construction of IDO includ- ing functionals in the special case that the evaluation and all functionals are multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' There, also additional operators arising from linear substitu- tions were included.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, these cover integro-differential-time-delay operators, which were already constructed algebraically in [25], see also [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂ · f = f · ∂ + ∂f � f · ∂ = f − E · f − � ∂f ∂ · E = 0 � · f · E = � f · E ∂ · � = 1 � f · � = � f · � − � � f − E · � f · � E · f · E = Ef · E � ∂ = 1 − E E · E = E � E = � 1 · E E · � = 0 � � = � 1 · � − � � 1 − E · � 1 · � Table 1: Rewrite rules for operator expressions 17 To refer to integro-differential operators of special form, we use the following notions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let L ∈ R⟨∂, � , E⟩, then we call L 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' a differential operator, if there are f0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R such that L = n � i=0 fi · ∂i, where we call L monic, if fn = 1, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' an integral operator, if there are f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn, g1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , gn ∈ R such that L = n � i=1 fi · � gi, 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' an initial operator, if there are f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R and differential and integral operators L1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , Ln such that L = n � i=1 fi · E · Li.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, we call an initial operator L monic, if there is a differential operator L1 and an integral operator L2 such that L = E · (L1 + L2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In R⟨∂, � , E⟩, using Table 1, one can check that the differential operators are the elements of the subring generated by R and ∂, the integral operators are the elements of the R-bimodule generated by � , the initial operators are the elements of the two-sided ideal generated by E, and the monic initial operators are the elements of the right ideal generated by E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 says that every integro-differential operator can be written as the sum of a differential operator, an integral operator, and an initial operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In fact, by the stronger results in the appendix, this decomposition of integro-differential operators even is unique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Remark 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We outline how the construction of integro-differential opera- tors changes when the evaluation is multiplicative, see also [31, 14, 13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For multiplicative evaluation, we have Efg = (Ef)Eg for all f, g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So, for the algebraic construction of corresponding operators as in Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we need to impose in addition that E · f = Ef · E (22) for all f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This does not give rise to new consequences other than (17)–(21), but together with (20) it makes (16) redundant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, in Table 1, we can replace (16) by (22).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, (22) allows to reduce the evaluation term in (18) and, since E � f = 0 for all f ∈ R, to omit the evaluation terms in (19) and 18 (21).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, the irreducible forms of operators given in Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 can be simplified to f · ∂j, f · � g, f · E · ∂j, where j ∈ N0 and f, g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Evidently, this ring of operators is isomorphic to R⟨∂, � , E⟩ factored by the two-sided ideal (E · f − Ef · E | f ∈ R).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 IDO over integral domains In many concrete situations, when computing with differential operators or dif- ferential equations with scalar coefficients, the order of a product of differential operators is the sum of the orders of the factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This is equivalent to the ring R of coefficients being an integral domain, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' a commutative ring without nontrivial zero divisors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For the rest of this section, we only consider integro- differential rings that are integral domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Under this assumption, we can in- vestigate further properties of computations in the ring of IDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For instance, an integro-differential equation can be reduced to a differential equation by differ- entiation, see Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='8 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Additionally, investigating the action of IDOs on integro-differential rings algebraically leads to analyzing two-sided ideals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As explained earlier, elements of R⟨∂, � , E⟩ naturally act as additive maps on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Likewise, they act naturally on any integro-differential ring extension of R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='11, we also provide conditions when this action is faithful, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 ∈ R⟨∂, � , E⟩ is the only element that induces the zero map.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (S, � , ∂) be the integro-differential ring defined in Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='13 and as- sume C is an integral domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, S⟨∂, � , E⟩ does not act faithfully on S, since E · ln(x) acts like zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' However, with the integro-differential subring R := C[x] of S, R⟨∂, � , E⟩ acts faithfully on S by Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='11 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To see this, let L := �n i=0 fi ·∂i ∈ R⟨∂, � , E⟩ and let k ∈ N such that coeff(fn, xk) ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Apply- ing E·L to xn−k ln(x)n ∈ S, we obtain (E·L)xn−k ln(x)n = n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' coeff(fn, xk) ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As a preparatory step, we need some basic statements involving multiplica- tion with constants that are valid for integro-differential rings that are integral domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Linear independence over constants is tied to the Wronskian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Follow- ing the analytic definition, the Wronskian of elements f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn of a commuta- tive differential ring is defined by W(f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn) := det �� ∂i−1fj � i,j=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',n � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂) be a differential ring that is an integral domain with ring of constants C and let f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are linearly independent over C if and only if their Wronskian W(f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn) is zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are linearly independent over C, then g1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , gn−1 are linearly independent over C, where gi := W(fi, fn).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For showing the first statement, we note that neither linear independence nor zeroness of the Wronskian changes, if we replace R and hence C by their 19 quotient fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For differential fields, a proof can be found in [15], which implies the statement given here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For showing the second statement, we assume that f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are linearly independent over C and we let c1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , cn−1 ∈ C such that �n−1 i=1 cigi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By definition of gi and multilinearity of the Wronskian over C, we conclude W(�n−1 i=1 cifi, fn) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By assumption on f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn, this implies �n−1 i=1 cifi = 0 and hence c1 = .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' = cn−1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring that is an integral domain and let C be its ring of constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, elements of C commute with all elements of R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, for any L ∈ R⟨∂, � , E⟩ and any nonzero c ∈ C, we have that L = 0 if and only if c · L = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By construction, constants commute with ∂, � , E ∈ R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since R is commutative, it follows that elements of C commute with all elements of R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, R⟨∂, � , E⟩ is a unital C-algebra and hence Q(C) ⊗C R⟨∂, � , E⟩ is a unital C-algebra as well, with multiplication (c1⊗L1)·(c2⊗L2) = (c1c2) ⊗ (L1 · L2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, 1 ⊗ L = c−1 ⊗ (c · L) implies L = 0 if c · L = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, we are ready to have a closer look at certain computations with IDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The following two lemmas construct left or right multiples of IDO by differential operators such that the product does not involve the integration operator any- more.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The tricky part will be to ensure that the product is a nonzero operator again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring that is an integral domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let C be the ring of constants of R and let L ∈ R⟨∂, � , E⟩ be not an initial operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, there exist nonzero h1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , hn ∈ R such that the following product is a nonzero differential operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (h1 · ∂ − ∂h1) · .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' · (hn · ∂ − ∂hn) · L Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' There are n ∈ N, a nonzero c ∈ C, differential operators L0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , Ln ∈ R⟨∂, � , E⟩, and f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn, g1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , gn ∈ R such that f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are linearly inde- pendent over C and c · L = L0 + �n i=1 fi · �� gi + E · Li � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since L is not an initial operator, L0 and g1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , gn are not all zero by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If L0 = 0, then we assume without loss of generality that g1 ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To remove the sum �n i=1 fi· �� gi + E · Li � , we will multiply c·L iteratively by n first-order differential operators from the left as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If n > 0, then by (11) and (12) we have (fn ·∂ − ∂fn)·fi · � gi = fnfigi + (fn∂fi − (∂fn)fi)· � gi for all i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, using (14), we obtain (fn · ∂ − ∂fn) · c · L = (fn · ∂ − ∂fn) · L0 + n � i=1 fnfigi + n−1 � i=1 (fn∂fi − (∂fn)fi) · �� gi + E · Li � , 20 which has the form ˜L0+�n−1 i=1 ˜fi · �� gi + E · Li � similar to c·L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that also the following two properties of the above representation of c · L are preserved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, if L0 is nonzero, the differential operator ˜L0 := (fn · ∂ − ∂fn) · L0 + �n i=1 fnfigi is nonzero too, since fn ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Second, ˜fi := fn∂fi − (∂fn)fi, for i ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , n − 1}, are again linearly independent over C by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, we let hn := fnc such that (hn · ∂ − ∂hn) · L = (fn · ∂ − ∂fn) · c · L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If n = 1, we only need to show that (hn · ∂ − ∂hn) · L = ˜L0 is nonzero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As remarked above, if L0 ̸= 0 then ˜L0 ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' On the other hand, if L0 = 0, then ˜L0 = f 2 1 g1, which is nonzero as well due to the assumptions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If n > 1, we continue by repeating what we did with c · L above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' That is, noting ˜f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , ˜fn−1 are linearly independent over C, we multiply (hn · ∂ − ∂hn) · L = ˜L0 + �n−1 i=1 ˜fi · �� gi + E · Li � from the left by hn−1 · ∂ − ∂hn−1, where hn−1 := ˜fn−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We iterate this a total of n − 1 times, the result is a differential operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To see that it is also nonzero, we focus on the last step, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' we refer to the case n = 1 above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' An immediate consequence of the previous lemma is that a left ideal in R⟨∂, � , E⟩ is nontrivial if and only if it contains a nonzero differential operator or a nonzero initial operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Left ideals in R⟨∂, � , E⟩ arise, for instance, as sets of operators annihilating a given subset of a left R⟨∂, � , E⟩-module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As another consequence, for two-sided ideals, we obtain Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='10 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring that is an integral domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let C be the ring of constants of R and let L ∈ R⟨∂, � , E⟩ be a nonzero monic initial operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, there exist nonzero h1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , hn ∈ R and a nonzero differential operator ˜L ∈ R⟨∂, � , E⟩ such that L · (hn · ∂ + 2∂hn) · .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' · (h1 · ∂ + 2∂h1) = E · ˜L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' There are n ∈ N, a nonzero c ∈ C, a differential operator L0 ∈ R⟨∂, � , E⟩, nonzero f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ � R, and nonzero g1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , gn ∈ R such that g1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , gn are linearly independent over C and L·c = E·L0+�n i=1 E·fi· � gi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7, L · c = c · L is nonzero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To remove the sum �n i=1 E · fi · � gi, we will multiply L · c iteratively by n first-order differential operators from the right as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If n > 0, then we have E · fi · � gign · ∂ = E · figign − Efi · E · gign − E · fi · � ((∂gi)gn + gi∂gn) for all i by (18) and by (16).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, by Efi = 0, we obtain L · c · (gn · ∂ + 2∂gn) = E · L0 · (gn · ∂ + 2∂gn) + n � i=1 E · fi · � (gign · ∂ + 2gi∂gn) = E · L1 + n−1 � i=1 E · fi · � (gi∂gn − (∂gi)gn), 21 with L1 := L0 · (gn · ∂ + 2∂gn) + �n i=1 figign.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that gi∂gn − (∂gi)gn, for i ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , n − 1}, are again linearly independent over C by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, with hn := cgn being nonzero, the operator L · (hn · ∂ + 2∂hn) is expressed like L · c above, just with L0 replaced by L1, with different gi, and without the last summand.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By iterating this process of multiplying by a differential operator that is chosen as above, we obtain a right multiple of L that is of the form E · Ln with a differential operator Ln.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It remains to show that Ln is nonzero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' After the last step, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' passing from E · Ln−1 + E · f1 · � ˜g1, with differential operator Ln−1 and nonzero ˜g1 ∈ R, to E · Ln, we have Ln = Ln−1 · (˜g1 · ∂ + 2∂˜g1) + f1˜g2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If the differential operator Ln−1 is nonzero, then also Ln is nonzero, since ˜g1 ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Otherwise, we have Ln = f1˜g2 1, which is nonzero as well due to the assumptions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring that is an integral domain and let I ⊆ R⟨∂, � , E⟩ be a two-sided ideal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If I contains an operator that is not an initial operator, then I contains an operator of the form f ·E with nonzero f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='8, I contains a nonzero differential operator L = �n i=0 fi·∂i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let k ∈ {0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=', n} be minimal such that fk ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, fk · E ∈ I since L · � k · E = n � i=k fi · ∂i · � k · E = n � i=k fi · ∂i−k · E = fk · E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Based on the above lemmas, we can find conditions when the action of R⟨∂, � , E⟩ on an integro-differential ring is faithful.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In this case, the annihilator AnnR⟨∂,� ,E⟩(S) = {L ∈ R⟨∂, � , E⟩ | ∀f ∈ S : Lf = 0} is a two-sided ideal in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, we show that the annihilator only contains initial operators and, if C is a field, can be generated by monic initial operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (S, ∂, � ) be an integro-differential ring with its ring of constants C being an integral domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let R be an integro-differential subring of S that is an integral domain and contains C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, R⟨∂, � , E⟩ acts faithfully on S if and only if there is no nonzero differential operator L ∈ R⟨∂, � , E⟩ such that E · L vanishes on all of S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In any case, the two-sided ideal I = AnnR⟨∂,� ,E⟩(S) only contains initial operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, if C is a field, I has a generating set consisting only of monic initial operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since operators of the form f · E, with nonzero f ∈ R, do not vanish on 1 ∈ S, the ideal I only contains initial operators by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If there is a nonzero differential operator L ∈ R⟨∂, � , E⟩ such that E · L vanishes on all of S, then R⟨∂, � , E⟩ obviously does not act faithfully on S, since E · L is nonzero as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 22 Now, we assume that there is no nonzero differential operator L such that E · L ∈ I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let L ∈ I, then there are nonzero c ∈ C, f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R, and nonzero monic initial operators L1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , Ln ∈ R⟨∂, � , E⟩ such that f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are C-linearly independent and c · L = �n i=1 fi · Li.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If we would have n ̸= 0, then we would conclude L1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , Ln ∈ I, since �n i=1 fiLig = cLg = 0 and Lig ∈ C for all g ∈ S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, by Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='9, there would be a nonzero differential operator ˜L ∈ R⟨∂, � , E⟩ such that E · ˜L ∈ I in contradiction to the assumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, n = 0, which implies c · L = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7, it follows that L = 0, which shows that R⟨∂, � , E⟩ acts faithfully on S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Finally, if C is a field, we show that I has a generating set consisting only of monic initial operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let L ∈ I, then L is an initial operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, there are nonzero f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R, and nonzero monic initial operators L1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , Ln ∈ R⟨∂, � , E⟩ such that f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are C-linearly independent and L = �n i=1 fi · Li.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For all g ∈ S, we have Lig ∈ C and �n i=1 fiLig = Lg = 0, which implies Lig = 0 for all i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, L1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , Ln ∈ I, which shows that I is generated by nonzero monic initial operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assuming additional properties of R resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' of the action of R⟨∂, � , E⟩, gen- erating sets of annihilators can be narrowed down even more.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, the following two corollaries consider the situation when R is a field or E is multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Corollary 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (S, ∂, � ) be an integro-differential ring with its ring of constants C being a field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let R be an integro-differential subring of S that is a field and contains C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the two-sided ideal AnnR⟨∂, � ,E⟩(S) has a generating set consisting only of operators of the form E · �n i=0 fi · ∂i, with f0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R where f0 ∈ � R is nonzero and fn = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='11, I := AnnR⟨∂, � ,E⟩(S) has a generating set consisting only of monic initial operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, let L ∈ I be a monic initial operator and let A be the set of all elements in I that have the form specified in the statement of the corollary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='9, we obtain nonzero h1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , hm ∈ R such that L · M = E · ˜L with M := (hm · ∂ + 2∂hm) · .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' · (h1 · ∂ + 2∂h1) ∈ R⟨∂, � , E⟩ and some nonzero differential operator ˜L = �n i=0 ˜fi · ∂i ∈ R⟨∂, � , E⟩ with ˜fn ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, by repeated use of (11), there are f0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R with fn = 1 such that ˜L · ˜f −1 n = �n i=0 fi · ∂i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let k be minimal such that fk ̸= 0, then ˜L · ˜f −1 n � k = �n−k i=0 fi+k · ∂i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since E · ˜L · ˜f −1 n � k ∈ I vanishes on 1 ∈ S, we conclude fk ∈ � R and hence E · �n−k i=0 fi+k · ∂i ∈ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since R is a field, we can verify by (11) and (12) that h−1 i � hi ∈ R⟨∂, � , E⟩ is a right inverse of hi·∂+2∂hi for every i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, there exists ˜ M ∈ R⟨∂, � , E⟩ such that M · ˜ M = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, E · ��n−k i=0 fi+k · ∂i� ∂k · ˜fn · ˜ M = E · ˜L · ˜ M = L · M · ˜ M = L, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' L is in the ideal generated by A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, this shows that I is generated by A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Whenever E is multiplicative on R, the action of R⟨∂, � , E⟩ cannot be faithful on R since the operator E · f acts as zero map for any f ∈ R with Ef = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 23 By Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, Ef = 0 is equivalent to f ∈ � R and one can always choose f = � 1, for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Remark 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5, we already discussed factoring the ring of operators by the relations (22) immediately arising from multiplicativity of E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The following corollary shows that the resulting quotient always acts faithfully.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Corollary 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (S, ∂, � ) be an integro-differential ring with its ring of constants C being an integral domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let R be an integro-differential subring of S that is an integral domain and contains C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If Efg = (Ef)Eg for all f ∈ R and g ∈ S, then the two-sided ideal AnnR⟨∂, � ,E⟩(S) is generated by the set {E · f − Ef · E | f ∈ R}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let I := AnnR⟨∂,� ,E⟩(S) and let J ⊆ R⟨∂, � , E⟩ be the two-sided ideal generated by the set {E · f − Ef · E | f ∈ R}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By assumption on E, we have that J ⊆ I, so it only remains to show I ⊆ J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='11, every L ∈ I is an initial operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Following the form of initial operators in Remark 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5, there are f0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R such that L = �n i=0 fi ·E·∂i modulo J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By J ⊆ I, we have that �n i=0 fi ·E·∂i ∈ I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, �n i=0 fi·E·∂i vanishes on � k1 ∈ S for all k ∈ {0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This implies inductively that f0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn are all zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, we have L ∈ J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 5 Equational prover in calculus In this section, we illustrate how results from analysis can be proven via compu- tations in the ring of integro-differential operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The general approach con- sists in formulating an analytic statement as an identity of integro-differential operators and then prove this identity algebraically in R⟨∂, � , E⟩, with minimal assumptions on the integro-differential ring (R, ∂, � ) used in the coefficients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that we prove results directly by a computation with integro-differential operators, instead of doing the whole computation with elements of R or any other left R⟨∂, � , E⟩-module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' An identity in R⟨∂, � , E⟩ can be proven by comparing irreducible forms of the left hand side and right hand side.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Recall that such irreducible forms are given by Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 and can be computed systematically by the rewrite rules in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In this sense, the rewrite rules provide an equational prover for integro-differential operators provided one can decide equality of irreducible forms in R⟨∂, � , E⟩, which includes deciding identities in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In practice, this is often possible for concrete irreducible forms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Once an identity L1 = L2 is proven in R⟨∂, � , E⟩, we immediately infer the corresponding identity in R, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' L1f = L2f for all f ∈ R, by the canonical action of R⟨∂, � , E⟩ on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, by acting on any other left R⟨∂, � , E⟩- module, we obtain the analogous identity also in those modules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Furthermore, any concrete computation with operators acting on functions uses only finitely many derivatives.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, by inspecting every step of the computation, an identity proven for infinitely differentiable functions can also be proven for functions that are only sufficiently often differentiable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 24 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 Variation of constants for scalar equations In this section, we deal with the method of variation of constants for comput- ing solutions of inhomogeneous ODEs in terms of integro-differential operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, we recall the analytic statement, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4 in Chapter 3 of [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consider the inhomogeneous linear ODE y(n)(x) + an−1(x)y(n−1)(x) + · · · + a0(x)y(x) = f(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assume that z1(x), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn(x) is a fundamental system of the homogeneous equa- tion, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' z(n) i (x) + an−1(x)z(n−1) i (x) + · · · + a0(x)zi(x) = 0 and the Wronskian w(x) := W(z1(x), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn(x)) is nonzero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, z∗(x) := n � i=1 (−1)n−izi(x) � x x0 W(z1(t), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zi−1(t), zi+1(t), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn(t)) w(t) f(t) dt (23) is a particular solution of the inhomogeneous equation above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Algebraically, we model scalar functions by fixing a commutative integro- differential ring (R, ∂, � ) and, as indicated above, we model computations with scalar equations by computations in the corresponding ring of integro-differential operators R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' From the operator viewpoint, mapping the inhomogeneous part f to a solution of the equation Ly = f amounts to constructing a right inverse of the differential operator L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In general, for an operator L and a right inverse H, a particular solution of the inhomogeneous equation is given by z∗ = Hf, since Lz∗ = L(Hf) = (L · H)f = 1f = f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Recall that � is a right inverse of ∂ by definition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, we consider an arbitrary monic first-order differential operator L = ∂ + a, with a ∈ R, and assume that z ∈ R is a solution of Ly = 0, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂z + az = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, using (11), we compute (∂ + a) · z = ∂ · z + a · z = z · ∂ + ∂z + az = z · ∂.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If, moreover, we assume that z has a multiplicative inverse z−1 ∈ R, we obtain (∂ + a) · (z · � z−1) = z · ∂ · � z−1 = z · z−1 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence H = z · � z−1 is a right inverse of L in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We also outline the computation for a second order differential operator L = ∂2 + a1 · ∂ + a0, 25 with a1, a0 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If z ∈ R is a solution of Ly = 0, then L · z = z · ∂2 + (2∂z + a1z) · ∂.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assume that there exist two solutions z1, z2 ∈ R of Ly = 0 such that their Wronskian w = z1∂z2 − z2∂z1 has a multiplicative inverse 1 w ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let H = −z1 · � z2 w + z2 · � z1 w .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the ring of operators, we can compute ∂ · zi w = zi w · ∂ + ∂zi w − zi∂w w2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, using the normal forms of L · zi and ∂ · zi w , we obtain L · H = −z1 · ∂ · z2 w − 2(∂z1) z2 w − a1z1 z2 w + z2 · ∂ · z1 w + 2(∂z2) z1 w + a1z2 z1 w = −z1 · ∂ · z2 w + z2 · ∂ · z1 w + 2 w w = −z1∂ z2 w + z2∂ z1 w + 2 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence H is a right inverse of L in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More generally, we have the following formulation of the method of variation of constants for integro-differential operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Recall from Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, that the Wronskian W(f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn) of elements f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , fn ∈ R is defined completely analogous to the analytic situation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be a commutative integro-differential ring and let L = ∂n + �n−1 i=0 ai · ∂i ∈ R⟨∂, � , E⟩, n ≥ 1, with a0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , an−1 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assume that z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn ∈ R are such that Lzi = 0 and w := W(z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn) has a multiplicative inverse 1 w ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, with H := n � i=1 (−1)n−izi · � W(z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zi−1, zi+1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn) w we have that L · H = 1 in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The cases n = 1 and n = 2 have been shown above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In principle, an analogous computation could be done for any concrete n ≥ 3 as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To obtain a finite proof for all n ≥ 3 at once, we will utilize a more general framework in Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 Linear systems and operators with matrix coefficients Algebraically, computing with linear systems of differential equations can be modelled by integro-differential operators over some noncommutative integro- differential ring, whose elements correspond to matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Such noncommutative integro-differential rings can be obtained from any scalar integro-differential 26 ring, since one can equip the ring of n × n matrices with a derivation and an integration defined entrywise, see Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Recall that Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 and Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 hold also for operators with coefficients in noncommutative integro-differential rings, in particular for oper- ators with matrix coefficients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, any computation using a general noncommutative integro-differential ring is automatically valid for concrete ma- trices of any size, without the need for entrywise computations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This allows for compact proofs for matrices of general size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For switching to entrywise com- putations, one can view operators with matrix coefficients equivalently also as matrices of operators with scalar coefficients by identifying operators ∂, � , E with corresponding diagonal matrices of operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The following lemma shows that also computations are equivalent in both viewpoints.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Here, we use the notation Ei,j(L) := (δi,kδj,lL)k,l=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',n for matrices with only one nonzero entry L ∈ R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) an integro-differential ring and let n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, there is exactly one ring homomorphism ϕ : Rn×n⟨∂, � , E⟩ → R⟨∂, � , E⟩n×n with ϕ(A) = A for A ∈ Rn×n and ϕ(L) = diag(L, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , L) for L ∈ {∂, � , E}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This ϕ is an isomorphism and its inverse homomorphism ψ : R⟨∂, � , E⟩n×n → Rn×n⟨∂, � , E⟩ can be given by ψ(Ei,j(f)) = Ei,j(f) and ψ(Ei,j(L)) = Ei,j(1) · L for all f ∈ R resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' L ∈ {∂, � , E}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' First, we check that the definition of ϕ indeed provides a unique and well-defined homomorphism of rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Uniqueness follows from the fact that ϕ is defined on a generating set of Rn×n⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For proving well-definedness, we need to verify that the definition of ϕ respects all identities of generators given in Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Evidently, we have ϕ(1) = In.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is immediate to see that ϕ(∂) · ϕ( � ) = ϕ(1) − ϕ(E) and ϕ( � ) · ϕ(∂) = ϕ(1) hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For L ∈ {∂, � , E}, we verify in R⟨∂, � , E⟩n×n that ϕ(L) commutes with all elements of Cn×n and that, for all A ∈ Rn×n, we have ϕ(L) · ϕ(A) · ϕ(E) = ϕ(LA) · ϕ(E).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More explicitly, using (14)–(16) in R⟨∂, � , E⟩, we compute ϕ(L) · ϕ(A) · ϕ(E) = diag(L, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , L) · A · diag(E, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , E) = (L · ai,j · E)i,j=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',n = (Lai,j · E)i,j=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',n = ϕ(LA) · ϕ(E).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Analogously, using (11) in R⟨∂, � , E⟩, we can also verify that ϕ(∂) · ϕ(A) = ϕ(A) · ϕ(∂) + ϕ(∂A) for all A ∈ Rn×n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Similarly, we need to verify that the definition of ψ on a generating set of R⟨∂, � , E⟩n×n gives rise to a well-defined homomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For example, using 27 (14)–(16) in Rn×n⟨∂, � , E⟩, we compute ψ(Ei,j(L)) · ψ(Ep,q(f)) · ψ(Ek,l(E)) = Ei,j(1) · L · Ep,q(f) · Ek,l(1) · E = Ei,j(1) · L · δq,kEp,l(f) · E = Ei,j(1) · δq,kLEp,l(f) · E = δj,pδq,kEi,l(Lf) · E = Ei,q(δj,pLf) · Ek,l(1) · E = ψ(Ei,q(δj,pLf)) · ψ(Ek,l(E)) for all f ∈ R, L ∈ {∂, � , E}, and all i, j, k, l, p, q ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=', n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Finally, ψ is the inverse of ϕ, since we have ψ(ϕ(A)) = A, ϕ(ψ(Ei,j(f))) = Ei,j(f), ψ(ϕ(L)) = L, and ϕ(ψ(Ei,j(L))) = Ei,j(L) for the generators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Integro-differential operators with coefficients from Rn×n constructed this way have natural actions on Rn×n and on Rn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By the above lemma, for any left R⟨∂, � , E⟩-module M, there is a natural way of viewing M n as a left Rn×n⟨∂, � , E⟩-module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is straightforward to show that the action of Rn×n⟨∂, � , E⟩ on M n is faithful if and only if R⟨∂, � , E⟩ acts faithfully on M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 Variation of constants for first-order systems Instead of higher order scalar ODEs, we now consider variation of constants for first-order systems, see Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 in Chapter 3 of [6] for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Analyti- cally, it can be stated as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For an n × n matrix A(x) and a vector f(x) of size n, we consider the first-order system given by y′(x) + A(x)y(x) = f(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If Φ(x) is a fundamental matrix of the homogeneous system, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' it satisfies Φ′(x) + A(x)Φ(x) = 0 and det(Φ(x)) ̸= 0, then a particular solution of the inhomogeneous system is given by z∗(x) = Φ(x) � x x0 Φ(t)−1f(t) dt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assume that a ∈ R is such that there exists z ∈ R that satisfies ∂z +az = 0 and has a multiplicative right inverse z−1 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, in R⟨∂, � , E⟩, the operators L := ∂ + a and H := z · � z−1 satisfy L · H = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The same computation as in the commutative case above can be done also for noncommutative R without any changes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that zz−1 = 1 was the only property of z−1 used there, so it suffices that z−1 is a right inverse of z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Observe that from this statement over an abstract integro-differential ring (R, ∂, � ), which was proven without referring to matrices at all, the analytic statement follows for arbitrary size n of the matrix A(x), provided we assume sufficient regularity of the functions involved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Based on Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, we now can complete the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 for arbitrary n ≥ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Before doing so, we first detail the required translation from 28 a first-order system to the scalar equation entirely at the operator level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For shorter notation, in the following, we again use the symbol ∂ also for the matrix diag(∂, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , ∂) ∈ R⟨∂, � , E⟩n×n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring and let L = ∂n + n−1 � i=0 ai · ∂i ∈ R⟨∂, � , E⟩ with a0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , an−1 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, let H ∈ R⟨∂, � , E⟩n×n satisfy (∂+A)·H = In in R⟨∂, � , E⟩n×n, where A := \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed 0 −1 0 · · 0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 0 · · · · 0 −1 a0 a1 · · · · an−1 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the upper right entry H1,n of H satisfies L · H1,n = 1 in R⟨∂, � , E⟩ and Hi,n = ∂i−1 · H1,n for i ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For n = 1, the statement is trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So, we let n ≥ 2 in the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In short, starting from the identity (∂ + A)·H = In of n× n matrices of operators, we multiply both sides from the left with a suitable S ∈ R⟨∂, � , E⟩n×n and inspect the last column.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, for elimination in the last n − 1 columns of ∂ + A, we use S := \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed 1 0 · · · · · · 0 ∂ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂n−2 · · ∂2 ∂ 1 0 s1 · · · · · · sn−1 1 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 with sj := ∂n−j+�n−j−1 i=0 ai+j ·∂i ∈ R⟨∂, � , E⟩ for j ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=', n−1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Observing that, in R⟨∂, � , E⟩, we have −sj + sj+1 · ∂ = −aj for j ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=', n − 2}, we 29 compute S · (∂ + A) explicitly: S · \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed ∂ −1 0 · · 0 0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 0 · · 0 ∂ −1 a0 a1 · · an−2 ∂ + an−1 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 = \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed ∂ −1 0 · · 0 ∂2 0 −1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 ∂n−1 0 · · 0 −1 s1 · ∂ + a0 0 · · 0 −sn−1 + ∂ + an−1 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 = \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed ∂ −1 0 · · 0 ∂2 0 −1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 ∂n−1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' −1 L 0 · · · · 0 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, we obtain that \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed ∂ −1 0 · · 0 ∂2 0 −1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 ∂n−1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' −1 L 0 · · · · 0 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 H = S · (∂ + A) · H = S, where comparison of the entries in the last column of the left hand side and right hand side yields ∂ · H1,n − H2,n = 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , ∂n−1 · H1,n − Hn,n = 0 and L · H1,n = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Finally, we proceed with the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Recalling the assump- tions, we fix a commutative integro-differential ring (R, ∂, � ) and we let L = ∂n+�n−1 i=0 ai·∂i ∈ R⟨∂, � , E⟩ with a0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , an−1 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We also let z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn ∈ R such that Lzi = 0 and such that w := W(z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn) has a multiplicative inverse 1 w ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let n ≥ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the (noncommutative) integro-differential 30 ring (Rn×n, ∂, � ), we consider the matrices A := \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed 0 −1 0 · · 0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 0 · · · · 0 −1 a0 a1 · · · · an−1 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 and Z := \uf8eb \uf8ec \uf8ec \uf8ec \uf8ed z1 · · zn ∂z1 · · ∂zn .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂n−1z1 · · ∂n−1zn \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f8 and note that (∂ + A)Z = 0 and that Z−1 ∈ Rn×n exists, since det(Z) = w was assumed to be invertible in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we apply Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 to obtain (∂ + A) · (Z · � Z−1) = 1 in Rn×n⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Instead of integro-differential operators with matrix coefficients in Rn×n, we now consider the objects as n × n matrices whose entries are integro-differential operators with coefficients in R, cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, by Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4, we obtain that L·(Z ·� ·Z−1)1,n = 1 holds in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In order to compute the entry (Z · � Z−1)1,n, we can easily determine a general form of the entries of the matrix product Z · � Z−1 ∈ R⟨∂, � , E⟩n×n: Z · \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed � 0 · · 0 0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 0 · · 0 � \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 Z−1 = Z · \uf8eb \uf8ec \uf8ed � (Z−1)1,1 · · � (Z−1)1,n .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' � (Z−1)n,1 · · � (Z−1)n,n \uf8f6 \uf8f7 \uf8f8 = � n � k=1 (∂i−1zk) · � · (Z−1)k,j � i,j=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',n .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we compute all entries (Z−1)i,n = (−1)n+i W(z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zi−1, zi+1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn) w in the last column of Z−1 ∈ Rn×n via Cramer’s rule (or via the cofactor matrix) so that we recognize H ∈ R⟨∂, � , E⟩ defined in the statement of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 as the top right entry (Z · � Z−1)1,n of the above matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This concludes the proof that L · H = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 6 Generalizing identities from calculus The generalizations of well-known identities presented in this section introduce additional terms involving the induced evaluation, which vanish if the evaluation is multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As explained in the previous section, the proofs mostly rely on computing irreducible forms for IDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 31 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 Initial value problems Recall that the formula given in (23) provides a particular solution of the inho- mogeneous linear ODE y(n)(x) + an−1(x)y(n−1)(x) + · · · + a0(x)y(x) = f(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, this particular solution also satisfies the homogeneous initial condi- tions y(x0) = 0, y′(x0) = 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , y(n−1)(x0) = 0, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4 in Chap- ter 3 of [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The induced evaluation of an integro-differential ring allows us to model such properties algebraically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Similarly to the general proof of Theo- rem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we first investigate the general solution formula for homogeneous initial value problems of first-order systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To this end, we fix a (not necessarily com- mutative) integro-differential ring R and we work in the corresponding ring of IDO R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As a general principle, not only in the ring R⟨∂, � , E⟩ but in any ring with unit element, if some H is a right inverse of some L and B, P are such that L · P = 0 and B · P = B, then G := (1 − P) · H satisfies L · G = 1 and B · G = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' So, by choosing an appropriate operator P ∈ R⟨∂, � , E⟩ that satisfies (∂+a)·P = 0 and E · P = E, we can obtain the following version of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 that also solves the homogeneous initial condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring and let L = ∂ + a ∈ R⟨∂, � , E⟩ with a ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assume that z ∈ R is such that ∂z + az = 0 and in addition to a multiplicative right inverse z−1 ∈ R also a right inverse (Ez)−1 ∈ C exists.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, in R⟨∂, � , E⟩, the operator G := (1 − z(Ez)−1 · E) · z · � z−1 satisfies L · G = 1 and E · G = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, we have that H := z · � z−1 satisfies L · H = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Now, letting P := z(Ez)−1 · E, we compute the normal forms of L · P and E · P: (∂ + a) · z(Ez)−1 · E = � z(Ez)−1 · ∂ + ∂z(Ez)−1� E + az(Ez)−1 · E = z(Ez)−1 · ∂ · E = 0, E · z(Ez)−1 · E = Ez(Ez)−1 · E = E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, from L · P = 0 and E · P = E, it follows straightforwardly that G = (1 − P) · H has the properties claimed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Remark 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If the evaluation E is multiplicative, then the existence of (Ez)−1 ∈ C follows form the existence of z−1 ∈ R and, with (22), we also obtain E·z · � = (Ez)E · � = 0, which implies P · H = 0 and hence G = H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, the right inverse H obtained in Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 satisfies the initial value condition E ·H = 0 already.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 32 For conversion to the scalar case, we need to compute the element in the top right corner of G = (1 − Z(EZ)−1 · E) · Z · � Z−1 and show that it has the desired properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be a commutative integro-differential ring and let L = ∂n + �n−1 i=0 ai · ∂i ∈ R⟨∂, � , E⟩, n ≥ 1, with a0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , an−1 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assume that z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn ∈ R are such that Lzi = 0 and w := W(z1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , zn) has a mul- tiplicative inverse 1 w ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, assume that there are ci,j ∈ C such that E∂k �n i=1 ci,jzi = δj,k for all j, k ∈ {0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , n − 1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, with these ci,j and G := n � k=1 (−1)n−k � zk − n � i,j=1 zici,j−1 · E · (∂j−1zk) � � W(z1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',zk−1,zk+1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',zn) w we have that L · G = 1 and E · G = 0 in R⟨∂, � , E⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As in the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we consider the matrices A := \uf8eb \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ec \uf8ed 0 −1 0 · · 0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 0 0 · · · · 0 −1 a0 a1 · · · · an−1 \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f7 \uf8f8 and Z := \uf8eb \uf8ec \uf8ec \uf8ec \uf8ed z1 · · zn ∂z1 · · ∂zn .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ∂n−1z1 · · ∂n−1zn \uf8f6 \uf8f7 \uf8f7 \uf8f7 \uf8f8 and note that (∂ + A)Z = 0 and that Z−1 ∈ Rn×n exists, since det(Z) = w was assumed to be invertible in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Furthermore, we note that \uf8eb \uf8ec \uf8ed c1,0 · · c1,n−1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' cn,0 · · cn,n−1 \uf8f6 \uf8f7 \uf8f8 is the multiplicative (right) inverse of EZ in Cn×n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we conclude that ˜G := (1−Z(EZ)−1 ·E)·Z · � Z−1 ∈ Rn×n⟨∂, � , E⟩ satisfies (∂ +A)· ˜G = 1 and E · ˜G = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Passing to R⟨∂, � , E⟩n×n via Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2, the latter identity implies E · ˜Gi,j = 0 and the former implies L · ˜G1,n = 1 and ˜Gi,n = ∂i−1 · ˜G1,n by Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, we also have E · ∂i−1 · ˜G1,n = 0 for i ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Finally, we verify that ˜G1,n = G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' With H := Z · � Z−1 ∈ R⟨∂, � , E⟩n×n, we have ˜G1,n = H1,n − �n i,j=1 Z1,i((EZ)−1)i,j · E · Hj,n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' From the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we obtain that Hj,n = (−1)n+k(∂j−1zk)· � W(z1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',zi−1,zi+1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=',zn) w .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, this yields ˜G1,n = G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 Taylor formula Usually, Taylor’s theorem is only considered for sufficiently smooth functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In integro-differential rings, an analog of the Taylor formula with integral re- mainder term f(x) = n � k=0 f (k)(x0) k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' xk + � x x0 (x − t)n n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' f (n+1)(t) dt 33 can be formulated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' While the formula arising from the identity of operators in Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6 is more complicated, it is also valid if singularities are present.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We start by giving a first version of the Taylor formula where the remainder term is given as repeated integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It simply follows by iterating (3) resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' See also Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 in [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In R⟨∂, � , E⟩ we have for any n ∈ N that 1 = n � i=0 � i · E · ∂i + � n+1 · ∂n+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For any n ∈ N, we can use (13) to rewrite the right hand side: n � i=0 � i · E · ∂i + � n+1 · ∂n+1 = n � i=0 � i · E · ∂i + � n · (1 − E) · ∂n = n−1 � i=0 � i · E · ∂i + � n · ∂n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Setting n = 0 here gives E+ � ∂ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, the claim follows by induction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Using (15) and the related identity in (20), we can always write operators � i · E as xi · E, where xi := � i1 as in Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By (19) and (21), we can always write � n+1 without higher powers of � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To make the resulting expressions simpler, we restrict to the case that E is multiplicative on polynomials, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Exmxn = 0 for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Lemma 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring such that the induced evaluation E satisfies Exmxn = 0 for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, in R⟨∂, � , E⟩, we have for any n ∈ N that � n+1 = n � k=0 (−1)n−kxk · � xn−k − n−1 � k=0 n−k � j=1 (−1)n−k−jxk · E · xj · � xn−k−j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We prove this identity by induction on n ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For n = 0, the right hand side directly yields � in agreement with the left hand side.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Assuming the identity holds for some n ∈ N, we multiply both sides by � from the left and we rewrite the right hand side using (19) and (15) to obtain � n+2 = n � k=0 (−1)n−k�� xk · � − � · � xk − E · � xk · � � xn−k − n−1 � k=0 n−k � j=1 (−1)n−k−j� xk · E · xj · � xn−k−j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 34 We have xk+1xn−k = �n+1 k+1 � xn+1 by Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2, so we can expand the right hand side into n � k=0 (−1)n−kxk+1 · � xn−k + n � k=0 (−1)n−k+1 �n + 1 k + 1 �� xn+1 − n � k=0 (−1)n−kE · xk+1 · � · xn−k − n−1 � k=0 n−k � j=1 (−1)n−k−jxk+1 · E · xj · � · xn−k−j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Exploiting �n k=0(−1)n−k+1�n+1 k+1 � = (−1)n+1 in the second sum, we can regroup terms to obtain the right hand side of the claimed identity for n + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This completes the induction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, we obtain the following identity in R⟨∂, � , E⟩ generalizing the usual Taylor formula with integral remainder term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This identity holds over any integro-differential ring in which the induced evaluation is multiplicative on the integro-differential subring generated by 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6 (Taylor formula).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring such that E is multiplicative on the integro-differential subring generated by 1, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Exmxn = 0 for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, for all f ∈ R and all n ∈ N we have 1 = n � k=0 xk · E · ∂k + n � k=0 (−1)n−kxk · � xn−k · ∂n+1 − n−1 � k=0 n−k � j=1 (−1)n−k−jxk · E · xj · � · xn−k−j · ∂n+1 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Follows from Lemma 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4 using � i·E = xi·E and Lemma 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5, as explained above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, if in addition to the assumptions of the theorem we have Q ⊆ R, then, with operators acting on some f, we have that f = n � k=0 xk 1 k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' E∂kf + n � k=0 (−1)n−k k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (n − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xk 1 � xn−k 1 ∂n+1f − n−1 � k=0 n−k � j=1 (−1)n−k−j k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='j!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (n − k − j)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='xk 1Exj 1 � xn−k−j 1 ∂n+1f While the first and the second sum correspond to the Taylor polynomial and the integral remainder term, the third sum corresponds to an additional polynomial that arises from our general setting allowing non-multiplicative evaluations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It can be viewed as an integro-differential algebraic version of the analytic formula − n−1 � k=0 (x − x0)k k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' �� x x0 (x − t)n−k − (x0 − t)n−k (n − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' f (n+1)(t)dt � x=x0 , 35 which vanishes for smooth functions f(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Although in practice these additional terms yield zero even for many elements f that model singular functions in con- crete integro-differential rings, they cannot be dropped in general, as illustrated in C[x, x−1, ln(x)] by considering n = 1 and f = ln(x), for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' With in- tegration defined as in Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='13, we have x1 = x and with f = ln(x) the Taylor polynomial Ef + xE∂f vanishes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By ∂2f = − 1 x2 , the second sum yields − � x∂2f + x � ∂2f = ln(x) + 1 and the third sum −Ex � ∂2f = −1 compensates the constant term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' More generally, we can characterize the integro-differential rings where the additional polynomial does not play a role in the Taylor formula.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Corollary 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring such that E is mul- tiplicative on the integro-differential subring generated by 1, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Exmxn = 0 for all m, n ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we have Exng = 0 for all n ≥ 1 and g ∈ R if and only if we have f = n � k=0 xkE∂kf + n � k=0 (−1)n−kxk � xn−k∂n+1f for all n ∈ N and f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If Exng = 0 for all n ≥ 1 and g ∈ R, then we have in particular Exj � xn−k−j∂n+1f = 0 for all j, k, n ∈ N and f ∈ R with 1 ≤ j ≤ n − k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence, Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6 implies the claimed identity for all n ∈ N and f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For the converse, let n ≥ 1 be minimal such that Exng ̸= 0 for some g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' With such g, we let f := � ng and, by minimality of n, we obtain that n−1 � k=0 n−k � j=1 (−1)n−k−jxkExj � xn−k−j∂n+1f = Exn � ∂g = Exng − ExnEg = Exng is nonzero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Consequently, Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6 implies that the claimed identity does not hold for this n and f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Acknowledgements This work was supported by the Austrian Science Fund (FWF): P 27229, P 31952, and P 32301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Part of this work was done while both authors were at the Radon Institute of Computational and Applied Mathematics (RICAM) of the Austrian Academy of Sciences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The authors would like to thank Alban Quadrat for bringing the book [23] to the attention of the second author during his stay at INRIA Saclay.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A Normal forms for IDO in tensor rings The goal of this appendix is to state and prove a refinement of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 providing uniqueness of normal forms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Uniqueness is achieved by representing operators by elements of a tensor ring, which is formed on a module of basic operators generated by R, ∂, � , E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The ring of operators can be constructed 36 as quotient of the tensor ring, where relations of basic operators are encoded by tensor reduction rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The main technical tool for proving uniqueness of nor- mal forms is a generalization of Bergman’s Diamond Lemma in tensor rings [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For the convenience of the reader, we give a formal and largely self-contained summary of tensor reduction systems and we explain the translation of identi- ties of operators into this framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In this appendix, K denotes a ring (not necessarily commutative) with unit element.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we start by recalling basic properties of bimodules and tensor rings on them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For further details on tensor rings and proofs see, for example, [34, 7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we recall decompositions with specialization, which are used for defining reduction rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2, we state the Diamond Lemma for tensor reduction systems with specialization from [14] and provide a summary of the relevant notions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, we construct an appropriate tensor ring along with a tensor reduction system for dealing with IDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We use these to state The- orem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3, which provides a precise formulation of uniqueness of normal forms of IDO in terms of tensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In Section A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4, we give a complete proof of the theorem, where the necessary computations for verifying uniqueness of normal forms in the tensor ring are done in an automated way by our package TenReS in the computer algebra system Mathematica.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' These computations are contained in the Mathematica file accompanying this paper, which includes a log of the re- duction steps and is available at http://gregensburger.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='com/softw/tenres/.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The theorem proved in that section even covers more general rings of operators, which allow to deal with additional functionals besides the induced evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 Tensor rings on bimodules and decompositions A K-bimodule is a left K-module M which is also a right K-module satisfying the associativity condition (km)l = k(ml) for all m ∈ M and k, l ∈ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A ring R that is a K-bimodule such that (xy)z = x(yz) for any x, y, z in R or K is called a K-ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, if K is a subring of some ring R, then R is a K-ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We first recall basic properties of the tensor product on K-bimodules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For K-bimodules M, N, their K-tensor product M ⊗ N is a K-bimodule generated by the pure tensors {m ⊗ n | m ∈ M, n ∈ N} with relations (m + ˜m) ⊗ n = m ⊗ n + ˜m ⊗ n, m ⊗ (n + ˜n) = m ⊗ n + m ⊗ ˜n, and mk ⊗ n = m ⊗ kn having scalar multiplications k(m ⊗ n) = (km) ⊗ n and (m ⊗ n)k = m ⊗ (nk) for all m, ˜m ∈ M, n, ˜n ∈ N, and k ∈ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We denote the tensor product of M with itself over K by M ⊗n = M ⊗· · ·⊗M (n factors).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, M ⊗1 = M and we interpret M ⊗0 as the K-module Kε, where ε denotes the empty tensor and right scalar multiplication satisfies (k1ε)k2 = (k1k2)ε for k1, k2 ∈ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As a K-bimodule, the tensor ring K⟨M⟩ is 37 defined as the direct sum K⟨M⟩ = ∞ � n=0 M ⊗n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It can be turned into a K-ring with unit element ε where multiplication M ⊗r × M ⊗s → M ⊗(r+s) is defined via (m1 ⊗ · · · ⊗ mr, ˜m1 ⊗ · · · ⊗ ˜ms) �→ m1 ⊗ · · · ⊗ mr ⊗ ˜m1 ⊗ · · · ⊗ ˜ms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Via the tensor product, any decomposition of the module M carries over to a decomposition of the tensor ring K⟨M⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In particular, we use decompositions with specialization, which were introduced in [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' These are given by a family (Mz)z∈Z of K-subbimodules of M and a subset X ⊆ Z with M = � z∈Z Mz = � x∈X Mx such that every module Mz, z ∈ Z, satisfies Mz = � x∈S(z) Mx where S(z) := {x ∈ X | Mx ⊆ Mz} is the set of specializations of z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that this definition implies S(x) = {x} for x ∈ X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For words W = w1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' wn in the word monoid ⟨Z⟩, we define the corresponding K-subbimodule of K⟨M⟩ by MW := Mw1 ⊗ · · · ⊗ Mwn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The notion of specialization extends from the alphabet Z to the whole word monoid ⟨Z⟩ by S(W) := {v1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' vn ∈ ⟨X⟩ | ∀i : vi ∈ S(wi)} such that S(W) = {V ∈ ⟨X⟩ | MV ⊆ MW }.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We have the following generaliza- tion MW = � V ∈S(W) MV of the direct sum above and the decomposition K⟨M⟩ = � W∈⟨Z⟩ MW = � W∈⟨X⟩ MW of the tensor ring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2 Tensor reduction systems with specialization Fixing a decomposition with specialization of M, a reduction rule for K⟨M⟩ is given by a pair r = (W, h) of a word W ∈ ⟨Z⟩ and a K-bimodule homomorphism h: MW → K⟨M⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It acts on tensors of the form a⊗w⊗b with a ∈ MA, w ∈ MW , and b ∈ MB for some A, B ∈ ⟨Z⟩ by a ⊗ w ⊗ b →r a ⊗ h(w) ⊗ b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Later, we will specify homomorphisms h in concrete reduction rules (W, h) via their values on a generating set of MW .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Formally, well-definedness of such homomorphisms can 38 be ensured by the universal property of the tensor product.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A set Σ of such reduction rules is called a reduction system over Z on K⟨M⟩ and induces the two-sided reduction ideal IΣ := (t − h(t) | (W, h) ∈ Σ and t ∈ MW ) ⊆ K⟨M⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For computing in the factor ring K⟨M⟩/IΣ, we apply the reduction relation →Σ induced by Σ on K⟨M⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It reduces a tensor t ∈ K⟨M⟩ to a tensor s ∈ K⟨M⟩ if there is an r ∈ Σ such that t →r s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We say that t can be reduced to s by Σ if t = s or there exists a finite sequence of reduction rules r1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' , rn in Σ such that t →r1 t1 →r2 · · · →rn−1 tn−1 →rn s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If one tensor can be reduced to another, then their difference is contained in IΣ and they represent the same element of K⟨M⟩/IΣ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The K-subbimodule of irreducible tensors K⟨M⟩irr = � W∈⟨X⟩irr MW can be characterized by the set of irreducible words ⟨X⟩irr ⊆ ⟨X⟩, which consists of those words that avoid subwords arising as specializations S(W) of words occurring in reduction rules (W, h) ∈ Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The irreducible tensors to which a given tensor t can be reduced, are called its normal forms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If t has a unique normal form, it is denoted by t↓Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' An ambiguity is a minimal situation where two (not necessarily distinct) re- duction rules can be applied to tensors in different ways.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For each pure tensor of this kind, the corresponding S-polynomial is the difference of the results of the two reduction steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For example, an overlap ambiguity arises from two reduction rules (AB1, h), (B2C, ˜h) ∈ Σ, where A, B1, B2, C ∈ ⟨Z⟩ are nonempty such that B1, B2 are equal or have a common specialization, and corresponding S-polynomials are referred to by SP(AB1, B2C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' An ambiguity is called resolv- able, if all its S-polynomials can be reduced to zero by Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If all ambiguities of Σ are resolvable, then the reduction relation induced by Σ on K⟨M⟩ is confluent and, by abuse of language, we also call Σ confluent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This means that there are no hidden consequences implied in K⟨M⟩/IΣ by the identities explicitly specified by Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The following theorem relies on the existence of a partial order of words in ⟨Z⟩ that has certain properties, which are briefly explained now.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A partial order ≤ on ⟨Z⟩ is called a semigroup partial order if it is compatible with concatenation of words.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' If in addition the empty word ǫ is the least element of ⟨Z⟩, then ≤ is called a monoid partial order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It is called Noetherian if there are no infinite descending chains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We call a partial order ≤ on ⟨Z⟩ consistent with specialization if every strict inequality V < W implies ˜V < ˜W for all specializations ˜V ∈ S(V ) and ˜W ∈ S(W).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A partial order ≤ on ⟨Z⟩ is compatible with a reduction system Σ over Z on K⟨M⟩ if for all (W, h) ∈ Σ the image of h is contained in the sum of modules MV where V ∈ ⟨Z⟩ satisfies V < W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 39 Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' [14, Thm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 20] Let M be a K-bimodule and let (Mz)z∈Z be a decomposition with specialization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let Σ be a reduction system over Z on K⟨M⟩ and let ≤ be a Noetherian semigroup partial order on ⟨Z⟩ consistent with specialization and compatible with Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, the following are equivalent: 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' All ambiguities of Σ are resolvable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Every t ∈ K⟨M⟩ has a unique normal form t↓Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' K⟨M⟩/IΣ and K⟨M⟩irr are isomorphic as K-bimodules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, if these conditions are satisfied, then we can define a multiplication on K⟨M⟩irr by s · t := (s ⊗ t)↓Σ so that K⟨M⟩/IΣ and K⟨M⟩irr are isomorphic as K-rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 Tensor reduction systems for IDO Before using the tensor setting to construct the ring of integro-differential op- erators R⟨∂, � , E⟩, we illustrate this construction on the well-known ring of differential operators R⟨∂⟩ to highlight some of the special properties of the construction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Usually, the ring of differential operators with coefficients from R is constructed via skew polynomials � i fi∂i over R in one indeterminate ∂, with commutation rule ∂ · f = f · ∂ + ∂f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring and let C denote its ring of constants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In the following, we consider K-tensor rings with K := C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Example A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The module of basic operators that generates all differential operators is given by M := MR ⊕ MD, with K-bimodules MR := R (24) and MD defined as the free left K-module MD := K∂ (25) generated by the symbol ∂, which we view as a K-bimodule with the right multiplication c∂ · d = cd∂ for all c, d ∈ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This definition is based on left K-linearity of the derivation ∂ on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The commutation rule ∂ · f = f · ∂ + ∂f coming from the Leibniz rule in R translates to the tensor reduction rule (DR, ∂⊗f �→ f⊗∂ + ∂f).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This rule is formalized by the K-bimodule homomorphism MDR = MD ⊗ MR → K⟨M⟩ defined by ∂⊗f �→ f⊗∂ + ∂f on tensors ∂⊗f generating MDR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that this homomorphism represents a parameterized family of identities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Reduction of tensors by the rule above allows to syntactically move all multiplication op- erators to the left of any differentiation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 40 Note that, in order to correctly model differential operators as equivalence classes of tensors in K⟨M⟩, other relations among operators need to be phrased as tensor reduction rules as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This is because the tensor ring K⟨M⟩ itself is constructed without respecting relations coming from multiplication in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For instance, the composition of two multiplication operators f and g is a mul- tiplication operator again, which leads to the reduction rule (RR, f⊗g �→ fg) defined on the module MRR = MR ⊗ MR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, the multiplication operator that multiplies by 1 acts like the identity operator, which is represented by the empty tensor ε.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To define reduction rules that act only on C instead of all of R, we need a direct decomposition of the K-bimodule MR = MK ⊕ M˜R, (26) which in our case can be given by MK := K and M˜R := � R (27) based on Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we can define a reduction rule on MK = C by 1 �→ ε.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, the tensor reduction system ΣDiff = {rK, rRR, rDR} for differential operators is given by the three reduction rules {(K, 1 �→ ε), (RR, f⊗g �→ fg), (DR, ∂⊗f �→ f⊗∂ + ∂f)} defined above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It induces the two-sided ideal IDiff := (t − h(t) | (W, h) ∈ ΣDiff and t ∈ MW ) = (1 − ε, f⊗g − fg, ∂⊗f − f⊗∂ − ∂f | f, g ∈ R) in the ring K⟨M⟩ and computations with differential operators are modelled in the quotient ring R⟨∂⟩ := K⟨M⟩/IDiff.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Tensors that are not reducible w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ΣDiff are precisely K-linear combinations of pure tensors of the form ∂⊗i and f ⊗ ∂⊗i, where i ∈ N0 and f ∈ � R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' With alphabets X = {K, ˜R, D} and Z = X ∪{R}, one can check that all ambiguities of ΣDiff are resolvable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Using an appropriate ordering of words, one can show that the conditions of Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 are satisfied by this construction of R⟨∂⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proceeding to an analogous construction of the ring R⟨∂, � , E⟩ from Defini- tion 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, we also require tensor reduction rules corresponding to the identities (12)–(16), in addition to the three rules from the example above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To this end, analogous to MD above, we introduce the K-bimodules MI := K � and ME := KE, (28) which are freely generated as left K-modules by the symbols � and E, respec- tively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then, we consider the K-tensor ring on the K-bimodule M := MR ⊕ MD ⊕ MI ⊕ ME.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 41 K 1 �→ ε ID � ⊗∂ �→ ε − E RR f⊗g �→ fg DRE ∂⊗f⊗E �→ ∂f⊗E DR ∂⊗f �→ f⊗∂ + ∂f IRE � ⊗f⊗E �→ � f⊗E DI ∂⊗ � �→ ε ERE E⊗f⊗E �→ (Ef)E Table 2: Defining reduction system for integro-differential operators Altogether, we obtain the tensor reduction system given in Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The two- sided ideal IIDO induced by it allows to construct the ring R⟨∂, � , E⟩ as the quotient K⟨M⟩/IIDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' However, this reduction system is not confluent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In order to obtain normal forms that are unique as tensors in K⟨M⟩, we need a confluent tensor reduction system on K⟨M⟩ that induces the same ideal IIDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The con- fluent tensor reduction system given in Table 3 can be obtained by turning the identities of Table 1 into tensor reduction rules and including the rules rK and rRR from above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This allows us to state the following more precise version of K 1 �→ ε EI E⊗ � �→ 0 RR f⊗g �→ fg IRD � ⊗f⊗∂ �→ f − E⊗f − � ⊗∂f DR ∂⊗f �→ f⊗∂ + ∂f IRE � ⊗f⊗E �→ � f⊗E DE ∂⊗E �→ 0 IRI � ⊗f⊗ � �→ � f⊗ � − E⊗ � f⊗ � − � ⊗ � f DI ∂⊗ � �→ ε ID � ⊗∂ �→ ε − E ERE E⊗f⊗E �→ (Ef)E IE � ⊗E �→ � 1⊗E EE E⊗E �→ E II � ⊗ � �→ � 1⊗ � − E⊗ � 1⊗ � − � ⊗ � 1 Table 3: Confluent reduction system ΣIDO for integro-differential operators Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that multiples like f · ∂ are treated differently now, due to the fact that we are working in the tensor ring K⟨M⟩ and we have the reduction rule (K, 1 �→ ε), which splits f ∈ R according to Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring with constants K = C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let M be given as above in terms of the modules defined in Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (26), (27), (25), and (28) and let the tensor reduction system ΣIDO be defined by Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then every t ∈ K⟨M⟩ has a unique normal form t↓ΣIDO∈ K⟨M⟩, which can be written as a K-linear combination of pure tensors of the form f ⊗ ∂⊗j, f ⊗ � ⊗ g, f ⊗ E ⊗ g ⊗ ∂⊗j, or f ⊗ E ⊗ h ⊗ � ⊗ g where j ∈ N0, f, g, h ∈ � R, and each f and g may be absent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, R⟨∂, � , E⟩ ∼= K⟨M⟩irr as K-rings, where multiplication on K⟨M⟩irr is defined by s · t := (s ⊗ t)↓ΣIDO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Instead of proving this theorem, we will prove a more general one below, which allows to include additional functionals into the construction of the ring of operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='3 follows from Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 by specializing Φ = {E}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 42 A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4 Proof of normal forms for IDO with functionals To treat more general problems than the initial value problems in Section 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1, it is useful to include additional functionals into the ring of operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For instance, dealing with boundary problems requires evaluations at more than one point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In general, we consider a set Φ of K-linear functionals R → K including E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We consider the K-bimodule MΦ defined as free left K-module MΦ := KΦ (29) generated by the elements of Φ, where we define right multiplication in terms of Φ by �� ϕ∈Φ cϕϕ � d = � ϕ∈Φ cϕdϕ for cϕ, d ∈ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Note that K-linear combinations of K-linear maps are not necessarily K-linear again, if K is not commutative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since ∂, � , and all elements of Φ are K-linear, we have, for instance, that ϕfψg = (ϕf)ψg for all f, g ∈ R and ϕ, ψ ∈ Φ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' This allows to extend the last three reduction rules of Table 2 to cover all elements of Φ instead of the evaluation E only.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, we consider the K-tensor ring on the K-bimodule M := MR ⊕ MD ⊕ MI ⊕ MΦ (30) and we have the defining reduction system given in Table 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' K 1 �→ ε ID � ⊗∂ �→ ε − E RR f⊗g �→ fg DRΦ ∂⊗f⊗ϕ �→ ∂f⊗ϕ DR ∂⊗f �→ f⊗∂ + ∂f IRΦ � ⊗f⊗ϕ �→ � f⊗ϕ DI ∂⊗ � �→ ε ΦRΦ ϕ⊗f⊗ψ �→ (ϕf)ψ Table 4: Defining reduction system for integro-differential operators with func- tionals Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring with constants K = C and let Φ be a set of K-linear functionals R → K including E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let the K- bimodule M be defined as above in Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (24), (25), (28), (29), and (30).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We call R⟨∂, � , Φ⟩ := K⟨M⟩/IIDOΦ the ring of integro-differential operators with functionals Φ, where IIDOΦ is the two-sided ideal induced by the reduction system obtained from Table 4 using also submodules of M defined in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' (27).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We use Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 above to determine unique normal forms of tensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Again, the reduction system given by Table 4 is not confluent and we need to construct a confluent reduction system, like ΣIDOΦ given in Table 5, by a completion process similar to how Table 3 was obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Observe that, whenever Φ = {E}, the ring R⟨∂, � , Φ⟩ and the relation →ΣIDOΦ specialize to R⟨∂, � , E⟩ and →ΣIDO, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' 43 K 1 �→ ε EI E⊗ � �→ 0 RR f⊗g �→ fg IRD � ⊗f⊗∂ �→ f − E⊗f − � ⊗∂f DR ∂⊗f �→ f⊗∂ + ∂f IRΦ � ⊗f⊗ϕ �→ � f⊗ϕ DΦ ∂⊗ϕ �→ 0 IRI � ⊗f⊗ � �→ � f⊗ � − E⊗ � f⊗ � − � ⊗ � f DI ∂⊗ � �→ ε ID � ⊗∂ �→ ε − E ΦRΦ ϕ⊗f⊗ψ �→ (ϕf)ψ IΦ � ⊗ϕ �→ � 1⊗ϕ ΦΦ ϕ⊗ψ �→ (ϕ1)ψ II � ⊗ � �→ � 1⊗ � − E⊗ � 1⊗ � − � ⊗ � 1 Table 5: Confluent reduction system ΣIDOΦ for integro-differential operators with functionals Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let (R, ∂, � ) be an integro-differential ring with constants K = C and let Φ be a set of K-linear functionals R → K including E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Let M and R⟨∂, � , Φ⟩ be defined as in Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='4 above and let the tensor reduction system ΣIDOΦ be defined by Table 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Then every t ∈ K⟨M⟩ has a unique normal form t↓ΣIDOΦ∈ K⟨M⟩, which can be written as a K-linear combination of pure tensors of the form f ⊗ ∂⊗j, f ⊗ � ⊗ g, f ⊗ ϕ ⊗ h ⊗ ∂⊗j, or f ⊗ ϕ ⊗ h ⊗ � ⊗ g where j ∈ N0, f, g, h ∈ � R, ϕ ∈ Φ, and each f, g, h may be absent such that ϕ ⊗ h ⊗ � does not specialize to E ⊗ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Moreover, R⟨∂, � , Φ⟩ ∼= K⟨M⟩irr as K-rings, where multiplication on K⟨M⟩irr is defined by s · t := (s ⊗ t)↓ΣIDOΦ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We use the alphabets X := {K, ˜R, D, I, E, ˜Φ} and Z := X ∪ {R, Φ}, which turns (Mz)z∈Z into a decomposition with specialization for the module M, where S(R) = {K, ˜R} and S(Φ) = {E, ˜Φ}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For defining a Noetherian monoid partial order ≤ on ⟨Z⟩ consistent with specialization that is compatible with ΣIDOΦ, it is sufficient to require the order to satisfy DR > RD and I > E˜R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For instance, we could first define a monoid total order on ⟨{R, D, I, Φ}⟩ ⊆ ⟨Z⟩ by counting occurrences of the letter I and breaking ties with any degree- lexicographic order satisfying D > R and then generate from it a partial order on ⟨Z⟩ that is consistent with specialization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' By our Mathematica package TenReS, we generate all ambiguities of ΣIDOΦ and verify that they are resolvable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' There are 54 ambiguities and indeed all S-polynomials reduce to zero, see the accompanying Mathematica file at http://gregensburger.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='com/softw/tenres/.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Here, we just give two short ex- amples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The first one illustrates in its last step of computation that also iden- 44 tities in MR, like the Leibniz rule, need to be used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' SP(IRD, DR) = (f − E ⊗ f − � ⊗ ∂f) ⊗ g − � ⊗ f ⊗ (g ⊗ ∂ + ∂g) →rRR fg − E ⊗ fg − � ⊗ (∂f)g − � ⊗ fg ⊗ ∂ − � ⊗ f∂g →rIRD − � ⊗ (∂f)g + � ⊗ ∂fg − � ⊗ f∂g = � ⊗ (−(∂f)g + ∂fg − f∂g) = 0 The second one illustrates that ambiguities involving specialization also need to be considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' SP(ΦΦ, EI) = (ϕ1)E ⊗ � − ϕ ⊗ 0 →rEI 0 Since all ambiguities are resolvable, by Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='1 every element in K⟨M⟩ has a unique normal form and R⟨∂, � , Φ⟩ ∼= K⟨M⟩irr as K-rings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' It remains to determine the explicit form of elements in K⟨M⟩irr.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In order to do so, we determine the set of irreducible words ⟨X⟩irr in ⟨X⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Irreducible words containing only the letters K, ˜R, E, ˜Φ have to avoid the subwords arising from the reduction rules K, S(RR) = {KK, K˜R, ˜RK, ˜R˜R}, S(ΦΦ) = {EE, E˜Φ, ˜ΦE, ˜Φ˜Φ}, and S(ΦRΦ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Hence they are given by ǫ, ˜R, E, ˜Φ, ˜RE, ˜R˜Φ, E˜R, ˜Φ˜R, ˜RE˜R, ˜R˜Φ˜R Allowing also the letter D, we have to avoid the subwords coming from S(DR) = {DK, D˜R} and S(DΦ) = {DE, D˜Φ}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, we can only append words Dj with j ∈ N0 to the irreducible words determined so far, in order to obtain all elements of ⟨X⟩irr not containing the letter I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Finally, we also consider the letter I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Since we have to avoid the subwords S(IΦ) = {IE, I˜Φ}, ID, and II, any letter immediately following I has to be ˜R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' In addition, we have to avoid the subwords S(IRΦ) = {IKE, IK˜Φ, I˜RE, I˜R˜Φ}, S(IRD) = {IKD, I˜RD}, and S(IRI) = {IKI, I˜RI}, so the letter I cannot be followed by a subword of length greater than one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Therefore, the letter I can appear at most once in an element of ⟨X⟩irr and, since subwords EI and DI have to be avoided, it can only be immediately preceded by the letters ˜R or ˜Φ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Altogether, the elements of ⟨X⟩irr are precisely of the form ˜RUDj or ˜RV I˜R, where j ∈ N0 and each of ˜R and U ∈ {E, ˜Φ, E˜R, ˜Φ˜R} and V ∈ {˜Φ, E˜R, ˜Φ˜R} may be absent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Remark A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' As discussed in Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='12, the induced evaluation of an integro-differential ring often is multiplicative in concrete examples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Also when considering several point evaluations of regular functions, the resulting func- tionals are multiplicative, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' ϕfg = (ϕf)ϕg for all f, g ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We discuss how reflecting this additional property of some functionals in the ring of operators influences the normal forms of operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To this end, we consider a subset Φm ⊆ {ϕ ∈ Φ | ϕ is multiplicative and ϕ1 = 1} 45 of Φ, which may or may not include the evaluation E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' For the corresponding elements ϕ ∈ Φm in R⟨∂, � , Φ⟩, we impose ϕ · f = (ϕf)ϕ for all f ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' To model this identity by reduction rules, we consider the submodule MΦm := KΦm of MΦ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Evidently, we have the decomposition MΦ = ME ⊕ M˜Φm ⊕ M˜Φ where the submodules M˜Φm and M˜Φ are generated by Φm \\ {E} and Φ \\ ({E} ∪ Φm), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' We include the reduction rule (ΦmR, ϕ⊗f �→ (ϕf)ϕ) into Tables 4 and 5, where ϕ in the formula defining this K-bimodule homomor- phism on MΦmR is not a general element of MΦm but of Φm and the definition needs to be extended by left K-linearity to all of MΦmR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 generalizes to this situation with the additional restriction on normal forms in K⟨M⟩ that h needs to be absent whenever ϕ ∈ Φm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The proof is analogous by adapting the alphabets and the order accordingly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The additional reduction rule gives rise to additional ambiguities, whose resolvability is also checked in the Mathematica file.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' Determination of irreducible words also needs to be adapted accordingly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' The resulting theorem includes Theorem A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='5 for Φm = ∅ and it includes Theorem 27 from [14] for Φm = Φ, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' when all functionals are multiplicative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/QNFPT4oBgHgl3EQfojUh/content/2301.13134v1.pdf'} +page_content=' References [1] Matthias Aschenbrenner, Lou van den Dries, and Joris van der Hoeven, Asymptotic differential 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In this article, we give a counterexample to the Lefschetz hyperplane theorem +for non-singular quasi-projective varieties. A classical result of Hamm-Lˆe shows that Lefschetz +hyperplane theorem can hold for hyperplanes in general position. We observe that the condition +of “hyperplane” is strict in the sense that it is not possible to replace it by higher degree +hypersurfaces. The counterexample is very simple: projective space minus finitely many points. +Moreover, as an intermediate step we prove that the Grothendieck-Lefschetz theorem also fails +in the quasi-projective case. +1. Introduction +The underlying field will always be C. +Consider a non-singular, projective variety Y of +dimension n. The Lefschetz hyperplane theorem (LHT) states that for any hypersurface X ⊂ Y +with OX(Y ) very ample, the restriction morphism +Hk(Y, Z) → Hk(X, Z) is an isomorphism for all k < n − 1 and injective for k = n − 1. +(1.1) +If Y is the projective space, then the theorem extends further. In particular, the restriction from +Hn−1(Pn) to Hn−1(X) is an isomorphism for a very general hypersurface X. The geometry of +the locus of hypersurfaces where this isomorphism fails (also known as the Noether-Lefschetz +locus), has been extensively studied [1–4, 11, 12]. +It is therefore evident that the failure of +the Lefschetz hyperplane theorem can give rise to important questions in Hodge theory and +deformation theory. The goal of this article is to investigate the failure of this theorem in the +quasi-projective case. +It was observed by Hamm and Lˆe [6, 7] that if a hyperplane section X in a quasi-projective +variety Y is in “general” position, then (1.1) holds true. The criterion for general position, is +given explicitly in terms of a Whitney stratification of Y (see §2.2). This leads to the natural +question: +Question: Is the Hamm-Lˆe theorem (Theorem 2.1) true if we replace “hyperplane” by higher +degree hypersurface? +This is true in the case when Y is a projective, non-singular variety. Surprisingly, this can +fail even if Y is the complement of a single point in a projective space. In particular, we give +an example of a higher degree hypersurface which satisfies all the conditions in the Hamm-Lˆe +theorem except for being a hyperplane. Yet, in this case LHT fails. We now discuss this in +details. Recall, a projective variety X is called non-factorial if the rank of the divisor class +group Div(X) (i.e., the free abelian group of divisors on X modulo linear equivalence) is not +the same as the rank of the Picard group Pic(X). We prove: +Date: January 13, 2023. +2020 Mathematics Subject Classification. 14C30, 32S35, 32S50. +Key words and phrases. Hodge theory, Lefschetz hyperplane theorem, quasi-projective varieties, factoriality, +Grothendieck-Lefschetz theorem, Picard group. +1 + +2 +ANANYO DAN +Theorem 1.1. Let X ⊂ Pn be a non-factorial hypersurface with isolated singularities with +n ≥ 4. Denote by Xsing the singular locus of X. Then, the natural restriction morphism +H2(Pn\Xsing, Z) → H2(X\Xsing, Z) +is not surjective. +Using this theorem we now give an explicit example. +Example 1.2. Let X ⊂ P4 be a hypersurface defined by the equation X2 +0 + X2 +1 + X2 +2 + X2 +3, +where X0, ..., X4 are the coordinates on P4. Clearly, X has exactly one singular point x = [0 : +0 : 0 : 0 : 1]. The divisor class group Div(X) is isomorphic to Z ⊕ Z (see [8, Ex. II.6.5]). By +Lefschetz hyperplane theorem, we have H2(X, Z) ∼= Z. Using the exponential exact sequence, +one can check that Pic(X) ∼= Z. Hence, X is non-factorial. Theorem 1.1 then implies that the +restriction morphism from H2(P4\{x}, Z) to H2(X\{x}, Z) is not surjective. +As an intermediate step we show that the Grothendieck-Lefschetz theorem [5] fails in the +quasi-projective case (see Remark 3.2). +Acknowledgement: I thank Dr. I. Kaur for discussions. The author was funded by EPSRC +grant number EP/T019379/1. +2. On the Hamm-Lˆe result +In [7], Hamm and Lˆe proved a version of the Lefschetz hyperplane theorem for quasi-projective +varieties (see Theorem 2.1 below). The proof follows in two stages. We use notations as in §2.1 +below. The first step is to check that for all i ≤ dim(Y ) − 2, Hi(Y \Z) (resp. Hm−1(Y \Z)) is +isomorphic to (resp. contained in) the i-th (resp. (m − 1)-th) cohomology of Vr(L) ∩ (Y \Z), +for some neighbourhood Vr(L) of L of “radius” r, for almost all r > 0 (see [7, Theorem 1.1.1]). +The second step is to check whether L ∩ (Y \Z) is a deformation retract of Vr(L) ∩ (Y \Z). One +observes that this holds true if L is in a “general” position. An explicit description of the general +position will be mentioned in Theorem 2.1 below. +2.1. Setup. Let Y be a projective subvariety of dimension m in Pn, Z ⊂ Y be an algebraic +subspace and L ⊂ Pn a hyperplane in Pn such that Y \(Z ∪ L) is non-singular. Consider a +stratification {Yi}i∈I of Y satisfying the following conditions: +(1) each Yi is a real semi-algebraic subset of Y , +(2) {Yi} is a Whitney stratification, +(3) Z is a union of some of the strata, +(4) the stratification satisfies the Thom condition for the following function: +τ : Y → R, sending y ∈ Y to +k� +i=1 +|fi(y)|2d/di +n� +i=0 +|yi|2d +, where y = (y1, ..., yn), +Z is defined by the homogeneous polynomials f1, ..., fk of degrees di, respectively and d +is the l.c.m. of the di’s. See [10, §1.4.4] for the precise definition. +2.2. On the Hamm-Lˆe result. Let Ω be the set of complex projective hyperplanes of Pn +transverse to all the strata Yi. + +LEFSCHETZ THEOREM +3 +Theorem 2.1. (Hamm-Lˆe [7, Theorem 1.1.3]) Assume that Y \Z is non-singular. Then, for any +L ∈ Ω we have +Hk(Y \Z, L ∩ (Y \Z)) = 0 for all k ≤ m − 1. +In other words, the natural morphism from Hk(Y \Z, Z) to Hk(L∩(Y \Z), Z) is an isomorphism +for all k ≤ m − 2 and injective for k = m − 1. +We now write the stratification relevant to Example 1.2. +Remark 2.2. Take Y = P4 ⊂ P5 defined by z5 = 0, where zi are the coordinates on P5. Take +Z := [0, 0, 0, 0, 1, 0] the closed point in Y . Take the stratification of Y consisting of +(Y \Z) +� +Z. +Then, the equations defining Z in P5 are given by fi := zi for 0 ≤ i ≤ 3 and f5 := z5. The +function τ is simply +τ := +|z5|2 + +3� +i=0 +|zi|2 +5� +i=0 +|zi|2 +. +Note that this stratification satisfies conditions (1)-(4) in §2.1 above, with the stratification on R +given by R\{0} �{0}. Finally, note that the hypersurface X in P5 defined by z2 +0 +z2 +1 +z2 +2 +z2 +3+z2 +5 +is singular at the point Z. As a result X is transverse to all the strata of Y . We will observe in +Theorem 1.1 that if we replace L in Theorem 2.1 above by X, then the conclusion fails. +3. Proof of Main theorem +We will assume that the reader has basic familiarity with local cohomology. See [9] for basic +definitions and results in this topic. +Let X ⊂ Pn be a non-factorial hypersurface with isolated singularities with n ≥ 4. Denote by +Xsing the singular locus of X, Y := Pn\Xsing and Xsm := X\Xsing. We first show: +Proposition 3.1. The cohomology groups H1(OY ), H2(OY ) and H1(OXsm) all vanish, in both +analytic as well as Zariski topology. +Proof. Recall, the long exact sequence for local cohomology groups, which exists in both topolo- +gies (see [9, Corollary 1.9]): +... → H1(OPn) → H1(OY ) → H2 +Xsing(OPn) → H2(OPn) → H2(OY ) → H3 +Xsing(OPn) → ... +Recall, H1(OPn) = 0 = H2(OPn). By Serre’s GAGA, H1(O +an +Pn) = 0 = H2(O +an +Pn). To prove the +vanishing of H1(OY ) and H2(OY ), we simply need to prove the vanishing of Hi +Xsing(OPn) for +i = 2, 3 in both topologies. +Consider the spectral sequence (see [9, Proposition 1.4]): +Ep,q +2 += Hp(Pn, Hq +Xsing(OPn)) ⇒ Hp+q +Xsing(OPn). +(3.1) +We are interested in the cases when p + q equals 2 or 3. Since n ≥ 4 and Xsing are closed points, +we have (see [13, Proposition 1.2]) +Hq +Xsing(OPn) = 0 for q ≤ 3. +This implies that Ep,q +2 += 0 for p + q equals 2 or 3. Hence the spectral sequence degenerates at +E2 in this case and Hi +Xsing(OPn) = 0 in both topologies. This proves the vanishing of H1(OY ) +and H2(OY ). + +4 +ANANYO DAN +The proof for the vanishing of H1(OXsm) follows similarly. In particular, using [9, Corollary +1.9], it suffices to check the vanishing of H1(OX) and H2 +Xsing(OX). Since X is a hypersurface +in Pn and n ≥ 4, H1(OX) = 0. +By Serre’s GAGA, H1(O +an +X ) = 0. To prove the vanishing +of H2 +sing(OX) use the spectral sequence (3.1) above after replacing Pn by X and p + q = 2. +Since dim X ≥ 3, [13, Proposition 1.2] implies that Hq +Xsing(OX) = 0 for q ≤ 2. This implies +that the spectral sequence degenerates at E2 and H2 +Xsing(OX) = 0 in both topologies. Hence, +H1(OXsm) = 0 in both topologies. This proves the proposition. +□ +Proof of the main theorem. We prove the theorem by contradiction. Suppose that the restric- +tion morphism from H2(Y, Z) to H2(X, Z) is surjective. Comparing the long exact sequences +associated to the exponential exact sequence for Y and Xsm we get the following diagram where +the horizontal rows are exact: +H1(OY ) +✲ H1(O∗ +Y ) +∂1✲ H2(Y, Z) +✲ H2(OY ) +⟲ +⟲ +⟲ +H1(OXsm) +❄ +✲ H1(O∗ +Xsm) +ρ′ +❄ +∂2✲ H2(Xsm, Z) +ρ +❄ +✲ H2(OXsm) +❄ +(3.2) +Using the vanishing results from Proposition 3.1, we conclude that ∂1 is an isomorphism and ∂2 +is injective. By assumption, ρ is surjective. We claim that ρ′ is surjective. Indeed, given α ∈ +H1(O∗ +Xsm), the surjectivity of ρ implies that there exists β ∈ H2(Y, Z) such that ρ(β) = ∂2(α). +Since ∂1 is an isomorphism, there exist α′ ∈ H1(O∗ +Y ) mapping to β via ∂1. Using the injectivity +of ∂2 and the commutativity of the middle square, we have ρ′(α′) = α. This proves the claim. +Since ρ′ is surjective, we have the following surjective morphism: +Z = Pic(Pn) ∼= Pic(Y ) +ρ′ +։ Pic(Xsm) ∼= Div(X) +(3.3) +where the second and the last isomorphisms follow from the fact that Xsing is of codimensional +at least 2 in X and Pn. By Lefschetz hyperplane theorem, we have H2(X, Z) ∼= H2(Pn, Z) = Z, +generated by the class of the hyperplane section. Note that, H1(OX) and H2(OX) vanish (use [8, +Ex. III.5.5] and n ≥ 4). Using the exponential short exact sequence for X, we conclude that +Pic(X) ∼= Z. Combining with (3.3), this implies rk Div(X) = rk Pic(X). But this contradicts +the fact that X is non-factorial. Hence, the restriction morphism from H2(Y, Z) to H2(X, Z) +cannot be surjective. This proves the theorem. +□ +Remark 3.2. Let X be as in Theorem 1.1. Then, the restriction morphism +Pic(Pn\Xsing) → Pic(X\Xsing) +is not surjective. Indeed, +Pic(Pn\Xsing) ∼= Pic(Pn) ∼= Z and Pic(X\Xsing) ∼= Div(X). +By Lefschetz hyperplane theorem for projective hypersurfaces, we have Pic(X) ∼= Z. Since X is +non-factorial, the rank of Div(X) is not the same as that of Pic(X). Therefore, Pic(Pn\Xsing) +cannot be isomorphic to Pic(X\Xsing). +References +[1] C. Ciliberto, J. Harris, and R. Miranda. General components of the Noether-Lefschetz locus and their density +in the space of all surfaces. Mathematische Annalen, 282(4):667–680, 1988. +[2] A. Dan. On a conjecture by Griffiths and Harris concerning certain Noether–Lefschetz loci. Communications +in Contemporary Mathematics, 17(5):1550002, 2015. +[3] A. Dan. On a conjecture of Harris. Communications in Contemporary Mathematics, 23(07):2050028, 2021. + +LEFSCHETZ THEOREM +5 +[4] M. Green. A new proof of the explicit Noether-Lefschetz theorem. J. Differential Geometry, 27:155–159, 1988. +[5] A. Grothendieck. SGA 2. S´eminaire de G´eom´etrie Alg´ebrique du Bois Marie-1962-Cohomologie locale des +faisceaux coh´erents et th´eoremes de Lefschetz locaux et globaux (North-Holland, Amsterdam), 1968. +[6] H. Hamm. Lefschetz theorems for singular varieties. In Proceedings of symposia in pure mathematics, vol- +ume 40, pages 547–557. AMS, 1983. +[7] H. Hamm and D. T. Lˆe. Lefschetz theorems on quasi-projective varieties. Bulletin de la Soci´et´e math´ematique +de France, 113:123–142, 1985. +[8] R. Hartshorne. Algebraic Geometry. Graduate text in Mathematics-52. Springer-Verlag, 1977. +[9] R. Hartshorne. Local Cohomology: A Seminar Given by A. Groethendieck, Harvard University. Fall, 1961, +volume 41. Springer, 2006. +[10] D. T. Lˆe and B. Teissier. Cycles ´evanescents, sections planes et conditions de whitney ii, singularities, part +2 (arcata, calif., 1981), 65-103. In Proc. Sympos. Pure Math, volume 40. +[11] C. Voisin. Une pr´ecision concernant le th´eor`eme de Noether. Math. Ann., 280(4):605–611, 1988. +[12] C. Voisin. Sur le lieu de Noether-Lefschetz en degr´es 6 et 7. Compositio Mathematica, 75(1):47–68, 1990. +[13] Y. Yoshino. Maximal Cohen-Macaulay Modules Over Cohen-Macaulay Rings, volume 146. Cambridge Uni- +versity Press, 1990. +School of Mathematics and Statistics, University of Sheffield, Hicks building, Hounsfield Road, +S3 7RH, UK +Email address: a.dan@sheffield.ac.uk + diff --git a/TdE4T4oBgHgl3EQfLwwK/content/tmp_files/load_file.txt b/TdE4T4oBgHgl3EQfLwwK/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..1d1f35d9769cbdc6d2c7a670c5103d3a527ca2b1 --- /dev/null +++ b/TdE4T4oBgHgl3EQfLwwK/content/tmp_files/load_file.txt @@ -0,0 +1,267 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf,len=266 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='04940v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='AG] 12 Jan 2023 FAILURE OF LEFSCHETZ HYPERPLANE THEOREM ANANYO DAN Abstract.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' In this article, we give a counterexample to the Lefschetz hyperplane theorem for non-singular quasi-projective varieties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' A classical result of Hamm-Lˆe shows that Lefschetz hyperplane theorem can hold for hyperplanes in general position.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We observe that the condition of “hyperplane” is strict in the sense that it is not possible to replace it by higher degree hypersurfaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The counterexample is very simple: projective space minus finitely many points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Moreover, as an intermediate step we prove that the Grothendieck-Lefschetz theorem also fails in the quasi-projective case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Introduction The underlying field will always be C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Consider a non-singular, projective variety Y of dimension n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The Lefschetz hyperplane theorem (LHT) states that for any hypersurface X ⊂ Y with OX(Y ) very ample, the restriction morphism Hk(Y, Z) → Hk(X, Z) is an isomorphism for all k < n − 1 and injective for k = n − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1) If Y is the projective space, then the theorem extends further.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' In particular, the restriction from Hn−1(Pn) to Hn−1(X) is an isomorphism for a very general hypersurface X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The geometry of the locus of hypersurfaces where this isomorphism fails (also known as the Noether-Lefschetz locus), has been extensively studied [1–4, 11, 12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' It is therefore evident that the failure of the Lefschetz hyperplane theorem can give rise to important questions in Hodge theory and deformation theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The goal of this article is to investigate the failure of this theorem in the quasi-projective case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' It was observed by Hamm and Lˆe [6, 7] that if a hyperplane section X in a quasi-projective variety Y is in “general” position, then (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1) holds true.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The criterion for general position, is given explicitly in terms of a Whitney stratification of Y (see §2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This leads to the natural question: Question: Is the Hamm-Lˆe theorem (Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1) true if we replace “hyperplane” by higher degree hypersurface?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This is true in the case when Y is a projective, non-singular variety.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Surprisingly, this can fail even if Y is the complement of a single point in a projective space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' In particular, we give an example of a higher degree hypersurface which satisfies all the conditions in the Hamm-Lˆe theorem except for being a hyperplane.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Yet, in this case LHT fails.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We now discuss this in details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Recall, a projective variety X is called non-factorial if the rank of the divisor class group Div(X) (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=', the free abelian group of divisors on X modulo linear equivalence) is not the same as the rank of the Picard group Pic(X).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We prove: Date: January 13, 2023.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 2020 Mathematics Subject Classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 14C30, 32S35, 32S50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Key words and phrases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Hodge theory, Lefschetz hyperplane theorem, quasi-projective varieties, factoriality, Grothendieck-Lefschetz theorem, Picard group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 1 2 ANANYO DAN Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Let X ⊂ Pn be a non-factorial hypersurface with isolated singularities with n ≥ 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Denote by Xsing the singular locus of X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Then, the natural restriction morphism H2(Pn\\Xsing, Z) → H2(X\\Xsing, Z) is not surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Using this theorem we now give an explicit example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Example 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Let X ⊂ P4 be a hypersurface defined by the equation X2 0 + X2 1 + X2 2 + X2 3, where X0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=', X4 are the coordinates on P4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Clearly, X has exactly one singular point x = [0 : 0 : 0 : 0 : 1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The divisor class group Div(X) is isomorphic to Z ⊕ Z (see [8, Ex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='5]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' By Lefschetz hyperplane theorem, we have H2(X, Z) ∼= Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Using the exponential exact sequence, one can check that Pic(X) ∼= Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Hence, X is non-factorial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 then implies that the restriction morphism from H2(P4\\{x}, Z) to H2(X\\{x}, Z) is not surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' As an intermediate step we show that the Grothendieck-Lefschetz theorem [5] fails in the quasi-projective case (see Remark 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Acknowledgement: I thank Dr.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Kaur for discussions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The author was funded by EPSRC grant number EP/T019379/1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' On the Hamm-Lˆe result In [7], Hamm and Lˆe proved a version of the Lefschetz hyperplane theorem for quasi-projective varieties (see Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 below).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The proof follows in two stages.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We use notations as in §2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The first step is to check that for all i ≤ dim(Y ) − 2, Hi(Y \\Z) (resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Hm−1(Y \\Z)) is isomorphic to (resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' contained in) the i-th (resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' (m − 1)-th) cohomology of Vr(L) ∩ (Y \\Z), for some neighbourhood Vr(L) of L of “radius” r, for almost all r > 0 (see [7, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The second step is to check whether L ∩ (Y \\Z) is a deformation retract of Vr(L) ∩ (Y \\Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' One observes that this holds true if L is in a “general” position.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' An explicit description of the general position will be mentioned in Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Setup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Let Y be a projective subvariety of dimension m in Pn, Z ⊂ Y be an algebraic subspace and L ⊂ Pn a hyperplane in Pn such that Y \\(Z ∪ L) is non-singular.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Consider a stratification {Yi}i∈I of Y satisfying the following conditions: (1) each Yi is a real semi-algebraic subset of Y , (2) {Yi} is a Whitney stratification, (3) Z is a union of some of the strata, (4) the stratification satisfies the Thom condition for the following function: τ : Y → R, sending y ∈ Y to k� i=1 |fi(y)|2d/di n� i=0 |yi|2d , where y = (y1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=', yn), Z is defined by the homogeneous polynomials f1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=', fk of degrees di, respectively and d is the l.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' of the di’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' See [10, §1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='4] for the precise definition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' On the Hamm-Lˆe result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Let Ω be the set of complex projective hyperplanes of Pn transverse to all the strata Yi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' LEFSCHETZ THEOREM 3 Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' (Hamm-Lˆe [7, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='3]) Assume that Y \\Z is non-singular.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Then, for any L ∈ Ω we have Hk(Y \\Z, L ∩ (Y \\Z)) = 0 for all k ≤ m − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' In other words, the natural morphism from Hk(Y \\Z, Z) to Hk(L∩(Y \\Z), Z) is an isomorphism for all k ≤ m − 2 and injective for k = m − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We now write the stratification relevant to Example 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Take Y = P4 ⊂ P5 defined by z5 = 0, where zi are the coordinates on P5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Take Z := [0, 0, 0, 0, 1, 0] the closed point in Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Take the stratification of Y consisting of (Y \\Z) � Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Then, the equations defining Z in P5 are given by fi := zi for 0 ≤ i ≤ 3 and f5 := z5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The function τ is simply τ := |z5|2 + 3� i=0 |zi|2 5� i=0 |zi|2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Note that this stratification satisfies conditions (1)-(4) in §2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 above, with the stratification on R given by R\\{0} �{0}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Finally, note that the hypersurface X in P5 defined by z2 0 +z2 1 +z2 2 +z2 3+z2 5 is singular at the point Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' As a result X is transverse to all the strata of Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We will observe in Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 that if we replace L in Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1 above by X, then the conclusion fails.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Proof of Main theorem We will assume that the reader has basic familiarity with local cohomology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' See [9] for basic definitions and results in this topic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Let X ⊂ Pn be a non-factorial hypersurface with isolated singularities with n ≥ 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Denote by Xsing the singular locus of X, Y := Pn\\Xsing and Xsm := X\\Xsing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We first show: Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' The cohomology groups H1(OY ), H2(OY ) and H1(OXsm) all vanish, in both analytic as well as Zariski topology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Recall, the long exact sequence for local cohomology groups, which exists in both topolo- gies (see [9, Corollary 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='9]): .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' → H1(OPn) → H1(OY ) → H2 Xsing(OPn) → H2(OPn) → H2(OY ) → H3 Xsing(OPn) → .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Recall, H1(OPn) = 0 = H2(OPn).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' By Serre’s GAGA, H1(O an Pn) = 0 = H2(O an Pn).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' To prove the vanishing of H1(OY ) and H2(OY ), we simply need to prove the vanishing of Hi Xsing(OPn) for i = 2, 3 in both topologies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Consider the spectral sequence (see [9, Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='4]): Ep,q 2 = Hp(Pn, Hq Xsing(OPn)) ⇒ Hp+q Xsing(OPn).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1) We are interested in the cases when p + q equals 2 or 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Since n ≥ 4 and Xsing are closed points, we have (see [13, Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2]) Hq Xsing(OPn) = 0 for q ≤ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This implies that Ep,q 2 = 0 for p + q equals 2 or 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Hence the spectral sequence degenerates at E2 in this case and Hi Xsing(OPn) = 0 in both topologies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This proves the vanishing of H1(OY ) and H2(OY ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' 4 ANANYO DAN The proof for the vanishing of H1(OXsm) follows similarly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' In particular, using [9, Corollary 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='9], it suffices to check the vanishing of H1(OX) and H2 Xsing(OX).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Since X is a hypersurface in Pn and n ≥ 4, H1(OX) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' By Serre’s GAGA, H1(O an X ) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' To prove the vanishing of H2 sing(OX) use the spectral sequence (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1) above after replacing Pn by X and p + q = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Since dim X ≥ 3, [13, Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2] implies that Hq Xsing(OX) = 0 for q ≤ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This implies that the spectral sequence degenerates at E2 and H2 Xsing(OX) = 0 in both topologies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Hence, H1(OXsm) = 0 in both topologies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This proves the proposition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' □ Proof of the main theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We prove the theorem by contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Suppose that the restric- tion morphism from H2(Y, Z) to H2(X, Z) is surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Comparing the long exact sequences associated to the exponential exact sequence for Y and Xsm we get the following diagram where the horizontal rows are exact: H1(OY ) ✲ H1(O∗ Y ) ∂1✲ H2(Y, Z) ✲ H2(OY ) ⟲ ⟲ ⟲ H1(OXsm) ❄ ✲ H1(O∗ Xsm) ρ′ ❄ ∂2✲ H2(Xsm, Z) ρ ❄ ✲ H2(OXsm) ❄ (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2) Using the vanishing results from Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1, we conclude that ∂1 is an isomorphism and ∂2 is injective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' By assumption, ρ is surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' We claim that ρ′ is surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Indeed, given α ∈ H1(O∗ Xsm), the surjectivity of ρ implies that there exists β ∈ H2(Y, Z) such that ρ(β) = ∂2(α).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Since ∂1 is an isomorphism, there exist α′ ∈ H1(O∗ Y ) mapping to β via ∂1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Using the injectivity of ∂2 and the commutativity of the middle square, we have ρ′(α′) = α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This proves the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Since ρ′ is surjective, we have the following surjective morphism: Z = Pic(Pn) ∼= Pic(Y ) ρ′ ։ Pic(Xsm) ∼= Div(X) (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='3) where the second and the last isomorphisms follow from the fact that Xsing is of codimensional at least 2 in X and Pn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' By Lefschetz hyperplane theorem, we have H2(X, Z) ∼= H2(Pn, Z) = Z, generated by the class of the hyperplane section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Note that, H1(OX) and H2(OX) vanish (use [8, Ex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='5] and n ≥ 4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Using the exponential short exact sequence for X, we conclude that Pic(X) ∼= Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Combining with (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='3), this implies rk Div(X) = rk Pic(X).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' But this contradicts the fact that X is non-factorial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Hence, the restriction morphism from H2(Y, Z) to H2(X, Z) cannot be surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' This proves the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' □ Remark 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Let X be as in Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Then, the restriction morphism Pic(Pn\\Xsing) → Pic(X\\Xsing) is not surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Indeed, Pic(Pn\\Xsing) ∼= Pic(Pn) ∼= Z and Pic(X\\Xsing) ∼= Div(X).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' By Lefschetz hyperplane theorem for projective hypersurfaces, we have Pic(X) ∼= Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Since X is non-factorial, the rank of Div(X) is not the same as that of Pic(X).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Therefore, Pic(Pn\\Xsing) cannot be isomorphic to Pic(X\\Xsing).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' References [1] C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Ciliberto, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Harris, and R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Miranda.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' General components of the Noether-Lefschetz locus and their density in the space of all surfaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Mathematische Annalen, 282(4):667–680, 1988.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' [2] A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Dan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' On a conjecture by Griffiths and Harris concerning certain Noether–Lefschetz loci.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Communications in Contemporary Mathematics, 17(5):1550002, 2015.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' [3] A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Dan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' On a conjecture of Harris.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Communications in Contemporary Mathematics, 23(07):2050028, 2021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' LEFSCHETZ THEOREM 5 [4] M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Green.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' A new proof of the explicit Noether-Lefschetz theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Differential Geometry, 27:155–159, 1988.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' [5] A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Grothendieck.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' SGA 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' S´eminaire de G´eom´etrie Alg´ebrique du Bois Marie-1962-Cohomologie locale des faisceaux coh´erents et th´eoremes de Lefschetz locaux et globaux (North-Holland, Amsterdam), 1968.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=', 280(4):605–611, 1988.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' [12] C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Voisin.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Sur le lieu de Noether-Lefschetz en degr´es 6 et 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Compositio Mathematica, 75(1):47–68, 1990.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' [13] Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Yoshino.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Maximal Cohen-Macaulay Modules Over Cohen-Macaulay Rings, volume 146.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' Cambridge Uni- versity Press, 1990.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content=' School of Mathematics and Statistics, University of Sheffield, Hicks building, Hounsfield Road, S3 7RH, UK Email address: a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='dan@sheffield.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} +page_content='uk' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/TdE4T4oBgHgl3EQfLwwK/content/2301.04940v1.pdf'} diff --git a/XdE0T4oBgHgl3EQfmgEE/content/tmp_files/2301.02498v1.pdf.txt b/XdE0T4oBgHgl3EQfmgEE/content/tmp_files/2301.02498v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..025530b669aea57fbd8ac7ac86949d32b967bca9 --- /dev/null +++ b/XdE0T4oBgHgl3EQfmgEE/content/tmp_files/2301.02498v1.pdf.txt @@ -0,0 +1,3030 @@ +Dynamics and stability of the two-body problem with Yukawa +correction to Newton’s gravity, revisited and applied +numerically to the solar system +Nawras Abo Hasan1∗, Nabil Joudieh1†and Nidal Chamoun2‡ +1 Physics Department, Damascus University, Damascus, Syria +2 Physics Department, HIAST, P.O. Box 31983, Damascus, Syria +Abstract +In this manuscript, we review the motion of two-body celestial system (planet-sun) for +a Yukawa-type correction on Newton’s gravitational potential using Hamilton’s formulation. +We reexamine the stability using the corresponding linearization Jacobian matrix, and verify +that the Bertrand’s theorem conditions are met for radii ≪ 1015m, and so bound closed orbits +are expected. Applied to the solar system, we present the equation of motion of the planet, +then solve it both analytically and numerically. Making use of the analytical expression of +the orbit, we estimate the Yukawa strength α, and find it larger than the nominal value +(10−8) adopted in previous studies, in that it is of order (α = 10−4 − 10−5) for terrestrial +planets (Mercury, Venus, earth, Mars and Pluto) whereas it is even larger (α = 10−3) for +the Giant planets (Jupiter, Saturn, Uranus and Neptune). Taking as inputs (rmin, vmas, e) +observed by NASA, we analyse the orbits analytically and numerically for both the estimated +and nominal values of α, and determine the corresponding trajectories. For each obtained +orbit we recalculate the characterizing parameters (rmin, rmax, a, b, e) and compare their +values according to the used potential (Newton with/without Yukawa correction) and to the +method used (analytical and/or numerical). When compared to the observational data, we +conclude that the correction on the path due to Yukawa correction is of order of and up to +80 million km (20 million km) as a maximum deviation occurring for Neptune (Pluto) for +nominal (estimated) value of α. +Keywords: gravitational two-body problem, Yukawa potential, closed orbit +’ +0 +Introduction +The past several years have witnessed a resurgence of interest in experimental testing of gravity, +particularly in the possibility of deviations from the predictions of Newtonian gravity, which is +considered as an excellent approximation of General Relativity (GR) on large distance scale [1]. +Many theoretical models suggest the existence of new, relatively weak, intermediate-range force +coexisting with gravity such that the net resulting interaction would behave like a new correction +∗seagull18990@gmail.com +†njoudieh@yahoo.fr +‡nidal.chamoun@hiast.edu.sy +1 +arXiv:2301.02498v1 [astro-ph.EP] 6 Jan 2023 + +to the potentials defining the gravitational field. It is known [2] that there are only two types +of central potentials, namely the Newton 1r and the Harmonic r2 potentials, where ANY finite +motion of an object, subject to this central potential, leads to a closed path (Bertrands theorem). +There are some ‘exceptions’ to this statement, in the sense that there might be closed bound +trajectories for a central potential different from the Newton and Harmonic ones, which have +been studied in [3, 4]. In this contribution, we revisit the effect of a Yukawa correction to the +gravitational force over large distances. +Theories of massive gravity [5,6], adding a mass term to the graviton (the carrier of gravity), +have raised a wide interest and the Yukawa potential is the popular parametrization of such +theories. Actually, many works describing deviations from Newtons inverse square law have +addressed the Yukawa-type correction. Assuming gravity is exerted by exchanges of gravitons, +it is clear that a test for the graviton mass (µg) is to ask whether the Newton (1/r) potential +shows any evidence of dying at large distances because of Yukawa exponential cutoff (e−µgr). +Since the seventies [7], bounds on the gravitons mass (µg ≤ 1.1 × 10−29 eV) were used to +put a bound on its compton wavelength considered as a distance scale for Yukawa correction +(λ ∼ 2π +µg ≥ 3.7 MPc). The authors of [8] gave a bound on the Yukawa range (λ) in the order of +(101 − 104 AU) corresponding to (µg ≤ 10−24) eV. +Theories like Scalar-Tensor-Vector Gravity Theory [9] predict a Yukawa-like fifth force. The +authors of [10], showed that screened modified gravity can suppress the fifth force in dense regions +and allow theories to evade the solar system and laboratory tests of the weak equivalence princi- +ple. In [11], an extended theory of gravity, with a modified potential including post-Newtonian +terms, whose expansion is different from that of Yukawa correction, called ‘vacuum bootstrapped +Newtonian gravity’, was subjected to solar system tests, through a procedure which was applied +to Yukawa corrections at the Galactic center [12], with no significant deviations from GR found. +In [13], a Keplerian-type parametrization was shown as a solution of the equations of motion +for a Yukawa-type potential between two bodies. In fact, the two-body solution for alternative +theories yield a strong constraint for solar system [14, 15], whereas several analyses of Yukawa +potential for a 2-body system in different contexts were carried out [16, 17]. The orbit of a +single particle moving under Yukawa potential was studied in [18], and the precessing ellipse +type orbits were observed. In [19], it was noted that the modified gravity with Yukawa-like +long-range potential was (un)successful on astrophysical scales (in solar system), whereas an +analysis of Yukawa potential in f(R) gravity was given in [20]. The work of [21] showed that +a Yukawa fifth force is expected to be sub-dominant in satellite dynamics and space geodesy +experiments, as long as they are performed at altitudes greater than a few hundred kilometres. +The Yukawa strength was estimated in [22] to be (α < 10−5-10−8) for distances of order 109 +cm, whereas the use of laser data from LAGEOS satellites yield a constraint on α of the order +of 10−12. +In this letter, we build on work from [23], in which the dynamics and stability of the two body +problem with a Newtonian potential corrected by a Yukawa term were explored. In particular, +we reproduced their analytical results and applied them to the study of all the planets of our solar +system. Solving analytically the planet equation of motion, one finds an elliptical trajectory, +which one can also obtain numerically using Runge-Kutta method. Starting from the observed +values of the perihelion distance and velocity (rmin, vmax) and of the tranjectory eccentricity e, +stated in NASA public results [24]∗, one could determine the ellipsis equation and estimate, for +∗Although the standard deviations of the planetary trajectories are not quoted in the NASA public website, +however one can consider that the corresponding error equals to the last digit of the quoted significant numbers. +2 + +Yukawa corrected potential, the Yukawa strength α. One can use this estimated value, or another +nominal value taken from other studies, to either draw the analytical trajectory and recalculate +the characterizing parameters: the shortest (longest) distance to the Sun rmin(rmax), the semi +major (minor) axis a(b) and the eccentricity e, or to solve numerically the equations of motion +with the Yukawa-corrected potential in order to check the closedness of the resulting trajectory, +whose characteristics are to be reevaluated again. Later, we compared these results with those +calculated for the Keplerian motion of planets subject to the pure Newtonian potential, and, in +addition, showed the compatibility of the results with the observational NASA data. +More specifically, for the two-body system (planet-sun), the Newtonian potential is given by: +VN(r) = −GmpM⊙ +r +(1) +where G = 6.674×10−11 Nm2 +Kg2 is the gravitational Newton constant, mp (M⊙) is the planet (sun) +mass. With a Yukawa correction, the gravitational potential becomes +V (r) = −GmpM⊙ +r +� +1 + αe− r +λ +� += VN(r) + VY k(r) +(2) +where VY k is the Yukawa correction to the Newtonian potential and α (λ) represents the +strength (range) of the Yukawa correction. Previous studies [23, 25] gave the nominal values +(α = 10−8(λ = 103AU = 1015m). However, our estimations gave a larger order of magnitude for +the Yukawa strength: α ∼ 10−4 − 10−5 for terrestrial planets (Mercury, Venus, Earth, Mars and +Pluto) and α ∼ 10−3 for the remaining Giant planets (Jupiter, Saturn, Uranus and Neptune), +which are in line with [13]. +We saw that for estimated α, the maximum deviation from observed data, which increases +the further the planet is (20 million km in Pluto), is less than that of the α nominal value +(80 million km in Neptune), which is plausible considering that the estimation of α is done by +identifying the factor containing it to observational data. +For each of the nominal and estimated values of α, we analysed the planet’s trajectory +both analytically and numerically. Analytics wise, we started from the observational data of +NASA (rmin, vmax, e) and reconstructed the closed ellipse trajectory of which we re-evaluated +the characteristics (rmin, rmax, a, b, e) and compared with the pure Newton case and with the +observational data. Numerics wise, the α determines the potential under which the planet moves, +and so one can solve the equations of motion numerically using Runge-Kutta method taking as +initial conditions the observed data of (rmin, vmax), to check that one gets closed trajectories in +excellent agreement with the elliptical shapes, of which we can evaluate the characteristics that +one compares to the pure Newtonian case, to the analytical method results and to the observed +data. +The manuscript is organized as follows. +In section (1), we revise the system dynamics +using Hamilton’s method. In section(2), we state the types of stability and determine the one +corresponding to the system under study. We discuss, in section(3) and following [23], Bertrand’s +theorem and get the analytical solution to the equation of motion. Finally, we apply in section +(4) the obtained approximative analytical results to the study of the solar system planets in +order to estimate the Yukawa strength and re-determine the trajectory characteristics for both +estimated and nominal values of α, as well as solve numerically the equations. The results, +of comparing the analytical/numerical outputs with the observed data according to the used +In our computations, we used the whole digits allowed by machine precision, however the results in the appendices +tables showed only significant digits equal to those of the observed data. +3 + +potential, are presented in form of plots for all the planets, whereas the corresponding tables +are given in an appendix. We end up with conclusions in section (5). +1 +Hamiltonian formulation +We start with the Hamiltonian H = T + V where T is the kinetic energy of both masses and V +is the Gravitational potential energy. +H = +⃗p2 +1 +2mp ++ +⃗p2 +2 +2M⊙ +− +K +|⃗r2 − ⃗r1| +� +1 + αe− |⃗r2−⃗r1| +λ +� +(3) +where ⃗ri, (⃗vi), i = 1, 2 are the positions (velocities) of the two masses with corresponding mo- +menta p1 = M⊙v1, p2 = mpv2, K = GmpM⊙. Changing to the center of mass frame (c.o.m), +with +⃗r1 = + +mp +mp + M⊙ +⃗r = + µ +M⊙ +⃗r + ⃗R +, +⃗r2 = − +M⊙ +mp + M⊙ +⃗r = − µ +mp +⃗r + ⃗R +(4) +⃗r = ⃗r1 − ⃗r2 +, +⃗R = M⊙⃗r1 + mp⃗r2 +mp + M⊙ +(5) +⃗v1 = ˙⃗R + +µ +M⊙ +⃗v +, +⃗v2 = ˙⃗R + −µ +mp +⃗v +(6) +⃗v = ˙⃗r +, +⃗p = µ⃗v, +(7) +¨⃗R = ⃗0 +, +µ¨⃗r = M⊙¨⃗r1 = −mp¨⃗r2, +(8) +we get +H = 1 +2(M⊙ + mp) ˙⃗R2 + H +: +H = p2 +2µ − K +r +� +1 + αe− r +λ +� +(9) +Here we have defined µ = +mpM⊙ +mp+M⊙ as the reduced mass of the system and r = |⃗r|. We switch to +polar coordinates in the c.o.m to get +H = 1 +2µ +� +p2 +r + p2 +ϕ +r2 +� +− K +r +� +1 + αe− r +λ +� +(10) +From the canonical equations ( [26]): ˙qi = +� +∂H +∂pi +� +, ˙pi = − +� +∂H +∂qi +� +, and since the Hamiltonian is +cyclic in ϕ (i.e. it does not depend explicitly on ϕ), we have: +˙ϕ = ∂H +∂pϕ += pϕ +µr2 +(11) +˙pϕ = −∂H +∂ϕ = 0 ⇒ pϕ = µr2 ˙ϕ = ℓ = constant +(12) +where ℓ is the angular momentum of the two-body system, and therefore Hamiltons equations +for r become: +˙r = ∂H +∂pr += pr +µ +(13) +˙pr = −∂H +∂r = ℓ2 +µr3 − K +r2 +� +1 + α +� +1 + r +λ +� +e− r +λ +� +(14) +4 + +Figure 1: +The reduced potential (red line) given for fixed angular momentum (Eq. 16). The +pink line denotes the magnitude of the purely Yukawa term ( +���− αK +r e− r +λ +���), whereas the blue line +represents the Keplerian reduced potential, i.e. Eq. 16 without the Yukawa term. +Again, and since H(t) = H(t0) = h is constant during the motion of the masses [26], and since +p2 +r = µ2 ˙r2 ≥ 0 we get a lower bound for the total energy of the system: +h ≥ +ℓ2 +2µr2 − K +r +� +1 + αe− r +λ +� +(15) +The right hand side of eq. (15) is defined to be the “reduced potential”, which is common in the +Kepler problem moving from two degrees of freedom to only one (with the Yukawa correction) +Vred(r) = +ℓ2 +2µr2 − K +r +� +1 + αe− r +λ +� +(16) +One can draw the function for fixed ℓ giving the allowed regions of motion (look at figure 1). +Note that µ > 0, λ > 0 and α > 0. +2 +The linearization matrix +Following [27], in order to determine the stability of the equilibrium points of the system, we +must form a matrix differential equation using the system equations of motion (Hamiltons Eqs. +13 and 14 for r, p). The linear system has the form: +d +dt +� +r +pr +� += +� +f(r, p) +g(r, p) +� += +� +f0 +g0 +� +eq ++ +� ∂f +∂r +∂f +∂pr +∂g +∂r +∂g +∂pr +� � +r +pr +� +where f (r, pr) = pr +µ , +g (r, pr) = ℓ2 +µr3 − K +r2 +� +1 + α +� +1 + r +λ +� +e− r +λ +� +(17) +Given that λ = 1015m for orbits of size comparable to the solar system dimensions [28], one can +assume that r +λ is small enough that one can Taylor expand the exponential and ignore terms of +5 + +70 +Vred +09 +Vkep +-Vyuk +50 +40 +> +30 +20 +10 +0 +-10� +r2 +λ2 +� +, leading to: +e− r +λ ≈ 1 − r +λ + O +� r2 +λ2 +� +≈ 1 − r +λ +(18) +Thus +g (r, pr) = ℓ2 +µr3 − K +r2 +� +1 + α +� +1 + r +λ +� � +1 − r +λ +�� +≈ ℓ2 +µr3 − K +r2 (1 + α), +with the Yukawa effect within this approximation being limited to replacing K by K(1+α), which +tells that the potential shape is still Newtonian (1/r), and according to Bertrand’s theorem every +bound trajectory is thus closed for small r/λ. One can see this fact directly from Eq. (16) as +it gives, compared to the Keplerian potential, within the approximation just a shift, in addition +to the replacement (K → K(1 + α)), which does not interfere in the equations of motion: +Vred(r) +≈ +ℓ2 +2µr2 − K +r (1 + α) + Kα +λ . +(19) +Consequently, the Jacobian matrix takes the form: +� +˙r +˙pr +� += +� +0 +1 +µ +−3ℓ2 +µr4 + 2K +r3 (1 + α) +0 +� � +r +pr +� +(20) +where terms of order O +� +r2 +λ2 +� +were ignored, and where the equilibrium point (r, pr)eq satisfies +feq(r, pr) = geq(r, pr) = 0. We can determine the r at equilibrium using (eq. 14) to get upto +leading order: +req = +ℓ2 +µK(1 + α) +(21) +We can now test for stability by choosing values of (α, µ, K, ℓ, λ) and finding the eigenvalues +of the Jacobian matrix (20) after substituting the equilibrium solution found above (eq. 21). +Recall that the eigenvalues β1, β2 are found by solving the following equation: +det |J − βI2×2| = 0 +(22) +with I2×2 referring to the 2 × 2 identity matrix. Thus we have +����� +−β +1 +µ +−3ℓ2 +µr4 + 2K +r3 (1 + α) +−β +����� = 0 +(23) +The characteristic equation (the eigenvalue equation) becomes: +β1,2 = 1 +2 +� +τ ± +� +τ 2 − 4∆ +� +(24) +τ = trace(J) = 0 +(25) +∆ = det(J) = µ2K4(1 + α)4 +ℓ6 +(26) +Following [29], the stability is determined by the sign of the eigenvalues. Since ∆ > 0, we have +the following cases: +• τ < 0, τ 2 − 4∆ > 0 ⇒ (r0, pr0) a stable node. +• τ < 0, τ 2 − 4∆ < 0 ⇒ (r0, pr0) a stable spiral. +6 + +• τ > 0, τ 2 − 4∆ > 0 ⇒ (r0, pr0) an unstable node. +• τ > 0, τ 2 − 4∆ < 0 ⇒ (r0, pr0) an unstable spiral. +• τ = 0, τ 2 − 4∆ < 0 ⇒ (r0, pr0) a neutrally stable center (which is our case). +Actually, the stability refers to how the solution behaves near the equilibrium point; in that +unstable solutions grow to infinity, whereas stable solutions tend to zero. Also, it is the imaginary +cases which are the ones giving bound orbital solutions (specifically the center case, whereas the +stable and unstable imaginary cases are bound solutions tending towards or away from zero). +3 +Stability & Bertrands theorem +First, we rewrite the eigenvalue equation in the form +β2 + µ2K4(1 + α)4 +ℓ6 += 0 +(27) +leading to: +β = ±iµK2(1 + α)2 +ℓ3 +(28) +We note that one can study the case for a purely Newtonian Potential by letting α → 0. +Similarly, by ignoring the terms derived from the Newtonian potential, one can single out the +pure Yukawa contribution. In these two extreme cases, the characteristic equations becomes +Pure Newtonian: β2 + µ2K4 +ℓ6 += 0 +(29) +Pure Yukawa: β2 + µ2K4α4 +ℓ6 += 0 +(30) +giving +Pure Newtonian: β = ±iµK2 +ℓ3 +(31) +Pure Yukawa: β = ±iµK2α2 +ℓ3 +(32) +Thus, the equilibrium points for the purely Newtonian, the purely Yukawa, and the Newton +plus Yukawa Potentials remain center solutions. This implies that the motion would remain +restricted to ellipses about the equilibrium point; and so, orbits near the equilibrium point are +possible (further away from the equilibrium point one would have unbounded solutions, as Fig. +1 shows). This proves that for small r/λ we have stable, closed orbits. +For the Keplerian orbit equation, it can be written as: +d2u +dϕ2 + u = − µ +ℓ2 +d +duV +�1 +u +� +(33) +where u = 1r denotes the Binet transformation, giving, for small r/λ, the following differential +equation: +d2u +dϕ2 + u = +µK +ℓ2 (1 + α) +(34) +whose solution is given by +u(ϕ) = 1 +r = A [1 + e cos (ϕ − ϕ0)] : A = µK +ℓ2 (1 + α) +(35) +7 + +with e is the eccentricity of the orbit. The purely Newtonian and purely Yukawa cases follow +respectively from (34) +Newtonoian: u(ϕ) = 1 +r = µK +ℓ2 [1 + e cos (ϕ − ϕ0)] +(36) +Purely Yukawa: u(ϕ) = 1 +r = µKα +ℓ2 +[1 + e cos (ϕ − ϕ0)] +(37) +Finally, in order to satisfy Bertrands theorem, the following condition should be satisfied +d2Vred(r) +dr2 +���� +r=r0 +> 0 +(38) +where the reduced potential is given by (16). With the approximations of (eq. 18)) and ignoring +terms of order O +� +r2 +λ2 +� +this condition becomes +d2Vred(r) +dr2 +���� +r=r0 += µ2K4(1 + α)4 +ℓ6 +> 0 +(39) +which is true, since α, µ, K, ℓ > 0, in general and in the special cases of Newtonian (α = 0) +and purely Yukawa potentials. This shows that the Yukawa plus Newtonian potential satisfies +Bertrands theorem for small rλ. +4 +Application to the solar system +We present here our results consisting of determining first the parameters of the models (rmin, rmax, a, b, e) +by comparing the previous approximative analytical solutions with the NASA data. Then, we +solved the equations of motion numerically using Matlab and the fourth-order Runge-Kutta +method with no approximation so that to be compared with the analytical solutions and with +the observed NASA data. We applied this for all the planets of the solar system. For each pair +(sun-planet) we used the following values M⊙ = 1.9885 × 1030kg, αnominal = 10−8, λ = 1015m. +We list in Table (1) the initial conditions used in the analytical and numerical calculations (the +period τ is used only in the numerical solution to determine the corresponding ‘step’): +MERCURY +VENUS +EARTH +MARS +JUPITER +SATURN +URANUS +NEPTUNE +PLUTO +mp(×1024kg)0.3302 +4.8673 +5.9722 +0.64169 +1898.13 +568.32 +86.811 +102.409 +0.01303 +τ (days) +87.969 +224.701 +365.256 +686.98 +4332.589 +10832.33 +30685.4 +60189 +90560 +rmin +(×106km) +0.046 +0.10748 +0.147095 +0.20665 +0.740595 +1.357554 +2.732696 +4.47105 +4.434987 +vmax +(×103m/s) +58.98 +35.26 +30.29 +26.5 +13.72 +10.18 +7.11 +5.5 +6.1 +eccentricity +0.20563 +0.00677 +0.01671 +0.09341 +0.04839 +0.05415 +0.04717 +0.00859 +0.24881 +Table 1: Initial conditions used in the calculations where mp denotes the planet mass, τ is the +orbit period, rmin is the perihelion and vmax denotes the perihelion velocity +4.1 +Analytical Method +The analytical ellipsis equation is of the form +1 +r ≡ u += +a +b2 (1 + e cos ϕ) , +(40) +8 + +where (for a y-axis perpendicular to the polar axis in the orbit plane) +rmin = a(1 − e) +, +rmax = a(1 + e), +(41) +e = c +a = +� +1 − b2 +a2 +: +c2 = a2 − b2, +(42) +a = rmin + rmax +2 +, +b = ymax − ymin +2 +(43) +Thus, analytically one can start with (rmin, vmax, e) observed by NASA in [24] to compute†: +a = rmin +1 − e +, +b = a +� +1 − e2, +(44) +and estimate the strength α from +µK +ℓ2 (1 + α) = a +b2 +using +ℓ = rminvmax. +(45) +Once the analytical equation is determined, then one can plot the trajectory and recompute the +characteristics (rmin, rmax, a, b, e) using Eqs (41,42). We call this procedure the “analytical-α- +estimated” approach. +One can also use the nominal value of α = 10−8, and plug it in Eq. (40), where ℓ, e are taken +from the observed data, to re-evaluate (rmin, rmax, a, b, e) from +a = +1 +A(1 − e2), +A = µK(1+α) +ℓ2 +, +b = +1 +A +√ +1 − e2 . +(46) +We call this procedure the “analytical-α-nominal” approach, which can be looked at as a method +with three inputs (α, ℓ, e) instead of the three inputs (rmin, vmax, e) used in the other approach. +4.2 +Numerical Method +Here, we just solve numerically, using the fourth-order Runge-Kutta method, the Newton’s law +equation of motion in the c.o.m frame with initial conditions taken from NASA. Thus we solve +the equations: +¨⃗r1 = Gmp +⃗r2 − ⃗r1 +r3 +, Newton, +¨⃗r2 = GM⊙ +⃗r1 − ⃗r2 +r3 += −M⊙ +mp +¨⃗r1, +(47) +¨⃗r1 = Gmp +� +(1 + αe− r +λ )1 +r + α +λe− r +λ +� ⃗r2 − ⃗r1 +r2 +, Newton+Yukawa, +¨⃗r2 = −M⊙ +mp +¨⃗r1, +(48) +under the initial conditions given by NASA data of (rmin, vmax): +⃗r1(t = tmin) = +mp +mp + M⊙ +⃗rmin +, +⃗v1(t = tmin) = +mp +mp + M⊙ +⃗vmax, +(49) +⃗r2(t = tmin) = − +M⊙ +mp + M⊙ +⃗rmin +, +⃗v2(t = tmin) = − +M⊙ +mp + M⊙ +⃗vmax. +(50) +Once the trajectory is solved numerically, we check that it is closed, as the Fig. +(2) shows +for both the pure Newton and that with the Yukawa corrections (since the differences are not +visible on the figure scale containing all the planets). For each obtained orbit, we recalculate +the corresponding characteristics (rmin, rmax, a, b, e). +†Due to measurement errors and orbits not being perfectly elliptical, the NASA data may give slightly different +values of a using Eq. 43 or Eq. 44. +9 + +Figure 2: Closed bound planets’ trajectories with and without Yukawa corrections with strength +α nominal. +4.3 +Results +We report in the Tables of Appendix A (from A1 to A18), the calculated characteristics of the +resulting trajectories for all the planets in the solar system, corresponding to the pure Newton +and the Newton corrected with Yukawa potentials, both in the analytical and the numerical +approaches. The odd (even) numbered tables correspond to the nominal (estimated) Yukawa +strength α. The number of moons of each planet is determined according to [30]. Below we +explain the meanings of the symbols used in the tables. +• Nnum: Numerical calculations using the Newtonian potential. +• Nanal: Analytical calculations using the Newtonian potential. +• RN = Nnum +Nanal %: The percentage ratio of the numerical to the analytical results for Newton +potential. +• (N + Y K)num : Numerical calculations using the modified potential. +• (N + Y K)anal: Analytical calculations using the modified potential. +• RN+Y K = (N+Y K)num +(N+Y K)anal %: The percentage ratio of the numerical to the analytical results +for modified potential. +• RN−Obs +num += Nnum/Obs%: Percentage ratio of the numerical results, using the Newtonian +potential, to the observed results. +• RN−Obs +anal += Nanal/Obs %: Percentage ratio the analytical results, using the Newtonian +potential, to the observed results. +• RY K−Obs +num += (N + Y K)num/Obs %: Percentage ratio of the numerical results, using the +modified potential, to the observed results. +10 + +(km)• RY K−Obs +anal += (N + Y K)anal/Obs %: Percentage ratio of the analytical results, using the +modified potential, to the observed results. +In order to summarize the findings of the Tables, we present in Fig. (3) plots showing, for each +planet and at every polar angle, the deviation from unity of the ratio between two quantities of +the following, allowing thus to compare the effects of the considered potential (Newton vs New- +ton+Yuakawa) and/or the used method (numerical vs analytical) and/or the Yukawa strength +determination (nominal vs estimated): +• rn(num) representing the trajectory equation of the numerical approach with Newton +potential, +• rn(anl) representing the trajectory equation of the analytical approach with Newton po- +tential, +• ryk(num) representing the trajectory equation of the numerical approach with New- +ton+Yukawa potential and nominal α, +• ryk(anl) representing the trajectory equation of the analytical approach with Newton+Yukawa +potential and nominal α, +• ryka(num) representing the trajectory equation of the numerical approach with New- +ton+Yukawa potential and estimated α, +• ryka(anl) representing the trajectory equation of the analytical approach with New- +ton+Yukawa potential and estimated α. +We see that some ratios (e.g. the dashed red and sky blue) do coincide near zero deviation +from one, meaning no tangible effect of adding the Yukawa correction, be it in the analytic or +the numeric method, as long as one takes the nominal value of α. Also,we note local extremums +for the deviations from unity at polar angles multiples of π/2 as a generic feature in many plots. +One can interpret the large values of the deviations for the nearest (Mercury) and the farthest +(Pluto) planet, in that for the former; the perturbative effect of solar winds, important as we +approach the sun, was not taken into consideration, whereas for the furthest; accumulating +gravitational screening effects of the other planets and their moons, which were not considered +in the study, are becoming important especially for a small sized- planetoid like Pluto. +In order to show the effects of the separating distance effect, one should compute the absolute +deviations from observed data for each planet. In appendix B, the Tables B1, B2 (B3, B4), report +the deviation from observation for each planet of rmax, rmin respectively, in the case of nominal +(estimated) α. We summarize these findings in Fig. (4). We see that the agreement between +the numerical and analytical solutions is excellent in both estimated and nominal α cases. We +see that the deviations due to Yukawa correction are not large, but note the following: +1. For estimated α: +• rmax-deviation: The numerical deviation is larger by about 103 times the analytical +deviation. In general, it increases the further the planet is, and reaches a maximum +of order (−25 million km) (less than the observed value) in Pluto. +• rmin-deviation: Again, the numerical deviation is larger by about (101-102)-order of +magnitude than analytical deviation, where it is largest in Neptune (−8 million km), +however it reverses sign and becomes (+5 million km) more than the observation in +Pluto. +11 + + + + + + + + + + + 1-{ rn(num)/ryka(anl) } ____ +1-{ryka(anl)/ryk(num)} ____ +1-{ryka(anl)/ryka(num)} ____ + 1-{ rn(anl)/ryka(anl)} ____ +1-{ryka(anl)/ryk(anl)} ____ +1-{ rn(num)/ryk(num)} ----- +1-{ryka(num)/rn(num)} ----- +1-{ryk(num)/ryka(num)} ----- +1-{ryk(anl)/rn(anl)} ----- + + +Figure 3: +Deviations from Unity for Ratios of Computed trajectories at each polar angle, +according to the considered potential (Newton vs Newton+Yuakawa) and/or to the used method +(numerical vs analytical) and/or to the Yukawa strength determination (nominal vs estimated). +We show in a zoomed region, for one planet (Earth) generic case, that the dashed red and sky +blue curves are very near each other (the same applies to the green and blue curves in Mercury +case). +12 + +VENUS +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +0.03 +0.02 +1-Percentage Ratio(%) +0.01 +0.01 +-0.02 +-0.03 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)EARTH +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +0.08 +0.06 +1-Percentage Ratio(%) +0.04 +0.02 +0.02 +-0.04 +-0.06 +-0.08 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)MARS +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +2 +1.5 +0.5 +0.5 +1 +-1.5 +-2 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)JUPITER +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +0.6 +0.4 +1-Percentage Ratio(%) +0.2 +-0.2 +-0.4 +-0.6 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)SATURN +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +3 +2 +-1 +-2 +-3 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)URANUS +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +1.5 +1-Percentage Ratio(%) +0.5 +0.5 +1 +-1.5 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)Neptune +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +2 +1.5 +0.5 +0.5 +-1.5 +-2 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)Pluto +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +15 +10 +1-Percentage Ratio(%) +-5 +-10 +-15 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg)MERCURY +Deviationsfrom unityforRatiosof ComputedTrajectories(%) +10 +8 +6 +1-PercentageRatio(%) +4 +N +A +-6 +-8 +-10 +0 +50 +100 +150 +200 +250 +300 +350 +400 +angle (deg) + + + + +-50 +0 +50 +100 +MERCURY +Venus +EARTH +MARS +JUPITER +SATURN +URANUS +Neptune +Pluto +Deviations from the observed values for rmax; alpha nominal +Absolute deviation from observation numerically +×10^6(km) +Absolute deviation from observation analytically +×10^6(km) +-20 +0 +20 +40 +60 +MERCURY +Venus +EARTH +MARS +JUPITER +SATURN +URANUS +Neptune +Pluto +Deviations from the observed values for rmin; alpha nominal +Absolute deviation from observation numerically +×10^6(km) +Absolute deviation from observation analytically +×10^6(km) +-30 +-20 +-10 +0 +10 +MERCURY +Venus +EARTH +MARS +JUPITER +SATURN +URANUS +Neptune +Pluto +Deviations from the observed values for rmax; alpha estimated +Absolute deviation from observation numerically +×10^6(km) +Absolute deviation from observation analytically +×10^6(km) +-10 +-5 +0 +5 +10 +MERCURY +Venus +EARTH +MARS +JUPITER +SATURN +URANUS +Neptune +Pluto +Deviations from the observed values for rmin; alpha estimated +Absolute deviation from observation numerically +×10^6(km) +Absolute deviation from observation analytically +×10^6(km) +Figure 4: Absolute deviations from observed data for each planet, according to the used method +(numerical vs analytical) and/or to the Yukawa strength determination (nominal vs estimated). +13 + +2. For nominal α: +• rmax-deviation: The numerical deviation is larger than the analytical one, but are of +the same order reaching a maximum of +80 (+40) million km using the numerical +(analytical) method in Neptune. For Pluto and Uranus, we get (−40) million km in +the numerical method (less than observed). +• rmin-deviation: The analytical deviation is larger, and sometimes reverses sign com- +pared to the numerical. For example, in Neptune the analytical approach gives a +deviation of (+40 million km) from observation, whereas the numerical one gives a +deviation of −5 million km (less than the observed value). +Actually, the disagreements with observations are due to several reasons: the first one is physical +in nature, in that it results from neglecting the perturbation due to third bodies, or, more +generally, the effect of the natural satellites, such as moons or asteroids. +Also, we did not +either take into account the radiation and the solar wind physical effects. Moreover, the results +were obtained as a 2-body problem, and hence the movement of more distant planets might be +affected by planets closer to the sun, which can be present not in the dominant term, but in +higher orders of expansion. The second factor lies in the computational side, and concerns the +numerical method used, the value of the step size, and the high sensitivity of the problem to +the initial conditions. One should also mention that for the analytical solution we restricted the +study to leading order neglecting higher orders in the expansion of exponentials, whereas for the +numerical solution the entire exponential is considered. +5 +Summary and Conclusion +In this work, we followed [23] and used the Hamilton’s formulation in order to obtain the +differential equation of motion and the path equation for the gravitational two-body system. +The developments are carried out in the case of the pure Newtonian potential, the Newtonian +corrected with Yukawa type potential and the pure Yukawa potential. +As in [23], we have +reviewed the stability problem, constructed the linearization matrix and tested the stability +of the system for a Yukawa correction, and found that it is of a central solution type, which +implies stable solutions near the fixed point. We repeated the analysis for a purely Yukawa force +and found similar results. We also confirmed that the modified potential obeys the Bertrands +theorem. +Then, we determined the parameters’ set corresponding to the planets of the solar system +starting from the observed (rmin, vmax, e) estimating α. For both the estimated and nominal +values of α, we determined the characteristics of the trajectories numerically and analytically, +and compared between the methods and with the observed data. We explained the extent to +which these results are consistent with the observational data, presenting in form of histograms +the absolute deviations from observations, which were found to give an upper deviation of order +80 million km in Neptune using nominal α, and 20 million km in Pluto using estimated α. +Acknowledgments: +N. Chamoun acknowledges support from the ICTP-Associate pro- +gram, from the Humboldt Foundation and from the CAS-PIFI scholarship. +14 + +Appendices +A. Tables of Calculated/Observed Parameters of the Planets +15 + +Mercury +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +46 +69.832 +57.916 +56.67679158 +0.205744228 +Nanal +47 +72.043 +59.756 +58.47840586 +0.205646344 +RN = Nnum +Nanal % +97 +96.930 +96.921 +96.91918025 +99.95242442 +(N + Y K)num +46 +69.831 +57.916 +56.67678243 +0.205738221 +(N + Y K)anal +47 +72.043 +59.756 +58.47840528 +0.205646344 +RN+Y K += (N+Y K)num +(N+Y K)anal % +97 +96.930 +96.921 +96.91916556 +99.95534277 +Observation +46 +69.818 +57.909 +0.20563069 +RN−Obs +num += Nnum/Obs % +100 +99.980 +99.988 +99.94481595 +RN−Obs +anal += Nanal/Obs % +97 +96.911 +96.909 +99.9923879 +RY K−Obs +num += +(N + Y K)num/Obs % +100 +99.981 +99.988 +99.94773407 +RY K−Obs +anal += +(N + Y K)anal/Obs % +97 +96.911 +96.909 +99.9923879 +nominal α = 10−8 +Table A1: The values of the calculated and observational astronomical parameters of the planet +Mercury whose number of moons is 0 +Mercury +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +46 +69.623 +57.826 +56.65144795 +0.2022 +Nanal +46 +69.819 +57.912 +56.67470066 +0.2056 +RN = Nnum +Nanal % +100 +99.719 +99.851 +99.95897162 +98.3743 +(N + Y K)num +46 +69.613 +57.820 +56.64729064 +0.2022 +(N + Y K)anal +46 +69.815 +57.908 +56.6714469 +0.2056 +RN+Y K += (N+Y K)num +(N+Y K)anal % +100 +99.711 +99.847 +99.9573749 +98.3408 +Observation +46 +69.818 +57.909 +0.2056 +RN−Obs +num += Nnum/Obs % +100 +99.721 +99.856 +98.3817 +RN−Obs +anal += Nanal/Obs % +100 +100.001 +100.005 +100.0075 +RY K−Obs +num += +(N + Y K)num/Obs % +100 +99.706 +99.847 +98.3482 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100 +99.995 +99.999 +100.0075 +estimated α = 5.741444131301954 × 10−5 +Table A2: The values of the calculated and observational astronomical parameters of the planet +Mercury whose number of moons is 0 +16 + +Venus +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +107.30 +108.689 +107.99 +107.9982364 +0.0044 +Nanal +107.48 +108.961 +108.22 +108.2222348 +0.0072 +RN = Nnum +Nanal % +99.83 +99.750 +99.79 +99.79301998 +60.8187 +(N + Y K)num +107.30 +108.689 +107.99 +107.9982353 +0.0044 +(N + Y K)anal +107.48 +108.961 +108.22 +108.2222337 +0.0072 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.83 +99.750 +99.79 +99.79301998 +60.8189 +Observation +107.48 +108.941 +108.21 +0.0068 +RN−Obs +num += Nnum/Obs % +99.83 +99.769 +99.80 +64.7150 +RN−Obs +anal += Nanal/Obs % +100.00 +100.018 +100.01 +106.4063 +RY K−Obs +num += +(N + Y K)num/Obs % +99.83 +99.769 +99.80 +64.7152 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.00 +100.018 +100.01 +106.4063 +nominal α = 10−8 +Table A3: The values of the calculated and observational astronomical parameters of the planet +Venus whose number of moons is 0 +Venus +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +107.30 +108.689 +107.99 +107.9982364 +0.0044 +Nanal +107.48 +108.961 +108.22 +108.2222348 +0.0072 +RN = Nnum +Nanal % +99.83 +99.750 +99.79 +99.79301998 +60.8187 +(N + Y K)num +107.30 +108.658 +107.98 +107.9821956 +0.0045 +(N + Y K)anal +107.47 +108.945 +108.20 +108.2068155 +0.0072 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.84 +99.736 +99.78 +99.79241613 +63.0300 +Observation +107.48 +108.941 +108.21 +0.0068 +RN−Obs +num += Nnum/Obs % +99.83 +99.769 +99.80 +64.7150 +RN−Obs +anal += Nanal/Obs % +100.00 +100.018 +100.01 +106.4063 +RY K−Obs +num += +(N + Y K)num/Obs % +99.83 +99.740 +99.78 +67.0680 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.99 +100.004 +99.99 +106.4063 +estimated α = 1.424988220126711 × 10−4 +Table A4: The values of the calculated and observational astronomical parameters of the planet +Venus whose number of moons is 0 +17 + +EARTH +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +146.884 +151.7 +149.336 +149.319847 +0.0156 +Nanal +147.126 +152.1 +149.625 +149.6034965 +0.0168 +RN = Nnum +Nanal % +99.835 +99.7 +99.806 +99.81039915 +92.5721 +(N + Y K)num +146.884 +151.7 +149.336 +149.3198455 +0.0156 +(N + Y K)anal +147.126 +152.1 +149.625 +149.603495 +0.0168 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.835 +99.7 +99.806 +99.81039915 +92.5720 +Observation +147.095 +152.1 +149.598 +0.0167 +RN−Obs +num += Nnum/Obs % +99.8572 +99.7 +99.825 +93.5903 +RN−Obs +anal += Nanal/Obs % +99.978 +99.9 +99.981 +98.9120 +RY K−Obs +num += +(N + Y K)num/Obs % +99.857 +99.7 +99.825 +93.5902 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.978 +99.9 +99.981 +98.9120 +nominal α = 10−8 +Table A5: The values of the calculated and observational astronomical parameters of the planet +Earth whose number of moons is 0 +EARTH +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +146.884 +151.7 +149.336 +149.319847 +0.0156 +Nanal +147.126 +152.1 +149.625 +149.6034965 +0.0168 +RN = Nnum +Nanal % +99.835 +99.7 +99.806 +99.81039915 +92.5721 +(N + Y K)num +146.883 +151.7 +149.307 +149.2910008 +0.0154 +(N + Y K)anal +147.099 +152.0 +149.597 +149.5762082 +0.01688 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.853 +99.7 +99.805 +99.80932302 +91.4700 +Observation +147.095 +152.1 +149.598 +0.0167 +RN−Obs +num += Nnum/Obs % +99.8572 +99.7 +99.825 +93.5903 +RN−Obs +anal += Nanal/Obs % +99.978 +99.9 +99.981 +98.9120 +RY K−Obs +num += +(N + Y K)num/Obs % +99.856 +99.7 +99.805 +92.4761 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.003 +99.9 +99.999 +101.0999 +estimated α = 1.824376359731428 × 10−4 +Table A6: The values of the calculated and observational astronomical parameters of the planet +Earth whose number of moons is 0 +18 + +MARS +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +206.57 +248.480 +227.52 +226.6509159 +0.0898 +Nanal +206.64 +249.277 +227.96 +226.9631182 +0.0935 +RN = Nnum +Nanal % +99.96 +99.680 +99.80 +99.8624436 +96.0965 +(N + Y K)num +206.57 +248.480 +227.52 +226.6509134 +0.0898 +(N + Y K)anal +206.64 +249.277 +227.96 +226.9631159 +0.0935 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.96 +99.680 +99.80 +99.86244351 +96.0965 +Observation +206.65 +249.261 +227.94 +0.0935 +RN−Obs +num += Nnum/Obs % +99.96 +99.687 +99.81 +96.1252 +RN−Obs +anal += Nanal/Obs % +99.99 +100.006 +100.01 +100.0298 +RY K−Obs +num += +(N + Y K)num/Obs % +99.96 +99.687 +99.81 +96.1252 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.99 +100.006 +100.01 +100.0298 +nominal α = 10−8 +Table A7: The values of the calculated and observational astronomical parameters of the planet +Mars whose number of moons is 0 +MARS +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +206.57 +248.480 +227.52 +226.6509159 +0.0898 +Nanal +206.64 +249.277 +227.96 +226.9631182 +0.0935 +RN = Nnum +Nanal % +99.96 +99.680 +99.80 +99.8624436 +96.0965 +(N + Y K)num +206.57 +248.425 +227.49 +226.6249874 +0.0897 +(N + Y K)anal +206.62 +249.252 +227.93 +226.9402451 +0.0935 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.97 +99.668 +99.80 +99.86108339 +95.9861 +Observation +206.65 +249.261 +227.94 +0.0935 +RN−Obs +num += Nnum/Obs % +99.96 +99.687 +99.81 +96.1252 +RN−Obs +anal += Nanal/Obs % +99.99 +100.006 +100.01 +100.0298 +RY K−Obs +num += +(N + Y K)num/Obs % +99.96 +99.664 +99.80 +96.0147 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.98 +99.996 +99.99 +100.0298 +estimated α = 1.007889331583467 × 10−4 +Table A8: The values of the calculated and observational astronomical parameters of the planet +Mars whose number of moons is 0 +19 + +JUPITER +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +739.902 +815.533 +777.717 +776.9190412 +0.0469 +Nanal +742.542 +818.568 +780.555 +779.626266 +0.04873 +RN = Nnum +Nanal % +99.644 +99.629 +99.636 +99.65275352 +96.3711 +(N + Y K)num +739.902 +815.533 +777.717 +776.9190329 +0.0469 +(N + Y K)anal +742.542 +818.568 +780.555 +779.6262582 +0.0487 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.644 +99.629 +99.636 +99.65275345 +96.3711 +Observation +740.595 +816.363 +778.479 +0.0487 +RN−Obs +num += Nnum/Obs % +99.906 +99.898 +99.902 +96.4399 +RN−Obs +anal += Nanal/Obs % +100.262 +100.270 +100.266 +100.0714 +RY K−Obs +num += +(N + Y K)num/Obs % +99.906 +99.898 +99.902 +96.4399 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.262 +100.270 +100.266 +100.0714 +nominal α = 10−8 +Table A9: The values of the calculated and observational astronomical parameters of the planet +Jupiter whose number of moons is 0 +JUPITER +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +739.902 +815.533 +777.717 +776.9190412 +0.0469 +Nanal +742.542 +818.568 +780.555 +779.626266 +0.04873 +RN = Nnum +Nanal % +99.644 +99.629 +99.636 +99.65275352 +96.3711 +(N + Y K)num +739.837 +810.932 +775.385 +774.6852056 +0.0441 +(N + Y K)anal +740.567 +816.390 +778.478 +777.5526264 +0.0487 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.901 +99.331 +99.602 +99.63122486 +90.6263 +Observation +740.595 +816.363 +778.479 +0.0487 +RN−Obs +num += Nnum/Obs % +99.906 +99.898 +99.902 +96.4399 +RN−Obs +anal += Nanal/Obs % +100.262 +100.270 +100.266 +100.0714 +RY K−Obs +num += +(N + Y K)num/Obs % +99.897 +99.334 +99.602 +90.6911 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.996 +100.003 +99.999 +100.0714 +estimated α = 2.666880127522 × 10−3 +Table A10: The values of the calculated and observational astronomical parameters of the planet +Jupiter whose number of moons is 0 +20 + +SATURN +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +1355.461 +1523.344 +1439.403 +1437.455093 +0.055 +Nanal +1368.378 +1518.496 +1443.437 +1441.481829 +0.052 +RN = Nnum +Nanal % +99.056 +100.319 +99.720 +99.72065302 +106.042 +(N + Y K)num +1355.461 +1523.344 +1439.403 +1437.455078 +0.055 +(N + Y K)anal +1368.378 +1518.496 +1443.437 +1441.481815 +0.052 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.056 +100.319 +99.720 +99.72065294 +106.042 +Observation +1357.554 +1506.527 +1432.041 +0.052 +RN−Obs +num += Nnum/Obs % +99.845 +101.116 +100.514 +106.081 +RN−Obs +anal += Nanal/Obs % +100.797 +100.794 +100.795 +100.036 +RY K−Obs +num += +(N + Y K)num/Obs % +99.845 +101.116 +100.514 +106.081 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.797 +100.794 +100.795 +100.036 +nominal α = 10−8 +Table A11: The values of the calculated and observational astronomical parameters of the planet +Saturn whose number of moons is 0 +SATURN +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +1355.461 +1523.344 +1439.403 +1437.455093 +0.055 +Nanal +1368.378 +1518.496 +1443.437 +1441.481829 +0.052 +RN = Nnum +Nanal % +99.056 +100.319 +99.720 +99.72065302 +106.042 +(N + Y K)num +1354.869 +1497.652 +1426.261 +1424.954776 +0.046 +(N + Y K)anal +1357.574 +1506.507 +1432.040 +1430.100672 +0.052 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.800 +99.412 +99.596 +99.64017246 +89.244 +Observation +1357.554 +1506.527 +1432.041 +0.052 +RN−Obs +num += Nnum/Obs % +99.845 +101.116 +100.514 +106.081 +RN−Obs +anal += Nanal/Obs % +100.797 +100.794 +100.795 +100.036 +RY K−Obs +num += +(N + Y K)num/Obs % +99.802 +99.410 +99.596 +89.277 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.001 +99.998 +99.999 +100.036 +estimated α = 7.958291053541 × 10−3 +Table A12: The values of the calculated and observational astronomical parameters of the planet +Saturn whose number of moons is 0 +21 + +URANUS +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +2729.595 +2957.44 +2843.519 +2841.649275 +0.0381 +Nanal +2717.213 +2984.63 +2850.921 +2847.766462 +0.0469 +RN = Nnum +Nanal % +100.455 +99.08 +99.740 +99.78519352 +81.2504 +(N + Y K)num +2729.595 +2957.44 +2843.519 +2841.649245 +0.0381 +(N + Y K)anal +2717.213 +2984.63 +2850.921 +2847.766434 +0.0469 +RN+Y K += (N+Y K)num +(N+Y K)anal % +100.455 +99.08 +99.740 +99.78519344 +81.2504 +Observation +2732.696 +3001.39 +2867.043 +0.0469 +RN−Obs +num += Nnum/Obs % +99.886 +98.53 +99.179 +81.3684 +RN−Obs +anal += Nanal/Obs % +99.433 +99.44 +99.437 +100.1452 +RY K−Obs +num += +(N + Y K)num/Obs % +99.886 +98.53 +99.179 +81.3684 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.433 +99.44 +99.437 +100.1452 +nominal α = 10−8 +Table A13: The values of the calculated and observational astronomical parameters of the planet +Uranus whose number of moons is 0 +URANUS +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +2729.595 +2957.44 +2843.519 +2841.649275 +0.0381 +Nanal +2717.213 +2984.63 +2850.921 +2847.766462 +0.0469 +RN = Nnum +Nanal % +100.455 +99.08 +99.740 +99.78519352 +81.2504 +(N + Y K)num +2730.116 +2992.91 +2861.516 +2858.935401 +0.0441 +(N + Y K)anal +2732.578 +3001.50 +2867.042 +2863.869614 +0.0469 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.909 +99.71 +99.807 +99.82770818 +94.0932 +Observation +2732.696 +3001.39 +2867.043 +0.0469 +RN−Obs +num += Nnum/Obs % +99.886 +98.53 +99.179 +81.3684 +RN−Obs +anal += Nanal/Obs % +99.433 +99.44 +99.437 +100.1452 +RY K−Obs +num += +(N + Y K)num/Obs % +99.905 +99.71 +99.807 +94.2299 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.995 +100.00 +99.999 +100.1452 +estimated α = −5.622864957252 × 10−3 +Table A14: The values of the calculated and observational astronomical parameters of the planet +Uranus whose number of moons is 0 +22 + +Neptune +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +4464.81 +4634.099 +4549.454 +4548.810665 +0.0177 +Nanal +4512.97 +4601.381 +4557.176 +4556.953752 +0.0097 +RN = Nnum +Nanal % +98.93 +100.711 +99.830 +99.82130416 +180.8744 +(N + Y K)num +4464.81 +4634.098 +4549.454 +4548.810617 +0.0177 +(N + Y K)anal +4512.97 +4601.381 +4557.176 +4556.953706 +0.0097 +RN+Y K += (N+Y K)num +(N+Y K)anal % +98.93 +100.711 +99.830 +99.82130411 +180.8743 +Observation +4471.05 +4558.857 +4514.953 +0.0097 +RN−Obs +num += Nnum/Obs % +99.86 +101.650 +100.764 +182.6474 +RN−Obs +anal += Nanal/Obs % +100.93 +100.932 +100.935 +100.9802 +RY K−Obs +num += +(N + Y K)num/Obs % +99.86 +101.650 +100.764 +182.6473 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.93 +100.932 +100.935 +100.9802 +nominal α = 10−8 +Table A15: The values of the calculated and observational astronomical parameters of the planet +Neptune whose number of moons is 0 +Neptune +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +4464.81 +4634.099 +4549.454 +4548.810665 +0.0177 +Nanal +4512.97 +4601.381 +4557.176 +4556.953752 +0.0097 +RN = Nnum +Nanal % +98.93 +100.711 +99.830 +99.82130416 +180.8744 +(N + Y K)num +4463.01 +4546.479 +4504.745 +4504.517794 +0.0096 +(N + Y K)anal +4471.15 +4558.747 +4514.952 +4514.73215 +0.0097 +RN+Y K += (N+Y K)num +(N+Y K)anal % +99.81 +99.730 +99.773 +99.77375499 +98.6587 +Observation +4471.05 +4558.857 +4514.953 +0.0097 +RN−Obs +num += Nnum/Obs % +99.86 +101.650 +100.764 +182.6474 +RN−Obs +anal += Nanal/Obs % +100.93 +100.932 +100.935 +100.9802 +RY K−Obs +num += +(N + Y K)num/Obs % +99.82 +99.728 +99.773 +99.6259 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.00 +99.997 +99.999 +100.9802 +estimated α = 9.351961741362 × 10−3 +Table A16: The values of the calculated and observational astronomical parameters of the planet +Neptune whose number of moons is 0 +23 + +Pluto +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +4439.709 +7265.423 +5852.566 +5684.326067 +0.2397 +Nanal +4431.722 +7298.614 +5865.168 +5687.267307 +0.2444 +RN = Nnum +Nanal % +100.180 +99.545 +99.785 +99.94828377 +98.0832 +(N + Y K)num +4439.709 +7265.423 +5852.566 +5684.325992 +0.2397 +(N + Y K)anal +4431.722 +7298.614 +5865.168 +5687.26725 +0.2444 +RN+Y K += (N+Y K)num +(N+Y K)anal % +100.180 +99.545 +99.785 +99.94828346 +98.0832 +Observation +4434.987 +7304.326 +5869.656 +0.2444 +RN−Obs +num += Nnum/Obs % +100.106 +99.467 +99.708 +98.0882 +RN−Obs +anal += Nanal/Obs % +99.926 +99.921 +99.923 +100.0051 +RY K−Obs +num += +(N + Y K)num/Obs % +100.106 +99.467 +99.708 +98.0882 +RY K−Obs +anal += +(N + Y K)anal/Obs % +99.926 +99.921 +99.923 +100.0051 +nominal α = 10−8 +Table A17: The values of the calculated and observational astronomical parameters of the planet +Pluto whose number of moons is 0 +Pluto +rmin(×106km) +rmax(×106km) +a(×106km) +b(×106km) +eccentricity +Nnum +4439.709 +7265.423 +5852.566 +5684.326067 +0.2397 +Nanal +4431.722 +7298.614 +5865.168 +5687.267307 +0.2444 +RN = Nnum +Nanal % +100.180 +99.545 +99.785 +99.94828377 +98.0832 +(N + Y K)num +4439.740 +7280.242 +5859.991 +5690.112819 +0.2407 +(N + Y K)anal +4435.112 +7304.196 +5869.654 +5691.616958 +0.2444 +RN+Y K += (N+Y K)num +(N+Y K)anal % +100.104 +99.672 +99.835 +99.97357273 +98.4812 +Observation +4434.987 +7304.326 +5869.656 +0.2444 +RN−Obs +num += Nnum/Obs % +100.106 +99.467 +99.708 +98.0882 +RN−Obs +anal += Nanal/Obs % +99.926 +99.921 +99.923 +100.0051 +RY K−Obs +num += +(N + Y K)num/Obs % +100.107 +99.670 +99.835 +98.4862 +RY K−Obs +anal += +(N + Y K)anal/Obs % +100.002 +99.998 +99.999 +100.0051 +estimated α = −7.642205983339201 × 10−4 +Table A18: The values of the calculated and observational astronomical parameters of the planet +Pluto whose number of moons is 0 +24 + +B. Tables of Absolute Deviations from Observation of the Planets +25 + +RY K−Obs +num +RY K−Obs +anal +Observed rmax +rnum +max − Obs +ranal +max − Obs +MERCURY +99.721 +100.001 +69.818 +-0.194 +0.001 +Venus +99.769 +100.018 +108.941 +-0.251 +0.020 +EARTH +99.794 +99.984 +152.100 +-0.312 +-0.024 +MARS +99.687 +100.006 +249.261 +-0.780 +0.016 +JUPITER +99.898 +100.270 +816.363 +-0.829 +2.205 +SATURN +101.116 +100.794 +1506.527 +16.817 +11.969 +URANUS +98.535 +99.441 +3001.390 +-43.947 +-16.759 +Neptune +101.650 +100.932 +4558.857 +75.241 +42.524 +Pluto +99.467 +99.921 +7304.326 +-38.902 +-5.711 +Table B1: Absolute deviations, with nominal α, of rmax from observation, evaluated in (106 +km). +RY K−Obs +num +RY K−Obs +anal +Observed rmin +rnum +min − Obs +ranal +min − Obs +MERCURY +100.062 +100.012 +46.000 +0.028 +0.005 +Venus +99.839 +100.008 +107.480 +-0.172 +0.009 +EARTH +99.857 +99.978 +147.095 +-0.210 +-0.031 +MARS +99.962 +99.999 +206.650 +-0.077 +-0.001 +JUPITER +99.906 +100.262 +740.595 +-0.692 +1.947 +SATURN +99.845 +100.797 +1357.554 +-2.092 +10.824 +URANUS +99.886 +99.433 +2732.696 +-3.100 +-15.482 +Neptune +99.860 +100.937 +4471.050 +-6.239 +41.922 +Pluto +100.106 +99.926 +4434.987 +4.722 +-3.264 +Table B2: Absolute deviations, with nominal α, of rmin from observation, evaluated in (106 km). +26 + +RY K−Obs +num +RY K−Obs +anal +Observed rmax +rnum +max − Obs +ranal +max − Obs +MERCURY +99.706 +99.995 +69.818 +-0.204 +-0.002 +Venus +99.740 +100.004 +108.941 +-0.282 +0.004 +EARTH +99.757 +99.997 +152.100 +-0.369 +-0.003 +MARS +99.664 +99.996 +249.261 +-0.835 +-0.008 +JUPITER +99.334 +100.003 +816.363 +-5.430 +0.027 +SATURN +99.410 +99.998 +1506.527 +-8.874 +-0.019 +URANUS +99.717 +100.003 +3001.390 +-8.472 +0.117 +Neptune +99.728 +99.997 +4558.857 +-12.377 +-0.109 +Pluto +99.670 +99.998 +7304.326 +-24.083 +-0.12907 +Table B3: Absolute deviations, with estimated α, of rmax from observation, evaluated in (106 +km). +RY K−Obs +num +RY K−Obs +anal +Observed rmin +rnum +min − Obs +ranal +min − Obs +MERCURY +100.062 +100.006 +46.000 +0.028 +0.002 +Venus +99.838 +99.994 +107.480 +-0.173 +-0.005 +EARTH +99.856 +100.003 +147.095 +-0.211 +0.004 +MARS +99.962 +99.989 +206.650 +-0.077 +-0.022 +JUPITER +99.897 +99.996 +740.595 +-0.757 +-0.027 +SATURN +99.802 +100.001 +1357.554 +-2.684 +0.020 +URANUS +99.905 +99.995 +2732.696 +-2.579 +-0.117 +Neptune +99.820 +100.002 +4471.050 +-8.037 +0.107 +Pluto +100.107 +100.002 +4434.987 +4.753 +0.125 +Table B4: Absolute deviations, with estimated α, of rmin from observation, evaluated in (106 +km). +27 + +References +[1] Ephraim Fischbach and Carrick L. 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Cobbett, ”Dynamics and stability of the two +body problem with Yukawa correction,” Astrophysics and Space Science, 2020. +[24] ”https://nssdc.gsfc.nasa.gov/planetary/factsheet/index.html,” [Online]. +[25] A. Rujula, dedicated to viktor weisskopf on the occasion of the viki-fest, erice, 1986. +[26] H. Goldstein, Classical Mechanics, SECOND EDITION ed., ADDISON-WESLEY PUB- +LISHING COMPANY , 1980. +[27] J. D. Meiss, Differential Dynamical Systems, 2007. +[28] O. FACKLER and J. T. T. VAN, 5th FORCE NEUTRINO PHYSICS, 1988. +[29] S. L. Ross, Differential Equation (John Willey & Sons), 1984, p. 661. +[30] K. Wakker, Fundamentals of Astrodynamics, 2015. +29 + diff --git a/XdE0T4oBgHgl3EQfmgEE/content/tmp_files/load_file.txt b/XdE0T4oBgHgl3EQfmgEE/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..fc7cdffad5e41cc8f84cdd473746375deabf7298 --- /dev/null +++ b/XdE0T4oBgHgl3EQfmgEE/content/tmp_files/load_file.txt @@ -0,0 +1,1586 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf,len=1585 +page_content='Dynamics and stability of the two-body problem with Yukawa correction to Newton’s gravity, revisited and applied numerically to the solar system Nawras Abo Hasan1∗, Nabil Joudieh1†and Nidal Chamoun2‡ 1 Physics Department, Damascus University, Damascus, Syria 2 Physics Department, HIAST, P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='O.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Box 31983, Damascus, Syria Abstract In this manuscript, we review the motion of two-body celestial system (planet-sun) for a Yukawa-type correction on Newton’s gravitational potential using Hamilton’s formulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We reexamine the stability using the corresponding linearization Jacobian matrix, and verify that the Bertrand’s theorem conditions are met for radii ≪ 1015m, and so bound closed orbits are expected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Applied to the solar system, we present the equation of motion of the planet, then solve it both analytically and numerically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Making use of the analytical expression of the orbit, we estimate the Yukawa strength α, and find it larger than the nominal value (10−8) adopted in previous studies, in that it is of order (α = 10−4 − 10−5) for terrestrial planets (Mercury, Venus, earth, Mars and Pluto) whereas it is even larger (α = 10−3) for the Giant planets (Jupiter, Saturn, Uranus and Neptune).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Taking as inputs (rmin, vmas, e) observed by NASA, we analyse the orbits analytically and numerically for both the estimated and nominal values of α, and determine the corresponding trajectories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For each obtained orbit we recalculate the characterizing parameters (rmin, rmax, a, b, e) and compare their values according to the used potential (Newton with/without Yukawa correction) and to the method used (analytical and/or numerical).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' When compared to the observational data, we conclude that the correction on the path due to Yukawa correction is of order of and up to 80 million km (20 million km) as a maximum deviation occurring for Neptune (Pluto) for nominal (estimated) value of α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Keywords: gravitational two-body problem, Yukawa potential, closed orbit ’ 0 Introduction The past several years have witnessed a resurgence of interest in experimental testing of gravity, particularly in the possibility of deviations from the predictions of Newtonian gravity, which is considered as an excellent approximation of General Relativity (GR) on large distance scale [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Many theoretical models suggest the existence of new, relatively weak, intermediate-range force coexisting with gravity such that the net resulting interaction would behave like a new correction ∗seagull18990@gmail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='com †njoudieh@yahoo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='fr ‡nidal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='chamoun@hiast.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='sy 1 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='02498v1 [astro-ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='EP] 6 Jan 2023 to the potentials defining the gravitational field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' It is known [2] that there are only two types of central potentials, namely the Newton 1r and the Harmonic r2 potentials, where ANY finite motion of an object, subject to this central potential, leads to a closed path (Bertrands theorem).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' There are some ‘exceptions’ to this statement, in the sense that there might be closed bound trajectories for a central potential different from the Newton and Harmonic ones, which have been studied in [3, 4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In this contribution, we revisit the effect of a Yukawa correction to the gravitational force over large distances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Theories of massive gravity [5,6], adding a mass term to the graviton (the carrier of gravity), have raised a wide interest and the Yukawa potential is the popular parametrization of such theories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Actually, many works describing deviations from Newtons inverse square law have addressed the Yukawa-type correction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Assuming gravity is exerted by exchanges of gravitons, it is clear that a test for the graviton mass (µg) is to ask whether the Newton (1/r) potential shows any evidence of dying at large distances because of Yukawa exponential cutoff (e−µgr).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Since the seventies [7], bounds on the gravitons mass (µg ≤ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1 × 10−29 eV) were used to put a bound on its compton wavelength considered as a distance scale for Yukawa correction (λ ∼ 2π µg ≥ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 MPc).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The authors of [8] gave a bound on the Yukawa range (λ) in the order of (101 − 104 AU) corresponding to (µg ≤ 10−24) eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Theories like Scalar-Tensor-Vector Gravity Theory [9] predict a Yukawa-like fifth force.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The authors of [10], showed that screened modified gravity can suppress the fifth force in dense regions and allow theories to evade the solar system and laboratory tests of the weak equivalence princi- ple.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In [11], an extended theory of gravity, with a modified potential including post-Newtonian terms, whose expansion is different from that of Yukawa correction, called ‘vacuum bootstrapped Newtonian gravity’, was subjected to solar system tests, through a procedure which was applied to Yukawa corrections at the Galactic center [12], with no significant deviations from GR found.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In [13], a Keplerian-type parametrization was shown as a solution of the equations of motion for a Yukawa-type potential between two bodies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In fact, the two-body solution for alternative theories yield a strong constraint for solar system [14, 15], whereas several analyses of Yukawa potential for a 2-body system in different contexts were carried out [16, 17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The orbit of a single particle moving under Yukawa potential was studied in [18], and the precessing ellipse type orbits were observed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In [19], it was noted that the modified gravity with Yukawa-like long-range potential was (un)successful on astrophysical scales (in solar system), whereas an analysis of Yukawa potential in f(R) gravity was given in [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The work of [21] showed that a Yukawa fifth force is expected to be sub-dominant in satellite dynamics and space geodesy experiments, as long as they are performed at altitudes greater than a few hundred kilometres.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The Yukawa strength was estimated in [22] to be (α < 10−5-10−8) for distances of order 109 cm, whereas the use of laser data from LAGEOS satellites yield a constraint on α of the order of 10−12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In this letter, we build on work from [23], in which the dynamics and stability of the two body problem with a Newtonian potential corrected by a Yukawa term were explored.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In particular, we reproduced their analytical results and applied them to the study of all the planets of our solar system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Solving analytically the planet equation of motion, one finds an elliptical trajectory, which one can also obtain numerically using Runge-Kutta method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Starting from the observed values of the perihelion distance and velocity (rmin, vmax) and of the tranjectory eccentricity e, stated in NASA public results [24]∗, one could determine the ellipsis equation and estimate, for ∗Although the standard deviations of the planetary trajectories are not quoted in the NASA public website, however one can consider that the corresponding error equals to the last digit of the quoted significant numbers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 2 Yukawa corrected potential, the Yukawa strength α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' One can use this estimated value, or another nominal value taken from other studies, to either draw the analytical trajectory and recalculate the characterizing parameters: the shortest (longest) distance to the Sun rmin(rmax), the semi major (minor) axis a(b) and the eccentricity e, or to solve numerically the equations of motion with the Yukawa-corrected potential in order to check the closedness of the resulting trajectory, whose characteristics are to be reevaluated again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Later, we compared these results with those calculated for the Keplerian motion of planets subject to the pure Newtonian potential, and, in addition, showed the compatibility of the results with the observational NASA data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' More specifically, for the two-body system (planet-sun), the Newtonian potential is given by: VN(r) = −GmpM⊙ r (1) where G = 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='674×10−11 Nm2 Kg2 is the gravitational Newton constant, mp (M⊙) is the planet (sun) mass.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' With a Yukawa correction, the gravitational potential becomes V (r) = −GmpM⊙ r � 1 + αe− r λ � = VN(r) + VY k(r) (2) where VY k is the Yukawa correction to the Newtonian potential and α (λ) represents the strength (range) of the Yukawa correction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Previous studies [23, 25] gave the nominal values (α = 10−8(λ = 103AU = 1015m).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' However, our estimations gave a larger order of magnitude for the Yukawa strength: α ∼ 10−4 − 10−5 for terrestrial planets (Mercury, Venus, Earth, Mars and Pluto) and α ∼ 10−3 for the remaining Giant planets (Jupiter, Saturn, Uranus and Neptune), which are in line with [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We saw that for estimated α, the maximum deviation from observed data, which increases the further the planet is (20 million km in Pluto), is less than that of the α nominal value (80 million km in Neptune), which is plausible considering that the estimation of α is done by identifying the factor containing it to observational data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For each of the nominal and estimated values of α, we analysed the planet’s trajectory both analytically and numerically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Analytics wise, we started from the observational data of NASA (rmin, vmax, e) and reconstructed the closed ellipse trajectory of which we re-evaluated the characteristics (rmin, rmax, a, b, e) and compared with the pure Newton case and with the observational data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Numerics wise, the α determines the potential under which the planet moves, and so one can solve the equations of motion numerically using Runge-Kutta method taking as initial conditions the observed data of (rmin, vmax), to check that one gets closed trajectories in excellent agreement with the elliptical shapes, of which we can evaluate the characteristics that one compares to the pure Newtonian case, to the analytical method results and to the observed data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The manuscript is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In section (1), we revise the system dynamics using Hamilton’s method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In section(2), we state the types of stability and determine the one corresponding to the system under study.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We discuss, in section(3) and following [23], Bertrand’s theorem and get the analytical solution to the equation of motion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Finally, we apply in section (4) the obtained approximative analytical results to the study of the solar system planets in order to estimate the Yukawa strength and re-determine the trajectory characteristics for both estimated and nominal values of α, as well as solve numerically the equations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The results, of comparing the analytical/numerical outputs with the observed data according to the used In our computations, we used the whole digits allowed by machine precision, however the results in the appendices tables showed only significant digits equal to those of the observed data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 3 potential, are presented in form of plots for all the planets, whereas the corresponding tables are given in an appendix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We end up with conclusions in section (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 1 Hamiltonian formulation We start with the Hamiltonian H = T + V where T is the kinetic energy of both masses and V is the Gravitational potential energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' H = ⃗p2 1 2mp + ⃗p2 2 2M⊙ − K |⃗r2 − ⃗r1| � 1 + αe− |⃗r2−⃗r1| λ � (3) where ⃗ri, (⃗vi), i = 1, 2 are the positions (velocities) of the two masses with corresponding mo- menta p1 = M⊙v1, p2 = mpv2, K = GmpM⊙.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Changing to the center of mass frame (c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='o.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='m), with ⃗r1 = + mp mp + M⊙ ⃗r = + µ M⊙ ⃗r + ⃗R , ⃗r2 = − M⊙ mp + M⊙ ⃗r = − µ mp ⃗r + ⃗R (4) ⃗r = ⃗r1 − ⃗r2 , ⃗R = M⊙⃗r1 + mp⃗r2 mp + M⊙ (5) ⃗v1 = ˙⃗R + µ M⊙ ⃗v , ⃗v2 = ˙⃗R + −µ mp ⃗v (6) ⃗v = ˙⃗r , ⃗p = µ⃗v, (7) ¨⃗R = ⃗0 , µ¨⃗r = M⊙¨⃗r1 = −mp¨⃗r2, (8) we get H = 1 2(M⊙ + mp) ˙⃗R2 + H : H = p2 2µ − K r � 1 + αe− r λ � (9) Here we have defined µ = mpM⊙ mp+M⊙ as the reduced mass of the system and r = |⃗r|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We switch to polar coordinates in the c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='o.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='m to get H = 1 2µ � p2 r + p2 ϕ r2 � − K r � 1 + αe− r λ � (10) From the canonical equations ( [26]): ˙qi = � ∂H ∂pi � , ˙pi = − � ∂H ∂qi � , and since the Hamiltonian is cyclic in ϕ (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' it does not depend explicitly on ϕ), we have: ˙ϕ = ∂H ∂pϕ = pϕ µr2 (11) ˙pϕ = −∂H ∂ϕ = 0 ⇒ pϕ = µr2 ˙ϕ = ℓ = constant (12) where ℓ is the angular momentum of the two-body system, and therefore Hamiltons equations for r become: ˙r = ∂H ∂pr = pr µ (13) ˙pr = −∂H ∂r = ℓ2 µr3 − K r2 � 1 + α � 1 + r λ � e− r λ � (14) 4 Figure 1: The reduced potential (red line) given for fixed angular momentum (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 16).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The pink line denotes the magnitude of the purely Yukawa term ( ���− αK r e− r λ ���), whereas the blue line represents the Keplerian reduced potential, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 16 without the Yukawa term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Again, and since H(t) = H(t0) = h is constant during the motion of the masses [26], and since p2 r = µ2 ˙r2 ≥ 0 we get a lower bound for the total energy of the system: h ≥ ℓ2 2µr2 − K r � 1 + αe− r λ � (15) The right hand side of eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (15) is defined to be the “reduced potential”, which is common in the Kepler problem moving from two degrees of freedom to only one (with the Yukawa correction) Vred(r) = ℓ2 2µr2 − K r � 1 + αe− r λ � (16) One can draw the function for fixed ℓ giving the allowed regions of motion (look at figure 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Note that µ > 0, λ > 0 and α > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 2 The linearization matrix Following [27], in order to determine the stability of the equilibrium points of the system, we must form a matrix differential equation using the system equations of motion (Hamiltons Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 13 and 14 for r, p).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The linear system has the form: d dt � r pr � = � f(r,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' p) g(r,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' p) � = � f0 g0 � eq + � ∂f ∂r ∂f ∂pr ∂g ∂r ∂g ∂pr � � r pr � where f (r,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' pr) = pr µ ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' g (r,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' pr) = ℓ2 µr3 − K r2 � 1 + α � 1 + r λ � e− r λ � (17) Given that λ = 1015m for orbits of size comparable to the solar system dimensions [28],' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' one can assume that r λ is small enough that one can Taylor expand the exponential and ignore terms of 5 70 Vred 09 Vkep Vyuk 50 40 > 30 20 10 0 10� r2 λ2 � ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' leading to: e− r λ ≈ 1 − r λ + O � r2 λ2 � ≈ 1 − r λ (18) Thus g (r,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' pr) = ℓ2 µr3 − K r2 � 1 + α � 1 + r λ � � 1 − r λ �� ≈ ℓ2 µr3 − K r2 (1 + α),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' with the Yukawa effect within this approximation being limited to replacing K by K(1+α),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' which tells that the potential shape is still Newtonian (1/r),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' and according to Bertrand’s theorem every bound trajectory is thus closed for small r/λ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' One can see this fact directly from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (16) as it gives, compared to the Keplerian potential, within the approximation just a shift, in addition to the replacement (K → K(1 + α)), which does not interfere in the equations of motion: Vred(r) ≈ ℓ2 2µr2 − K r (1 + α) + Kα λ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (19) Consequently, the Jacobian matrix takes the form: � ˙r ˙pr � = � 0 1 µ −3ℓ2 µr4 + 2K r3 (1 + α) 0 � � r pr � (20) where terms of order O � r2 λ2 � were ignored, and where the equilibrium point (r, pr)eq satisfies feq(r, pr) = geq(r, pr) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We can determine the r at equilibrium using (eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 14) to get upto leading order: req = ℓ2 µK(1 + α) (21) We can now test for stability by choosing values of (α, µ, K, ℓ, λ) and finding the eigenvalues of the Jacobian matrix (20) after substituting the equilibrium solution found above (eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 21).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Recall that the eigenvalues β1, β2 are found by solving the following equation: det |J − βI2×2| = 0 (22) with I2×2 referring to the 2 × 2 identity matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Thus we have ����� −β 1 µ −3ℓ2 µr4 + 2K r3 (1 + α) −β ����� = 0 (23) The characteristic equation (the eigenvalue equation) becomes: β1,2 = 1 2 � τ ± � τ 2 − 4∆ � (24) τ = trace(J) = 0 (25) ∆ = det(J) = µ2K4(1 + α)4 ℓ6 (26) Following [29], the stability is determined by the sign of the eigenvalues.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Since ∆ > 0, we have the following cases: τ < 0, τ 2 − 4∆ > 0 ⇒ (r0, pr0) a stable node.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' τ < 0, τ 2 − 4∆ < 0 ⇒ (r0, pr0) a stable spiral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 6 τ > 0, τ 2 − 4∆ > 0 ⇒ (r0, pr0) an unstable node.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' τ > 0, τ 2 − 4∆ < 0 ⇒ (r0, pr0) an unstable spiral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' τ = 0, τ 2 − 4∆ < 0 ⇒ (r0, pr0) a neutrally stable center (which is our case).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Actually, the stability refers to how the solution behaves near the equilibrium point;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' in that unstable solutions grow to infinity, whereas stable solutions tend to zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Also, it is the imaginary cases which are the ones giving bound orbital solutions (specifically the center case, whereas the stable and unstable imaginary cases are bound solutions tending towards or away from zero).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 3 Stability & Bertrands theorem First, we rewrite the eigenvalue equation in the form β2 + µ2K4(1 + α)4 ℓ6 = 0 (27) leading to: β = ±iµK2(1 + α)2 ℓ3 (28) We note that one can study the case for a purely Newtonian Potential by letting α → 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Similarly, by ignoring the terms derived from the Newtonian potential, one can single out the pure Yukawa contribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In these two extreme cases, the characteristic equations becomes Pure Newtonian: β2 + µ2K4 ℓ6 = 0 (29) Pure Yukawa: β2 + µ2K4α4 ℓ6 = 0 (30) giving Pure Newtonian: β = ±iµK2 ℓ3 (31) Pure Yukawa: β = ±iµK2α2 ℓ3 (32) Thus, the equilibrium points for the purely Newtonian, the purely Yukawa, and the Newton plus Yukawa Potentials remain center solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' This implies that the motion would remain restricted to ellipses about the equilibrium point;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' and so, orbits near the equilibrium point are possible (further away from the equilibrium point one would have unbounded solutions, as Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 1 shows).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' This proves that for small r/λ we have stable, closed orbits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For the Keplerian orbit equation, it can be written as: d2u dϕ2 + u = − µ ℓ2 d duV �1 u � (33) where u = 1r denotes the Binet transformation, giving, for small r/λ, the following differential equation: d2u dϕ2 + u = +µK ℓ2 (1 + α) (34) whose solution is given by u(ϕ) = 1 r = A [1 + e cos (ϕ − ϕ0)] : A = µK ℓ2 (1 + α) (35) 7 with e is the eccentricity of the orbit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The purely Newtonian and purely Yukawa cases follow respectively from (34) Newtonoian: u(ϕ) = 1 r = µK ℓ2 [1 + e cos (ϕ − ϕ0)] (36) Purely Yukawa: u(ϕ) = 1 r = µKα ℓ2 [1 + e cos (ϕ − ϕ0)] (37) Finally, in order to satisfy Bertrands theorem, the following condition should be satisfied d2Vred(r) dr2 ���� r=r0 > 0 (38) where the reduced potential is given by (16).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' With the approximations of (eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 18)) and ignoring terms of order O � r2 λ2 � this condition becomes d2Vred(r) dr2 ���� r=r0 = µ2K4(1 + α)4 ℓ6 > 0 (39) which is true, since α, µ, K, ℓ > 0, in general and in the special cases of Newtonian (α = 0) and purely Yukawa potentials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' This shows that the Yukawa plus Newtonian potential satisfies Bertrands theorem for small rλ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 4 Application to the solar system We present here our results consisting of determining first the parameters of the models (rmin, rmax, a, b, e) by comparing the previous approximative analytical solutions with the NASA data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Then, we solved the equations of motion numerically using Matlab and the fourth-order Runge-Kutta method with no approximation so that to be compared with the analytical solutions and with the observed NASA data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We applied this for all the planets of the solar system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For each pair (sun-planet) we used the following values M⊙ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9885 × 1030kg, αnominal = 10−8, λ = 1015m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We list in Table (1) the initial conditions used in the analytical and numerical calculations (the period τ is used only in the numerical solution to determine the corresponding ‘step’): MERCURY VENUS EARTH MARS JUPITER SATURN URANUS NEPTUNE PLUTO mp(×1024kg)0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3302 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8673 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9722 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='64169 1898.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='13 568.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='32 86.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='811 102.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='409 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01303 τ (days) 87.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='969 224.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='701 365.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='256 686.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='98 4332.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='589 10832.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='33 30685.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4 60189 90560 rmin (×106km) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='046 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='10748 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='147095 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='20665 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740595 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='357554 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='732696 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='47105 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='434987 vmax (×103m/s) 58.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='98 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='26 30.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='29 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='72 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='18 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='11 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1 eccentricity 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='20563 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00677 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01671 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='09341 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='04839 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='05415 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='04717 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00859 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='24881 Table 1: Initial conditions used in the calculations where mp denotes the planet mass, τ is the orbit period, rmin is the perihelion and vmax denotes the perihelion velocity 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1 Analytical Method The analytical ellipsis equation is of the form 1 r ≡ u = a b2 (1 + e cos ϕ) ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (40) 8 where (for a y-axis perpendicular to the polar axis in the orbit plane) rmin = a(1 − e) ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' rmax = a(1 + e),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (41) e = c a = � 1 − b2 a2 : c2 = a2 − b2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (42) a = rmin + rmax 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' b = ymax − ymin 2 (43) Thus,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' analytically one can start with (rmin,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' vmax,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' e) observed by NASA in [24] to compute†: a = rmin 1 − e ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' b = a � 1 − e2,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (44) and estimate the strength α from µK ℓ2 (1 + α) = a b2 using ℓ = rminvmax.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (45) Once the analytical equation is determined, then one can plot the trajectory and recompute the characteristics (rmin, rmax, a, b, e) using Eqs (41,42).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We call this procedure the “analytical-α- estimated” approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' One can also use the nominal value of α = 10−8, and plug it in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (40), where ℓ, e are taken from the observed data, to re-evaluate (rmin, rmax, a, b, e) from a = 1 A(1 − e2), A = µK(1+α) ℓ2 , b = 1 A √ 1 − e2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (46) We call this procedure the “analytical-α-nominal” approach, which can be looked at as a method with three inputs (α, ℓ, e) instead of the three inputs (rmin, vmax, e) used in the other approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2 Numerical Method Here, we just solve numerically, using the fourth-order Runge-Kutta method, the Newton’s law equation of motion in the c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='o.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='m frame with initial conditions taken from NASA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Thus we solve the equations: ¨⃗r1 = Gmp ⃗r2 − ⃗r1 r3 , Newton, ¨⃗r2 = GM⊙ ⃗r1 − ⃗r2 r3 = −M⊙ mp ¨⃗r1, (47) ¨⃗r1 = Gmp � (1 + αe− r λ )1 r + α λe− r λ � ⃗r2 − ⃗r1 r2 , Newton+Yukawa, ¨⃗r2 = −M⊙ mp ¨⃗r1, (48) under the initial conditions given by NASA data of (rmin, vmax): ⃗r1(t = tmin) = mp mp + M⊙ ⃗rmin , ⃗v1(t = tmin) = mp mp + M⊙ ⃗vmax, (49) ⃗r2(t = tmin) = − M⊙ mp + M⊙ ⃗rmin , ⃗v2(t = tmin) = − M⊙ mp + M⊙ ⃗vmax.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (50) Once the trajectory is solved numerically, we check that it is closed, as the Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (2) shows for both the pure Newton and that with the Yukawa corrections (since the differences are not visible on the figure scale containing all the planets).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For each obtained orbit, we recalculate the corresponding characteristics (rmin, rmax, a, b, e).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' †Due to measurement errors and orbits not being perfectly elliptical, the NASA data may give slightly different values of a using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 43 or Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 44.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 9 Figure 2: Closed bound planets’ trajectories with and without Yukawa corrections with strength α nominal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3 Results We report in the Tables of Appendix A (from A1 to A18), the calculated characteristics of the resulting trajectories for all the planets in the solar system, corresponding to the pure Newton and the Newton corrected with Yukawa potentials, both in the analytical and the numerical approaches.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The odd (even) numbered tables correspond to the nominal (estimated) Yukawa strength α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The number of moons of each planet is determined according to [30].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Below we explain the meanings of the symbols used in the tables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Nnum: Numerical calculations using the Newtonian potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Nanal: Analytical calculations using the Newtonian potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RN = Nnum Nanal %: The percentage ratio of the numerical to the analytical results for Newton potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (N + Y K)num : Numerical calculations using the modified potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (N + Y K)anal: Analytical calculations using the modified potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RN+Y K = (N+Y K)num (N+Y K)anal %: The percentage ratio of the numerical to the analytical results for modified potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RN−Obs num = Nnum/Obs%: Percentage ratio of the numerical results, using the Newtonian potential, to the observed results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RN−Obs anal = Nanal/Obs %: Percentage ratio the analytical results, using the Newtonian potential, to the observed results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RY K−Obs num = (N + Y K)num/Obs %: Percentage ratio of the numerical results, using the modified potential, to the observed results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 10 (km)• RY K−Obs anal = (N + Y K)anal/Obs %: Percentage ratio of the analytical results, using the modified potential, to the observed results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In order to summarize the findings of the Tables, we present in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (3) plots showing,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' for each planet and at every polar angle,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' the deviation from unity of the ratio between two quantities of the following,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' allowing thus to compare the effects of the considered potential (Newton vs New- ton+Yuakawa) and/or the used method (numerical vs analytical) and/or the Yukawa strength determination (nominal vs estimated): rn(num) representing the trajectory equation of the numerical approach with Newton potential,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' rn(anl) representing the trajectory equation of the analytical approach with Newton po- tential,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' ryk(num) representing the trajectory equation of the numerical approach with New- ton+Yukawa potential and nominal α,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' ryk(anl) representing the trajectory equation of the analytical approach with Newton+Yukawa potential and nominal α,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' ryka(num) representing the trajectory equation of the numerical approach with New- ton+Yukawa potential and estimated α,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' ryka(anl) representing the trajectory equation of the analytical approach with New- ton+Yukawa potential and estimated α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We see that some ratios (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' the dashed red and sky blue) do coincide near zero deviation from one, meaning no tangible effect of adding the Yukawa correction, be it in the analytic or the numeric method, as long as one takes the nominal value of α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Also,we note local extremums for the deviations from unity at polar angles multiples of π/2 as a generic feature in many plots.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' One can interpret the large values of the deviations for the nearest (Mercury) and the farthest (Pluto) planet, in that for the former;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' the perturbative effect of solar winds, important as we approach the sun, was not taken into consideration, whereas for the furthest;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' accumulating gravitational screening effects of the other planets and their moons, which were not considered in the study, are becoming important especially for a small sized- planetoid like Pluto.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In order to show the effects of the separating distance effect, one should compute the absolute deviations from observed data for each planet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In appendix B, the Tables B1, B2 (B3, B4), report the deviation from observation for each planet of rmax, rmin respectively, in the case of nominal (estimated) α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We summarize these findings in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We see that the agreement between the numerical and analytical solutions is excellent in both estimated and nominal α cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We see that the deviations due to Yukawa correction are not large, but note the following: 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For estimated α: rmax-deviation: The numerical deviation is larger by about 103 times the analytical deviation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' In general, it increases the further the planet is, and reaches a maximum of order (−25 million km) (less than the observed value) in Pluto.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' rmin-deviation: Again, the numerical deviation is larger by about (101-102)-order of magnitude than analytical deviation, where it is largest in Neptune (−8 million km), however it reverses sign and becomes (+5 million km) more than the observation in Pluto.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 11 1-{ rn(num)/ryka(anl) } ____ 1-{ryka(anl)/ryk(num)} ____ 1-{ryka(anl)/ryka(num)} ____ 1-{ rn(anl)/ryka(anl)} ____ 1-{ryka(anl)/ryk(anl)} ____ 1-{ rn(num)/ryk(num)} ----- 1-{ryka(num)/rn(num)} ----- 1-{ryk(num)/ryka(num)} ----- 1-{ryk(anl)/rn(anl)} ----- Figure 3: Deviations from Unity for Ratios of Computed trajectories at each polar angle,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' according to the considered potential (Newton vs Newton+Yuakawa) and/or to the used method (numerical vs analytical) and/or to the Yukawa strength determination (nominal vs estimated).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We show in a zoomed region, for one planet (Earth) generic case, that the dashed red and sky blue curves are very near each other (the same applies to the green and blue curves in Mercury case).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 12 VENUS Deviationsfrom unityforRatiosof ComputedTrajectories(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='02 1-Percentage Ratio(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='03 0 50 100 150 200 250 300 350 400 angle (deg)EARTH Deviationsfrom unityforRatiosof ComputedTrajectories(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='08 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='06 1-Percentage Ratio(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='06 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='08 0 50 100 150 200 250 300 350 400 angle (deg)MARS Deviationsfrom unityforRatiosof ComputedTrajectories(%) 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 2 0 50 100 150 200 250 300 350 400 angle (deg)JUPITER Deviationsfrom unityforRatiosof ComputedTrajectories(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4 1-Percentage Ratio(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6 0 50 100 150 200 250 300 350 400 angle (deg)SATURN Deviationsfrom unityforRatiosof ComputedTrajectories(%) 3 2 1 2 3 0 50 100 150 200 250 300 350 400 angle (deg)URANUS Deviationsfrom unityforRatiosof ComputedTrajectories(%) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 1-Percentage Ratio(%) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 0 50 100 150 200 250 300 350 400 angle (deg)Neptune Deviationsfrom unityforRatiosof ComputedTrajectories(%) 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='50 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='150 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='200 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='250 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='300 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='350 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='400 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='angle (deg)Pluto ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='Deviationsfrom unityforRatiosof ComputedTrajectories(%) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='15 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='10 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1-Percentage Ratio(%) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='10 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='15 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='50 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='150 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='200 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='250 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='300 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='350 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='400 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='angle (deg)MERCURY ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='Deviationsfrom unityforRatiosof ComputedTrajectories(%) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='10 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1-PercentageRatio(%) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='N ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='A ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='10 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='50 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='150 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='200 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='250 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='300 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='350 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='400 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='angle (deg) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='50 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='50 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='MERCURY ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='Venus ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='EARTH ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='MARS ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='JUPITER ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='SATURN ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='URANUS ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='Neptune ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='Pluto ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='Deviations from the observed values for rmax;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' alpha nominal Absolute deviation from observation numerically ×10^6(km) Absolute deviation from observation analytically ×10^6(km) 20 0 20 40 60 MERCURY Venus EARTH MARS JUPITER SATURN URANUS Neptune Pluto Deviations from the observed values for rmin;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' alpha nominal Absolute deviation from observation numerically ×10^6(km) Absolute deviation from observation analytically ×10^6(km) 30 20 10 0 10 MERCURY Venus EARTH MARS JUPITER SATURN URANUS Neptune Pluto Deviations from the observed values for rmax;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' alpha estimated Absolute deviation from observation numerically ×10^6(km) Absolute deviation from observation analytically ×10^6(km) 10 5 0 5 10 MERCURY Venus EARTH MARS JUPITER SATURN URANUS Neptune Pluto Deviations from the observed values for rmin;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' alpha estimated Absolute deviation from observation numerically ×10^6(km) Absolute deviation from observation analytically ×10^6(km) Figure 4: Absolute deviations from observed data for each planet, according to the used method (numerical vs analytical) and/or to the Yukawa strength determination (nominal vs estimated).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 13 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For nominal α: rmax-deviation: The numerical deviation is larger than the analytical one, but are of the same order reaching a maximum of +80 (+40) million km using the numerical (analytical) method in Neptune.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For Pluto and Uranus, we get (−40) million km in the numerical method (less than observed).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' rmin-deviation: The analytical deviation is larger, and sometimes reverses sign com- pared to the numerical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For example, in Neptune the analytical approach gives a deviation of (+40 million km) from observation, whereas the numerical one gives a deviation of −5 million km (less than the observed value).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Actually, the disagreements with observations are due to several reasons: the first one is physical in nature, in that it results from neglecting the perturbation due to third bodies, or, more generally, the effect of the natural satellites, such as moons or asteroids.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Also, we did not either take into account the radiation and the solar wind physical effects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Moreover, the results were obtained as a 2-body problem, and hence the movement of more distant planets might be affected by planets closer to the sun, which can be present not in the dominant term, but in higher orders of expansion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The second factor lies in the computational side, and concerns the numerical method used, the value of the step size, and the high sensitivity of the problem to the initial conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' One should also mention that for the analytical solution we restricted the study to leading order neglecting higher orders in the expansion of exponentials, whereas for the numerical solution the entire exponential is considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 5 Summary and Conclusion In this work, we followed [23] and used the Hamilton’s formulation in order to obtain the differential equation of motion and the path equation for the gravitational two-body system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' The developments are carried out in the case of the pure Newtonian potential, the Newtonian corrected with Yukawa type potential and the pure Yukawa potential.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' As in [23], we have reviewed the stability problem, constructed the linearization matrix and tested the stability of the system for a Yukawa correction, and found that it is of a central solution type, which implies stable solutions near the fixed point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We repeated the analysis for a purely Yukawa force and found similar results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We also confirmed that the modified potential obeys the Bertrands theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Then, we determined the parameters’ set corresponding to the planets of the solar system starting from the observed (rmin, vmax, e) estimating α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' For both the estimated and nominal values of α, we determined the characteristics of the trajectories numerically and analytically, and compared between the methods and with the observed data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' We explained the extent to which these results are consistent with the observational data, presenting in form of histograms the absolute deviations from observations, which were found to give an upper deviation of order 80 million km in Neptune using nominal α, and 20 million km in Pluto using estimated α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Acknowledgments: N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Chamoun acknowledges support from the ICTP-Associate pro- gram, from the Humboldt Foundation and from the CAS-PIFI scholarship.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 14 Appendices A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Tables of Calculated/Observed Parameters of the Planets 15 Mercury rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='832 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='916 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='67679158 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='205744228 Nanal 47 72.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='043 59.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='756 58.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='47840586 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='205646344 RN = Nnum Nanal % 97 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='930 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='91918025 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='95242442 (N + Y K)num 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='831 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='916 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='67678243 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='205738221 (N + Y K)anal 47 72.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='043 59.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='756 58.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='47840528 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='205646344 RN+Y K = (N+Y K)num (N+Y K)anal % 97 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='930 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='91916556 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='95534277 Observation 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='818 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='909 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='20563069 RN−Obs num = Nnum/Obs % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='980 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='988 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='94481595 RN−Obs anal = Nanal/Obs % 97 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='911 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='909 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9923879 RY K−Obs num = (N + Y K)num/Obs % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='981 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='988 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='94773407 RY K−Obs anal = (N + Y K)anal/Obs % 97 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='911 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='909 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9923879 nominal α = 10−8 Table A1: The values of the calculated and observational astronomical parameters of the planet Mercury whose number of moons is 0 Mercury rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='623 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='826 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='65144795 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2022 Nanal 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='819 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='912 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='67470066 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2056 RN = Nnum Nanal % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='719 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='851 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='95897162 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3743 (N + Y K)num 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='613 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='820 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='64729064 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2022 (N + Y K)anal 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='815 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='908 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6714469 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2056 RN+Y K = (N+Y K)num (N+Y K)anal % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='711 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='847 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9573749 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3408 Observation 46 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='818 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='909 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2056 RN−Obs num = Nnum/Obs % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='721 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='856 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3817 RN−Obs anal = Nanal/Obs % 100 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='001 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='005 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0075 RY K−Obs num = (N + Y K)num/Obs % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='706 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='847 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3482 RY K−Obs anal = (N + Y K)anal/Obs % 100 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='995 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0075 estimated α = 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='741444131301954 × 10−5 Table A2: The values of the calculated and observational astronomical parameters of the planet Mercury whose number of moons is 0 16 Venus rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='30 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='689 107.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0072 RN = Nnum Nanal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='83 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='750 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='79 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='79301998 60.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8187 (N + Y K)num 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='22 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2222337 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0072 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='83 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='750 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='79 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='769 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='80 64.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7150 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='018 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4063 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='83 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='769 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='80 64.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7152 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='018 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4063 nominal α = 10−8 Table A3: The values of the calculated and observational astronomical parameters of the planet Venus whose number of moons is 0 Venus rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='30 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='689 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='99 107.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='83 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='750 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='79 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='79301998 60.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8187 (N + Y K)num 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='30 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='658 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='98 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9821956 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0045 (N + Y K)anal 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='47 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='945 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='20 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7150 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='018 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4063 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='83 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='78 67.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0680 RY K−Obs anal = (N + Y K)anal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='99 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='004 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='99 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4063 estimated α = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='424988220126711 × 10−4 Table A4: The values of the calculated and observational astronomical parameters of the planet Venus whose number of moons is 0 17 EARTH rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 146.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='884 151.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='336 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='319847 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0156 Nanal 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='126 152.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='625 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6034965 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0168 RN = Nnum Nanal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='835 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='806 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81039915 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5721 (N + Y K)num 146.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='884 151.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='336 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3198455 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0156 (N + Y K)anal 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='126 152.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='625 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='603495 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0168 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='835 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='806 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81039915 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5720 Observation 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='095 152.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='598 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0167 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8572 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='825 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5903 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='978 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='981 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9120 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='857 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='825 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5902 RY K−Obs anal = (N + Y K)anal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='978 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='981 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9120 nominal α = 10−8 Table A5: The values of the calculated and observational astronomical parameters of the planet Earth whose number of moons is 0 EARTH rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 146.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='884 151.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='336 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='319847 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0156 Nanal 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='126 152.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81039915 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5721 (N + Y K)num 146.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='883 151.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='307 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2910008 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0154 (N + Y K)anal 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='099 152.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='597 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5762082 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01688 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='853 99.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0167 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8572 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='7 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='825 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5903 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='978 99.' metadata={'source': 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K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='003 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0999 estimated α = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='824376359731428 × 10−4 Table A6: The values of the calculated and observational astronomical parameters of the planet Earth whose number of moons is 0 18 MARS rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 206.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='57 248.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='480 227.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='52 226.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6509159 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0898 Nanal 206.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='64 249.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='277 227.' metadata={'source': 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Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='96 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='687 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1252 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='99 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='006 100.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='99 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='006 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='01 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0298 nominal α = 10−8 Table A7: The values of the calculated and observational astronomical parameters of the planet Mars whose number of moons is 0 MARS rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 206.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='57 248.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='996 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='99 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0298 estimated α = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='007889331583467 × 10−4 Table A8: The values of the calculated and observational astronomical parameters of the planet Mars whose number of moons is 0 19 JUPITER rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 739.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='902 815.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='626266 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='04873 RN = Nnum Nanal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='644 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='629 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='636 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='65275352 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='906 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='898 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='902 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4399 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='262 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='270 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='266 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0714 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='906 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='898 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='902 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4399 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='262 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='270 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='266 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0714 nominal α = 10−8 Table A9: The values of the calculated and observational astronomical parameters of the planet Jupiter whose number of moons is 0 JUPITER rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 739.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='902 815.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='533 777.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='04873 RN = Nnum Nanal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='644 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='629 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='636 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='65275352 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3711 (N + Y K)num 739.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='478 777.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='5526264 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0487 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='901 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='331 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='602 99.' metadata={'source': 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+page_content='906 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='898 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='902 96.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4399 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='262 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='270 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='266 100.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='003 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0714 estimated α = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='666880127522 × 10−3 Table A10: The values of the calculated and observational astronomical parameters of the planet Jupiter whose number of moons is 0 20 SATURN rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 1355.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='461 1523.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='481829 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='052 RN = Nnum Nanal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='056 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='319 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='720 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='72065302 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='042 (N + Y K)num 1355.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='461 1523.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='344 1439.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='403 1437.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='455078 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='055 (N + Y K)anal 1368.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='378 1518.' metadata={'source': 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+page_content='720 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='72065294 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='042 Observation 1357.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='554 1506.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='527 1432.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='041 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='052 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='845 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='116 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='514 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='081 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='797 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='794 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='795 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='036 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='845 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='116 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='514 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='081 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='797 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='794 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='795 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='036 nominal α = 10−8 Table A11: The values of the calculated and observational astronomical parameters of the planet Saturn whose number of moons is 0 SATURN rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 1355.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='461 1523.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='344 1439.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='403 1437.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='455093 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='055 Nanal 1368.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='378 1518.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='496 1443.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='437 1441.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='481829 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='052 RN = Nnum Nanal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='056 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='319 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='720 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='72065302 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='042 (N + Y K)num 1354.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='040 1430.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100672 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='052 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='800 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='412 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='596 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='64017246 89.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='244 Observation 1357.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='554 1506.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='527 1432.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='041 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='052 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='845 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='116 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='514 106.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='081 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='797 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='794 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='795 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='036 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='802 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='410 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='596 89.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='277 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='001 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='998 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='036 estimated α = 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='958291053541 × 10−3 Table A12: The values of the calculated and observational astronomical parameters of the planet Saturn whose number of moons is 0 21 URANUS rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 2729.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='595 2957.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='44 2843.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='519 2841.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='649275 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0381 Nanal 2717.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='213 2984.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='63 2850.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 2847.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='766462 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0469 RN = Nnum Nanal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='455 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='08 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='78519352 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2504 (N + Y K)num 2729.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='595 2957.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='44 2843.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='519 2841.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='649245 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0381 (N + Y K)anal 2717.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='213 2984.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='63 2850.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 2847.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='766434 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0469 RN+Y K = (N+Y K)num (N+Y K)anal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='455 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='08 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='78519344 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2504 Observation 2732.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='696 3001.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='39 2867.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='043 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0469 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='886 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='53 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='179 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3684 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='433 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='44 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='437 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1452 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='886 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='53 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='179 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3684 RY K−Obs anal = (N + Y K)anal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='433 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='44 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='437 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1452 nominal α = 10−8 Table A13: The values of the calculated and observational astronomical parameters of the planet Uranus whose number of moons is 0 URANUS rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 2729.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='595 2957.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='44 2843.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='519 2841.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='649275 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0381 Nanal 2717.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='213 2984.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='63 2850.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 2847.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='766462 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0469 RN = Nnum Nanal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='455 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='08 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='78519352 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2504 (N + Y K)num 2730.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='116 2992.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='91 2861.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='516 2858.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='935401 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0441 (N + Y K)anal 2732.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='578 3001.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='50 2867.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='042 2863.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='869614 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0469 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='909 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='71 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='807 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='82770818 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0932 Observation 2732.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='696 3001.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='39 2867.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='043 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0469 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='886 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='53 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='179 81.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='3684 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='433 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='44 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='437 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1452 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='905 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='71 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='807 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2299 RY K−Obs anal = (N + Y K)anal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='995 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='1452 estimated α = −5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='622864957252 × 10−3 Table A14: The values of the calculated and observational astronomical parameters of the planet Uranus whose number of moons is 0 22 Neptune rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 4464.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81 4634.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='099 4549.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0097 RN = Nnum Nanal % 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='93 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='711 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='830 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='82130416 180.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8744 (N + Y K)num 4464.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81 4634.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='098 4549.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='454 4548.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='810617 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0177 (N + Y K)anal 4512.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='97 4601.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='381 4557.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='176 4556.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='953706 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0097 RN+Y K = (N+Y K)num (N+Y K)anal % 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='93 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='711 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='830 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='82130411 180.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8743 Observation 4471.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='05 4558.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='857 4514.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='953 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0097 RN−Obs num = Nnum/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='86 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='650 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='764 182.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6474 RN−Obs anal = Nanal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='93 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='932 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='935 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9802 RY K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='86 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='650 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='764 182.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6473 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='93 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='932 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='935 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9802 nominal α = 10−8 Table A15: The values of the calculated and observational astronomical parameters of the planet Neptune whose number of moons is 0 Neptune rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 4464.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81 4634.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='099 4549.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0097 RN = Nnum Nanal % 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='93 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='711 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='830 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='82130416 180.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='8744 (N + Y K)num 4463.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='952 4514.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='73215 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0097 RN+Y K = (N+Y K)num (N+Y K)anal % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='81 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='730 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='773 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} 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K−Obs num = (N + Y K)num/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='82 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='728 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='773 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='6259 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='00 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='997 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='9802 estimated α = 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='351961741362 × 10−3 Table A16: The values of the calculated and observational astronomical parameters of the planet Neptune whose number of moons is 0 23 Pluto rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 4439.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='709 7265.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='423 5852.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2444 RN = Nnum Nanal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='180 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='545 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='785 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='94828377 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0832 (N + Y K)num 4439.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='168 5687.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='26725 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2444 RN+Y K = (N+Y K)num (N+Y K)anal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='180 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='545 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='785 99.' metadata={'source': 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+page_content='106 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='467 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='708 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0882 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='926 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='923 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0051 RY K−Obs num = (N + Y K)num/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='106 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='467 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='708 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0882 RY K−Obs anal = (N + Y K)anal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='926 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='923 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0051 nominal α = 10−8 Table A17: The values of the calculated and observational astronomical parameters of the planet Pluto whose number of moons is 0 Pluto rmin(×106km) rmax(×106km) a(×106km) b(×106km) eccentricity Nnum 4439.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='709 7265.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='423 5852.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='566 5684.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='326067 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2397 Nanal 4431.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='722 7298.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='614 5865.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='168 5687.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='267307 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2444 RN = Nnum Nanal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='180 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='545 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='785 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='94828377 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0832 (N + Y K)num 4439.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740 7280.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='242 5859.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='991 5690.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='112819 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2407 (N + Y K)anal 4435.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='112 7304.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='196 5869.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='654 5691.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='616958 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2444 RN+Y K = (N+Y K)num (N+Y K)anal % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='104 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='672 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='835 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='97357273 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4812 Observation 4434.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='987 7304.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='326 5869.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='656 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='2444 RN−Obs num = Nnum/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='106 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='467 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='708 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0882 RN−Obs anal = Nanal/Obs % 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='926 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='923 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0051 RY K−Obs num = (N + Y K)num/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='107 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='670 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='835 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='4862 RY K−Obs anal = (N + Y K)anal/Obs % 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='002 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='998 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='0051 estimated α = −7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='642205983339201 × 10−4 Table A18: The values of the calculated and observational astronomical parameters of the planet Pluto whose number of moons is 0 24 B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' Tables of Absolute Deviations from Observation of the Planets 25 RY K−Obs num RY K−Obs anal Observed rmax rnum max − Obs ranal max − Obs MERCURY 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='721 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='001 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='818 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='194 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='001 Venus 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='769 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='018 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='941 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='251 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='020 EARTH 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='794 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='984 152.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='312 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='024 MARS 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='687 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='006 249.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='261 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='780 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='016 JUPITER 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='898 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='270 816.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='363 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='829 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='205 SATURN 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='116 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='794 1506.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='527 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='817 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='969 URANUS 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='535 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='441 3001.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='390 43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='947 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='759 Neptune 101.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='650 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='932 4558.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='857 75.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='241 42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='524 Pluto 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='467 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='921 7304.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='326 38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='902 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='711 Table B1: Absolute deviations, with nominal α, of rmax from observation, evaluated in (106 km).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RY K−Obs num RY K−Obs anal Observed rmin rnum min − Obs ranal min − Obs MERCURY 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='062 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='012 46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='028 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='005 Venus 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='839 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='008 107.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='480 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='172 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='009 EARTH 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='857 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='978 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='095 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='210 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='031 MARS 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='962 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='999 206.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='650 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='077 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='001 JUPITER 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='906 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='262 740.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='595 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='692 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='947 SATURN 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='845 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='797 1357.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='554 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='092 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='824 URANUS 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='886 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='433 2732.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='696 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='482 Neptune 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='860 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='937 4471.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='050 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='239 41.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='922 Pluto 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='106 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='926 4434.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='987 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='722 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='264 Table B2: Absolute deviations, with nominal α, of rmin from observation, evaluated in (106 km).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 26 RY K−Obs num RY K−Obs anal Observed rmax rnum max − Obs ranal max − Obs MERCURY 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='706 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='995 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='818 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='204 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='002 Venus 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='740 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='004 108.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='941 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='282 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='004 EARTH 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='757 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='997 152.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='100 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='369 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='003 MARS 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='664 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='996 249.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='261 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='835 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='008 JUPITER 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='334 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='003 816.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='363 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='430 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='027 SATURN 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='410 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='998 1506.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='527 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='874 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='019 URANUS 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='717 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='003 3001.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='390 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='472 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='117 Neptune 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='728 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='997 4558.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='857 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='377 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='109 Pluto 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='670 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='998 7304.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='326 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='083 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='12907 Table B3: Absolute deviations, with estimated α, of rmax from observation, evaluated in (106 km).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' RY K−Obs num RY K−Obs anal Observed rmin rnum min − Obs ranal min − Obs MERCURY 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='062 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='006 46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='028 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} 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+page_content='107 Pluto 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='107 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='002 4434.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='987 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='753 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content='125 Table B4: Absolute deviations, with estimated α, of rmin from observation, evaluated in (106 km).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/XdE0T4oBgHgl3EQfmgEE/content/2301.02498v1.pdf'} +page_content=' 27 References [1] Ephraim Fischbach 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[eess.SY] 31 Jan 2023 +1 +Passivity-based power sharing and voltage regulation +in DC microgrids with unactuated buses +Albertus Johannes Malan, Pol Jané-Soniera, Felix Strehle, and Sören Hohmann +Abstract—In this paper, we propose a novel four- +stage distributed controller for a DC microgrid that +achieves power sharing and average voltage regulation +for the voltages at actuated and unactuated buses. The +controller is presented for a DC microgrid compris- +ing multiple distributed generating units (DGUs) with +time-varying actuation states; dynamic RLC lines; non- +linear constant impedance, current and power (ZIP) +loads and a time-varying network topology. The con- +troller comprising a nonlinear gain, PI controllers, and +two dynamic distributed averaging stages is designed +for asymptotic stability. This constitutes first deriving +passivity properties for the DC microgrid, along with +each of the controller subsystems. Thereafter, design +parameters are found through a passivity-based optim- +isation using the worst-case subsystem properties. The +resulting closed-loop is robust against DGU actuation +changes, network topology changes, and microgrid +parameter changes. The stability and robustness of the +proposed control is verified via simulations. +Index Terms—DC microgrids, distributed control, +passivity, power sharing, voltage regulation. +I. Introduction +T +HE ADVENT of localised power generation and stor- +age increasingly challenges the prevailing centralised +power-generation structures. Originally proposed in [1], +the microgrids paradigm envisions networks that can oper- +ate autonomously through advanced control while meeting +consumer requirements. Although current electrical grids +predominantly use AC, high and low voltage DC networks +have been made technically feasible due to the continual +improvements of power electronics. Indeed, DC microgrids +exhibit significant advantages over their AC counterparts, +demonstrating a higher efficiency and power quality while +simultaneously being simpler to regulate [2], [3]. +In microgrids, power generation and storage units +are typically grouped into distributed generation units +(DGUs) which connect to the microgrid through a single +DC-DC converter for higher efficiency [2]. This changes +the traditionally centralised regulation problem in power +grids into a problem of coordinating the DGU connected +throughout the microgrid. This coordination is generally +This work was supported in part by Germany’s Federal Ministry +for Economic Affairs and Climate Action (BMWK) through the +RegEnZell project (reference number 0350062C). (Corresponding +author: A. J. Malan.) +A. J. Malan, P. Jané-Soniera, F. Strehle, and S. Hohmann +are with the Institute of Control Systems (IRS), Karlsruhe In- +stitute of Technology (KIT), 76131, Karlsruhe, Germany. Emails: +albertus.malan@kit.edu, pol.soneira@kit.edu, felix.strehle@kit.edu, +soeren.hohmann@kit.edu. +realised as average or global voltage regulation in combina- +tion with load sharing between the DGUs (see e.g. [4]–[6]). +Literature Review: A vast number of approaches have +been proposed for the voltage regulation and load sharing +of DC microgrids, as detailed in the overview papers [3], +[7], [8] along with the sources therein. These approaches +are broadly categorised as either centralised, decentralised +or distributed in nature [3], [7], [8]. While centralised +controllers can optimally coordinate the DGUs, they offer +reduced scalability and flexibility and have a single point +of failure [8]. On the other hand, decentralised controllers +either only attempt to achieve voltage stability [9]–[11] +or achieve load sharing at the cost of voltage regulation +quality (e.g. the droop-based approaches in [3]). +In response to these limitations, numerous controllers +for voltage regulation and load sharing which operate in a +distributed manner have been proposed [4]–[6], [12]–[20]. +In [4], distributed averaging is employed to find a global +voltage estimate with which voltage regulation is achieved, +but the microgrid dynamics are neglected in the stability +analysis. Distributed averaging with dynamic microgrid +models is used in [5], [12], although [5] requires LMIs to +be solved before buses are allowed to connect whereas +[12] only considers constant current loads. Similarly, a +sliding-mode controller is proposed in [13] for a dynamic +microgrid with constant current loads. On the other hand, +[14] proposes a cyberattack-resilient controller for a mi- +crogrid with constant conductance loads and resistive +lines. A consensus-based distributed controller with event- +triggered communication is presented in [15]. Consensus- +based controllers are also utilised in [6], [16], [17], where +[6] uses a consensus-based integral layer on top of a droop- +based controller. Finally, while many contributions strive +to achieve proportional current sharing [4]–[6], [12]–[17], +[20], nonlinear controllers that achieve proportional power +sharing have also been proposed in [18], [19]. +While the literature listed above differ greatly in their +approaches, we note a commonality in their omission of +buses without actuation. This omission is typically mo- +tivated either by considering a microgrid comprising only +actuated DGU buses [4], [5], [16], [17], or by eliminating the +unactuated buses with the Kron-reduction [6], [12]–[15], +[18]–[20]. However, considering a network comprising only +actuated buses severely limits the flexibility of a microgrid, +since each bus must be able to supply or consume enough +power at all times. On the other hand, the Kron-reduction +requires loads to be described as positive conductances +(see e.g. [21]). While research into Kron-reduced networks +with negative loads is ongoing (see e.g. [22]), the general + +2 +inclusion of negative loads, e.g. non-controllable power +sources, in Kron-reducible networks remains out of reach +at present. Furthermore, consider the case where a DGU +can no longer supply or consume the required amount of +power, e.g. a fully charged or discharged battery storage. +Such a DGU then loses the ability to regulate itself and +fully support the grid. In the approaches considered above +[4]–[6], [12]–[20], such a DGU is forced to disconnect from +the microgrid and its local measurements are discarded. +For DGUs with intermittent power sources, this could +result in significant swings in the number of controlled and +observed buses in the microgrid. +Main Contribution: +In this paper, we consider a +DC microgrid as a physically interconnected multi-agent +system. Extending our work in [23]1, we propose a four- +stage controller that achieves voltage regulation and power +sharing in a DC microgrid with actuated and unactuated +buses in a distributed manner. The four-stage controller +comprises a nonlinear weighting function, two dynamic +distributed averaging (DDA) stages and a proportional- +integral (PI) controller. The asymptotic stability of the +closed loop comprising the DC microgrid and the four- +stage controller interconnected in feedback is proven by +means of passivity theory. In detail, the contributions +comprise: +1) A four-stage distributed controller for DC microgrids +which achieves consensus on the weighted average +voltage error of actuated and unactuated buses and +assures coordination through power sharing at the +actuated buses. +2) A nonlinear weighting function that penalises voltage +errors outside a given tolerance band more strongly +than those within. +3) Passivity classifications for each of the constitutive +microgrid subsystems (DGUs, loads, and lines) and +for each of the controller stages (weighting function, +DDA, and PI). +4) A +method +for +calculating +the +input-feedforward +output-feedback passive (IF-OFP) indices of the non- +linear power-controlled DGUs through optimisation. +5) An IF-OFP formulation for the DC microgrid with +a supply rate that is independent of the network +topology, the number of buses and their states of +actuation. +6) A passivity-based stability analysis for the equilib- +rium of the DC microgrid connected in feedback with +the four-stage controller. +In addition to the contributions listed above, we also +contribute a theoretical result comprising a formalisation +of the obstacle presented by cascaded input-feedforward +passive (IFP) and output-feedback passive (OFP) systems +in the analysis of dissipative systems. This theoretical +1The controller proposed in [23] is extended by weighing the +error with a nonlinear function. Moreover, in addition to applying +the controller to a DC microgrid context, we here propose a new +dissipativity-based analysis that investigates the closed loop stability +analytically as opposed to the numerical results in [23]. +contribution informs and motivates parameter choices for +the four-stage controller in Contribution 1. +We highlight that the proposed controller can achieve +exact voltage regulation and power sharing with the +stability verified with the eigenvalues of the linearised +system. Moreover, by employing leaky PI controllers, we +demonstrate a passivity-based stability analysis that is +independent of and robust against changes in the commu- +nication topology, changes in the electrical topology, load +changes, changes in the actuation status of DGUs, uncer- +tainties in component parameters, and buses connecting +or disconnecting. +Paper Organisation: The introduction concludes with +some notation and preliminaries on graph theory. In +Section II, we recall and introduce results relating to +dissipativity theory. Next, in Section III, the problem is +modelled and objectives for the steady state are formal- +ised. In Section IV, a four-stage control structure is intro- +duced that fulfils objectives from Section III. Thereafter, +the passivity properties of the constituent subsystems are +investigated in Section V and the controller is designed +for asymptotic stability of the closed loop in Section VI. +Finally, in Section VII, a simulation is used to verify the +asymptotic stability and robustness of the closed loop. +Concluding remarks are provided in Section VIII. +Notation and Preliminaries: Define as a vector a = +(ak) and a matrix A = (akl). 1k is a k-dimensional vector +of ones and Ik is the identity matrix of dimension k. +Diag[·] creates a (block-)diagonal matrix from the supplied +vectors (or matrices). The upper and lower limits of a value +a are given by a and a. For a variable x, we denote its +unknown steady state as ˆx, its error state as ˜x := x − ˆx, +and a desired setpoint as x∗. Whenever clear from context, +we omit the time dependence of variables. +We denote by G = (N, E) a finite, weighted, undirected +graph with vertices N and edges E ⊆ N × N. Let |N| be +the cardinality of the set N. Let L be the Laplacian matrix +of G. By arbitrarily assigning directions to each edge in E, +the incidence matrix E ∈ R|N|×|E| of G is defined by +ekl = + + + ++1 +if vertex k is the sink of edge l, +−1 +if vertex k is the source of edge l, +0 +otherwise. +(1) +II. Dissipativity Preliminaries +We here recall and introduce preliminaries of dissip- +ativity theory for nonlinear systems. In Section II-A we +provide definitions relating to dissipativity and passiv- +ity theory. Thereafter in Section II-B, we investigate +the passivity properties of static functions. Finally, in +Section II-C, we recall a result on the interconnection +of dissipative systems with quadratic supply rates and +formalise a new result on the limitations of such an +interconnection. + +3 +A. Dissipative Systems +Consider a nonlinear system +� +˙x = f(x, u), +y = h(x), +(2) +where x ∈ Rn, u ∈ Rm, y ∈ Rm and where f : Rn×Rm → +Rn and h : Rn × Rm → Rm are class C1 functions. +Definition 1 (Dissipative system, c.f. [24]–[26]). A system +(2) with a class C1 storage function S : Rn × Rm → R+ is +dissipative w.r.t. a supply rate w(u, y) if ˙S ≤ w(u, y). +Definition 2 (Quadratic supply rates, c.f. [24]–[26]). A +system (2) that is dissipative w.r.t. w(u, y) is +• passive if w = uTy, +• input-feedforward passive (IFP) if w = uTy − νuT u, +• output-feedback passive (OFP) if w = uT y − ρyT y, +• input-feedforward output-feedback passive (IF-OFP) if +w = (1 + νρ)uT y − νuT u − ρyT y, +• has an L2-gain of γL2 if w = γ2 +L2uTu − yT y, +where γL2 > 0 and ν, ρ ∈ R. +Definition 3 (Zero-state observable (ZSO) [24, p. 46]). A +system (2) is ZSO if u ≡ 0 and y ≡ 0 implies x ≡ 0. +For cases where the desired equilibrium of a system is +not at the origin but at some constant value, the shifted +passivity [24, p. 96] or equilibrium-independent passivity +(EIP) [27] of a system must be investigated. Naturally, this +requires that an equilibrium exists, i.e. there is a unique +input ˆu ∈ Rm for every equilibrium ˆx ∈ ˆ +X ⊂ Rn such that +(2) produces f(ˆx, ˆu) = 0 and ˆy = h(ˆx, ˆu) [28, p. 24]. +Definition 4 (EIP [28, p. 24]). A system (2) is EIP +if there exists a class C1 storage function S(x, ˆx, u), +S : Rn × ˆ +X × Rm → R+, with S(ˆx, ˆx, ˆu) = 0, that is dis- +sipative w.r.t. w(u − ˆu, y − ˆy) for any equilibrium (ˆu, ˆy). +B. Passive Static Functions +Recall that a sector-bounded static nonlinear function +is dissipative to a supply rate defined by the sector bound +[26, Def. 6.2]. We now consider the arbitrarily shifted +single-input single-output function +� +y = h(u), +u, ˆu ∈ U, +y, ˆy ∈ Y, +h : U → Y, +˜y = ˜h(˜u) := h(u) − h(ˆu) = y − ˆy, +˜u := u − ˆu +(3) +and show how its dissipativity properties may be derived. +Proposition 5 (EIP static functions). A static function +(3) of class C0 is IF-OFP(c, 1/c) w.r.t. the arbitrarily +shifted input-output pair (˜u, ˜y) if +c ≤ dh(u) +du +≤ c, +∀u ∈ U. +(4) +and 0 < c < ∞. +Proof. Consider for (3) the slope between an arbitrary +shift (ˆu, ˆy) ∈ U ×Y and a point (u, y), for which the upper +and lower bounds are given by +c ≤ y − ˆy +u − ˆu ≤ c, +∀(u, y), (ˆu, ˆy) ∈ U × Y. +(5) +Changing to the shifted variables ˜u and ˜y as in (5) and +multiplying through by ˜u2 yields +c˜u2 ≤ ˜u˜y ≤ c˜u2 ⇐⇒ (˜y − c˜u)(˜y − c˜u) ≤ 0 +⇐⇒ (˜y − c˜u)(1 +c ˜y − ˜u) ≤ 0, +(6) +for c > 0, which describes an IF-OFP function (see [26, +p. 231]). Finally, through the mean value theorem, the +bounds in (5) may be found from (4). +■ +We note that the restrictions on c in Prop. 5 are needed +from a computational point of view (c < ∞) and to ensure +that the passivity indices correspond to the correct sector2 +(c > 0). However, this limits the passivity properties +attainable through Prop. 5 to ρ = 1/c > 0. +Remark 1 (Symmetrical sectors). Placing the additional +restriction c = −c in (4) results in the Lipschitz continuity +of h(u). Moreover, this implies that the arbitrarily shifted +function ˜h(˜u) has a finite L2-gain of c [29]. +C. Interconnected Quadratic Dissipative Systems +Building upon the results on the interconnection of +dissipative systems in [28], [30], we now provide a method +for finding dissipativity properties for a subset of the inter- +connected subsystems such that interconnected stability is +guaranteed. Specifically, we look for the dissipative supply +rates that restrict the subset of subsystems as little as pos- +sible. For a set S of subsystems, define u = [uT +1 , . . . , uT +|S|]T +and y = [yT +1 , . . . , yT +|S|]T . +Theorem 6 (Minimally restrictive stabilising indices). +Consider |S| subsystems of the form (2) which are dissipat- +ive w.r.t. the supply rates wi = 2σiuT +i yi−νiuT +i ui−ρiyT +i yi +and are linearly interconnected according to u = Hy. The +stability of the interconnected system is guaranteed if there +exists a D and νj, ρj ∈ R with j ∈ J such that +min +D, νj, ρj, +j∈J +� +j∈J +(νj + ρj) +s.t. +σj = 1/2(1 + νjρj), +j ∈ J, +Q ≼ 0, +D2 ≻ 0 +(7) +where the subsystems with configurable supply rates are +represented by the set J ⊂ S, and +Q := +�H +I +�T +DWD +�H +I +� +(8) +D := Diag[dT , dT ], +d = ( +� +di), +(9) +W := +�− Diag[νi] +Diag[σi] +Diag[σi] +− Diag[ρi] +� +, +i ∈ S. +(10) +2Consider e.g. the sector Prop. 5 would yield if c ≤ c < 0. + +4 +The proof for Theorem 6 follows analogously to the +proof of [29, Theorem 13] with application of [29, Re- +mark 5] and is thus omitted for brevity. Note that if J = ∅ +in (7), Theorem 6 can be used to verify the stability of +interconnected dissipative systems. +Despite the design flexibility provided by Theorem 6, +certain cascade configurations present obstacles to the ap- +plication of dissipativity theory. The following proposition +formalises the problem presented by one such configura- +tion which arises in the sequel and is used to inform the +control design. +Proposition 7 (Non-dissipativity of cascaded IFP-OFP +systems). Consider |S| ≥ 2 subsystems (2) which are +dissipative w.r.t. wi = 2σiuT +i yi − νiuT +i ui − ρiyT +i yi and +linearly interconnected according to u = Hy. Let i = 1 and +i = 2 arbitrarily denote subsystems that are IFP and OFP, +respectively. If these systems are connected in exclusive +casade and do not form a feedback connection, i.e. +H = + + +0 +0 +∗ +1 +0 +0 +0 +∗ +∗ + + , +(11) +then investigating stability via separable storage functions +as in Theorem 6 fails. +Proof. Evaluating the stability criteria in (7) under the +imposed IFP and OFP conditions yields the Q (8) entries +q11 = d1ρ1 + d2ν2 = 0, +q12 = q21 = d2σ2 +2 += d2 +2 . (12) +Since di > 0, Q constitutes an indefinite saddle-point mat- +rix [31, Section 3.4], violating the requirement in (7). +■ +Remark +2 +(Non-separable +storage +functions). +The +obstacle in Prop. 7 arises due to the storage functions being +compartmentalised by the subsystem boundaries. While the +separability of storage functions is a central motivation for +the use of dissipativity theory, forgoing this allows for a +stability analysis through less conservative methods (e.g. +the KYP lemma). +III. Problem Description +In this section, the components comprising the DC mir- +crogrid are introduced in Section III-A. This is followed by +Section III-B, where controllers are added which regulate +the output power of actuated buses in order to facilitate +power sharing in the sequel. Finally, we formulate the +coordination and cooperation goals as a control problem +in Section III-C. +A. DC Network +We consider a DC microgrid comprising N = |N| buses +connected by via π-model electrical lines, as depicted in +Fig. 1. Let the graph GP = (N, EP) describe the intercon- +nection with N as the set of buses and EP as the set of +lines. Without loss of generalisation, we allow each node to +inject power through a DC-DC buck converter connected +via a lossy LC-filter. Note that a time-averaged model (see +e.g. [12]) is used for the buck converter and the energy +source is assumed to be ideal but finite. +Let the buses be split into an actuated set Nα and +an unactuated set Nβ, according to whether the buck +converter can freely regulate the amount of power injected +at a given time. Buses may freely switch between the sets +Nα and Nβ, but Nα ∩ Nβ = ∅ and Nα ∪ Nβ = N always +hold. To characterise this actuation state of a bus, define +the piecewise-constant, time-varying actuation parameter +αk(t) as +αk(t) := +� 1, +k ∈ Nα, +0, +k ∈ Nβ. +(13) +Note that we omit the time dependence of αk in the sequel. +The dynamics for actuated buses with DGUs, where +αk = 1 with k ∈ Nα are described by +� +Lk˙ik +Ceq,k ˙vk +� += +�−Rk +−1 +1 +0 +��ik +vk +� ++ +� +vs,k +−eT +P,kit − IL,k(vk) +� +(14) +where Ceq,k = Ck + 1/2eT +P,k Diag[Ckl]eP,k; Ck, Ckl, Lk > 0; +ik ∈ R; and vk ∈ R+. The line currents it connect to the +capacitor voltages according to incidence matrix EP = +(eT +P,k) of GP. The dynamics of the unactuated load buses +with αk = 0 correspond to the simplified system +Ceq,k ˙vk = −eT +P,kit − IL,k(vk), +k ∈ Nβ +(15) +In both the actuated (14) and unactuated (15) cases, the +loads are considered static, nonlinear voltage-dependent +current sources which are described by class C0 functions. +In this work, we utilise the standard ZIP-model comprising +constant impedance, constant current and constant power +parts. Note that other continuous functions may also be +used without restriction3. As described in [33, pp. 110– +112], we define a critical voltage vcrit, typically set to +0.7vRef, below which the loads are purely resistive. Thus, +IL,k(vk) = + + + +Z−1 +k +· vk + Ik + Pk +vk +, +vk ≥ vcrit, +Z−1 +crit,k · vk, +vk < vcrit, +(16) +Z−1 +crit,k := IL,k(vcrit) +vcrit += Z−1 +k ++ Ik +vcrit ++ Pk +v2 +crit +, +(17) +describes a static, nonlinear load which conforms to (3). +Lastly, the π-model transmission lines physically con- +necting the nodes are governed by the dynamics +Lkl˙it,kl = −Rklit,kl + eT +P,klv, +kl ∈ EP, +(18) +where it,kl ∈ R, Lkl, Rkl > 0 and (eT +P,kl)T = EP. Note +that the line capacitances are included in the equivalent +capacitances Ceq,k at the buses. +B. DGU Power Regulator +To allow for power sharing between the actuated buses +(14) in the sequel, we equip each DGU with a controller +3This includes exponential loads (see e.g. [32]). + +5 +Linekl +αk ∈ {0, 1} +p∗ +k +vk +− ++ +vs,k +ik +Rk +Lk +Ck +IL,k(vk) ++ +− +vk +Buckk +Busk +Ckl +2 +Rkl +it,kl +Lkl +Ckl +2 +Busl +Figure 1: Circuit diagram of a bus comprising a DC-DC buck converter, a filter, and a current source representing a +load, connected to a π-model line (blue); the line capacitances considered to be part of the respective buses. +that can regulate the injected power to a desired setpoint +p∗ +k. This regulator has the form +˙ed,k = αk(p∗ +k − pk) +vs,k = kP +d (p∗ +k − pk) + kI +ded,k + ˜Rkik + vRef +(19) +where ed ∈ R, pk = vkik is the actual power injected, +˜R ∈ R is the damping added to the system, and kP +d , kI +d > +0 are the control parameters. Combining (19) with (14) +yields the nonlinear system describing the actuated agents +k ∈ Nα + + +˙ed,k +Lk˙ik +Ck ˙vk + += + + +0 +−vk +0 +kI +d +˜Rk − Rk − kP +d vk +−1 +0 +1 +0 + + + + +ed,k +ik +vk + + ++ + + +p∗ +k +kP +d p∗ +k + vRef +−eT +k it − IL,k(vk) + + +(20) +Remark 3 (Regulating current or voltage). Without in- +validating the stability analysis in the sequel, the regulator +in (19) can be exchanged for simpler, purely linear current +or voltage regulators (see e.g. [9]–[11]). +Remark 4 (Constrained DGU operation). If an actuated +DGU cannot provide the desired power p∗ +k, e.g. due to +current, storage or temperature limitations, the DGU may +simply set its actuation state αk = 0 to disable its control. If +some power can still be supplied, it may simply be regarded +as a negative load. This allows DGUs to contribute to the +power supply of the network, even in the face of control +limitations. +C. Control Problem +A central requirement for DC microgrids is voltage +stability, which requires the bus voltages to remain within +a given tolerance band around the reference vRef. Spe- +cifically, this requirement should be met throughout the +network, and not only at the actuated buses. Due to +the presence of lossy lines, power flows are associated +with voltage differences between buses, meaning that +vk → vRef, ∀k ∈ N is not practical. Ideally, the voltages at +all buses should be arrayed in the tolerance band around +vRef and be as close to vRef as possible4. The manipulated +variables used to achieve this are the power setpoints p∗ +k +supplied to the actuated DGUs (19). This leads to the +first objective for the control of the DC microgrid, which +involves finding the setpoints p∗ +k that ensure the weighted +average voltage equals vRef at steady state. +Objective 1 (Weighted voltage consensus). +Find p∗ +k s.t. lim +t→∞ +1 +N +� +k∈N +h(vk(t)) = vRef +(21) +for a strictly increasing weighting function h : R → R. +By choosing a nonlinear h, large voltage errors may be +weighed more strongly. This allows for better utilisation of +the tolerance band since bus voltages can be further from +vRef before registering as a significant error. +In addition to Objective 1, it is desired that all actuated +DGUs contribute towards supplying and stabilising this +network. Ensuring that all DGUs receive the same setpoint +spreads the load across actuated buses, leading to a reduc- +tion in localised stress on the DGUs. We thus formulate +the second objective as requiring uniform setpoints for the +DGUs in steady state. +Objective 2 (Cooperative power sharing). +lim +t→∞(p∗ +k(t) − p∗ +l (t)) = 0, +∀ k, l ∈ N +(22) +Achieving Objectives 1 and 2 thus yields a controlled +microgrid where the average weighted voltage error of all +buses tends to zero through the coordinated action of the +actuated buses in a distributed fashion. These objectives +also allow DGUs to transition seamlessly between actuated +and unactated states and ensure no measurement inform- +ation is discarded simply because a bus cannot regulate +itself. Notice that disregarding the unactuated buses in +Objectives 1 and 2 yields the objectives typically used in +the literature [4], [6], [12]–[14], [16], [17], [20]. +To achieve these objectives, we make the following +assumptions related to appropriate network design. +Assumption 1 (Feasible network). The available power +sources can feasibly supply the loads with power over the +4The magnitude of the errors vRef − vk strongly depend on the +loads and line resistance. Small errors therefore presuppose adequate +network design. + +6 +hw +hw +DDA2,1 +DDA2,N +PI1 +PIN +DDA4,1 +DDA4,N +DC MG +Stage 1 +Stage 2 +Stage 3 +Stage 4 +uw +uw,1 +uw,N +yw,1 +yw,N +ya,2,1 +ya,2,N +yc,1 +yc,N +ya,4,1 +ya,4,N +p∗ +v +− +vRef1N ++ +Figure 2: Distributed four-stage control connected in feed- +back to the microgrid and with indicated communication +links +between the local control structures. +given electrical network, i.e. a suitable equilibrium for the +microgrid exists. +Assumption 2 (Number of actuated DGUs). At least one +DGU is actuated at any given time, i.e. Nα ̸= ∅. +Assumption 3 (Connected topologies). Objectives 1 +and 2 only apply to a subset of buses electrically connected +as per GP. Moreover, for a distributed control, a connected +communication graph exclusively interconnects the same +subset of buses. +Note that Assumption 1 is a typically made implicitly or +explicitly in the literature (see e.g. the discussion in [16]). +Assumptions 2 and 3 further specify requirements that +allow a distributed control to achieve the feasible state +in Assumption 1, i.e. by ensuring that at least one source +of stabilisation is present in the network (Assumption 3), +and by ensuring that the coordination corresponds to the +network to be controlled Remark 5. +Remark 5 (Proportional power sharing). By normalising +the power setpoint p∗ +k and weighing the input in (19) +according to the rated power of a given DGU, Objective 2 +automatically describes a proportional power sharing. With +reference to Remark 4, this also allows the constrained +DGUs to lower their maximum injectable power instead +of setting the DGUs to the unactuated state αk = 0. We +omit the extension to proportional power sharing in this +work for simplicity. +IV. Control Structure +To meet Objectives 1 and 2, we propose the four- +stage control structure depicted in Fig. 2. This control +structure comprises two DDA implementations separated +by agent PI controllers local to the buses as in [23]. This +is prepended by a nonlinear weighting function hw. In the +Sections IV-A, IV-B and IV-C, we successively introduce +these respective subsystems. Finally in Section IV-D, we +show that the control structure meets the objectives. +A. DDA Controller +Consider the communiation graph GC = (N, EC) linking +the buses of the DC microgrid. The communication graph +comprises the same vertices as the physical interconnection +graph GP but possibly with a different topology. Let LC +denote the Laplacian of GC. For Stages 2 and 4 of the +control structure, each agent implements an instance of +the DDA5 described in [34]. The instances of the respective +stages may be combined into vector form as +DDAs + + + + + +� ˙xa,s +˙za,s +� += +� +−γaIN −LC,P +LT +C,I +−LC,I +0 +�� +xa,s +za,s +� ++ +� +γaIN +0 +� +ua,s, +ya,s = xa,s, +(23) +where s +∈ +{2, 4} denotes the stage in Fig. 2, and +xa,s, za,s ∈ RN are the consensus and integral states +respectively. Furthermore, γa > 0 is a global estimator +parameter (see [34]), and LC,I = kI +aLC and LC,P = kP +a LC +are Laplacian matrices weighted for the integral and pro- +portional responses, respectively. Recall from [34] that a +constant input ua,s yields +lim +t→∞ ya,s,k = uT +a,s1N +N +, +∀ k. +(24) +B. Agent PI Controller +In Stage 3, we equip each bus k ∈ N with a leaky agent +PI controller similar to the approach in [35] +PIk +� +˙xc,k = −ζcxc,k + uc,k, +yc,k = kI +cxc,k + kP +c uc,k, +(25) +where xc,k ∈ R, ζc ≥ 0 and kP +c , kI +c > 0. Note that ζc = 0 +reduces (25) to an ideal PI controller. The combined form +of the N agent controllers is +˙xc = −ζcxc + uc, +yc = kI +cxc + kP +c uc +(26) +Remark 6 (Non-ideal integrators). As shown in the +sequel, ideal PI controllers only exhibit an IFP property, +whereas the DDA controller is OFP. The interconnection +in Fig. 2 thus yields a cascaded IFP-OFP structure which +obstructs the dissipativity analysis (see Prop. 7). The use +of leaky integrators (ζc > 0) overcomes this obstacle at the +cost of negatively affecting the steady-state properties, since +(25) forces the equilibrium +uc = ζcxc +(27) +instead of uc = 0. In the context of Fig. 2, this corresponds +to a unwanted steady-state offset for the average weighted +voltage error. +Remark 7 (Agent PI controller anti-windup). To prevent +controller windup, the input to the PI control in (25) should +be zeroed for any unactuated agents that are disconnected +from the communication network. +Remark +8 +(Non-participating agents). Implementing +(25) at each bus k ∈ N allows for a faster reaction to +disturbances at the cost of controller redundancy. By setting +ua,4,m := ya,4,m at Stage 4 DDA of the control structure +5We implement the PI-DDA variant proposed in [34] and use the +same communication graph for the proportional and integral terms. + +7 +u +y +hw(u) +dhw(u) +duw +Figure 3: Example of the weighting function hw (28) and +its derivative (58) on a unit grid, with aw = 0.5, bw = 1.5 +and cw = 2. +for some agents m ∈ M ⊂ N, the PI control (25) +can be omitted at the agents in M without affecting the +steady state. Nevertheless, the measurements of the buses +in k ∈ M are still included in the Stage 2 DDA. Note that +at least one participating agent PI controller is required +(see [23, Remark 8]). +C. Weighting Function +To allow for a better utilisation of the tolerance band +around vRef, we desire a weighting function that assigns a +low gain for errors within the tolerance band and a high +gain for larger errors. We therefore define the class C1 +function yw,k = hw(uw,k) conforming to (3), where +hw(u) := awu + bwgw(u) − bw tanh(gw(u)), +(28) +gw(u) := + + + +u + cw, +u < −cw +0, +−cw ≤ u ≤ cw +u − cw, +cw < u +(29) +and where (29) describes a dead-zone parametrised by +cw. An example of (28) is depicted in Fig. 3 along with +its derivative. For a strictly increasing function as per +Objective 1, set aw > 0 and bw > −aw. +D. Equilibrium Analysis +In a first step towards analysing the closed loop, we +analyse the assumed equilibrium of the interconnected +microgrid and four-stage controller (see Assumption 1). +Specifically, we verify that the proposed control yields an +equilibrium which satisfies Objectives 1 and 2. +Proposition 8 (Controller equilibrium analysis). Con- +sider the DC microgrid comprising (15), (18), and (20) +which is connected in feedback with the four-stage con- +troller comprising (23), (26), and (28) as in Fig. 2. Let +Assumptions 1, 2 and 3 hold. Then, Objective 2 is met for +the equilibrium imposed by the control structure. Moreover, +Objective 1 is achieved exactly for ideal integrators ζc = 0 +in (26). For lossy integrators with ζc > 0, the remaining +error for Objective 1 is be described by the steady-state +value of ya,2, where +ya,2 = +ζc +kIc(1 + ζckPc )ya,4. +(30) +The proof of Prop. 8 can be found in Appendix A. +Through Prop. 8 we thus confirm that the proposed con- +troller yields an equilibrium which meets the requirements, +even though the requirements are not perfectly met when +leaky agent PI controllers are used. We also note that +Prop. 8 only considers the controlled microgrid already in +equilibrium and does not consider the convergence to the +equilibrium. +Remark 9 (Compensating leaky-integral errors). As in- +dicated by (30) in Prop. 8, the leaky agent PI controllers +result in a constant steady-state error for the average +voltage regulation (Objective 1). Since a positive ya,2 cor- +responds to voltages below the desired vRef, it follows +that setting vRef above the actual desired voltage reference +will result in higher bus voltages. Changing vRef thus +allows the steady-state effects of the leaky integrators to be +compensated. Moreover, notice that ya,4 is the controller +output, i.e. the power setpoint p∗ used for the DGUs +(see Fig. 2). Thus, the error measure in (30), which is +only dependent on the controller output, can be used to +determine the offset to vRef for exact voltage regulation. +Note, however, that modifying vRef based on p∗ results in +a new loop which requires an additional stability analysis. +V. Subsystem Passivity Analysis +Having verified whether the desirable steady state is +achieved by the controller, we now set about analysing the +convergence to this steady state. With the aim of applying +Theorem 6 for the closed-loop stability, we first analyse the +passivity properties of the individual subsystems. Since +the steady-state bus voltages ˆvk are unknown and non- +zero, we investigate the passivity properties shifted to any +plausible point of operation using EIP. To this end, we +construct an EIP formulation for the DC microgrid from +its constitutive elements in Section V-A. This is followed +by the respective analyses of the various controller stages +in Section V-B. Note that we omit the bus indices k and +l in this section where clear from context. +A. DC Microgrid Passivity +For the stability of the microgrid at the equilibrium +ˆv, we desire an EIP property relating the shifted input +power setpoints ˜p∗ = p∗ − ˆp∗ to the output voltage errors +˜v = v − ˆv of all nodes, since this port (˜p∗, ˜v) is used +by the controller in Fig. 2. To this end, we derive EIP +properties for the load, DGU and line subsystems of the +microgrid, making sure to shift the subsystem dynamics to +the assumed equilibrium in each case (see Assumption 1). +Thereafter, we combine the results of these subsystems, to +construct an EIP property for the microgrid as a whole. +Where applicable, an analysis of the zero-state dynamics is +performed to ensure the eventual stability of the controlled +microgrid. +1) Load Passivity: Let the unactuated bus dynamics +in (15) for the buses in Nβ be shifted to the equilibrium +(ˆit, ˆv), yielding +Ceq ˙˜v = −eT +P,k˜it − ˜IL(˜v) + (eT +P,kˆit + IL(ˆv)), +(31) + +8 +for the static load function shifted according to (3). In +(31), eT +P,kˆit = −IL(ˆv) since the load is fully supplied by +the cumulative line currents in steady state. +Proposition 9 (Load EIP). The shifted load dynamics in +(31) are OFP(ρL) w.r.t. the input-output pair (−eT +P,k˜it, ˜v) +with ρL = cL the smallest gradient of the static load +function IL(v). +Proof. Consider the storage function SL along with its +time derivative +SL = Ceq +2 ˜v2, +(32) +˙SL = −˜veT +P,k˜it − ˜v ˜IL(˜v). +(33) +Since the static load function IL(v) is IF-OFP according +to Prop. 5, it is bounded from below by cL˜v2 ≤ ˜v ˜IL(˜v) +(see (6)). Incorporate this lower bound into (33) to obtain +˙SL ≤ wL := −˜veT +P,k˜it − cL˜v2 +(34) +which yields the OFP property from Definition 2. +■ +Remark 10 (ZIP load passivity). Prop. 9 and (4) demon- +strate that the passivity properties of the unactuated buses +are directly linked to the smallest gradient of the load +function. For the ZIP load in (16), this yields +cL = min +� +Z−1, Z−1 − +P +v2 +crit +, Z−1 +crit +� +. +(35) +Considering the strictly passive case (cL = 0) along with +I, P ≥ 0 yields the passivity condition Z−1v2 +crit ≥ P +frequently used in the literature [10], [16], [18]–[20]. +2) DGU Passivity: Shift the states (e, i, v) and inputs +(p∗, it) of the DGU dynamics in (20) for the buses in Nα to +the respective error variables (˜e,˜i, ˜v) and (˜p∗,˜it) to obtain +(36) on the next page, where the static load function +is incorporated into the matrix Ad. Furthermore, the +measured power p = vi = v(˜i + ˆi) in (19) is left partially +in unshifted variables such that Ad is also dependent on +the unshifted voltage v and the steady-state current ˆi. +Note that the constant τd in (36) is found by setting the +error variables (˜p∗,˜it, ˜ed,˜i, ˜v) and their time derivatives to +zero. As such, the constant τd ≡ 0 can be disregarded +in the passivity analysis. We now analyse the shifted +nonlinear system in (36) for EIP. +Theorem 10 (EIP DGUs). The shifted DGU dynamics in +(36) are simultaneously IF-OFP(νd,1, ρd) w.r.t. the input- +output pair (˜p∗, ˜v) and IFP(νd,2) w.r.t. the input-output +pair (−eT +k ˜it, ˜v), if a feasible solution can be found for +max +Pd, νd,1, νd,2, ρd νd,1 + νd,2 + ρd +s.t. +(38) holds ∀ v ∈ V ⊆ R+, ∀ˆi ∈ ˆI ⊆ R +(37) +where Qd(v,ˆi, cL) := PdAd(v,ˆi, cL) + AT +d (v,ˆi, cL)Pd, +Ad(v,ˆi, cL) = + + +0 +−v +−ˆi +kI +d +˜R − R − kP +d v +−1 − kP +c ˆi +0 +1 +−cL + + , +(39) +and with νd,1, νd,2, ρd ∈ R, cL as in (4) and cd = [0, 0, 1]T. +Proof. Consider for (36) the storage function +Sd = + + +˜ed +˜i +˜v + + +T +Pd + + +˜ed +L˜i +Ceq˜v + + , +(40) +with Pd ≻ 0. The time derivative of (40) is +˙Sd = + + +˜xd +˜p∗ +eT +P,k˜it + + +T + +Qd(v,ˆi, +˜IL(˜v) +˜v +) +Pdbd,1 +Pdbd,2 +bT +d,1Pd +0 +0 +bT +d,2Pd +0 +0 + + + + +˜xd +˜p∗ +eT +P,k˜it + +, +(41) +with ˜xd as in (36). Since it follows from (6) that −˜v ˜IL(˜v) ≤ +−cL˜v2, this bound can be incorporated into the inequality +˙Sd ≤ + + +˜xd +˜p∗ +eT +P,k˜it + + +T + +Qd(v,ˆi, cL) +Pdbd,1 +Pdbd,2 +bT +d,1Pd +0 +0 +bT +d,2Pd +0 +0 + + + + +˜xd +˜p∗ +eT +P,k˜it + +. +(42) +The desired IF-OFP and IFP properties for the DGU are +described by the supply rate +wd = (1 + νd,1ρd)˜p∗˜v − νd,1(˜p∗)2 − ρd˜v2 +− ˜veT +P,k˜it − νd,2 +� +eT +P,k˜it +�2 +(43) +These properties are guaranteed, if ˙Sd−wd < 0 for all valid +inputs and outputs and for v ∈ V and ˆi ∈ ˆI. Combining +(42) and (43) in this manner directly leads to constraint +(38) in (37). Finally, the objective function in (37) seeks +to find the largest indices for which the constraints are +satisfied in a similar manner to Theorem 6. +■ +Although Theorem 10 demonstrates the EIP of the +actuated buses, notice that the ˜ed and ˆi of (36) are +not included in the supply rate wd in (43). As such, an +investigation of the zero state dynamics of the DGU is +required. +Proposition 11 (ZSO DGUs). The shifted DGU dynam- +ics in (36) are ZSO. +Proof. In (36), set the inputs ˜p∗ ≡ 0, ˜it ≡ 0 and the +output ˜v ≡ 0. Since τd = 0 and ˜IL(0) = 0, verify from the +equation for ˙˜v that ˜i ≡ 0. From the equation for ˙˜i, it then +follows that ˜ed ≡ 0 which concludes this proof. +■ +Remark +11 +(Compensating +non-passive +loads). +As +demonstrated in [11], adding a term dependent on ˙vk to +the regulator output vs,k in (19) allows for damping to +be added to the unactuated state vk. This in turn allows +for regulation in the presence of non-passive loads and +can yield more favourable passivity indices when applying +Theorem 10. +3) Line Passivity: The dynamics of the line subsystem +(18) shifted to the equilibrium (ˆit, ˆv) yield +Lkl˙˜it = −Rkl˜it + eT +P,kl˜v, +(44) +which can now be analysed for passivity. + +9 + + +˙˜ed +L˙˜i +Ceq ˙˜v + += + + +0 +−v +−ˆi +kI +d +˜R−R−kP +d v +−1−kP +c ˆi +0 +1 +− +˜IL(˜v) +˜v + + +� +�� +� +Ad(v,ˆi, +˜IL(˜v) +˜v +) + + +˜ed +˜i +˜v + + +���� +˜xd ++ + + +1 +kP +d +0 + + +���� +bd,1 +˜p∗ − + + +0 +0 +1 + + +���� +bd,2 +eT +P,k˜it + + + +ˆp∗ − ˆvˆi +kI +c ˆed + ( ˜R−R)ˆi − ˆv + vRef − kP +c (ˆp∗ − ˆvˆi) +ˆi − eT +P,kˆit − IL(ˆv) + + +� +�� +� +τd +(36) + + +Qd(v,ˆi, cL) + ρdcdcT +d +Pdbd,1 − 1+νd,1ρd +2 +cd +Pdbd,2 − 1 +2cd +bT +d,1Pd − 1+νd,1ρd +2 +cT +d +νd,1 +0 +bT +d,2Pd − 1 +2cT +d +0 +νd,2 + + ≺ 0, +Pd ≻ 0 +(38) +Proposition 12 (OFP lines). The shifted line dynamics +in (44) are OFP(ρt) with ρt = Rkl w.r.t. the input-output +pair (eT +P,kl˜v,˜it) with the storage function +St = Lkl +2 +˜i2 +t. +(45) +Proof. The proof follows trivially by verifying that +˙St = ˜iteT +P,kl˜v − Rkl˜i2 +t =: wt, +(46) +where wt in an OFP supply rate as per Definition 2. +■ +4) Interconnected Microgrid Dissipativity: Having sep- +arately analysed the subsystems comprising the microgrid, +we now combine the results to formulate the dissipativity +of the full microgrid w.r.t. the input-output pair (˜p∗, ˜v). +For simplicity, we group the buses according to their +actuation states (13). Thus, ˜p∗ = [ ˜p∗ +α +T , ˜p∗ +β +T ]T and ˜v = +[˜vT +α , ˜vT +β ]T have the same dimensions. Note that we include +the inputs ˜p∗ +β for the unactuated buses in Nβ as provided +by the four-stage controller (see Fig. 2), even though these +inputs are not used. +Proposition 13 (Microgrid dissipativity). A DC mi- +crogrid comprising DGUs (20), lines (18) and loads (15) +with an interconnection topology described by a connected +graph GP is dissipative w.r.t. the supply rate +wM,αβ = (1 + νd,1ρd)˜p∗ +α +T ˜vα − νd,1 ˜p∗ +α +T ˜p∗ +α +− ρd˜vT +α ˜vα − ρL˜vT +β ˜vβ, +(47) +if νd,2 + ρt ≥ 0 for the worst-case indices of the buses +and lines calculated in Prop. 9 (ρL), Prop. 12 (ρt), and +Theorem 10 (νd,1, νd,2, ρd), i.e. +νd,1 = min +k∈Nα νd,1,k, νd,2 = min +k∈Nα νd,2,k, ρd = min +k∈Nα ρd,k, +ρL = min +k∈Nβ ρL,k, +ρt = min +kl∈EP ρt,k. +(48) +Proof. Define for the interconnected microgrid the storage +function +SM = +� +k∈Nα +Sd,k + +� +k∈Nβ +SL,k + +� +kl∈EP +St,kl. +(49) +An upper bound for time derivative of (49) may then be +found by combining the supply rates in (34), (43) and (46) +˙SM ≤ (1 + νd,1ρd)˜p∗ +α +T ˜vα − νd,1 ˜p∗ +α +T ˜p∗ +α − ρd˜vT +α ˜vα ++ ˜iT +t ET ˜v − ˜vT +α Eα˜it − ˜vT +β Eβ˜it +− ρL˜vT +β ˜vβ − (νd,2 + ρt)˜iT +t ˜it. +(50) +The skew-symmetric interconnection of the nodes and lines +results in ˜iT +t ET ˜v = ˜vT +α Eα˜it + ˜vT +β Eβ˜it. Furthermore with +νd,2+ρt ≥ 0, we can drop the unnecessary strictly negative +˜iT +t ˜it term and verify that ˙SM ≤ wM,αβ. +■ +Through Prop. 13, the dissipativity of the entire mi- +crogrid is formulated using the desired input and output +vectors. However, the supply rate in (47) is dependent on +the actuation states of the buses. We now remove this +dependence by finding a supply rate for a specific bus that +encompasses both its actuated and unactuated state. By +considering a quadratic supply rate as a sector condition +(see [26], [29]), a combined supply rate is found through +the union of the sectors for the actuated and unactuated +cases. +Theorem 14 (Actuation independent passivity). A DC +microgrid for which Prop. 13 holds is IF-OFP(νd,1, ρd) +w.r.t. the supply rate +wM = (1 + νd,1ρd)˜p∗T ˜v − νd,1 ˜p∗T ˜p∗ − ρd˜vT ˜v +(51) +if, for an arbitrarily small νL > 0, +0 ≤ νd,2 + ρt, +(52) +0 < ρL < 1, +(53) +0 > νd,1. +(54) +The proof of Theorem 14 can be found in Appendix A. +Through (51), we thus show that a single IF-OFP supply +rate describes the input-output passivity of the entire +microgrid, irrespective of the states of actuation of the +buses. This supply rate is derived from the properties of +the DGUs in Theorem 10 and accounts for the worst-case +loads. +Remark 12 (Non-passive loads at DGUs). While (53) +in Theorem 14 requires strictly passive loads at unactuated +buses, this is not required for the loads at actuated buses. + +10 +Indeed, the loads at DGUs may exhibit a lack of passivity +with cL < 0. However, this would be reflected by the indices +obtained in Theorem 10 and the supply rate in (51). +Remark 13 (Non-static loads). Due to the use of passivity +in this section, the analysis presented here effortlessly +extends to the case of dynamic loads. Such dynamic loads +simply need to exhibit equivalent IFP properties (see e.g. +Prop. 9) and must be ZSO. +Remark 14 (Passivity-based controllers). In addition +to the four-stage controller proposed in this work, the +passivity formulation of the DC microgrid in Theorem 14 +can be used alongside any other controller which provides +suitable passivity indices. This includes methods such as +interconnection and damping assignment passivity-based +control [24, p. 190] or passivity-based model predictive +control (see e.g. [36]). +B. Controller Passivity +Having analysed the passivity of the microgrid subsys- +tems and their interconnection, we now investigate the +passivity properties of the control structure in Section IV. +This is done successively for each part of the controller: +the DDA stages, the PI stage and the weighting function. +1) DDA Passivity: Consider the DDA stages in Fig. 2. +Proposition 15 (DDA Passivity). The DDA controller +in (23) with the storage function +Sa,s = +1 +2γa +� +xT +a,sxa,s + zT +a,sza,s +� +(55) +is OFP(ρa), ρa = 1, w.r.t. (ua,s, ya,s) and is ZSO. +Proof. The time derivative of (55) is +˙Sa,s = −xT +a,sxa,s − 1 +γa +xT +a,sLC,P xa,s + xT +a,sua,s +≤ wa,s := xT +a,sua,s − xT +a,sxa,s +(56) +since LC,P > 0 and γa > 0, thus verifying the OFP +property for ya,s = xa,s. Furthermore, the DDA controller +is ZSO since the system dynamics in (23) is Hurwitz [34, +Theorem 5]. +■ +The OFP result in Prop. 15 also means that (23) has an +L2-gain of 1 [28, p. 3]. Note that since the DDA in (23) is +linear, the properties in Prop. 15 also hold for the shifted +input-output combination (˜ua,s, ˜ya,s) [28, p. 26]. +2) PI Passivity: The ideal PI controller in (26) with +ζc = 0 can trivially be shown to be IFP(kP +c ) for the storage +function Sc = kIcxTc xc/2. The leaky PI control with ζc > 0 +exhibits the following properties. +Proposition 16 (Leaky PI Passivity). The leaky PI +control in (26) with the storage function Sc = kIcxTc xc/2 +is dissipative w.r.t. the supply rate +wc = +� +1+2ζckP +c +kIc +� +� +�� +� +2σc +uT +c yc − +� +kP +c +ζckP +c +2 +kIc +� +� +�� +� +νc +uT +c uc − ζc +kIc +���� +ρc +yT +c yc +(57) +Proof. Calculate the time derivative of Sc as +˙Sc += +kI +cxT +c uc −ζckI +cxT +c xc. Substitute in kI +cxc = yc −kP +c uc from +the output in (26) and simplify to verify that ˙Sc = wc. +■ +Note that while wc in (57) has a quadratic form, it does +not directly match the IF-OFP form in Definition 2. How- +ever, by appropriately weighing the storage function Sc, +the form in Definition 2 is easily obtained. For simplicity +and without invalidating the results in the sequel, we omit +this step here. Furthermore, we note that the linearity of +(26) ensures that the properties in Prop. 16 also hold for +the shifted input-output combination (˜uc, ˜yc) [28, p. 26]. +3) Weighting Function Passivity: The derivative of the +weighting function in (28) is described by (see e.g. Fig. 3) +dyw +duw += aw + bw tanh2(gw(uw)). +(58) +By setting bw > −aw and applying Prop. 5, (28) is found +to be IF-OFP(νw, ρw) with +νw = aw, +ρw = +1 +aw + bw +, +(59) +VI. Interconnected Stability +Using the passivity properties of the microgrid and +controller subsystems obtained in Section V, we now in- +vestigate the stability of the microgrid and controller +interconnected as in Fig. 2. However, we note that the +agent PI controller and the Stage 4 DDA controller ex- +hibit a cascaded IFP-OFP obstacle (see Prop. 7) if the +PI controller is ideal (ζc = 0) which prevents a closed- +loop analysis with dissipativity. Thus, in Section VI-A, we +derive stability conditions using leaky agent PI controllers +with ζc > 0. +A. Leaky PI-Controlled Stability +Consider the case where the passivity properties of all +subsystems in Fig. 2 except for the weighting function +(28) are fixed. Combining the results in Section V with +Theorem 6, we now determine the weighting function +parameters which guarantee closed-loop stability. +Theorem +17 +(Designed +closed-loop +stability). +The +closed-loop in Fig. 2 is guaranteed to be asymptotically +stable for the weighting function parameters aw = νw, +bw = 1/ρw − aw if a feasible solution is found for +min +νw, ρw, di, +νw + ρw +s.t. +Q ≺ 0, +di > 0, +i = 1, . . . , 5, +(60) +where σw = 1/2(1 + νwρw), σd = 1/2(1 + νd,1ρd), and +Q= + + +−ρwd1 +d2 +2 +0 +0 +−σwd1 +d2 +2 +−ρad2−νcd3 σcd3 +0 +0 +0 +σcd3 +−ρcd3 +kP +c d4 +2 +0 +0 +0 +kP +c d4 +2 +−ρad4−νd,1d5 +σdd5 +−σwd1 +0 +0 +σdd5 +−ρdd5−νwd1 + + +(61) +Proof. Use the supply rates for the DC microgrid in (51), +the two DDA controllers in (56), the agent PI controller + +11 +in (57), and the IF-OFP supply rate for the weighting +function (59) to construct W in (10). Let the output of +the PI controller be normalised according to +yc = kI +cxc + kP +c uc = kP +c (κI +cxc + uc) = kP +c yκ +c . +(62) +Furthermore, the five subsystems in Fig. 2 are intercon- +nected by u = Hy, where +H = + + +0 +0 +0 +0 +−1 +1 +0 +0 +0 +0 +0 +1 +0 +0 +0 +0 +0 +kP +c +0 +0 +0 +0 +0 +1 +0 + + +. +(63) +Apply Theorem 6, with D as in (9) and simplify Q in (8) +to obtain (61). This yields the optimisation problem (60), +where the indices of the weighting function (νw, ρw) are +configurable. Asymptotic stability is ensured by changing +the matrix inequality in (7) to a strict inequality and by +ensuring that any states not present in y are asymptot- +ically stable. The latter condition is ensured through the +zero-state analyses in Prop. 11 and Prop. 15 and through +the condition in Prop. 13. Finally, the parameters aw and +bw are calculated from (59). +■ +Through the application of Theorem 17, the parameters +for the weighting function can thus be designed to ensure +stability. We highlight that the results in Section V and +Theorem 17 hold irrespective of the physical or commu- +nication topologies and are independent of the actuation +states of the nodes, as long as Assumptions 2 and 3 +hold. Therefore, verifying Theorem 17 ensures robust- +ness against any changes which do not alter the worst- +case passivity indices of the respective subsystems (see +(48)). Note that the presented stability analysis requires +strictly passive loads and leaky agent PI controllers (see +Remark 6). As demonstrated via simulation, these require- +ments are sufficient for stability, but not necessary. +VII. Simulation +In this section, we demonstrate the coordination and +robustness of the proposed control structure by means of +a Matlab/Simulink simulation using Simscape com- +ponents. We consider the network comprising 10 buses +depicted in Fig. 4. In Section VII-A, we describe the setup +of the simulation along with the various changes that the +network is subjected to. Next, in Section VII-B, simula- +tion results are presented for the case where Theorem 17 +holds, i.e. with strictly passive loads and leaky agent PI +controllers. Finally, in Section VII-C, we show the robust +stability of the proposed control structure for passive loads +and ideal agent PI controllers. +A. Simulation Setup +The DC microgrid in Fig. 4 is simulated with the +parameters in Table I. The ZIP load parameters are +chosen randomly in the specified ranges such that the +required passivity measures are fulfilled (see Remark 10). +Table I: Simulation Parameter Values +Voltages +vRef = 380 V +vcrit = 266 V +DGU Filters (14) +Rk = 0.2 Ω +Lk = 1.8 mH +Ck = 2.2 mF +ZIP Loads (16) +|Z−1| ≤ 0.1/Ω +|I| ≤ 21 A +|P | ≤ 3 kW +Elec. Lines (18) +Rkl = 0.1 Ω/km +Lkl = 2 µH/km +Ckl = 22 nF/km +length ∈ [0.2; 10] km +Table II: Controller Parameter Values +Power PI Control (19) +kP +d = 90 +kI +d = 90 +˜R = −8 +DDA Control (23) +kP +a = 50 +kI +a = 100 +γa = 16 +Agent PI Control (26) +kP +c = 160 +kI +c = 600 +ζc = 0.08 +Weighting Function (28) +aw = 0.1 +bw = 1.1 +cw = 7.5 V +Furthermore, typical values are used for the DGUs and +the lines [4], [9], [13]. The lines exhibit the same per +kilometer parameter values and the line length are chosen +randomly in the given interval. The line lengths are given +in Appendix B. +The simulation starts off in State A (see Fig. 4) with +Bus 9 connected and with all states at zero. The following +changes are made at the indicated times. +• t = 5 s: The actuation states αi of the buses switches +from State A to State B and Bus 9 is disconnected. +• t = 10 s: The communication topology switches from +State A to State B and Bus 10 is connected. +• t = 15 s: The electrical topology switches from State A +to State B. +• t = 20 s: The bus actuation status along with the com- +munication and electrical topologies revert to State A. +Bus 9 is connected and Bus 10 is disconnected. +Furthermore, at each change, half of the buses are ran- +domly selected and assigned new ZIP load parameters. +The ZIP load parameters can be found in Appendix B. +The parameters for the closed-loop controller, as spe- +cified in Table II, are designed constructively, starting +from the microgrid subsystems. First, the passivity indices +for the lines (ρt = 0.01) and loads (ρL = cL = 0.05) are cal- +culated from Prop. 12 and Prop. 9, respectively. Next, the +parameters for the power regulator (19) are chosen and the +DGU passivity indices are calculated from Theorem 10, +with the optimisation verified for the practically relevant +intervals v ∈ [200 V, 550 V] and ˆi ∈ [10 A, 350 A]. Note that +adding the restriction νd,2 ≥ −ρt to the optimisation in +Theorem 10 ensures that (52) will be met. This yields +a solution νd,1 = −4.686, νd,2 = −0.01 and ρd = 0.01, +from which the microgrid supply rate is constructed as +per Theorem 14. Finally, parameters for the agent PI con- +trollers are chosen and the weighting function parameters +are designed using Theorem 17. Note that Theorem 14 +requires strictly passive loads (cL > 0) and Theorem 17 +necessitates leaky integrators (ζc > 0). + +12 +1 +2 +3 +4 +5 +6 +7 +8 +9 +10 +d +d +d +d +State A +1 +2 +3 +4 +5 +6 +7 +8 +9 +10 +d +d +d +d +State B +d +Bus +Active DGU +Electrical line +Communication line +0 +0.5 +1 +0 +0.5 +1 +Figure 4: Two different states for a 10-bus DC microgrid along with electrical and communication connections. The +loads at the buses are omitted for clarity. +0 +5 +10 +15 +20 +25 +340 +360 +380 +400 +420 +Figure 5: Simulated bus voltages with line colours as per +the legend in Fig. 4. +0 +5 +10 +15 +20 +25 +0 +40 +80 +Figure 6: Simulated weighted voltage errors and the av- +erage error of connected agents with agent line colours as +per the legend in Fig. 4. +B. Results +The bus voltages vk shown in Fig. 5 confirm the stability +of the closed loop results, although the voltages tend to +be lower than desired, due to the use of leaky integrators. +The remaining steady-state offset can also be seen in the +weighted errors plotted in Fig. 6, where the average tends +towards a non-zero value in each instance (see Remark 6). +Despite this, the four stage controller reaches a consensus +on the average of the nonlinear weighted voltage errors. +Moreover, the advantage of the weighting function can +be seen at Bus 6 in t ∈ [20 s, 25 s), where a significant +weighted error only appears in Fig. 6 when the voltage in +0 +5 +10 +15 +20 +25 +0 +1x104 +2x104 +3x104 +4x104 +Figure 7: Simulated outputs of the local agent controllers +with line colours as per the legend in Fig. 4. +0 +5 +10 +15 +20 +25 +0 +10 +20 +30 +40 +Figure 8: Simulated power setpoints with line colours as +per the legend in Fig. 4. +Fig. 5 is not close to vRef. Note that the voltages of Buses 9 +and 10 are at 0 V during the respective periods where they +are disconnected and not actuated. +In Fig. 7, the outputs of the agent controllers show that +no synchronisation of the agent controllers are required. +The agent controller outputs at Buses 1 to 8, which are +continuously connected to the communication network, +are near identical. However, the disconnecting buses, e.g. +Bus 9 after t = 5 s, rapidly diverge from other controllers +and do not synchronise on reconnect. Despite this, the +final stage of the controller ensures cooperation of the +buses, as demonstrated in the power setpoints p∗ +k in Fig. 8. +When Bus 10 connects at t = 10 s, its setpoint p∗ +k rapidly + +13 +0 +5 +10 +15 +20 +25 +340 +360 +380 +400 +420 +Figure 9: Simulated bus voltages with ideal PI controllers +and with line colours as per the legend in Fig. 4. +0 +5 +10 +15 +20 +25 +-40 +0 +40 +Figure 10: Simulated weighted voltage errors and the +average error of connected agents with ideal PI controllers +and with agent line colours as per the legend in Fig. 4. +converges to the coordinated common setpoint used by all +connected agents. +Although the leaky integrators yield imperfect results +(see Remark 6 and Fig. 6), this can be mitigated by +choosing a higher vRef. Indeed, by combining the steady +state of the agent PI controller (27) with the DDA steady +state (24), we see that injecting power into the system +p∗ > 0 results in positive voltage errors. Since we consider +(strictly) passive loads, increasing vRef is thus a viable +method for correcting the imperfect results whilst retain- +ing the advantageous properties of the stability analysis in +Theorem 17. +C. Robustness Test +We +now +repeat +the +simulation +described +in +Section VII-A with the following changes. 1) Passive +loads with cL += 0 are allowed at all buses, and 2) +ideal agent PI controllers with ζc = 0 are used. Under +these conditions, Theorem 17 can no longer be used to +verify the stability. However, the stability may still be +verified using classical approaches such as evaluating +the eigenvalues for the closed loop linearised about the +equilibrium. Note that the same random seed is used as +for the results in Section VII-A, allowing for a comparison +between the scenarios to be made. +Fig. 9 demonstrates the improved consensus achieved +by the ideal PI agents, in that the bus voltages are +closer to vRef at steady state than in Fig. 5. Moreover, +0 +5 +10 +15 +20 +25 +0 +1x104 +2x104 +3x104 +Figure 11: Simulated outputs of the local agent controllers +with ideal PI controllers and with line colours as per the +legend in Fig. 4. +0 +5 +10 +15 +20 +25 +0 +10 +20 +30 +Figure 12: Simulated power setpoints with ideal PI con- +trollers and with line colours as per the legend in Fig. 4. +Fig. 10 shows that perfect consensus is achieved, where +the average error tends to zero in each case. This figure +also demonstrates the robustness against communication +interruptions, as is the case for Bus 10 which, for the +period t ∈ [5 s, 10 s), is actuated but does not communicate +with the other buses. Despite this, it is able to accurately +regulate its own bus voltage (compared to the imperfect +regulation achieved with leaky integrators as in Fig. 5). +The lack of leaky integrators is also evident in Fig. 11, +where the output of the agent controllers stay constant +when a bus is disconnected and not actuated. Lastly, the +power setpoints in Fig. 12 converging to a common value +for the communicating agents confirm the coordination of +the agents. +Note that while tests with non-passive loads can also +yield a stable closed loop, instability can occur when +the non-passive loads dominate. To address this, a tar- +geted compensation of non-passive loads is required (see +Remark 11). +VIII. Conclusion +In this paper, we proposed a four-stage distributed +control structure that achieves power sharing in a DC mi- +crogrid while ensuring voltage regulation for the voltages +of both actuated and unactuated buses. We demonstrated +how the passivity properties of various subsystems can be +determined and combined these in a stability analysis that + +14 +is independent of topological changes, actuation changes, +bus connections or disconnections and load changes. +Future work includes the consideration of non-passive +loads at arbitrary locations in the microgrid and the +construction of an interface to allow for the presented work +to be combined with tertiary optimal controllers. +Appendix A +Proofs +Proof of Prop. 8. For the control structure in steady state, +˙xc = 0 and thus yc is constant. The steady-state output +(24) of the Stage 4 DDA therefore ensures Objective 2 is +achieved. Furthermore, consider the steady state of the +Stage 2 DDA +ua,s,k = lim +t→∞ hw(vRef − vk), +(64) +lim +t→∞ ya,2,k = uT +a,s1N +N += lim +t→∞ +1 +N +� +k∈N +(vRef − h(vk)) , (65) +if vk is in equilibrium and where h is obtained by shifting +hw by vRef. Note that (65) corresponds to the condition of +(21) in Objective 1. Therefore, ya,2 specifies the regulation +error of the average weighted voltage error in steady +state. From the steady state of the agent PI controller +in (26), we have ζcxc = ya,2. Thus, ideal integrators with +ζc = 0 ensure that Objective 1 is met exactly. For ζc > 0, +substitute the PI equilibrium into the output of the agent +PI controller in (26) to obtain the steady state equation +xc = 1 +kIc +� +yc + kP +c ya,2 +� +. +(66) +Substitute ζcxc = ya,2 into (24) and simplify to find +ya,2 = +ζc +kIc(1 + ζckPc )yc, +(67) +for the steady state. Since the entries of the vector ya,2 and +thus of xc and yc are the same at steady state. Therefore +the steady state output for the Stage 4 DDA in (24) gives +yc = ya,4, which we combine with (67) to obtain the error +for Objective 1 in (30). +■ +Proof of Theorem 14. Consider the supply rates which de- +scribe the actuated and unactuated states, respectively, for +a given bus k ∈ N +wM,α,k = (1+νd,1ρd)˜p∗ +α,k˜vα,k − νd,1(˜p∗ +α,k)2 − ρd˜v2 +α,k, (68) +wM,β,k = −ρL˜v2 +β,k. +(69) +These allow the microgrid supply rate in (47) to be +decomposed according to the actuation states αk +wM,αβ = +� +k∈Nα +wM,α,k + +� +k∈Nβ +wM,β,k += +� +k∈N +(αkwM,α,k + (1 − αk)wM,β,k) +(70) +u +y +wM,α,k +wM,α,k +wM,β,k/ρL +Figure 13: Comparison of the microgrid supply rate sectors +in the proof of Theorem 14 if ρd < 0. +Enlarge the supply rate of the unactuated buses in (69) by +adding the positive term νL(˜p∗ +β,k)2 for an arbitrarily small +νL > 0 such that +wM,β,k ≤ wM,β,k = νL(˜p∗ +β,k)2 − ρL˜v2 +β,k +≤ wM,β,k +ρL += νL +ρL +(˜p∗ +β,k)2 − ˜v2 +β,k +(71) +for ρL as in (53). The supply rate wM,β,k/ρL is equivalent +to the L2 supply rate in Definition 2 and is thus bounded +by the sector [− +� +νL +ρL , +� +νL +ρL ] [29, Lemma 4]. Consider now +the supply rate of the actuated agents (68) narrowed down +to an IFP sector for the case that ρd < 0, i.e. +wM,α,k ≥ wM,α,k = +� +wM,α,k, +if ρd ≥ 0, +˜p∗ +α,k˜vα,k − νd,1(˜p∗ +α,k)2, +if ρd < 0, +(72) +such that wM,α,k is sector bounded by [νd,1, 1 +ρd ] if ρd > 0 +and [νd,1, ∞) if ρd < 0 or if ρd = 0 (see [26, p. 231]). A re- +lation bewteen wM,α and wM,β/ρL can now be established +by comparing their respective sector bounds: +wM,β,k +ρL +≤ wM,α,k if + + + +[− +� +νL +ρL , +� +νL +ρL ] ⊆ [νd,1, 1 +ρd ], if ρd > 0, +[− +� +νL +ρL , +� +νL +ρL ] ⊆ [νd,1, ∞), if ρd ≤ 0, +(73) +Since νL can be arbitrarily small, we derive (54) by +comparing the lower bounds in (73) and note that the +upper bound relation can be met for any ρd. A visual +comparison of the sector conditions is made in Fig. 13. +The combination of (71)–(73) results in +wM,β,k ≤ wM,β,k ≤ wM,β,k +ρL +≤ wM,α,k ≤ wM,α,k. +(74) +Therefore, for the microgrid with the storage function SM +that is dissipative w.r.t. (47), it holds that +˙SM ≤ wM,αβ ≤ +� +k∈N +wM,α,k = wM, +(75) +which is found by combining (70) with (74). +■ +Appendix B +Simulation Data +The +simulation +parameters +used +for +the +lines +in +Section VII are given in Table III. Furthermore, the + +15 +Table III: Rounded Line Lengths +Line +Length +Line +Length +Line +Length +1 – 2 +1.19 km +1 – 4 +7.74 km +2 – 3 +2.23 km +2 – 4 +7.20 km +3 – 5 +3.14 km +3 – 8 +2.82 km +4 – 5 +3.72 km +4 – 6 +6.75 km +4 – 7 +1.16 km +6 – 7 +4.44 km +6 – 9 +3.11 km +7 – 8 +3.69 km +8 – 10 +1.21 km +Table IV: Strictly Passive Load Values +Bus Parameter +t = 0 s +t = 5 s +t = 10 s +t = 15 s +t = 20 s +Z−1 (1/Ω) +0.103 +0.103 +0.106 +0.106 +0.083 +1 +I (A) +4.66 +2.15 +-6.08 +-6.08 +14.45 +P (W) +3599 +-4055 +4133 +4133 +-4927 +Z−1 (1/Ω) +0.099 +0.099 +0.096 +0.096 +0.080 +2 +I (A) +-16.09 +-16.09 +19.68 +19.68 +2.49 +P (W) +3204 +3204 +2659 +2659 +1346 +Z−1 (1/Ω) +0.128 +0.105 +0.105 +0.105 +0.096 +3 +I (A) +10.27 +-0.09 +-0.09 +-0.09 +-11.09 +P (W) +-1479 +-3659 +-3659 +-3659 +3031 +Z−1 (1/Ω) +0.079 +0.079 +0.079 +0.079 +0.079 +4 +I (A) +10.15 +10.15 +10.15 +10.15 +10.15 +P (W) +-2711 +-2711 +-2711 +-2711 +-2711 +Z−1 (1/Ω) +0.095 +0.095 +0.095 +0.064 +0.107 +5 +I (A) +-6.64 +-6.64 +-6.64 +16.68 +2.10 +P (W) +2768 +2768 +2768 +-3798 +4242 +Z−1 (1/Ω) +0.089 +0.089 +0.106 +0.103 +0.103 +6 +I (A) +6.87 +6.87 +7.85 +-5.17 +-5.17 +P (W) +948 +948 +4321 +370 +370 +Z−1 (1/Ω) +0.065 +0.092 +0.092 +0.118 +0.118 +7 +I (A) +11.96 +6.51 +6.51 +2.77 +2.77 +P (W) +-3624 +-3442 +-3442 +-3890 +-3890 +Z−1 (1/Ω) +0.102 +0.102 +0.086 +0.086 +0.124 +8 +I (A) +-16.85 +-16.85 +20.71 +20.71 +-4.68 +P (W) +3529 +3529 +-4773 +-4773 +-3832 +Z−1 (1/Ω) +0.111 +0.103 +0.109 +0.077 +0.077 +9 +I (A) +13.79 +-19.74 +9.53 +1.26 +1.26 +P (W) +-2645 +1830 +4215 +1549 +1549 +Z−1 (1/Ω) +0.072 +0.100 +0.100 +0.111 +0.111 +10 +I (A) +7.77 +9.02 +9.02 +10.98 +10.98 +P (W) +-3538 +-4143 +-4143 +-2795 +-2795 +strictly passive load parameters for the simulation results +in Section VII-B and the passive load parameters for +the results in Section VII-C are given in Table IV and +Table V, respectively. 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Allgöwer, Nonlinear Model Pre- +dictive Control: A Passivity-Based Approach. +Berlin, Heidel- +berg: Springer, 2007, pp. 151–162. + diff --git a/dNFRT4oBgHgl3EQfTjeD/content/tmp_files/load_file.txt b/dNFRT4oBgHgl3EQfTjeD/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..18a742adf2950e2298e6a7b1c6e4c895d9e0d55e --- /dev/null +++ b/dNFRT4oBgHgl3EQfTjeD/content/tmp_files/load_file.txt @@ -0,0 +1,1282 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf,len=1281 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='13533v1 [eess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='SY] 31 Jan 2023 1 Passivity-based power sharing and voltage regulation in DC microgrids with unactuated buses Albertus Johannes Malan, Pol Jané-Soniera, Felix Strehle, and Sören Hohmann Abstract—In this paper, we propose a novel four- stage distributed controller for a DC microgrid that achieves power sharing and average voltage regulation for the voltages at actuated and unactuated buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The controller is presented for a DC microgrid compris- ing multiple distributed generating units (DGUs) with time-varying actuation states;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' dynamic RLC lines;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' non- linear constant impedance, current and power (ZIP) loads and a time-varying network topology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The con- troller comprising a nonlinear gain, PI controllers, and two dynamic distributed averaging stages is designed for asymptotic stability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This constitutes first deriving passivity properties for the DC microgrid, along with each of the controller subsystems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thereafter, design parameters are found through a passivity-based optim- isation using the worst-case subsystem properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The resulting closed-loop is robust against DGU actuation changes, network topology changes, and microgrid parameter changes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The stability and robustness of the proposed control is verified via simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Index Terms—DC microgrids, distributed control, passivity, power sharing, voltage regulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Introduction T HE ADVENT of localised power generation and stor- age increasingly challenges the prevailing centralised power-generation structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Originally proposed in [1], the microgrids paradigm envisions networks that can oper- ate autonomously through advanced control while meeting consumer requirements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Although current electrical grids predominantly use AC, high and low voltage DC networks have been made technically feasible due to the continual improvements of power electronics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Indeed, DC microgrids exhibit significant advantages over their AC counterparts, demonstrating a higher efficiency and power quality while simultaneously being simpler to regulate [2], [3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In microgrids, power generation and storage units are typically grouped into distributed generation units (DGUs) which connect to the microgrid through a single DC-DC converter for higher efficiency [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This changes the traditionally centralised regulation problem in power grids into a problem of coordinating the DGU connected throughout the microgrid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This coordination is generally This work was supported in part by Germany’s Federal Ministry for Economic Affairs and Climate Action (BMWK) through the RegEnZell project (reference number 0350062C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (Corresponding author: A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Malan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=') A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Malan, P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Jané-Soniera, F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Strehle, and S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Hohmann are with the Institute of Control Systems (IRS), Karlsruhe In- stitute of Technology (KIT), 76131, Karlsruhe, Germany.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Emails: albertus.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='malan@kit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='edu, pol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='soneira@kit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='edu, felix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='strehle@kit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='edu, soeren.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='hohmann@kit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' realised as average or global voltage regulation in combina- tion with load sharing between the DGUs (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [4]–[6]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Literature Review: A vast number of approaches have been proposed for the voltage regulation and load sharing of DC microgrids, as detailed in the overview papers [3], [7], [8] along with the sources therein.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' These approaches are broadly categorised as either centralised, decentralised or distributed in nature [3], [7], [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' While centralised controllers can optimally coordinate the DGUs, they offer reduced scalability and flexibility and have a single point of failure [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' On the other hand, decentralised controllers either only attempt to achieve voltage stability [9]–[11] or achieve load sharing at the cost of voltage regulation quality (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the droop-based approaches in [3]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In response to these limitations, numerous controllers for voltage regulation and load sharing which operate in a distributed manner have been proposed [4]–[6], [12]–[20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In [4], distributed averaging is employed to find a global voltage estimate with which voltage regulation is achieved, but the microgrid dynamics are neglected in the stability analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Distributed averaging with dynamic microgrid models is used in [5], [12], although [5] requires LMIs to be solved before buses are allowed to connect whereas [12] only considers constant current loads.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Similarly, a sliding-mode controller is proposed in [13] for a dynamic microgrid with constant current loads.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' On the other hand, [14] proposes a cyberattack-resilient controller for a mi- crogrid with constant conductance loads and resistive lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A consensus-based distributed controller with event- triggered communication is presented in [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consensus- based controllers are also utilised in [6], [16], [17], where [6] uses a consensus-based integral layer on top of a droop- based controller.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, while many contributions strive to achieve proportional current sharing [4]–[6], [12]–[17], [20], nonlinear controllers that achieve proportional power sharing have also been proposed in [18], [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' While the literature listed above differ greatly in their approaches, we note a commonality in their omission of buses without actuation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This omission is typically mo- tivated either by considering a microgrid comprising only actuated DGU buses [4], [5], [16], [17], or by eliminating the unactuated buses with the Kron-reduction [6], [12]–[15], [18]–[20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, considering a network comprising only actuated buses severely limits the flexibility of a microgrid, since each bus must be able to supply or consume enough power at all times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' On the other hand, the Kron-reduction requires loads to be described as positive conductances (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [21]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' While research into Kron-reduced networks with negative loads is ongoing (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [22]), the general 2 inclusion of negative loads, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' non-controllable power sources, in Kron-reducible networks remains out of reach at present.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, consider the case where a DGU can no longer supply or consume the required amount of power, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' a fully charged or discharged battery storage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Such a DGU then loses the ability to regulate itself and fully support the grid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In the approaches considered above [4]–[6], [12]–[20], such a DGU is forced to disconnect from the microgrid and its local measurements are discarded.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For DGUs with intermittent power sources, this could result in significant swings in the number of controlled and observed buses in the microgrid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Main Contribution: In this paper, we consider a DC microgrid as a physically interconnected multi-agent system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Extending our work in [23]1, we propose a four- stage controller that achieves voltage regulation and power sharing in a DC microgrid with actuated and unactuated buses in a distributed manner.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The four-stage controller comprises a nonlinear weighting function, two dynamic distributed averaging (DDA) stages and a proportional- integral (PI) controller.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The asymptotic stability of the closed loop comprising the DC microgrid and the four- stage controller interconnected in feedback is proven by means of passivity theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In detail, the contributions comprise: 1) A four-stage distributed controller for DC microgrids which achieves consensus on the weighted average voltage error of actuated and unactuated buses and assures coordination through power sharing at the actuated buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2) A nonlinear weighting function that penalises voltage errors outside a given tolerance band more strongly than those within.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3) Passivity classifications for each of the constitutive microgrid subsystems (DGUs, loads, and lines) and for each of the controller stages (weighting function, DDA, and PI).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4) A method for calculating the input-feedforward output-feedback passive (IF-OFP) indices of the non- linear power-controlled DGUs through optimisation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5) An IF-OFP formulation for the DC microgrid with a supply rate that is independent of the network topology, the number of buses and their states of actuation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 6) A passivity-based stability analysis for the equilib- rium of the DC microgrid connected in feedback with the four-stage controller.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In addition to the contributions listed above, we also contribute a theoretical result comprising a formalisation of the obstacle presented by cascaded input-feedforward passive (IFP) and output-feedback passive (OFP) systems in the analysis of dissipative systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This theoretical 1The controller proposed in [23] is extended by weighing the error with a nonlinear function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, in addition to applying the controller to a DC microgrid context, we here propose a new dissipativity-based analysis that investigates the closed loop stability analytically as opposed to the numerical results in [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' contribution informs and motivates parameter choices for the four-stage controller in Contribution 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We highlight that the proposed controller can achieve exact voltage regulation and power sharing with the stability verified with the eigenvalues of the linearised system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, by employing leaky PI controllers, we demonstrate a passivity-based stability analysis that is independent of and robust against changes in the commu- nication topology, changes in the electrical topology, load changes, changes in the actuation status of DGUs, uncer- tainties in component parameters, and buses connecting or disconnecting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Paper Organisation: The introduction concludes with some notation and preliminaries on graph theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In Section II, we recall and introduce results relating to dissipativity theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Next, in Section III, the problem is modelled and objectives for the steady state are formal- ised.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In Section IV, a four-stage control structure is intro- duced that fulfils objectives from Section III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thereafter, the passivity properties of the constituent subsystems are investigated in Section V and the controller is designed for asymptotic stability of the closed loop in Section VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, in Section VII, a simulation is used to verify the asymptotic stability and robustness of the closed loop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Concluding remarks are provided in Section VIII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Notation and Preliminaries: Define as a vector a = (ak) and a matrix A = (akl).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 1k is a k-dimensional vector of ones and Ik is the identity matrix of dimension k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Diag[·] creates a (block-)diagonal matrix from the supplied vectors (or matrices).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The upper and lower limits of a value a are given by a and a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For a variable x, we denote its unknown steady state as ˆx, its error state as ˜x := x − ˆx, and a desired setpoint as x∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Whenever clear from context, we omit the time dependence of variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We denote by G = (N, E) a finite, weighted, undirected graph with vertices N and edges E ⊆ N × N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let |N| be the cardinality of the set N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let L be the Laplacian matrix of G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' By arbitrarily assigning directions to each edge in E, the incidence matrix E ∈ R|N|×|E| of G is defined by ekl = \uf8f1 \uf8f2 \uf8f3 +1 if vertex k is the sink of edge l, −1 if vertex k is the source of edge l, 0 otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (1) II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Dissipativity Preliminaries We here recall and introduce preliminaries of dissip- ativity theory for nonlinear systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In Section II-A we provide definitions relating to dissipativity and passiv- ity theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thereafter in Section II-B, we investigate the passivity properties of static functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, in Section II-C, we recall a result on the interconnection of dissipative systems with quadratic supply rates and formalise a new result on the limitations of such an interconnection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3 A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Dissipative Systems Consider a nonlinear system � ˙x = f(x, u), y = h(x), (2) where x ∈ Rn, u ∈ Rm, y ∈ Rm and where f : Rn×Rm → Rn and h : Rn × Rm → Rm are class C1 functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Definition 1 (Dissipative system, c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [24]–[26]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A system (2) with a class C1 storage function S : Rn × Rm → R+ is dissipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' a supply rate w(u, y) if ˙S ≤ w(u, y).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Definition 2 (Quadratic supply rates, c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [24]–[26]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A system (2) that is dissipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' w(u, y) is passive if w = uTy, input-feedforward passive (IFP) if w = uTy − νuT u, output-feedback passive (OFP) if w = uT y − ρyT y, input-feedforward output-feedback passive (IF-OFP) if w = (1 + νρ)uT y − νuT u − ρyT y, has an L2-gain of γL2 if w = γ2 L2uTu − yT y, where γL2 > 0 and ν, ρ ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Definition 3 (Zero-state observable (ZSO) [24, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 46]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A system (2) is ZSO if u ≡ 0 and y ≡ 0 implies x ≡ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For cases where the desired equilibrium of a system is not at the origin but at some constant value, the shifted passivity [24, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 96] or equilibrium-independent passivity (EIP) [27] of a system must be investigated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Naturally, this requires that an equilibrium exists, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' there is a unique input ˆu ∈ Rm for every equilibrium ˆx ∈ ˆ X ⊂ Rn such that (2) produces f(ˆx, ˆu) = 0 and ˆy = h(ˆx, ˆu) [28, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Definition 4 (EIP [28, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 24]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A system (2) is EIP if there exists a class C1 storage function S(x, ˆx, u), S : Rn × ˆ X × Rm → R+, with S(ˆx, ˆx, ˆu) = 0, that is dis- sipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' w(u − ˆu, y − ˆy) for any equilibrium (ˆu, ˆy).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Passive Static Functions Recall that a sector-bounded static nonlinear function is dissipative to a supply rate defined by the sector bound [26, Def.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We now consider the arbitrarily shifted single-input single-output function � y = h(u), u, ˆu ∈ U, y, ˆy ∈ Y, h : U → Y, ˜y = ˜h(˜u) := h(u) − h(ˆu) = y − ˆy, ˜u := u − ˆu (3) and show how its dissipativity properties may be derived.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 5 (EIP static functions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A static function (3) of class C0 is IF-OFP(c, 1/c) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the arbitrarily shifted input-output pair (˜u, ˜y) if c ≤ dh(u) du ≤ c, ∀u ∈ U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (4) and 0 < c < ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider for (3) the slope between an arbitrary shift (ˆu, ˆy) ∈ U ×Y and a point (u, y), for which the upper and lower bounds are given by c ≤ y − ˆy u − ˆu ≤ c, ∀(u, y), (ˆu, ˆy) ∈ U × Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (5) Changing to the shifted variables ˜u and ˜y as in (5) and multiplying through by ˜u2 yields c˜u2 ≤ ˜u˜y ≤ c˜u2 ⇐⇒ (˜y − c˜u)(˜y − c˜u) ≤ 0 ⇐⇒ (˜y − c˜u)(1 c ˜y − ˜u) ≤ 0, (6) for c > 0, which describes an IF-OFP function (see [26, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 231]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, through the mean value theorem, the bounds in (5) may be found from (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ We note that the restrictions on c in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5 are needed from a computational point of view (c < ∞) and to ensure that the passivity indices correspond to the correct sector2 (c > 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, this limits the passivity properties attainable through Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5 to ρ = 1/c > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 1 (Symmetrical sectors).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Placing the additional restriction c = −c in (4) results in the Lipschitz continuity of h(u).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, this implies that the arbitrarily shifted function ˜h(˜u) has a finite L2-gain of c [29].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Interconnected Quadratic Dissipative Systems Building upon the results on the interconnection of dissipative systems in [28], [30], we now provide a method for finding dissipativity properties for a subset of the inter- connected subsystems such that interconnected stability is guaranteed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Specifically, we look for the dissipative supply rates that restrict the subset of subsystems as little as pos- sible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For a set S of subsystems, define u = [uT 1 , .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' , uT |S|]T and y = [yT 1 , .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' , yT |S|]T .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Theorem 6 (Minimally restrictive stabilising indices).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider |S| subsystems of the form (2) which are dissipat- ive w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the supply rates wi = 2σiuT i yi−νiuT i ui−ρiyT i yi and are linearly interconnected according to u = Hy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The stability of the interconnected system is guaranteed if there exists a D and νj, ρj ∈ R with j ∈ J such that min D, νj, ρj, j∈J � j∈J (νj + ρj) s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' σj = 1/2(1 + νjρj), j ∈ J, Q ≼ 0, D2 ≻ 0 (7) where the subsystems with configurable supply rates are represented by the set J ⊂ S, and Q := �H I �T DWD �H I � (8) D := Diag[dT , dT ], d = ( � di), (9) W := �− Diag[νi] Diag[σi] Diag[σi] − Diag[ρi] � , i ∈ S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (10) 2Consider e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the sector Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5 would yield if c ≤ c < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4 The proof for Theorem 6 follows analogously to the proof of [29, Theorem 13] with application of [29, Re- mark 5] and is thus omitted for brevity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that if J = ∅ in (7), Theorem 6 can be used to verify the stability of interconnected dissipative systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Despite the design flexibility provided by Theorem 6, certain cascade configurations present obstacles to the ap- plication of dissipativity theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The following proposition formalises the problem presented by one such configura- tion which arises in the sequel and is used to inform the control design.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 7 (Non-dissipativity of cascaded IFP-OFP systems).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider |S| ≥ 2 subsystems (2) which are dissipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' wi = 2σiuT i yi − νiuT i ui − ρiyT i yi and linearly interconnected according to u = Hy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let i = 1 and i = 2 arbitrarily denote subsystems that are IFP and OFP, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' If these systems are connected in exclusive casade and do not form a feedback connection, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' H = \uf8ee \uf8f0 0 0 ∗ 1 0 0 0 ∗ ∗ \uf8f9 \uf8fb , (11) then investigating stability via separable storage functions as in Theorem 6 fails.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Evaluating the stability criteria in (7) under the imposed IFP and OFP conditions yields the Q (8) entries q11 = d1ρ1 + d2ν2 = 0, q12 = q21 = d2σ2 2 = d2 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (12) Since di > 0, Q constitutes an indefinite saddle-point mat- rix [31, Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='4], violating the requirement in (7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Remark 2 (Non-separable storage functions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The obstacle in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 7 arises due to the storage functions being compartmentalised by the subsystem boundaries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' While the separability of storage functions is a central motivation for the use of dissipativity theory, forgoing this allows for a stability analysis through less conservative methods (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the KYP lemma).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Problem Description In this section, the components comprising the DC mir- crogrid are introduced in Section III-A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This is followed by Section III-B, where controllers are added which regulate the output power of actuated buses in order to facilitate power sharing in the sequel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, we formulate the coordination and cooperation goals as a control problem in Section III-C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' DC Network We consider a DC microgrid comprising N = |N| buses connected by via π-model electrical lines, as depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let the graph GP = (N, EP) describe the intercon- nection with N as the set of buses and EP as the set of lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Without loss of generalisation, we allow each node to inject power through a DC-DC buck converter connected via a lossy LC-filter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that a time-averaged model (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [12]) is used for the buck converter and the energy source is assumed to be ideal but finite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let the buses be split into an actuated set Nα and an unactuated set Nβ, according to whether the buck converter can freely regulate the amount of power injected at a given time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Buses may freely switch between the sets Nα and Nβ, but Nα ∩ Nβ = ∅ and Nα ∪ Nβ = N always hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' To characterise this actuation state of a bus, define the piecewise-constant, time-varying actuation parameter αk(t) as αk(t) := � 1, k ∈ Nα, 0, k ∈ Nβ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (13) Note that we omit the time dependence of αk in the sequel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The dynamics for actuated buses with DGUs, where αk = 1 with k ∈ Nα are described by � Lk˙ik Ceq,k ˙vk � = �−Rk −1 1 0 ��ik vk � + � vs,k −eT P,kit − IL,k(vk) � (14) where Ceq,k = Ck + 1/2eT P,k Diag[Ckl]eP,k;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Ck, Ckl, Lk > 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ik ∈ R;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' and vk ∈ R+.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The line currents it connect to the capacitor voltages according to incidence matrix EP = (eT P,k) of GP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The dynamics of the unactuated load buses with αk = 0 correspond to the simplified system Ceq,k ˙vk = −eT P,kit − IL,k(vk), k ∈ Nβ (15) In both the actuated (14) and unactuated (15) cases, the loads are considered static, nonlinear voltage-dependent current sources which are described by class C0 functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In this work, we utilise the standard ZIP-model comprising constant impedance, constant current and constant power parts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that other continuous functions may also be used without restriction3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As described in [33, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 110– 112], we define a critical voltage vcrit, typically set to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='7vRef, below which the loads are purely resistive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thus, IL,k(vk) = \uf8f1 \uf8f2 \uf8f3 Z−1 k vk + Ik + Pk vk , vk ≥ vcrit, Z−1 crit,k · vk, vk < vcrit, (16) Z−1 crit,k := IL,k(vcrit) vcrit = Z−1 k + Ik vcrit + Pk v2 crit , (17) describes a static, nonlinear load which conforms to (3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Lastly, the π-model transmission lines physically con- necting the nodes are governed by the dynamics Lkl˙it,kl = −Rklit,kl + eT P,klv, kl ∈ EP, (18) where it,kl ∈ R, Lkl, Rkl > 0 and (eT P,kl)T = EP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that the line capacitances are included in the equivalent capacitances Ceq,k at the buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' DGU Power Regulator To allow for power sharing between the actuated buses (14) in the sequel, we equip each DGU with a controller 3This includes exponential loads (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [32]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5 Linekl αk ∈ {0, 1} p∗ k vk − + vs,k ik Rk Lk Ck IL,k(vk) + − vk Buckk Busk Ckl 2 Rkl it,kl Lkl Ckl 2 Busl Figure 1: Circuit diagram of a bus comprising a DC-DC buck converter, a filter, and a current source representing a load, connected to a π-model line (blue);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the line capacitances considered to be part of the respective buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' that can regulate the injected power to a desired setpoint p∗ k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This regulator has the form ˙ed,k = αk(p∗ k − pk) vs,k = kP d (p∗ k − pk) + kI ded,k + ˜Rkik + vRef (19) where ed ∈ R, pk = vkik is the actual power injected, ˜R ∈ R is the damping added to the system, and kP d , kI d > 0 are the control parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Combining (19) with (14) yields the nonlinear system describing the actuated agents k ∈ Nα \uf8ee \uf8f0 ˙ed,k Lk˙ik Ck ˙vk \uf8f9 \uf8fb= \uf8ee \uf8f0 0 −vk 0 kI d ˜Rk − Rk − kP d vk −1 0 1 0 \uf8f9 \uf8fb \uf8ee \uf8f0 ed,k ik vk \uf8f9 \uf8fb + \uf8ee \uf8f0 p∗ k kP d p∗ k + vRef −eT k it − IL,k(vk) \uf8f9 \uf8fb (20) Remark 3 (Regulating current or voltage).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Without in- validating the stability analysis in the sequel, the regulator in (19) can be exchanged for simpler, purely linear current or voltage regulators (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [9]–[11]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 4 (Constrained DGU operation).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' If an actuated DGU cannot provide the desired power p∗ k, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' due to current, storage or temperature limitations, the DGU may simply set its actuation state αk = 0 to disable its control.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' If some power can still be supplied, it may simply be regarded as a negative load.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This allows DGUs to contribute to the power supply of the network, even in the face of control limitations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Control Problem A central requirement for DC microgrids is voltage stability, which requires the bus voltages to remain within a given tolerance band around the reference vRef.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Spe- cifically, this requirement should be met throughout the network, and not only at the actuated buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Due to the presence of lossy lines, power flows are associated with voltage differences between buses, meaning that vk → vRef, ∀k ∈ N is not practical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Ideally, the voltages at all buses should be arrayed in the tolerance band around vRef and be as close to vRef as possible4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The manipulated variables used to achieve this are the power setpoints p∗ k supplied to the actuated DGUs (19).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This leads to the first objective for the control of the DC microgrid, which involves finding the setpoints p∗ k that ensure the weighted average voltage equals vRef at steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Objective 1 (Weighted voltage consensus).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Find p∗ k s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' lim t→∞ 1 N � k∈N h(vk(t)) = vRef (21) for a strictly increasing weighting function h : R → R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' By choosing a nonlinear h, large voltage errors may be weighed more strongly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This allows for better utilisation of the tolerance band since bus voltages can be further from vRef before registering as a significant error.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In addition to Objective 1, it is desired that all actuated DGUs contribute towards supplying and stabilising this network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Ensuring that all DGUs receive the same setpoint spreads the load across actuated buses, leading to a reduc- tion in localised stress on the DGUs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We thus formulate the second objective as requiring uniform setpoints for the DGUs in steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Objective 2 (Cooperative power sharing).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' lim t→∞(p∗ k(t) − p∗ l (t)) = 0, ∀ k, l ∈ N (22) Achieving Objectives 1 and 2 thus yields a controlled microgrid where the average weighted voltage error of all buses tends to zero through the coordinated action of the actuated buses in a distributed fashion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' These objectives also allow DGUs to transition seamlessly between actuated and unactated states and ensure no measurement inform- ation is discarded simply because a bus cannot regulate itself.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Notice that disregarding the unactuated buses in Objectives 1 and 2 yields the objectives typically used in the literature [4], [6], [12]–[14], [16], [17], [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' To achieve these objectives, we make the following assumptions related to appropriate network design.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Assumption 1 (Feasible network).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The available power sources can feasibly supply the loads with power over the 4The magnitude of the errors vRef − vk strongly depend on the loads and line resistance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Small errors therefore presuppose adequate network design.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 6 hw hw DDA2,1 DDA2,N PI1 PIN DDA4,1 DDA4,N DC MG Stage 1 Stage 2 Stage 3 Stage 4 uw uw,1 uw,N yw,1 yw,N ya,2,1 ya,2,N yc,1 yc,N ya,4,1 ya,4,N p∗ v − vRef1N + Figure 2: Distributed four-stage control connected in feed- back to the microgrid and with indicated communication links between the local control structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' given electrical network, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' a suitable equilibrium for the microgrid exists.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Assumption 2 (Number of actuated DGUs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' At least one DGU is actuated at any given time, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Nα ̸= ∅.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Assumption 3 (Connected topologies).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Objectives 1 and 2 only apply to a subset of buses electrically connected as per GP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, for a distributed control, a connected communication graph exclusively interconnects the same subset of buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that Assumption 1 is a typically made implicitly or explicitly in the literature (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the discussion in [16]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Assumptions 2 and 3 further specify requirements that allow a distributed control to achieve the feasible state in Assumption 1, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' by ensuring that at least one source of stabilisation is present in the network (Assumption 3), and by ensuring that the coordination corresponds to the network to be controlled Remark 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 5 (Proportional power sharing).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' By normalising the power setpoint p∗ k and weighing the input in (19) according to the rated power of a given DGU, Objective 2 automatically describes a proportional power sharing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' With reference to Remark 4, this also allows the constrained DGUs to lower their maximum injectable power instead of setting the DGUs to the unactuated state αk = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We omit the extension to proportional power sharing in this work for simplicity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Control Structure To meet Objectives 1 and 2, we propose the four- stage control structure depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This control structure comprises two DDA implementations separated by agent PI controllers local to the buses as in [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This is prepended by a nonlinear weighting function hw.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In the Sections IV-A, IV-B and IV-C, we successively introduce these respective subsystems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally in Section IV-D, we show that the control structure meets the objectives.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' DDA Controller Consider the communiation graph GC = (N, EC) linking the buses of the DC microgrid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The communication graph comprises the same vertices as the physical interconnection graph GP but possibly with a different topology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let LC denote the Laplacian of GC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For Stages 2 and 4 of the control structure, each agent implements an instance of the DDA5 described in [34].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The instances of the respective stages may be combined into vector form as DDAs \uf8f1 \uf8f4 \uf8f2 \uf8f4 \uf8f3 � ˙xa,s ˙za,s � = � −γaIN −LC,P LT C,I −LC,I 0 �� xa,s za,s � + � γaIN 0 � ua,s, ya,s = xa,s, (23) where s ∈ {2, 4} denotes the stage in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2, and xa,s, za,s ∈ RN are the consensus and integral states respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, γa > 0 is a global estimator parameter (see [34]), and LC,I = kI aLC and LC,P = kP a LC are Laplacian matrices weighted for the integral and pro- portional responses, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Recall from [34] that a constant input ua,s yields lim t→∞ ya,s,k = uT a,s1N N , ∀ k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (24) B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Agent PI Controller In Stage 3, we equip each bus k ∈ N with a leaky agent PI controller similar to the approach in [35] PIk � ˙xc,k = −ζcxc,k + uc,k, yc,k = kI cxc,k + kP c uc,k, (25) where xc,k ∈ R, ζc ≥ 0 and kP c , kI c > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that ζc = 0 reduces (25) to an ideal PI controller.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The combined form of the N agent controllers is ˙xc = −ζcxc + uc, yc = kI cxc + kP c uc (26) Remark 6 (Non-ideal integrators).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As shown in the sequel, ideal PI controllers only exhibit an IFP property, whereas the DDA controller is OFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The interconnection in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2 thus yields a cascaded IFP-OFP structure which obstructs the dissipativity analysis (see Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The use of leaky integrators (ζc > 0) overcomes this obstacle at the cost of negatively affecting the steady-state properties, since (25) forces the equilibrium uc = ζcxc (27) instead of uc = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In the context of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2, this corresponds to a unwanted steady-state offset for the average weighted voltage error.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 7 (Agent PI controller anti-windup).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' To prevent controller windup, the input to the PI control in (25) should be zeroed for any unactuated agents that are disconnected from the communication network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 8 (Non-participating agents).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Implementing (25) at each bus k ∈ N allows for a faster reaction to disturbances at the cost of controller redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' By setting ua,4,m := ya,4,m at Stage 4 DDA of the control structure 5We implement the PI-DDA variant proposed in [34] and use the same communication graph for the proportional and integral terms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 7 u y hw(u) dhw(u) duw Figure 3: Example of the weighting function hw (28) and its derivative (58) on a unit grid, with aw = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='5, bw = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='5 and cw = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' for some agents m ∈ M ⊂ N, the PI control (25) can be omitted at the agents in M without affecting the steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Nevertheless, the measurements of the buses in k ∈ M are still included in the Stage 2 DDA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that at least one participating agent PI controller is required (see [23, Remark 8]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Weighting Function To allow for a better utilisation of the tolerance band around vRef, we desire a weighting function that assigns a low gain for errors within the tolerance band and a high gain for larger errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We therefore define the class C1 function yw,k = hw(uw,k) conforming to (3), where hw(u) := awu + bwgw(u) − bw tanh(gw(u)), (28) gw(u) := \uf8f1 \uf8f2 \uf8f3 u + cw, u < −cw 0, −cw ≤ u ≤ cw u − cw, cw < u (29) and where (29) describes a dead-zone parametrised by cw.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' An example of (28) is depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3 along with its derivative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For a strictly increasing function as per Objective 1, set aw > 0 and bw > −aw.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Equilibrium Analysis In a first step towards analysing the closed loop, we analyse the assumed equilibrium of the interconnected microgrid and four-stage controller (see Assumption 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Specifically, we verify that the proposed control yields an equilibrium which satisfies Objectives 1 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 8 (Controller equilibrium analysis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Con- sider the DC microgrid comprising (15), (18), and (20) which is connected in feedback with the four-stage con- troller comprising (23), (26), and (28) as in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let Assumptions 1, 2 and 3 hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Then, Objective 2 is met for the equilibrium imposed by the control structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, Objective 1 is achieved exactly for ideal integrators ζc = 0 in (26).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For lossy integrators with ζc > 0, the remaining error for Objective 1 is be described by the steady-state value of ya,2, where ya,2 = ζc kIc(1 + ζckPc )ya,4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (30) The proof of Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 8 can be found in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Through Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 8 we thus confirm that the proposed con- troller yields an equilibrium which meets the requirements, even though the requirements are not perfectly met when leaky agent PI controllers are used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We also note that Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 8 only considers the controlled microgrid already in equilibrium and does not consider the convergence to the equilibrium.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 9 (Compensating leaky-integral errors).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As in- dicated by (30) in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 8, the leaky agent PI controllers result in a constant steady-state error for the average voltage regulation (Objective 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Since a positive ya,2 cor- responds to voltages below the desired vRef, it follows that setting vRef above the actual desired voltage reference will result in higher bus voltages.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Changing vRef thus allows the steady-state effects of the leaky integrators to be compensated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, notice that ya,4 is the controller output, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the power setpoint p∗ used for the DGUs (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thus, the error measure in (30), which is only dependent on the controller output, can be used to determine the offset to vRef for exact voltage regulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note, however, that modifying vRef based on p∗ results in a new loop which requires an additional stability analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Subsystem Passivity Analysis Having verified whether the desirable steady state is achieved by the controller, we now set about analysing the convergence to this steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' With the aim of applying Theorem 6 for the closed-loop stability, we first analyse the passivity properties of the individual subsystems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Since the steady-state bus voltages ˆvk are unknown and non- zero, we investigate the passivity properties shifted to any plausible point of operation using EIP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' To this end, we construct an EIP formulation for the DC microgrid from its constitutive elements in Section V-A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This is followed by the respective analyses of the various controller stages in Section V-B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that we omit the bus indices k and l in this section where clear from context.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' DC Microgrid Passivity For the stability of the microgrid at the equilibrium ˆv, we desire an EIP property relating the shifted input power setpoints ˜p∗ = p∗ − ˆp∗ to the output voltage errors ˜v = v − ˆv of all nodes, since this port (˜p∗, ˜v) is used by the controller in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' To this end, we derive EIP properties for the load, DGU and line subsystems of the microgrid, making sure to shift the subsystem dynamics to the assumed equilibrium in each case (see Assumption 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thereafter, we combine the results of these subsystems, to construct an EIP property for the microgrid as a whole.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Where applicable, an analysis of the zero-state dynamics is performed to ensure the eventual stability of the controlled microgrid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 1) Load Passivity: Let the unactuated bus dynamics in (15) for the buses in Nβ be shifted to the equilibrium (ˆit, ˆv), yielding Ceq ˙˜v = −eT P,k˜it − ˜IL(˜v) + (eT P,kˆit + IL(ˆv)), (31) 8 for the static load function shifted according to (3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In (31), eT P,kˆit = −IL(ˆv) since the load is fully supplied by the cumulative line currents in steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 9 (Load EIP).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The shifted load dynamics in (31) are OFP(ρL) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the input-output pair (−eT P,k˜it, ˜v) with ρL = cL the smallest gradient of the static load function IL(v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider the storage function SL along with its time derivative SL = Ceq 2 ˜v2, (32) ˙SL = −˜veT P,k˜it − ˜v ˜IL(˜v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (33) Since the static load function IL(v) is IF-OFP according to Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5, it is bounded from below by cL˜v2 ≤ ˜v ˜IL(˜v) (see (6)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Incorporate this lower bound into (33) to obtain ˙SL ≤ wL := −˜veT P,k˜it − cL˜v2 (34) which yields the OFP property from Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Remark 10 (ZIP load passivity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 9 and (4) demon- strate that the passivity properties of the unactuated buses are directly linked to the smallest gradient of the load function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For the ZIP load in (16), this yields cL = min � Z−1, Z−1 − P v2 crit , Z−1 crit � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (35) Considering the strictly passive case (cL = 0) along with I, P ≥ 0 yields the passivity condition Z−1v2 crit ≥ P frequently used in the literature [10], [16], [18]–[20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2) DGU Passivity: Shift the states (e, i, v) and inputs (p∗, it) of the DGU dynamics in (20) for the buses in Nα to the respective error variables (˜e,˜i, ˜v) and (˜p∗,˜it) to obtain (36) on the next page, where the static load function is incorporated into the matrix Ad.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, the measured power p = vi = v(˜i + ˆi) in (19) is left partially in unshifted variables such that Ad is also dependent on the unshifted voltage v and the steady-state current ˆi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that the constant τd in (36) is found by setting the error variables (˜p∗,˜it, ˜ed,˜i, ˜v) and their time derivatives to zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As such, the constant τd ≡ 0 can be disregarded in the passivity analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We now analyse the shifted nonlinear system in (36) for EIP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Theorem 10 (EIP DGUs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The shifted DGU dynamics in (36) are simultaneously IF-OFP(νd,1, ρd) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the input- output pair (˜p∗, ˜v) and IFP(νd,2) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the input-output pair (−eT k ˜it, ˜v), if a feasible solution can be found for max Pd, νd,1, νd,2, ρd νd,1 + νd,2 + ρd s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (38) holds ∀ v ∈ V ⊆ R+, ∀ˆi ∈ ˆI ⊆ R (37) where Qd(v,ˆi, cL) := PdAd(v,ˆi, cL) + AT d (v,ˆi, cL)Pd, Ad(v,ˆi, cL) = \uf8ee \uf8f0 0 −v −ˆi kI d ˜R − R − kP d v −1 − kP c ˆi 0 1 −cL \uf8f9 \uf8fb , (39) and with νd,1, νd,2, ρd ∈ R, cL as in (4) and cd = [0, 0, 1]T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider for (36) the storage function Sd = \uf8ee \uf8f0 ˜ed ˜i ˜v \uf8f9 \uf8fb T Pd \uf8ee \uf8f0 ˜ed L˜i Ceq˜v \uf8f9 \uf8fb , (40) with Pd ≻ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The time derivative of (40) is ˙Sd = \uf8ee \uf8f0 ˜xd ˜p∗ eT P,k˜it \uf8f9 \uf8fb T\uf8ee \uf8ef\uf8f0 Qd(v,ˆi, ˜IL(˜v) ˜v ) Pdbd,1 Pdbd,2 bT d,1Pd 0 0 bT d,2Pd 0 0 \uf8f9 \uf8fa\uf8fb \uf8ee \uf8f0 ˜xd ˜p∗ eT P,k˜it \uf8f9 \uf8fb, (41) with ˜xd as in (36).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Since it follows from (6) that −˜v ˜IL(˜v) ≤ −cL˜v2, this bound can be incorporated into the inequality ˙Sd ≤ \uf8ee \uf8f0 ˜xd ˜p∗ eT P,k˜it \uf8f9 \uf8fb T\uf8ee \uf8f0 Qd(v,ˆi, cL) Pdbd,1 Pdbd,2 bT d,1Pd 0 0 bT d,2Pd 0 0 \uf8f9 \uf8fb \uf8ee \uf8f0 ˜xd ˜p∗ eT P,k˜it \uf8f9 \uf8fb.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (42) The desired IF-OFP and IFP properties for the DGU are described by the supply rate wd = (1 + νd,1ρd)˜p∗˜v − νd,1(˜p∗)2 − ρd˜v2 − ˜veT P,k˜it − νd,2 � eT P,k˜it �2 (43) These properties are guaranteed, if ˙Sd−wd < 0 for all valid inputs and outputs and for v ∈ V and ˆi ∈ ˆI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Combining (42) and (43) in this manner directly leads to constraint (38) in (37).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, the objective function in (37) seeks to find the largest indices for which the constraints are satisfied in a similar manner to Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Although Theorem 10 demonstrates the EIP of the actuated buses, notice that the ˜ed and ˆi of (36) are not included in the supply rate wd in (43).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As such, an investigation of the zero state dynamics of the DGU is required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 11 (ZSO DGUs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The shifted DGU dynam- ics in (36) are ZSO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In (36), set the inputs ˜p∗ ≡ 0, ˜it ≡ 0 and the output ˜v ≡ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Since τd = 0 and ˜IL(0) = 0, verify from the equation for ˙˜v that ˜i ≡ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' From the equation for ˙˜i, it then follows that ˜ed ≡ 0 which concludes this proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Remark 11 (Compensating non-passive loads).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As demonstrated in [11], adding a term dependent on ˙vk to the regulator output vs,k in (19) allows for damping to be added to the unactuated state vk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This in turn allows for regulation in the presence of non-passive loads and can yield more favourable passivity indices when applying Theorem 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3) Line Passivity: The dynamics of the line subsystem (18) shifted to the equilibrium (ˆit, ˆv) yield Lkl˙˜it = −Rkl˜it + eT P,kl˜v, (44) which can now be analysed for passivity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 9 \uf8ee \uf8f0 ˙˜ed L˙˜i Ceq ˙˜v \uf8f9 \uf8fb= \uf8ee \uf8ef\uf8f0 0 −v −ˆi kI d ˜R−R−kP d v −1−kP c ˆi 0 1 − ˜IL(˜v) ˜v \uf8f9 \uf8fa\uf8fb � �� � Ad(v,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='ˆi,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ˜IL(˜v) ˜v ) \uf8ee \uf8f0 ˜ed ˜i ˜v \uf8f9 \uf8fb ���� ˜xd + \uf8ee \uf8f0 1 kP d 0 \uf8f9 \uf8fb ���� bd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1 ˜p∗ − \uf8ee \uf8f0 0 0 1 \uf8f9 \uf8fb ���� bd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2 eT P,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='k˜it + \uf8ee \uf8f0 ˆp∗ − ˆvˆi kI c ˆed + ( ˜R−R)ˆi − ˆv + vRef − kP c (ˆp∗ − ˆvˆi) ˆi − eT P,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='kˆit − IL(ˆv) \uf8f9 \uf8fb � �� � τd (36) \uf8ee \uf8f0 Qd(v,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='ˆi,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' cL) + ρdcdcT d Pdbd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1 − 1+νd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1ρd 2 cd Pdbd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2 − 1 2cd bT d,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1Pd − 1+νd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1ρd 2 cT d νd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1 0 bT d,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2Pd − 1 2cT d 0 νd,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2 \uf8f9 \uf8fb ≺ 0,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Pd ≻ 0 (38) Proposition 12 (OFP lines).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The shifted line dynamics in (44) are OFP(ρt) with ρt = Rkl w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the input-output pair (eT P,kl˜v,˜it) with the storage function St = Lkl 2 ˜i2 t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (45) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The proof follows trivially by verifying that ˙St = ˜iteT P,kl˜v − Rkl˜i2 t =: wt, (46) where wt in an OFP supply rate as per Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ 4) Interconnected Microgrid Dissipativity: Having sep- arately analysed the subsystems comprising the microgrid, we now combine the results to formulate the dissipativity of the full microgrid w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the input-output pair (˜p∗, ˜v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For simplicity, we group the buses according to their actuation states (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thus, ˜p∗ = [ ˜p∗ α T , ˜p∗ β T ]T and ˜v = [˜vT α , ˜vT β ]T have the same dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that we include the inputs ˜p∗ β for the unactuated buses in Nβ as provided by the four-stage controller (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2), even though these inputs are not used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 13 (Microgrid dissipativity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A DC mi- crogrid comprising DGUs (20), lines (18) and loads (15) with an interconnection topology described by a connected graph GP is dissipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the supply rate wM,αβ = (1 + νd,1ρd)˜p∗ α T ˜vα − νd,1 ˜p∗ α T ˜p∗ α − ρd˜vT α ˜vα − ρL˜vT β ˜vβ, (47) if νd,2 + ρt ≥ 0 for the worst-case indices of the buses and lines calculated in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 9 (ρL), Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 12 (ρt), and Theorem 10 (νd,1, νd,2, ρd), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' νd,1 = min k∈Nα νd,1,k, νd,2 = min k∈Nα νd,2,k, ρd = min k∈Nα ρd,k, ρL = min k∈Nβ ρL,k, ρt = min kl∈EP ρt,k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (48) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Define for the interconnected microgrid the storage function SM = � k∈Nα Sd,k + � k∈Nβ SL,k + � kl∈EP St,kl.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (49) An upper bound for time derivative of (49) may then be found by combining the supply rates in (34), (43) and (46) ˙SM ≤ (1 + νd,1ρd)˜p∗ α T ˜vα − νd,1 ˜p∗ α T ˜p∗ α − ρd˜vT α ˜vα + ˜iT t ET ˜v − ˜vT α Eα˜it − ˜vT β Eβ˜it − ρL˜vT β ˜vβ − (νd,2 + ρt)˜iT t ˜it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (50) The skew-symmetric interconnection of the nodes and lines results in ˜iT t ET ˜v = ˜vT α Eα˜it + ˜vT β Eβ˜it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore with νd,2+ρt ≥ 0, we can drop the unnecessary strictly negative ˜iT t ˜it term and verify that ˙SM ≤ wM,αβ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Through Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 13, the dissipativity of the entire mi- crogrid is formulated using the desired input and output vectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, the supply rate in (47) is dependent on the actuation states of the buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We now remove this dependence by finding a supply rate for a specific bus that encompasses both its actuated and unactuated state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' By considering a quadratic supply rate as a sector condition (see [26], [29]), a combined supply rate is found through the union of the sectors for the actuated and unactuated cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Theorem 14 (Actuation independent passivity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A DC microgrid for which Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 13 holds is IF-OFP(νd,1, ρd) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the supply rate wM = (1 + νd,1ρd)˜p∗T ˜v − νd,1 ˜p∗T ˜p∗ − ρd˜vT ˜v (51) if, for an arbitrarily small νL > 0, 0 ≤ νd,2 + ρt, (52) 0 < ρL < 1, (53) 0 > νd,1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (54) The proof of Theorem 14 can be found in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Through (51), we thus show that a single IF-OFP supply rate describes the input-output passivity of the entire microgrid, irrespective of the states of actuation of the buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This supply rate is derived from the properties of the DGUs in Theorem 10 and accounts for the worst-case loads.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 12 (Non-passive loads at DGUs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' While (53) in Theorem 14 requires strictly passive loads at unactuated buses, this is not required for the loads at actuated buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 10 Indeed, the loads at DGUs may exhibit a lack of passivity with cL < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, this would be reflected by the indices obtained in Theorem 10 and the supply rate in (51).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 13 (Non-static loads).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Due to the use of passivity in this section, the analysis presented here effortlessly extends to the case of dynamic loads.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Such dynamic loads simply need to exhibit equivalent IFP properties (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 9) and must be ZSO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Remark 14 (Passivity-based controllers).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In addition to the four-stage controller proposed in this work, the passivity formulation of the DC microgrid in Theorem 14 can be used alongside any other controller which provides suitable passivity indices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This includes methods such as interconnection and damping assignment passivity-based control [24, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 190] or passivity-based model predictive control (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [36]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Controller Passivity Having analysed the passivity of the microgrid subsys- tems and their interconnection, we now investigate the passivity properties of the control structure in Section IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This is done successively for each part of the controller: the DDA stages, the PI stage and the weighting function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 1) DDA Passivity: Consider the DDA stages in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 15 (DDA Passivity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The DDA controller in (23) with the storage function Sa,s = 1 2γa � xT a,sxa,s + zT a,sza,s � (55) is OFP(ρa), ρa = 1, w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (ua,s, ya,s) and is ZSO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The time derivative of (55) is ˙Sa,s = −xT a,sxa,s − 1 γa xT a,sLC,P xa,s + xT a,sua,s ≤ wa,s := xT a,sua,s − xT a,sxa,s (56) since LC,P > 0 and γa > 0, thus verifying the OFP property for ya,s = xa,s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, the DDA controller is ZSO since the system dynamics in (23) is Hurwitz [34, Theorem 5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ The OFP result in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 15 also means that (23) has an L2-gain of 1 [28, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that since the DDA in (23) is linear, the properties in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 15 also hold for the shifted input-output combination (˜ua,s, ˜ya,s) [28, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2) PI Passivity: The ideal PI controller in (26) with ζc = 0 can trivially be shown to be IFP(kP c ) for the storage function Sc = kIcxTc xc/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The leaky PI control with ζc > 0 exhibits the following properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Proposition 16 (Leaky PI Passivity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The leaky PI control in (26) with the storage function Sc = kIcxTc xc/2 is dissipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' the supply rate wc = � 1+2ζckP c kIc � � �� � 2σc uT c yc − � kP c +ζckP c 2 kIc � � �� � νc uT c uc − ζc kIc ���� ρc yT c yc (57) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Calculate the time derivative of Sc as ˙Sc = kI cxT c uc −ζckI cxT c xc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Substitute in kI cxc = yc −kP c uc from the output in (26) and simplify to verify that ˙Sc = wc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Note that while wc in (57) has a quadratic form, it does not directly match the IF-OFP form in Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' How- ever, by appropriately weighing the storage function Sc, the form in Definition 2 is easily obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For simplicity and without invalidating the results in the sequel, we omit this step here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, we note that the linearity of (26) ensures that the properties in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 16 also hold for the shifted input-output combination (˜uc, ˜yc) [28, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3) Weighting Function Passivity: The derivative of the weighting function in (28) is described by (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3) dyw duw = aw + bw tanh2(gw(uw)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (58) By setting bw > −aw and applying Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5, (28) is found to be IF-OFP(νw, ρw) with νw = aw, ρw = 1 aw + bw , (59) VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Interconnected Stability Using the passivity properties of the microgrid and controller subsystems obtained in Section V, we now in- vestigate the stability of the microgrid and controller interconnected as in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, we note that the agent PI controller and the Stage 4 DDA controller ex- hibit a cascaded IFP-OFP obstacle (see Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 7) if the PI controller is ideal (ζc = 0) which prevents a closed- loop analysis with dissipativity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thus, in Section VI-A, we derive stability conditions using leaky agent PI controllers with ζc > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Leaky PI-Controlled Stability Consider the case where the passivity properties of all subsystems in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2 except for the weighting function (28) are fixed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Combining the results in Section V with Theorem 6, we now determine the weighting function parameters which guarantee closed-loop stability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Theorem 17 (Designed closed-loop stability).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The closed-loop in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2 is guaranteed to be asymptotically stable for the weighting function parameters aw = νw, bw = 1/ρw − aw if a feasible solution is found for min νw, ρw, di, νw + ρw s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Q ≺ 0, di > 0, i = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' , 5, (60) where σw = 1/2(1 + νwρw), σd = 1/2(1 + νd,1ρd), and Q= \uf8ee \uf8ef\uf8ef\uf8ef\uf8ef\uf8ef\uf8f0 −ρwd1 d2 2 0 0 −σwd1 d2 2 −ρad2−νcd3 σcd3 0 0 0 σcd3 −ρcd3 kP c d4 2 0 0 0 kP c d4 2 −ρad4−νd,1d5 σdd5 −σwd1 0 0 σdd5 −ρdd5−νwd1 \uf8f9 \uf8fa\uf8fa\uf8fa\uf8fa\uf8fa\uf8fb (61) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Use the supply rates for the DC microgrid in (51), the two DDA controllers in (56), the agent PI controller 11 in (57), and the IF-OFP supply rate for the weighting function (59) to construct W in (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Let the output of the PI controller be normalised according to yc = kI cxc + kP c uc = kP c (κI cxc + uc) = kP c yκ c .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (62) Furthermore, the five subsystems in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2 are intercon- nected by u = Hy, where H = \uf8ee \uf8ef\uf8ef\uf8ef\uf8ef\uf8f0 0 0 0 0 −1 1 0 0 0 0 0 1 0 0 0 0 0 kP c 0 0 0 0 0 1 0 \uf8f9 \uf8fa\uf8fa\uf8fa\uf8fa\uf8fb .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (63) Apply Theorem 6, with D as in (9) and simplify Q in (8) to obtain (61).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This yields the optimisation problem (60), where the indices of the weighting function (νw, ρw) are configurable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Asymptotic stability is ensured by changing the matrix inequality in (7) to a strict inequality and by ensuring that any states not present in y are asymptot- ically stable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The latter condition is ensured through the zero-state analyses in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 11 and Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 15 and through the condition in Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, the parameters aw and bw are calculated from (59).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Through the application of Theorem 17, the parameters for the weighting function can thus be designed to ensure stability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We highlight that the results in Section V and Theorem 17 hold irrespective of the physical or commu- nication topologies and are independent of the actuation states of the nodes, as long as Assumptions 2 and 3 hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Therefore, verifying Theorem 17 ensures robust- ness against any changes which do not alter the worst- case passivity indices of the respective subsystems (see (48)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that the presented stability analysis requires strictly passive loads and leaky agent PI controllers (see Remark 6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' As demonstrated via simulation, these require- ments are sufficient for stability, but not necessary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Simulation In this section, we demonstrate the coordination and robustness of the proposed control structure by means of a Matlab/Simulink simulation using Simscape com- ponents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We consider the network comprising 10 buses depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In Section VII-A, we describe the setup of the simulation along with the various changes that the network is subjected to.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Next, in Section VII-B, simula- tion results are presented for the case where Theorem 17 holds, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' with strictly passive loads and leaky agent PI controllers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, in Section VII-C, we show the robust stability of the proposed control structure for passive loads and ideal agent PI controllers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Simulation Setup The DC microgrid in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4 is simulated with the parameters in Table I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The ZIP load parameters are chosen randomly in the specified ranges such that the required passivity measures are fulfilled (see Remark 10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Table I: Simulation Parameter Values Voltages vRef = 380 V vcrit = 266 V DGU Filters (14) Rk = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2 Ω Lk = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='8 mH Ck = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2 mF ZIP Loads (16) |Z−1| ≤ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1/Ω |I| ≤ 21 A |P | ≤ 3 kW Elec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Lines (18) Rkl = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1 Ω/km Lkl = 2 µH/km Ckl = 22 nF/km length ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 10] km Table II: Controller Parameter Values Power PI Control (19) kP d = 90 kI d = 90 ˜R = −8 DDA Control (23) kP a = 50 kI a = 100 γa = 16 Agent PI Control (26) kP c = 160 kI c = 600 ζc = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='08 Weighting Function (28) aw = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1 bw = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='1 cw = 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='5 V Furthermore, typical values are used for the DGUs and the lines [4], [9], [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The lines exhibit the same per kilometer parameter values and the line length are chosen randomly in the given interval.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The line lengths are given in Appendix B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The simulation starts off in State A (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4) with Bus 9 connected and with all states at zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The following changes are made at the indicated times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' t = 5 s: The actuation states αi of the buses switches from State A to State B and Bus 9 is disconnected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' t = 10 s: The communication topology switches from State A to State B and Bus 10 is connected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' t = 15 s: The electrical topology switches from State A to State B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' t = 20 s: The bus actuation status along with the com- munication and electrical topologies revert to State A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Bus 9 is connected and Bus 10 is disconnected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, at each change, half of the buses are ran- domly selected and assigned new ZIP load parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The ZIP load parameters can be found in Appendix B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The parameters for the closed-loop controller, as spe- cified in Table II, are designed constructively, starting from the microgrid subsystems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' First, the passivity indices for the lines (ρt = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='01) and loads (ρL = cL = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='05) are cal- culated from Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 12 and Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 9, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Next, the parameters for the power regulator (19) are chosen and the DGU passivity indices are calculated from Theorem 10, with the optimisation verified for the practically relevant intervals v ∈ [200 V, 550 V] and ˆi ∈ [10 A, 350 A].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that adding the restriction νd,2 ≥ −ρt to the optimisation in Theorem 10 ensures that (52) will be met.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This yields a solution νd,1 = −4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='686, νd,2 = −0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='01 and ρd = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='01, from which the microgrid supply rate is constructed as per Theorem 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Finally, parameters for the agent PI con- trollers are chosen and the weighting function parameters are designed using Theorem 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that Theorem 14 requires strictly passive loads (cL > 0) and Theorem 17 necessitates leaky integrators (ζc > 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 12 1 2 3 4 5 6 7 8 9 10 d d d d State A 1 2 3 4 5 6 7 8 9 10 d d d d State B d Bus Active DGU Electrical line Communication line 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='5 1 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='5 1 Figure 4: Two different states for a 10-bus DC microgrid along with electrical and communication connections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The loads at the buses are omitted for clarity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 0 5 10 15 20 25 340 360 380 400 420 Figure 5: Simulated bus voltages with line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 0 5 10 15 20 25 0 40 80 Figure 6: Simulated weighted voltage errors and the av- erage error of connected agents with agent line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Results The bus voltages vk shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5 confirm the stability of the closed loop results, although the voltages tend to be lower than desired, due to the use of leaky integrators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The remaining steady-state offset can also be seen in the weighted errors plotted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 6, where the average tends towards a non-zero value in each instance (see Remark 6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Despite this, the four stage controller reaches a consensus on the average of the nonlinear weighted voltage errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, the advantage of the weighting function can be seen at Bus 6 in t ∈ [20 s, 25 s), where a significant weighted error only appears in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 6 when the voltage in 0 5 10 15 20 25 0 1x104 2x104 3x104 4x104 Figure 7: Simulated outputs of the local agent controllers with line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 0 5 10 15 20 25 0 10 20 30 40 Figure 8: Simulated power setpoints with line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5 is not close to vRef.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that the voltages of Buses 9 and 10 are at 0 V during the respective periods where they are disconnected and not actuated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 7, the outputs of the agent controllers show that no synchronisation of the agent controllers are required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The agent controller outputs at Buses 1 to 8, which are continuously connected to the communication network, are near identical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, the disconnecting buses, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Bus 9 after t = 5 s, rapidly diverge from other controllers and do not synchronise on reconnect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Despite this, the final stage of the controller ensures cooperation of the buses, as demonstrated in the power setpoints p∗ k in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' When Bus 10 connects at t = 10 s, its setpoint p∗ k rapidly 13 0 5 10 15 20 25 340 360 380 400 420 Figure 9: Simulated bus voltages with ideal PI controllers and with line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 0 5 10 15 20 25 40 0 40 Figure 10: Simulated weighted voltage errors and the average error of connected agents with ideal PI controllers and with agent line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' converges to the coordinated common setpoint used by all connected agents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Although the leaky integrators yield imperfect results (see Remark 6 and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 6), this can be mitigated by choosing a higher vRef.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Indeed, by combining the steady state of the agent PI controller (27) with the DDA steady state (24), we see that injecting power into the system p∗ > 0 results in positive voltage errors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Since we consider (strictly) passive loads, increasing vRef is thus a viable method for correcting the imperfect results whilst retain- ing the advantageous properties of the stability analysis in Theorem 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Robustness Test We now repeat the simulation described in Section VII-A with the following changes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 1) Passive loads with cL = 0 are allowed at all buses, and 2) ideal agent PI controllers with ζc = 0 are used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Under these conditions, Theorem 17 can no longer be used to verify the stability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' However, the stability may still be verified using classical approaches such as evaluating the eigenvalues for the closed loop linearised about the equilibrium.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that the same random seed is used as for the results in Section VII-A, allowing for a comparison between the scenarios to be made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 9 demonstrates the improved consensus achieved by the ideal PI agents, in that the bus voltages are closer to vRef at steady state than in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Moreover, 0 5 10 15 20 25 0 1x104 2x104 3x104 Figure 11: Simulated outputs of the local agent controllers with ideal PI controllers and with line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 0 5 10 15 20 25 0 10 20 30 Figure 12: Simulated power setpoints with ideal PI con- trollers and with line colours as per the legend in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 10 shows that perfect consensus is achieved, where the average error tends to zero in each case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' This figure also demonstrates the robustness against communication interruptions, as is the case for Bus 10 which, for the period t ∈ [5 s, 10 s), is actuated but does not communicate with the other buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Despite this, it is able to accurately regulate its own bus voltage (compared to the imperfect regulation achieved with leaky integrators as in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The lack of leaky integrators is also evident in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 11, where the output of the agent controllers stay constant when a bus is disconnected and not actuated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Lastly, the power setpoints in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 12 converging to a common value for the communicating agents confirm the coordination of the agents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that while tests with non-passive loads can also yield a stable closed loop, instability can occur when the non-passive loads dominate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' To address this, a tar- geted compensation of non-passive loads is required (see Remark 11).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' VIII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Conclusion In this paper, we proposed a four-stage distributed control structure that achieves power sharing in a DC mi- crogrid while ensuring voltage regulation for the voltages of both actuated and unactuated buses.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' We demonstrated how the passivity properties of various subsystems can be determined and combined these in a stability analysis that 14 is independent of topological changes, actuation changes, bus connections or disconnections and load changes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Future work includes the consideration of non-passive loads at arbitrary locations in the microgrid and the construction of an interface to allow for the presented work to be combined with tertiary optimal controllers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Appendix A Proofs Proof of Prop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For the control structure in steady state, ˙xc = 0 and thus yc is constant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The steady-state output (24) of the Stage 4 DDA therefore ensures Objective 2 is achieved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, consider the steady state of the Stage 2 DDA ua,s,k = lim t→∞ hw(vRef − vk), (64) lim t→∞ ya,2,k = uT a,s1N N = lim t→∞ 1 N � k∈N (vRef − h(vk)) , (65) if vk is in equilibrium and where h is obtained by shifting hw by vRef.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that (65) corresponds to the condition of (21) in Objective 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Therefore, ya,2 specifies the regulation error of the average weighted voltage error in steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' From the steady state of the agent PI controller in (26), we have ζcxc = ya,2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Thus, ideal integrators with ζc = 0 ensure that Objective 1 is met exactly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' For ζc > 0, substitute the PI equilibrium into the output of the agent PI controller in (26) to obtain the steady state equation xc = 1 kIc � yc + kP c ya,2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (66) Substitute ζcxc = ya,2 into (24) and simplify to find ya,2 = ζc kIc(1 + ζckPc )yc, (67) for the steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Since the entries of the vector ya,2 and thus of xc and yc are the same at steady state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Therefore the steady state output for the Stage 4 DDA in (24) gives yc = ya,4, which we combine with (67) to obtain the error for Objective 1 in (30).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Proof of Theorem 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider the supply rates which de- scribe the actuated and unactuated states, respectively, for a given bus k ∈ N wM,α,k = (1+νd,1ρd)˜p∗ α,k˜vα,k − νd,1(˜p∗ α,k)2 − ρd˜v2 α,k, (68) wM,β,k = −ρL˜v2 β,k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (69) These allow the microgrid supply rate in (47) to be decomposed according to the actuation states αk wM,αβ = � k∈Nα wM,α,k + � k∈Nβ wM,β,k = � k∈N (αkwM,α,k + (1 − αk)wM,β,k) (70) u y wM,α,k wM,α,k wM,β,k/ρL Figure 13: Comparison of the microgrid supply rate sectors in the proof of Theorem 14 if ρd < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Enlarge the supply rate of the unactuated buses in (69) by adding the positive term νL(˜p∗ β,k)2 for an arbitrarily small νL > 0 such that wM,β,k ≤ wM,β,k = νL(˜p∗ β,k)2 − ρL˜v2 β,k ≤ wM,β,k ρL = νL ρL (˜p∗ β,k)2 − ˜v2 β,k (71) for ρL as in (53).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The supply rate wM,β,k/ρL is equivalent to the L2 supply rate in Definition 2 and is thus bounded by the sector [− � νL ρL , � νL ρL ] [29, Lemma 4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Consider now the supply rate of the actuated agents (68) narrowed down to an IFP sector for the case that ρd < 0, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' wM,α,k ≥ wM,α,k = � wM,α,k, if ρd ≥ 0, ˜p∗ α,k˜vα,k − νd,1(˜p∗ α,k)2, if ρd < 0, (72) such that wM,α,k is sector bounded by [νd,1, 1 ρd ] if ρd > 0 and [νd,1, ∞) if ρd < 0 or if ρd = 0 (see [26, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 231]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A re- lation bewteen wM,α and wM,β/ρL can now be established by comparing their respective sector bounds: wM,β,k ρL ≤ wM,α,k if \uf8f1 \uf8f2 \uf8f3 [− � νL ρL , � νL ρL ] ⊆ [νd,1, 1 ρd ], if ρd > 0, [− � νL ρL , � νL ρL ] ⊆ [νd,1, ∞), if ρd ≤ 0, (73) Since νL can be arbitrarily small, we derive (54) by comparing the lower bounds in (73) and note that the upper bound relation can be met for any ρd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' A visual comparison of the sector conditions is made in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' The combination of (71)–(73) results in wM,β,k ≤ wM,β,k ≤ wM,β,k ρL ≤ wM,α,k ≤ wM,α,k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (74) Therefore, for the microgrid with the storage function SM that is dissipative w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' (47), it holds that ˙SM ≤ wM,αβ ≤ � k∈N wM,α,k = wM, (75) which is found by combining (70) with (74).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' ■ Appendix B Simulation Data The simulation parameters used for the lines in Section VII are given in Table III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Furthermore, the 15 Table III: Rounded Line Lengths Line Length Line Length Line Length 1 – 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='19 km 1 – 4 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='74 km 2 – 3 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='23 km 2 – 4 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='20 km 3 – 5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='14 km 3 – 8 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='82 km 4 – 5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='72 km 4 – 6 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='75 km 4 – 7 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='16 km 6 – 7 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='44 km 6 – 9 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='11 km 7 – 8 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='69 km 8 – 10 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='21 km Table IV: Strictly Passive Load Values Bus Parameter t = 0 s t = 5 s t = 10 s t = 15 s t = 20 s Z−1 (1/Ω) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='103 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='103 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='106 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='106 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='083 1 I (A) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='66 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='15 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='124 8 I (A) 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='85 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='85 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='71 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='71 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='68 P (W) 3529 3529 4773 4773 3832 Z−1 (1/Ω) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} 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+page_content='53 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='26 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='26 P (W) 2645 1830 4215 1549 1549 Z−1 (1/Ω) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='072 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='100 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='100 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='111 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='111 10 I (A) 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='77 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='02 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='02 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='98 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='98 P (W) 3538 4143 4143 2795 2795 strictly passive load parameters for the simulation results in Section VII-B and the passive load parameters for the results in Section VII-C are given in Table IV and Table V, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Note that the P parameter for the loads in Table V are the same as listed in Table IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' References [1] B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Lasseter, “Microgrids [distributed power generation],” in Proc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 2001 IEEE Power Engineering Society Winter Meeting, vol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 1, 2001, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 146–149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [2] J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Justo, F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Mwasilu, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Lee, and J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='-W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Jung, “AC-microgrids versus DC-microgrids with distributed energy resources: A re- view,” Renewable and Sustainable Energy Reviews, vol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 24, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 387–405, 2013.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' [3] L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Meng, Q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Shafiee, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Trecate, H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Karimi, D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Fulwani, X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Lu, and J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Guerrero, “Review on control of DC microgrids and multiple microgrid clusters,” IEEE J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' of Emerging and Selected Topics in Power Electron.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=', vol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 5, no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 3, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' 928–948, 2017.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content=' Table V: Passive Load Values, P as in Table IV Bus Parameter t = 0 s t = 5 s t = 10 s t = 15 s t = 20 s 1 Z−1 (1/Ω) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='091 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='093 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='087 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='087 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='063 I (A) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='66 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='15 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='08 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='08 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='71 2 Z−1 (1/Ω) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='069 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='069 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dNFRT4oBgHgl3EQfTjeD/content/2301.13533v1.pdf'} +page_content='071 0.' metadata={'source': 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b/dtE3T4oBgHgl3EQfegpr/content/tmp_files/2301.04544v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..2e1742a66d9c90efadc590b063df3ea7c694ee15 --- /dev/null +++ b/dtE3T4oBgHgl3EQfegpr/content/tmp_files/2301.04544v1.pdf.txt @@ -0,0 +1,1004 @@ +arXiv:2301.04544v1 [cs.GT] 11 Jan 2023 +Optimal Impartial Correspondences +Javier Cembrano∗ +Felix Fischer† +Max Klimm‡ +Abstract +We study mechanisms that select a subset of the vertex set of a directed graph in order to +maximize the minimum indegree of any selected vertex, subject to an impartiality constraint +that the selection of a particular vertex is independent of the outgoing edges of that vertex. +For graphs with maximum outdegree d, we give a mechanism that selects at most d + 1 +vertices and only selects vertices whose indegree is at least the maximum indegree in the +graph minus one. We then show that this is best possible in the sense that no impartial +mechanism can only select vertices with maximum degree, even without any restriction +on the number of selected vertices. We finally obtain the following trade-off between the +maximum number of vertices selected and the minimum indegree of any selected vertex: +when selecting at most k vertices out of n, it is possible to only select vertices whose indegree +is at least the maximum indegree minus ⌊(n − 2)/(k − 1)⌋ + 1. +1 +Introduction +Impartial selection is the problem of selecting vertices with large indegree in a directed graph, +in such a way that the selection of a particular vertex is independent of the outgoing edges of +that vertex. The problem models a situation where agents nominate one another for selection +and are willing to offer their true opinion on other agents as long as this does not affect their +own chance of being selected. +The selection of a single vertex is governed by strong impossibility results. For graphs with +maximum outdegree one, corresponding to situations where each agent submits a single nomi- +nation, every impartial selection rule violates one of two basic axioms [11] and as a consequence +must fail to provide a non-trivial multiplicative approximation to the maximum indegree. For +graphs with arbitrary outdegrees, corresponding to situations where each agent can submit mul- +tiple nominations, impartial rules violate an even weaker axiom and cannot provide a non-trivial +approximation in a multiplicative or additive sense [1, 8]. These impossibilities largely remain in +place if rather than a single vertex we want to select any fixed number of vertices, but positive +results can be obtained if we relax the requirement that the same number of vertices must be +selected in every graph [4, 18]. +From a practical point of view, the need for such a relaxation should not necessarily be a +cause for concern. Indeed, situations in the real world to which impartial selection is relevant +often allow for a certain degree of flexibility in the number of selected agents. The exact number +of papers accepted to an academic conference is usually not fixed in advance but depends on +the number and quality of submissions. Best paper awards at conferences are often given in +overlapping categories, and some awards may only be given if this is warranted by the field of +candidates. The Fields medal is awarded every four years to two, three, or four mathematicians +under the age of 40. Examples at the more extreme end of the spectrum of flexibility include +the award of job titles such as vice president or deputy vice-principal. Such titles can often be +∗Institut für Mathematik, Technische Universität Berlin, Germany +†School of Mathematical Sciences, Queen Mary University of London, UK +‡Institut für Mathematik, Technische Universität Berlin, Germany +1 + +given to a large number of individuals at a negligible cost per individual, but should only be +given to qualified individuals so as not to devalue the title. +Tamura and Ohseto [18] specifically studied what they call nomination correspondences, +i.e., rules that may select an arbitrary set of vertices in any graph. For graphs with maximum +outdegree one a particular such rule, plurality with runners-up, satisfies impartiality and ap- +propriate versions of the two axioms of Holzman and Moulin [11]. The rule selects any vertex +with maximum indegree; if there is a unique such vertex, any vertex whose indegree is smaller +by one and whose outgoing edge goes to the vertex with maximum indegree is selected as well. +An appropriate measure for the quality of rules that select varying numbers of vertices is the +difference in the worst case between the best vertex and the worst selected vertex, and we can +call a rule α-min-additive if the maximum difference, taken over all graphs, between these two +quantities is at most α. In this terminology, plurality with runners-up is 1-min-additive. +As Tamura and Ohseto point out, it may be desirable in practice to ensure that the maximum +number of vertices selected is not too large, a property that plurality with runners-up clearly +fails. It is therefore interesting to ask whether there exist rules that are α-min-additive and +never select more than k vertices, for some fixed α and k. +For graphs with outdegree one, +Tamura and Ohseto answer this question in the affirmative: a variant of plurality with runners- +up that breaks ties according to a fixed ordering of the vertices remains 1-min-additive but never +selects more than two vertices. +Our Contribution +Our first result provides a generalization of the result of Tamura and Ohseto +to graphs with larger outdegrees: for graphs with maximum outdegree d, it is possible to achieve +1-min-additivity while selecting at most d+1 vertices. For the particular case of graphs with un- +bounded outdegrees we obtain a slight improvement, by guaranteeing 1-min-additivity without +ever selecting all vertices. Our second result establishes that 1-min-additivity is best possible, +thus ruling out the existence of impartial mechanisms that only select vertices with maximum in- +degree. This holds even when no restrictions are imposed on the number of selected vertices, and +is shown alongside analogous impossibility results concerning the maximization of the median or +mean indegree of the selected vertices instead of their minimum indegree. Our third result pro- +vides a trade-off between the maximum number of vertices selected, where smaller is better, and +the minimum indegree of any selected vertex, where larger is better: if we are allowed to select +at most k vertices out of n, we can guarantee α-min-additivity for α = ⌊(n−2)/(k−1)⌋+1. This +is achieved by removing a subset of the edges from the graph before plurality with runners-up +is applied, in order to guarantee impartiality while selecting fewer vertices. We do not know +whether this last result is tight and leave open the interesting question for the optimal trade-off +between the number and quality of selected vertices. +Related Work +Impartiality as a property of an economic mechanism was introduced by +de Clippel et al. [9], and first applied to the selection of vertices in a directed graph by Alon et al. +[1] and Holzman and Moulin [11]. Whereas Holzman and Moulin gave axiomatic characteriza- +tions for mechanisms selecting a single vertex when all outdegrees are equal to one, Alon et al. +studied the ability of impartial mechanisms to approximate the maximum indegree for any fixed +number of vertices when there are no limitations on outdegrees. +Both sets of authors obtained strong impossibility results, which a significant amount of +follow-up work has since sought to overcome. Randomized mechanisms providing non-trivial +multiplicative guarantees had already been proposed by Alon et al., and Fischer and Klimm [10] +subsequently achieved the best possible such guarantee for the selection of one vertex. Starting +from the observation that worst-case instances for randomized mechanisms have small indegrees, +Bousquet et al. [5] developed a mechanism that is asymptotically optimal as the maximum +indegree grows, and Caragiannis et al. [6, 7] initiated the study of mechanisms providing additive +rather than multiplicative guarantees. Cembrano et al. [8] subsequently identified a deterministic +2 + +mechanism that provides non-trivial additive guarantees whenever the maximum outdegree is +bounded and established that no such guarantees can be obtained with unbounded outdegrees. +Randomized mechanisms have been also studied from an axiomatic point of view by Mackenzie +[14, 15]. +Bjelde et al. [4] gave randomized mechanisms with improved multiplicative guarantees for the +selection of more than one vertex and observed that when selecting at most k vertices rather than +exactly k, deterministic mechanisms can in fact achieve non-trivial guarantees. An axiomatic +study of Tamura and Ohseto [18] for the outdegree-one case came to the same conclusion: +when allowing for the selection of a varying number of vertices, the impossibility result of +Holzman and Moulin no longer holds. +Tamura [17] subsequently characterized a mechanism +proposed by Tamura and Ohseto, which in some cases selects all vertices, as the unique minimal +mechanism satisfying impartiality, anonymity, symmetry, and monotonicity. +Impartial mechanisms have finally been proposed for various problems other than selection, +including peer review [2, 13, 16, 20], rank aggregation [12], progeny maximization [3, 21], and +network centralities [19]. +2 +Preliminaries +For n ∈ N, let [n] = {1, 2, . . . , n}, and let +Gn = +� +(V, E) : V = [n], E ⊆ (V × V ) \ +� +v∈V +{(v, v)} +� +be the set of directed graphs with n vertices and no loops. Let G = � +n∈N Gn. For G = (V, E) ∈ G +and v ∈ V , let N +(v, G) = {u ∈ V : (v, u) ∈ E} be the out-neighborhood and N −(v, G) = +{u ∈ V : (u, v) ∈ E} the in-neighborhood of v in G. Let δ+(v, G) = |N +(v, G)| and δ−(v, G) = +|N −(v, G)| denote the outdegree and indegree of v in G, and ∆(G) = maxv∈V δ−(v, G) the +maximum indegree of any vertex in G. +When the graph is clear from the context, we will +sometimes drop G from the notation and write N +(v), N −(v), δ+(v), δ−(v), and ∆. +Let +top(G) = max{v ∈ V : δ−(v) = ∆(G)} denote the vertex of G with the largest index among +those with maximum indegree. +For n ∈ N and d ∈ [n − 1], let Gn(d) = {(V, E) ∈ Gn : +δ+(v) ≤ d for every v ∈ V } be the set of graphs in Gn with maximum outdegree at most d, and +G(d) = � +n∈N Gn(d). +A k-selection mechanism is then given by a family of functions f : Gn → 2[n], one for +each n ∈ N, mapping each graph to a subset of its vertices, where we require that |f(G)| ≤ k +for all G ∈ G. In a slight abuse of notation, we will use f to refer to both the mechanism +and to individual functions of the family. Given G = (V, E) ∈ G and v ∈ V , let Nv(G) = +{(V, E′) ∈ G : +E \ ({v} × V ) = E′ \ ({v} × V )} be the set neighboring graphs of G with +respect to v, in the sense that they can be obtained from G by changing the outgoing edges +of v. Mechanism f is impartial on G′ ⊆ G if on this set of graphs the outgoing edges of a +vertex have no influence on its selection, i.e., if for every graph G = (V, E) ∈ G′, v ∈ V , and +G′ ∈ Nv(G), it holds that f(G) ∩ {v} = f(G′) ∩ {v}. Given a k-selection mechanism f and +an aggregator function σ : 2R → R such that σ(∅) = 0 and, for every S ⊆ R with |S| ≥ 1, +min{x ∈ S} ≤ σ(S) ≤ max{x ∈ S}, we say that f is α-σ-additive on G′ ⊆ G, for α ≥ 0, if for +every graph in G′ the function σ evaluated on the choice of f differs from the maximum indegree +by at most α, i.e., if +sup +G∈G′ +� +∆(G) − σ +� +{δ−(v, G)}v∈f(G) +�� +≤ α. +We will specifically be interested in the cases where σ is the minimum, the median, and the mean, +and respectively call a mechanism α-min-additive, α-median-additive, and α-mean-additive in +these cases. +3 + +Algorithm 1: Plurality with runners-up +Input: Digraph G = (V, E) ∈ Gn(1) +Output: Set S ⊆ V of selected vertices +Let S = {v ∈ V : δ−(v) = ∆(G)}; +if S = {v} for some v ∈ V then +S ←− S ∪ {u ∈ V : δ−(u) = ∆(G) − 1 and (u, v) ∈ E} +end +Return S +3 +Plurality with Runners-up +Focusing on the case with maximum outdegree one, Tamura and Ohseto [18] proposed a mech- +anism they called plurality with runners-up. +The mechanism, which we describe formally in +Algorithm 1, selects all vertices with maximum indegree; if there is a unique such vertex, then +any vertex with an outgoing edge to that vertex whose indegree is smaller by one is selected as +well. The idea behind this mechanism is that vertices in the latter category would be among +those with maximum degree if their outgoing edge was deleted, and thus any impartial mecha- +nism seeking to select the vertices with maximum degree would also have to select those vertices. +Plurality with runners-up is impartial on G(1), and in any graph with n vertices selects between +1 and n vertices whose degree is equal to the maximum degree or the maximum degree minus +one. It is thus an impartial and 1-min-additive n-selection mechanism on Gn(1) for every n ∈ N. +It is natural to ask whether a similar additive guarantee can be obtained for more general set- +tings. In this section, we answer this question in the affirmative, and in particular study for +which values of n, k, and d there exists an impartial and 1-min-additive k-selection mechanism +on Gn(d). We will see later, in Section 4, that 1-min-additivity is in fact best possible for all +cases covered by our result, with the exception of the boundary case where n = 2. +While Tamura and Ohseto do not limit the maximum number of selected vertices, they +discuss briefly a modification of their mechanism that retains impartiality and 1-min-additivity +but selects at most 2 vertices. Instead of all vertices with maximum indegree, the modified +mechanism breaks ties in favor of a single maximum-degree vertex using a fixed ordering of the +vertices. In order to guarantee impartiality, the modified mechanism then also selects any vertex +that would be selected in the graph obtained by deleting the outgoing edge of that vertex. The +assumption that every vertex has at most one outgoing edge means that at most one additional +vertex is selected. There thus exists a 1-min-additive k-selection mechanism on G(1) for every +k ≥ 2. +Our first result generalizes this mechanism to settings with arbitrary outdegrees, as long +as the maximum number of selected vertices is large enough. To this end we show that when +the maximum outdegree is d, to achieve impartiality, at most d vertices have to be selected in +addition to the one with maximum indegree and highest priority.1 We formally describe the +resulting mechanism in Algorithm 2, and will refer to it as asymmetric plurality with runners-up +and denote its output on graph G by P(G). We obtain the following theorem, which generalizes +the known result for the outdegree-one case. +Theorem 1. For every n ∈ N, d ∈ [n − 1], and k ∈ {d + 1, . . . , n}, there exists an impartial +and 1-min-additive k-selection mechanism on Gn(d). +We will be interested in the following in comparing vertices both according to their indegree +and to their index, and we will use regular inequality symbols, as well as the operators max and +1In this mechanism and wherever ties are broken in the rest of the paper, we break ties in favor of greater +index, so top(G) is the vertex with maximum indegree and highest priority in graph G. Naturally, any other +deterministic tie-breaking rule could be used instead. +4 + +Algorithm 2: Asymmetric plurality with runners-up P(G) +Input: Digraph G = (V, E) ∈ Gn +Output: Set S ⊆ V of selected vertices +Let S = ∅; +for v ∈ V do +Let Gv = (V, E \ ({v} × V )); +if top(Gv) = v then +S ←− S ∪ {v} +end +end +Return S +min, to denote the lexicographic order among pairs of the form (δ−(v), v). The following lemma +characterizes the structure of the set of vertices selected by Algorithm 2, and provides the main +technical ingredient to the proof of Theorem 1. +Lemma 1. Let G = (V, E) ∈ G and v ∈ V . Then, v ∈ P(G) if and only if +(a) for every w ∈ V with (δ−(w), w) > (δ−(v), v) it holds (v, w) ∈ E; and +(b) one of the following holds: +(i) δ−(v) = ∆(G); or +(ii) δ−(v) = ∆(G) − 1 and v > w for every w ∈ V with δ−(w) = ∆(G). +Proof. We first show that, if v ∈ P(G) for a given graph G, then (a) and (b) follow. +Let +G = (V, E) ∈ G, and let v ∈ P(G). To see (a), suppose there is w ∈ V with (δ−(w, G), w) > +(δ−(v, G), v). +Since v ∈ P(G), we have v = top(Gv) with Gv = (V, E \ ({v} × V )). +This +implies (δ−(v, Gv), v) > (δ−(w, Gv), w) and therefore δ−(w, G) > δ−(w, Gv), because δ−(v, G) = +δ−(v, Gv). Since G and Gv only differ in the outgoing edges of v, we conclude that (v, w) ∈ E. +To prove (b), we note that for every w ∈ V we have +(δ−(v, G), v) = (δ−(v, Gv), v) > (δ−(w, Gv), w) ≥ (δ−(w, G) − 1, w), +(1) +where the last inequality comes from the fact that each vertex has at most one incoming edge +from v. If there is no w ∈ V \ {v} with δ−(w) = ∆(G), the maximum indegree must be that of +v, so δ−(v) = ∆(G) and (i) follows. Otherwise, for each w ∈ V \ {v} with δ−(w) = ∆(G), (1) +yields (δ−(v, G), v) > (∆(G) − 1, w). We conclude that either δ−(v, G) > ∆(G) − 1, in which +case (i) holds, or both δ−(v) = ∆(G) − 1 and v > w, which implies (ii). +We now prove the other direction. +Let G = (V, E) ∈ G and v ∈ V such that both (a) +and (b) hold. Let Gv = (V, E \ ({v} × V )). We have to show that top(Gv) = v, i.e., that +for every w ∈ V \ {v}, (δ−(v, Gv), v) > (δ−(w, Gv), w). +Let w be a vertex in V \ {v}. +If +(δ−(v, G), v) > (δ−(w, G), w), we can conclude immediately since δ−(v, Gv) = δ−(v, G) and +δ−(w, Gv) ≤ δ−(w, G). Otherwise, we know from (a) that (v, w) ∈ E and thus δ−(w, Gv) = +δ−(w, G) − 1. If v satisfies (i), this yields +δ−(v, Gv) = δ−(v, G) = ∆(G) ≥ δ−(w, G) = δ−(w, Gv) + 1, +so (δ−(v, Gv), v) > (δ−(w, Gv), w). On the other hand, if v satisfies (ii), then +δ−(v, Gv) = δ−(v, G) = ∆(G) − 1 ≥ δ−(w, G) − 1 = δ−(w, Gv), +and v > w implies (δ−(v, Gv), v) > (δ−(w, Gv), w) as well. +5 + +4 +2 +1 +6 +5 +3 +∆ +∆ − 1 +Figure 1: Example of a set of vertices selected by Algorithm 2. In this illustration and throughout +the paper, vertices are arranged vertically according to indegree and horizontally according to +index, so that vertices on the left are favored in case of ties. +The vertices selected by the +mechanism are drawn in white, those not selected in black. Vertices with indegree below ∆ − 1, +as well as edges incident to such vertices, are not shown. Denoting the graph as G = (V, E), +and letting Gv = (V, E \ ({v} × V )) for each vertex v, the selected vertices v are those for which +top(Gv) = v. Specifically, vertices 2, 3, and 6 are not selected because top(G2) = 4, top(G3) = 4, +and top(G6) = 1. +Observe that Lemma 1 implies in particular that top(G) ∈ P(G) for every graph G. Figure 1 +provides an example of the characterization given by Lemma 1, in terms of indegrees, tie- +breaking order, and edges among selected vertices. +We are now ready to prove Theorem 1. +Proof of Theorem 1. We show that for every n ∈ N and d ∈ [n − 1], asymmetric plurality with +runners-up is impartial and 1-min-additive on Gn(d), and that for every G = (V, E) ∈ Gn(d), it +selects at most d+1 vertices. If this is the case, then for every k ∈ {d+1, . . . , n} the mechanism +would satisfy the statement of the theorem. Therefore, let n and d be as mentioned. +Impartiality follows from the definition of the mechanism, because the outgoing edges of a +vertex are not taken into account when deciding whether the vertex is taking part on the selected +set or not. If we let G = (V, E), v ∈ V , and G′ = (V, E′) ∈ Nv(G), then the graphs Gv and +G′ +v constructed when running the mechanism with each of these graphs G and G′ as an input, +respectively, are the same because by definition of Nv(G) we have E \({v}×V ) = E′ \({v}×V ). +Since v ∈ P(G) ⇔ top(Gv) = v, and v ∈ P(G′) ⇔ top(G′ +v) = v, we conclude v ∈ P(G) ⇔ v ∈ +P(G′). +To see that the mechanism is 1-min-additive, let G ∈ Gn(d) and first note that P(G) ̸= ∅ +since Lemma 1 implies that top(G) ∈ P(G). From this lemma we also know that for every +v ∈ P(G), δ−(v) ≥ ∆(G) − 1. We conclude that min{{δ−(v)}v∈P(G)} ≥ ∆(G) − 1, and since +this holds for every G ∈ Gn(d), the mechanism is 1-min-additive. +Finally, let G = (V, E) ∈ Gn(d), and suppose that |P(G)| > d + 1. +If we denote vL = +argminv∈P(G){(δ−(v), v)}, from Lemma 1 we know that (vL, w) ∈ E for every w ∈ V with +(δ−(w), w) > (δ−(vL), vL), thus δ+(vL) ≥ |P(G)| − 1 > d, a contradiction. We conclude that +|P(G)| ≤ d + 1. +The following result, concerning mechanisms that may select an arbitrary number of vertices, +follows immediately from Theorem 1. +Corollary 1. For every n ∈ N, there exists an impartial and 1-min-additive n-selection mecha- +nism on Gn. +On Gn, i.e., in the case of unbounded outdegrees, this result can in fact be improved slightly +to guarantee 1-min-additivity while selecting only at most n − 1 vertices. The improvement +is achieved by a more intricate version of asymmetric plurality with runners-up, which we call +asymmetric plurality with runners-up and pivotal vertices. We formally describe this mechanism +6 + +Algorithm 3: Asymmetric plurality with runners-up and pivotal vertices PP(G) +Input: Digraph G = (V, E) ∈ Gn +Output: Set S ⊆ V of selected vertices with |S| ≤ n − 1 +Let S ←− ∅; +for u ∈ P(G) do +if for every v ∈ P(G) \ {u} there exists Guv ∈ Nu(G) such that v /∈ P(Guv) then +S ←− S ∪ {u} +end +end +Return S +in Algorithm 3 and denote its output for graph G by PP (G). +Given a graph G = (V, E), +call a vertex u ∈ P(G) pivotal for v ∈ P(G) if there exists a graph Guv ∈ Nu(G) such that +v /∈ P(Guv), i.e., if the outgoing edges of u can be changed in such a way that v is no longer +selected by asymmetric plurality with runners-up. Asymmetric plurality with runners-up and +pivotal vertices then selects every vertex in P(G) that is pivotal for every other vertex in P(G). +The mechanism turns out to inherit impartiality and 1-min-additivity, and to never select all +vertices. +Theorem 2. For every n ∈ N and k ∈ {n − 1, n}, there exists an impartial and 1-min-additive +k-selection mechanism on Gn. +Proof. We show that for every n ∈ N, asymmetric plurality with runners-up and pivotal vertices +is impartial and 1-min-additive on Gn and that for every G = (V, E) ∈ Gn, it selects at most +n − 1 vertices. Let n ∈ N be an arbitrary value. +To see that the mechanism is impartial, let G = (V, E) ∈ Gn, u ∈ PP (G), and G′ = (V, E′) ∈ +Nu(G). We show in the following that u ∈ PP (G′), and since the graphs G and G′ are chosen +arbitrarily, their roles can be inverted and this is enough to conclude that the mechanism is +impartial. We first note that u ∈ P(G) because PP (G) ⊆ P(G), thus impartiality of asymmetric +plurality with runners-up proven in Theorem 1 implies u ∈ P(G′). If P(G′) = {u}, then the +condition in the mechanism holds trivially for this vertex, so u ∈ PP (G′) and we conclude. +Otherwise, let v ∈ P(G′) \ {u} be an arbitrary vertex selected by asymmetric plurality with +runners-up other than u. Since u ∈ PP (G), we have that either (a) v /∈ P(G), or (b) v ∈ P(G) +and there exists Guv = (V, Euv) ∈ Nu(G) such that v /∈ P(Guv). If (a) holds, taking G′ +uv = G, +which belongs to Nu(G′) because of the assumption that G′ ∈ Nu(G), we have that v /∈ P(G′ +uv). +If (b) holds, taking G′ +uv = Guv, which belongs to Nu(G′) since Nu(G′) = Nu(G), we have that +v /∈ P(G′ +uv). In either case, we conclude that there exists G′ +uv ∈ Nu(G′) such that v /∈ P(G′ +uv). +Since this argument is valid for every v ∈ P(G′) \ {u}, we conclude that u ∈ PP (G′). +To see that the mechanism is 1-min-additive, it is enough to show that it always selects a +vertex, since for every G ∈ G it selects a subset of P(G) and from Theorem 1 we know that this +set contains vertices with indegrees in {∆(G), ∆(G)−1}. To this purpose we let G = (V, E) ∈ Gn +and introduce some additional notation. Let Si = {v ∈ P(G) : δ−(v) = ∆(G) − i} and ni = |Si| +for i ∈ {0, 1}, and denote +vH = argmaxv∈P(G){(δ−(v, G), v)} = top(G), +vL = argminv∈P(G){(δ−(v, G), v)}. +From Lemma 1, we know that P(G) = S0 ∪ S1, that (vL, v) ∈ E for every v ∈ P(G) \ {vL}, +and that u > v for each u ∈ S1, v ∈ S0. We now distinguish two cases according to the edges +between vertices in P(G). +If (vH, v) ∈ E for every v ∈ P(G) \ {vH}, then we claim that defining G′ = (V, E \ ({vH} × +V )) ∈ NvH(G) it holds v /∈ P(G′) for every v ∈ P(G) \ {vH}. If this is true, it is clear that +7 + +∆ +∆ − 1 +∆ − 2 +G = (V, E) +G′ = (V, E \ ({2} × V )) +2 +1 +4 +3 +2 +1 +4 +3 +Figure 2: Illustration of the fact that the set of vertices selected by Algorithm 3 is non-empty if +(vH, v) ∈ E for every v ∈ P(G) \ {vH}. Vertices selected by asymmetric plurality with runners- +up are drawn in white. Denoting the graph on the left as G = (V, E), where vH = 2, and defining +G′ = (V, E \ ({2} × V )) ∈ N2(G), we have that {1, 3, 4} ∩ P(G′) = ∅, and thus 2 ∈ PP (G). +vH ∈ PP (G) and thus PP (G) ̸= ∅. We now prove the claim. First, note that vH ∈ P(G′) +since vH = top(G′) and Lemma 1 ensures top(G′) ∈ P(G′). This comes from the fact that +δ−(vH, G′) = δ−(vH, G) and δ−(v, G′) ≤ δ−(v, G) for every v ∈ V \ {vH}, together with vH = +top(G). Moreover, for every v ∈ S0 \ {vH} it holds δ−(v, G′) = δ−(v, G) − 1 = δ−(vH, G′) − 1 = +∆(G′) − 1 and v < vH, so condition (b) in Lemma 1 does not hold for v and thus v /∈ P(G′). +Analogously, for every v ∈ S1 it holds δ−(v, G′) = δ−(v, G)−1 = δ−(vH, G′)−2 = ∆(G′)−2, so +condition (b) in Lemma 1 does not hold for v either, and thus v /∈ P(G′). This allows to conclude +the claim and the fact that PP (G) is non-empty for this case. This argument is illustrated in +Figure 2. +Now we consider the case where there is a vertex ¯v ∈ P(G) such that (vH, ¯v) /∈ E, and +we claim that defining G′ = (V, (E \ ({vL × V })) ∪ (vL, vH)) ∈ NvL(G) it holds v /∈ P(G′) +for every v ∈ P(G) \ {vL, vH}, whereas defining G′′ = (V, E \ (vL, vH)) ∈ NvL(G) it holds +vH /∈ P(G′′). If this is true, then vL ∈ PP (G) and PP (G) ̸= ∅. We now prove the claim. +First, note that vH ∈ P(G′) for the same reason as before, since δ−(vH, G′) = δ−(vH, G) and +δ−(v, G′) ≤ δ−(v, G) for every v ∈ V \ {vH}. +Moreover, for every v ∈ S0 \ {vH} it holds +δ−(v, G′) = δ−(v, G) − 1 = δ−(vH, G′) − 1 = ∆(G′) − 1 and v < vH, so condition (b) in +Lemma 1 does not hold for v and thus v /∈ P(G′). Analogously, for every v ∈ S1 \ {vL} it holds +δ−(v, G′) = δ−(v, G) − 1 = δ−(vH, G′) − 2 = ∆(G′) − 2 so condition (b) in Lemma 1 does not +hold for v and thus v /∈ P(G′). This allows to conclude the claim for G′. In the case of G′′, we +can write the following chain of inequalities, +(δ−(¯v, G′′), ¯v) = (δ−(¯v, G), ¯v) > (δ−(vH, G) − 1, vH) = (δ−(vH, G′′), vH), +where the equalities hold because of the definition of G′′ and the inequality by condition (b) +in Lemma 1, given that ¯v ∈ P(G). +Since (vH, ¯v) /∈ E, we conclude from condition (a) in +Lemma 1 that vH /∈ P(G′′), and therefore the claim for G′′ follows. This argument is illustrated +in Figure 3. +Finally, we show that the mechanism selects at most n − 1 vertices. Let G = (V, E) ∈ Gn. +Since PP (G) ⊆ P(G), if |P(G)| ≤ n − 1 this is immediate. We thus suppose in what follows +that |P(G)| = n. In particular, Lemma 1 implies (v, vH) ∈ E for every v ∈ V \ {vH}, thus +∆(G) = n − 1, and δ−(v) ≥ n − 2 for every v ∈ V . If S1 = ∅, then δ−(v) = n − 1 for every +v ∈ V , i.e., G is the complete graph. In this case, vH = n and we claim that v /∈ PP (G) for +each v ∈ V \ {n}, thus |PP (G)| ≤ 1. This comes from the fact that, for every v ∈ V \ {n} +and every G′ = (V, E′) ∈ Nv(G) it holds n ∈ P(G′). To see this, note that (n, v) ∈ E′ for +every v ∈ V \ {n}, δ−(n, G′) ≥ n − 2 = ∆(G′) − 1, and n > v for every v ∈ V \ {n}, so +Lemma 1 ensures n ∈ P(G′). If S1 ̸= ∅, then there is at least one vertex with outdegree less +8 + +∆ +∆ − 1 +∆ − 2 +G′ = (V, E \ {(3, 1), (3, 4)}) +G′′ = (V, E \ {(3, 2)}) +∆ +∆ − 1 +G = (V, E) +2 +1 +4 +3 +2 +1 +4 +3 +2 +1 +4 +3 +Figure 3: Illustration of the fact that the set of vertices selected by Algorithm 3 is non-empty if +(vH, ¯v) /∈ E for some ¯v ∈ P(G) \ {vH}. Vertices selected by asymmetric plurality with runners- +up are drawn in white. Denoting the graph at the top by G = (V, E), where vH = 2, vL = 3, +and ¯v = 4, and defining G′ = (V, E \ {(3, 1), (3, 4)}) ∈ N3(G), we have that {1, 4} ∩ P(G′) = ∅, +whereas defining G′′ = (V, (E \ {(3, 2)}) ∈ N3(G) we have that 2 /∈ P(G′′). We conclude that +3 ∈ PP (G). +or equal than n − 2. Let u be an arbitrary vertex with δ+(u) ≤ n − 2, and let ¯v ∈ S1 be the +vertex with highest index such that (u, ¯v) /∈ E, i.e., ¯v = max{V \ N +(u)}. Since u ∈ PP (G), +there exists G′ = (V, E′) ∈ Nu(G) such that ¯v /∈ P(G′). From Lemma 1, this implies that +there exists ¯w ∈ V such that either (a) (δ−( ¯w, G′), w) > (δ−(¯v, G′), ¯v) and (¯v, ¯w) /∈ E′, or +(b) δ−( ¯w, G′) > δ−(¯v, G′) and ¯w > ¯v. +Since ¯v ∈ P(G), we know from this same lemma +that if (a) holds, (δ−( ¯w, G), w) < (δ−(¯v, G), ¯v) because of having ¯w /∈ N +(¯v, G) = N +(¯v, G′); +and similarly, if (b) holds, δ−( ¯w, G) ≤ δ−(¯v, G) because of having ¯w > ¯v. +In either case, +since δ−(¯v, G) ≤ δ−(¯v, G′), we conclude that δ−( ¯w, G′) > δ−( ¯w, G), and therefore (u, ¯w) /∈ E. +If (a) holds, this is a contradiction because we would have {u, ¯v} ∩ N −( ¯w, G) = ∅ and thus +δ−( ¯w, G) ≤ n − 3. +If (b) holds, we reach a contradiction as well, because we would have +¯w ∈ V \ N +(u, G) and ¯w > ¯v, but we chose ¯v to be the maximum of this set. +4 +An Impossibility Result +When we established the existence of an impartial and 1-min-additive k-selection mechanism on +G(d) whenever k ≥ d+1, we claimed this result to be best possible in the sense that the additive +guarantee cannot be improved. We will prove this claim, that impartiality is incompatible with +the requirement to only select vertices with maximum indegree, as a corollary of a more general +result. +While selecting only vertices with maximum indegree is a natural goal for mechanisms that +select varying numbers of vertices, other natural objectives exist for such mechanisms such as +maximizing the median or mean indegree of the selected vertices. For both of these objectives, +the mechanisms discussed in the previous section immediately provide upper bounds: if a k- +selection mechanism always selects one vertex with maximum indegree and is α-min-additive +9 + +then it is clearly α-median-additive and +� k−1 +k α +� +-mean-additive; Theorem 1 thus implies the ex- +istence of a 1-median-additive and k−1 +k -mean-additive k-selection mechanism on G(d), whenever +k ≥ d + 1. To improve on 1-median-additivity, it would be acceptable to select vertices with low +indegree as long as a greater number of vertices with maximum indegree is selected at the same +time. To improve on k−1 +k -mean-additivity, it would suffice to select more than one vertex with +maximum indegree whenever this is possible, and to otherwise select only a sublinear number +in k of vertices with indegree equal to the maximum indegree minus one. The following result +shows that no such improvements are possible. +Theorem 3. Let n ∈ N, n ≥ 3, k ∈ [n], and d ∈ [n − 1]. Let f be an impartial k-selection +mechanism. If f is α1-median-additive on Gn(d), then α1 ≥ 1/2(1+1(d ≥ 3)). If f is α2-mean- +additive on Gn(d), then α2 ≥ +� d+1 +2 +� +/ +�� d+1 +2 +� ++ 1 +� +. +Proof. Let n, k, and d be as in the statement of the theorem. In the following we suppose that +there is an impartial k-selection mechanism f which is either α1-median-additive on Gn(d) with +α1 < 1/2(1 + 1(d ≥ 3)), or α2-mean-additive on Gn(d) with α2 < +� d+1 +2 +� +/ +�� d+1 +2 +� ++ 1 +� +. +We first prove the result for the case d = 1. We consider the graph G = (V, E) ∈ Gn(1) +with E = {(1, 2), (2, 3), (3, 1)}, consisting of a 3-cycle and n − 3 isolated vertices. We consider +as well, for v ∈ {1, 2, 3}, the graph Gv = (V, Ev) where v deviates from the 3-cycle by changing +its outgoing edge to the previous vertex in the cycle, i.e., +E1 = {(1, 3), (2, 3), (3, 1)}, E2 = {(1, 2), (2, 1), (3, 1)}, E3 = {(1, 2), (2, 3), (3, 2)}. +Since f is α1-median-additive with α1 < 1/2 or α2-mean-additive with α2 < 1/2, we have that +f(G1) = {3}, f(G2) = {1}, and f(G3) = {2}. In particular, for v ∈ {1, 2, 3}, v /∈ f(Gv). Since +for each v ∈ {1, 2, 3} it holds Ev \ ({v} × V ) = E \ ({v} × V ), we conclude by impartiality +that v /∈ f(G), and thus f(G) ∩ {1, 2, 3} = ∅. +This implies that both the median and the +mean indegree of the vertices in f(G) are 0, which contradicts the additive guarantee of this +mechanism because ∆(G) = 1. +In the following, we assume d ≥ 2. We denote D = [d + 1] and consider in what follows two +families of graphs with n vertices, Kv for each v ∈ D and Kuv for each u, v ∈ D, u ̸= v. They +are constructed from a complete subgraph on D but deleting the outgoing edges of v, in the +case of Kv, and the outgoing edges of u and v, in the case of Kuv. All the other vertices remain +isolated. Formally, taking V = [n] we define +Kv = (V, (D \ {v}) × D) for every v ∈ D, +Kuv = (V, (D \ {u, v}) × D) for every u, v ∈ D with u ̸= v. +If there is v ∈ D such that v /∈ f(Kv), then +median +� +{δ−(w, Kv)}w∈f(Kv) +� +≤ d − 1 = ∆(Kv) − 1, +mean +� +{δ−(w, Kv)}w∈f(Kv) +� +≤ d − 1 = ∆(Kv) − 1, +which is a contradiction, so the result follows immediately. Therefore, in the following we assume +that for every v ∈ D we have v ∈ f(Kv). We claim that for every v ∈ D, +|{u ∈ D \ {v} : u ∈ f(Kv)}| ≥ +�d + 1 +2 +� +. +Let us see why the result follows if the claim holds. If this is the case, f selects one vertex with +maximum indegree d in Kv and at least +� d+1 +2 +� +vertices with indegree d − 1. This yields both +median +� +{δ−(w, Kv)}w∈f(Kv) +� +≤ +� d − 1 +2 +if d = 2 +d − 1 +otherwise, +10 + +and +mean +� +{δ−(w, Kv)}w∈f(Kv) +� +≤ d + (d − 1) +� d+1 +2 +� +� d+1 +2 +� ++ 1 += d − +� d+1 +2 +� +� d+1 +2 +� ++ 1, +which is a contradiction since ∆(Kv) = d. +Now we prove the claim. Suppose that for every v ∈ D we have v ∈ f(Kv) and +|{u ∈ D \ {v} : u ∈ f(Kv)}| < +�d + 1 +2 +� +. +(2) +Let v ∈ D and u ∈ D \ {v} such that u /∈ f(Kv). Observing that +((D \ {v}) × D) \ ({u} × V ) = ((D \ {u, v}) × D) \ ({u} × V ), +we obtain from impartiality that u /∈ f(Kuv). From the bounds on α1 or α2 that f satisfies +by assumption, this mechanism has to select a vertex with maximum indegree in this graph; +otherwise, both the median and the mean of the selected set would be at most ∆(Kuv) − 1. +Since δ−(w) < ∆(Kuv) for every w /∈ {u, v}, it holds v ∈ f(Kuv). Using impartiality once again, +we conclude v ∈ f(Ku). We have shown the following property: +For every u, v ∈ D : u /∈ f(Kv) =⇒ v ∈ f(Ku). +(3) +Consider now the graph H = (D, F), where for each u, v ∈ D with u ̸= v, (u, v) ∈ F if and +only if u /∈ f(Kv). Property (2) implies that +δ−(v, H) > d − +�d + 1 +2 +� +⇐⇒ δ−(v, H) ≥ d + 1 − +�d + 1 +2 +� +for each v ∈ D. In particular, there has to be a vertex v∗ ∈ D such that δ+(v∗, H) ≥ d + 1 − +⌊(d + 1)/(2)⌋ as well. For this vertex we have +δ+(v∗, H) + δ−(v∗, H) ≥ 2 +� +d + 1 − +�d + 1 +2 +�� +≥ d + 1. +Since H has d+1 vertices, this implies the existence of w∗ ∈ D for which {(v∗, w∗), (w∗, v∗)} ⊂ F, +i.e., both v∗ /∈ f(Kw∗) and w∗ /∈ f(Kv∗). This contradicts (3), so we conclude the proof of the +claim and the proof of the theorem. +Figure 4 provides an illustration of Theorem 3 for the case where n = 3, Figure 5 for the +case where n = 4. +The median of any set of numbers is an upper bound on their minimum. Therefore, if no +impartial mechanism exists that is α-median-additive on G′ ⊆ G for α < ¯α, then no impartial +mechanism can exist that is α-min-additive on G′ for α < ⌈¯α⌉. We thus obtain the following +impossibility result, which we have claimed previously. +Corollary 2. Let n ∈ N, n ≥ 3, and k ∈ [n]. Let f be an α-min-additive impartial k-selection +mechanism on Gn. Then α ≥ 1. +The impossibility results imply that for k ≥ d + 1, the mechanisms of Section 3 are best +possible for the minimum and median objectives except in a few boundary cases. When n = 2, +selecting each of the two vertices if and only if it has an incoming edge is impartial and achieves +0-min-additivity and 0-median-additivity. When n = 3, it is possible to select in an impartial +way at least one vertex with maximum indegree and at most one vertex with indegree equal +to the maximum indegree minus one, thus guaranteeing 1/2-median-additivity. For the mean +objective, the mechanisms of Section 3 are best possible asymptotically under the additional +assumption that k = O(d). +11 + +1 +2 +3 +1 +1 +2 +3 +2 +1 +2 +3 +3 +1 +2 +3 +Figure 4: Counterexample to the existence of an impartial 3-selection mechanism that is α- +median-additive or α-mean-additive on G3 for α < 1/2. Vertices drawn in white have to be +selected, vertices in black cannot be selected. For the graphs at the top, on the left, and on +the right, this follows from α-median-additivity or α-mean-additivity for α < 1/2. An arrow +with label v from one graph to another indicates that one can be obtained from the other by +changing the outgoing edges of vertex v; by impartiality, the vertex thus has to be selected in +both graphs or not selected in both graphs. It follows that no vertices are selected in the graph +at the center, a contradiction to the claimed additive guarantee. +It is worth pointing out that the proof of the impossibility result uses graphs in which some +vertices, in particular those with maximum indegree, do not have any outgoing edges. However, +the impossibility extends naturally to the case where this cannot happen, corresponding to the +practically relevant case in which abstentions are not allowed, as long as n ≥ 4 and d ≥ 3. For +this it is enough to define D = [d], add a new vertex with outgoing edges to every vertex in D +and incoming edges from the vertices in D which do not have any outgoing edge, and construct +a cycle containing the vertices in V \ D. +5 +Trading Off Quantity and Quality +We have so far given impartial selection mechanisms for settings where the maximum outdegree d +is smaller than the maximum number k of vertices that can be selected, and have shown that +the mechanisms provide best possible additive guarantees in such settings. We will now consider +settings where d ≥ k, such that asymmetric plurality with runners-up selects too many vertices +and therefore cannot be used directly. We obtain the following result. +Theorem 4. For every n ∈ N and k ∈ {2, . . . , n}, there exists an impartial and (⌊(n − 2)/(k − +1)⌋ + 1)-min-additive k-selection mechanism on Gn. +The result is obtained by a variant of asymmetric plurality with runners-up in which some +edges are deleted before the mechanism is run. In principle, deleting a certain number of edges +can affect the additive guarantee by the same amount, if all of the deleted edges happen to +be directed at the same vertex. By studying the structure of the set of vertices selected by the +mechanism, we will instead be able to delete edges to distinct vertices and thus keep the negative +impact on the additive guarantee under control. +The modified mechanism, which we call asymmetric plurality with runners-up and edge +deletion, is formally described in Algorithm 4. +It deletes any edges from a vertex to the +⌊(n−2)/(k−1)⌋ vertices preceding that vertex in the tie-breaking order, and applies asymmetric +12 + +1 +2 +3 +4 +2 +3 +1 +2 +3 +4 +4 +1 +2 +3 +4 +4 +1 +2 +3 +4 +1 +1 +2 +3 +4 +1 +1 +2 +3 +4 +1 +2 +3 +4 +2 +3 +1 +2 +3 +4 +Figure 5: Counterexample to the existence of an impartial 4-selection mechanism that is α1- +median-additive on G4(3) for α1 < 1 or α2-mean-additive on G4 for α2 < 2/3. Vertices drawn +in white have to be selected, vertices in black cannot be selected, and vertices in gray may +or may not be selected. For the graph on the left, this follows from α1-median-additivity for +α1 < 1 or α2-mean-additivity for α2 < 2/3: under these assumptions at most one of the vertices +with indegree 2 can be selected, which without loss of generality we can assume to be vertex 1. +For the other graphs, it then follows by impartiality, and for the graph on the right yields a +contradiction to the claimed additive guarantees. +plurality with runners-up to the resulting graph. The following lemma shows that without such +edges, the maximum number of vertices selected is reduced to k. +Lemma 2. Let n ∈ N, k ∈ {2, . . . , n}, and r ∈ N with r ≥ ⌊(n−2)/(k−1)⌋. Let G = (V, E) ∈ Gn +be such that for every u ∈ {1, . . . , n − 1} and every v ∈ {u + 1, . . . , min{u + r, n}}, (u, v) /∈ E. +Then, |P(G)| ≤ k. +Proof. As in the proof of Theorem 2, we let Si = {v ∈ P(G) : δ−(v) = ∆(G) − i} and ni = |Si| +for i ∈ {0, 1}, and now we denote its elements in increasing order by vi +j for j ∈ [ni], i.e., +Si = {vi +j}ni +j=1 with vi +1 < vi +2 · · · < vi +ni for each i ∈ {0, 1}. +From Lemma 1, we know that P(G) = S0 ∪S1, that for i ∈ {0, 1} we have (vi +j, vi +k) ∈ E for every +j, k with j < k, and that v1 +1 > v0 +n0. This allows to define, for i ∈ {0, 1}, +¯Si = {v ∈ V \ Si : vi +1 < v < vi +ni}, +¯ni = | ¯Si|, +such that ¯S0 ∩ ¯S1 = ∅. +Fix i ∈ {0, 1} and suppose that ni ≥ 2. Combining both the fact that (vi +j, vi +k) ∈ E for every +j, k with j < k, and that for every u ∈ {1, . . . , n−1} and v ∈ {u+1, . . . , min{u+r, n}}, (u, v) /∈ +13 + +Algorithm 4: Asymmetric plurality with runners-up and edge deletion PD(G) +Input: Digraph G = (V, E) ∈ Gn, k ∈ {2, . . . , n} +Output: Set S ⊆ V of selected vertices with |S| ≤ k +Let r = ⌊(n − 2)/(k − 1)⌋ ; +// number of outgoing edges to remove +Let R = �n−1 +u=1 +�min{u+r,n} +v=u+1 +{(u, v)} ; +// edges to be removed +Let ¯G = (V, E \ R); +Return P( ¯G) +v0 +n0 +. . . +v0 +2 +v0 +1 +v1 +n1 +. . . +v1 +2 +v1 +1 +∆ +∆ − 1 +. . . +� �� � +≥r +. . . +. . . +� �� � +≥r +. . . +� �� � +≥r +. . . +� �� � +≥r +. . . +. . . +� �� � +≥r +. . . +� �� � +≥r +S1 +¯S1 +S0 +¯S0 +Figure 6: Illustration of Lemma 2. There are no edges from a vertex to any of the r vertices +to its left, which means that for each vertex in S0 or S1, except for the left-most vertex, there +exist are at least r vertices outside these sets. Such vertices are not arranged according to their +indegrees, and edges from vertices in S1 to every vertex in S0 have been omitted for clarity. +E, we have that for every j ∈ [ni − 1] it holds vi +j+1 − vi +j ≥ r + 1. +Summing over j yields +vi +ni − vi +1 ≥ (ni − 1)(r + 1), hence +¯ni = vi +ni − vi +1 + 1 − ni ≥ (ni − 1)(r + 1) + 1 − ni = (ni − 1)r, +where the first equality comes from the definition of the set ¯Si. This implies ni ≤ 1 + ¯ni/r. We +can now lift the assumption ni ≥ 2, since when ni = 1 we have ¯ni = 0 and the inequality holds +as well, and write the following chain of inequalities: +|P(G)| = n0 + n1 ≤ 2 + ¯n0 + ¯n1 +r +≤ 2 + n − |P(G)| +r +, +where the last inequality comes from the fact that all the sets S0, S1, ¯S0, ¯S1 are disjoint and +therefore their cardinalities sum up to at most n. This bounds the number of selected vertices +as |P(G)| ≤ (2r + n)/(r + 1). +Suppose now that |P(G)| ≥ k + 1. Using the previous bound, this yields +2r + n ≥ (k + 1)(r + 1) ⇐⇒ r ≤ n − k − 1 +k − 1 += n − 2 +k − 1 − 1, +which contradicts the lower bound on r in the statement of the lemma. +Figure 6 illustrates the argument and notation of Lemma 2. We are now ready to prove +Theorem 4. +Proof of Theorem 4. We show that Algorithm 4 satisfies the conditions of the theorem. +Let +n ∈ N and k ∈ {2, . . . , n}. Impartiality follows from the fact that Algorithm 2 is impartial, +thus the potential deletion of outgoing edges of a given vertex cannot affect the fact of selecting +14 + +this vertex or not. Formally, if G = (V, E), v ∈ V and G′ = (V, E′) ∈ Nv(G), then defining +¯G = (V, ¯E) and ¯G′ = (V, ¯E′) as the graphs constructed when running Algorithm 4 with G and +G′ as input graphs, respectively, we have +¯E \ ({v} × V ) = (E \ ({v} × V )) \ + + +n−1 +� +u=1 +min{u+r,n} +� +w=u+1 +{(u, w)} + + += (E′ \ ({v} × V )) \ + + +n−1 +� +u=1 +min{u+r,n} +� +w=u+1 +{(u, w)} + + += ¯E′ \ ({v} × V ), +where we use that G′ ∈ Nv(G). Impartiality then follows directly from impartiality of plurality +with runners-up. For the following, let G = (V, E) ∈ Gn and define r and ¯G as in the mechanism. +Since the first step of the mechanism ensures that for every u ∈ {1, . . . , n − 1} and every +v ∈ {u + 1, . . . , min{u + r, n}}, (u, v) /∈ E, Lemma 2 implies that |PD(G)| = |P( ¯G)| ≤ k. +Finally, in order to show the additive guarantee we first note that, for every v ∈ V, δ−(v, G) ≤ +δ−(v, ¯G) + r, since at most |{v − r, . . . , v − 1} ∩ V | ≤ r incoming edges of v are deleted when +defining ¯G from G. In particular, ∆(G) ≤ ∆( ¯G) + r. Using this observation and denoting v∗ ∈ +argminv∈PD(G){δ−(v, G)} an arbitrary element with minimum indegree among those selected by +asymmetric plurality with runners-up and edge deletion, we obtain that +δ−(v∗, G) ≥ δ−(v∗, ¯G) ≥ ∆( ¯G) − 1 ≥ ∆(G) − r − 1, +where the second inequality comes from Lemma 1, since v∗ belongs to P( ¯G). We conclude that +the mechanism is (r + 1)-min-additive for r = ⌊(n − 2)/(k − 1)⌋. +It is easy to see that the previous analysis is tight from a graph G = (V, E) where exactly +r = ⌊(n − 2)/(k − 1)⌋ incoming edges of the top-voted vertex are deleted, and a vertex with the +second highest indegree u such that u > top(G), (u, top(G)) ∈ E, and δ−(u) = ∆(G) − r − 1 is +selected. However, we do not know whether the tradeoff provided by Theorem 4 is best possible +for any impartial mechanism, and the question for the optimum tradeoff is an interesting one. +Currently, when d ≥ k a gap remains between the upper bound of ⌊(n − 2)/(k − 1)⌋ + 1 and a +lower bound of 1, which is relatively large when the number k of vertices that can be selected +is small. We may, alternatively, also ask for the number of vertices that have to be selected in +order to guarantee 1-min-additivity. Currently, the best upper bound on this number is n − 1. +In addition to the question about the performance of the mechanism introduced in this +section, the sole fact that sometimes it does not select vertices with indegree strictly higher than +the one of other selected vertices may seem unfair. Unfortunately, this is unavoidable whenever +d ≥ k and α-min-additivity is imposed for some α < d, as one can see from a graph consisting +of a complete subgraph on d + 1 vertices and n − (d + 1) isolated vertices. For any k-selection +mechanism, a vertex in the complete subgraph is not selected, and impartiality forces us to not +select it either when its outgoing edges are deleted and it is the unique top-voted vertex. +Acknowledgments +The authors have benefitted from discussions with David Hannon. Re- +search was supported by the Deutsche Forschungsgemeinschaft under project number 431465007 +and by the Engineering and Physical Sciences Research Council under grant EP/T015187/1. +References +[1] N. Alon, F. Fischer, A. Procaccia, and M. Tennenholtz. Sum of us: Strategyproof selec- +tion from the selectors. In Proceedings of the 13th Conference on Theoretical Aspects of +Rationality and Knowledge, pages 101–110, 2011. +15 + +[2] H. Aziz, O. Lev, N. Mattei, J. S. Rosenschein, and T. Walsh. Strategyproof peer selection +using randomization, partitioning, and apportionment. Artificial Intelligence, 275:295–309, +2019. +[3] Y. Babichenko, O. Dean, and M. Tennenholtz. Incentive-compatible selection mechanisms +for forests. In Proceedings of the 21st ACM Conference on Economics and Computation, +pages 111–131, 2020. +[4] A. Bjelde, F. Fischer, and M. Klimm. +Impartial selection and the power of up to two +choices. ACM Transactions on Economics and Computation, 5(4):1–20, 2017. +[5] N. Bousquet, S. Norin, and A. Vetta. A near-optimal mechanism for impartial selection. +In Proceedings of the 10th International Conference on Web and Internet Economics, pages +133–146. Springer, 2014. +[6] I. Caragiannis, G. Christodoulou, and N. Protopapas. Impartial selection with additive ap- +proximation guarantees. In Proceedings of the 12th International Symposium on Algorithmic +Game Theory, pages 269–283. Springer, 2019. +[7] I. Caragiannis, G. Christodoulou, and N. Protopapas. Impartial selection with prior infor- +mation. arXiv preprint arXiv:2102.09002, 2021. +[8] J. Cembrano, F. Fischer, D. Hannon, and M. Klimm. Impartial selection with additive +guarantees via iterated deletion. arXiv preprint arXiv:2205.08979, 2022. +[9] G. de Clippel, H. Moulin, and N. Tideman. +Impartial division of a dollar. +Journal of +Economic Theory, 139(1):176–191, 2008. +[10] F. Fischer and M. Klimm. Optimal impartial selection. SIAM Journal on Computing, 44 +(5):1263–1285, 2015. +[11] R. Holzman and H. Moulin. Impartial nominations for a prize. Econometrica, 81(1):173– +196, 2013. +[12] A. Kahng, Y. Kotturi, C. Kulkarni, D. Kurokawa, and A. D. Procaccia. +Ranking wily +people who rank each other. In Proceedings of the 32nd AAAI Conference on Artificial +Intelligence, 2018. +[13] D. Kurokawa, O. Lev, J. Morgenstern, and A. D. Procaccia. Impartial peer review. In +Proceedings of the 24th International Joint Conference on Artificial Intelligence, 2015. +[14] A. Mackenzie. Symmetry and impartial lotteries. Games and Economic Behavior, 94:15–28, +2015. +[15] A. Mackenzie. An axiomatic analysis of the papal conclave. Economic Theory, 69:713–743, +2020. +[16] N. Mattei, P. Turrini, and S. Zhydkov. Peernomination: Relaxing exactness for increased +accuracy in peer selection. arXiv preprint arXiv:2004.14939, 2020. +[17] S. Tamura. Characterizing minimal impartial rules for awarding prizes. Games and Eco- +nomic Behavior, 95:41–46, 2016. +[18] S. Tamura and S. Ohseto. Impartial nomination correspondences. Social Choice and Wel- +fare, 43(1):47–54, 2014. +[19] T. Wąs, T. Rahwan, and O. Skibski. Random walk decay centrality. In Proceedings of the +AAAI Conference on Artificial Intelligence, volume 33, pages 2197–2204, 2019. +16 + +[20] Y. Xu, H. Zhao, X. Shi, J. Zhang, and N. B. Shah. On strategyproof conference peer review. +arXiv preprint arXiv:1806.06266, 2018. +[21] X. Zhang, Y. Zhang, and D. Zhao. Incentive compatible mechanism for influential agent +selection. In Proceedings of the 14th International Symposium on Algorithmic Game Theory, +pages 79–93. Springer, 2021. +17 + diff --git a/dtE3T4oBgHgl3EQfegpr/content/tmp_files/load_file.txt b/dtE3T4oBgHgl3EQfegpr/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..9d79b8c5bb74d0b5feb4570248da41d10f342144 --- /dev/null +++ b/dtE3T4oBgHgl3EQfegpr/content/tmp_files/load_file.txt @@ -0,0 +1,579 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf,len=578 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='04544v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='GT] 11 Jan 2023 Optimal Impartial Correspondences Javier Cembrano∗ Felix Fischer† Max Klimm‡ Abstract We study mechanisms that select a subset of the vertex set of a directed graph in order to maximize the minimum indegree of any selected vertex, subject to an impartiality constraint that the selection of a particular vertex is independent of the outgoing edges of that vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For graphs with maximum outdegree d, we give a mechanism that selects at most d + 1 vertices and only selects vertices whose indegree is at least the maximum indegree in the graph minus one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We then show that this is best possible in the sense that no impartial mechanism can only select vertices with maximum degree, even without any restriction on the number of selected vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We finally obtain the following trade-off between the maximum number of vertices selected and the minimum indegree of any selected vertex: when selecting at most k vertices out of n, it is possible to only select vertices whose indegree is at least the maximum indegree minus ⌊(n − 2)/(k − 1)⌋ + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 1 Introduction Impartial selection is the problem of selecting vertices with large indegree in a directed graph, in such a way that the selection of a particular vertex is independent of the outgoing edges of that vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The problem models a situation where agents nominate one another for selection and are willing to offer their true opinion on other agents as long as this does not affect their own chance of being selected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The selection of a single vertex is governed by strong impossibility results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For graphs with maximum outdegree one, corresponding to situations where each agent submits a single nomi- nation, every impartial selection rule violates one of two basic axioms [11] and as a consequence must fail to provide a non-trivial multiplicative approximation to the maximum indegree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For graphs with arbitrary outdegrees, corresponding to situations where each agent can submit mul- tiple nominations, impartial rules violate an even weaker axiom and cannot provide a non-trivial approximation in a multiplicative or additive sense [1, 8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' These impossibilities largely remain in place if rather than a single vertex we want to select any fixed number of vertices, but positive results can be obtained if we relax the requirement that the same number of vertices must be selected in every graph [4, 18].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' From a practical point of view, the need for such a relaxation should not necessarily be a cause for concern.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Indeed, situations in the real world to which impartial selection is relevant often allow for a certain degree of flexibility in the number of selected agents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The exact number of papers accepted to an academic conference is usually not fixed in advance but depends on the number and quality of submissions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Best paper awards at conferences are often given in overlapping categories, and some awards may only be given if this is warranted by the field of candidates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The Fields medal is awarded every four years to two, three, or four mathematicians under the age of 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Examples at the more extreme end of the spectrum of flexibility include the award of job titles such as vice president or deputy vice-principal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Such titles can often be ∗Institut für Mathematik, Technische Universität Berlin, Germany †School of Mathematical Sciences, Queen Mary University of London, UK ‡Institut für Mathematik, Technische Universität Berlin, Germany 1 given to a large number of individuals at a negligible cost per individual, but should only be given to qualified individuals so as not to devalue the title.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Tamura and Ohseto [18] specifically studied what they call nomination correspondences, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', rules that may select an arbitrary set of vertices in any graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For graphs with maximum outdegree one a particular such rule, plurality with runners-up, satisfies impartiality and ap- propriate versions of the two axioms of Holzman and Moulin [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The rule selects any vertex with maximum indegree;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' if there is a unique such vertex, any vertex whose indegree is smaller by one and whose outgoing edge goes to the vertex with maximum indegree is selected as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' An appropriate measure for the quality of rules that select varying numbers of vertices is the difference in the worst case between the best vertex and the worst selected vertex, and we can call a rule α-min-additive if the maximum difference, taken over all graphs, between these two quantities is at most α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In this terminology, plurality with runners-up is 1-min-additive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' As Tamura and Ohseto point out, it may be desirable in practice to ensure that the maximum number of vertices selected is not too large, a property that plurality with runners-up clearly fails.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It is therefore interesting to ask whether there exist rules that are α-min-additive and never select more than k vertices, for some fixed α and k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For graphs with outdegree one, Tamura and Ohseto answer this question in the affirmative: a variant of plurality with runners- up that breaks ties according to a fixed ordering of the vertices remains 1-min-additive but never selects more than two vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Our Contribution Our first result provides a generalization of the result of Tamura and Ohseto to graphs with larger outdegrees: for graphs with maximum outdegree d, it is possible to achieve 1-min-additivity while selecting at most d+1 vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For the particular case of graphs with un- bounded outdegrees we obtain a slight improvement, by guaranteeing 1-min-additivity without ever selecting all vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Our second result establishes that 1-min-additivity is best possible, thus ruling out the existence of impartial mechanisms that only select vertices with maximum in- degree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This holds even when no restrictions are imposed on the number of selected vertices, and is shown alongside analogous impossibility results concerning the maximization of the median or mean indegree of the selected vertices instead of their minimum indegree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Our third result pro- vides a trade-off between the maximum number of vertices selected, where smaller is better, and the minimum indegree of any selected vertex, where larger is better: if we are allowed to select at most k vertices out of n, we can guarantee α-min-additivity for α = ⌊(n−2)/(k−1)⌋+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This is achieved by removing a subset of the edges from the graph before plurality with runners-up is applied, in order to guarantee impartiality while selecting fewer vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We do not know whether this last result is tight and leave open the interesting question for the optimal trade-off between the number and quality of selected vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Related Work Impartiality as a property of an economic mechanism was introduced by de Clippel et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' [9], and first applied to the selection of vertices in a directed graph by Alon et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' [1] and Holzman and Moulin [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Whereas Holzman and Moulin gave axiomatic characteriza- tions for mechanisms selecting a single vertex when all outdegrees are equal to one, Alon et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' studied the ability of impartial mechanisms to approximate the maximum indegree for any fixed number of vertices when there are no limitations on outdegrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Both sets of authors obtained strong impossibility results, which a significant amount of follow-up work has since sought to overcome.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Randomized mechanisms providing non-trivial multiplicative guarantees had already been proposed by Alon et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', and Fischer and Klimm [10] subsequently achieved the best possible such guarantee for the selection of one vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Starting from the observation that worst-case instances for randomized mechanisms have small indegrees, Bousquet et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' [5] developed a mechanism that is asymptotically optimal as the maximum indegree grows, and Caragiannis et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' [6, 7] initiated the study of mechanisms providing additive rather than multiplicative guarantees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Cembrano et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' [8] subsequently identified a deterministic 2 mechanism that provides non-trivial additive guarantees whenever the maximum outdegree is bounded and established that no such guarantees can be obtained with unbounded outdegrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Randomized mechanisms have been also studied from an axiomatic point of view by Mackenzie [14, 15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Bjelde et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' [4] gave randomized mechanisms with improved multiplicative guarantees for the selection of more than one vertex and observed that when selecting at most k vertices rather than exactly k, deterministic mechanisms can in fact achieve non-trivial guarantees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' An axiomatic study of Tamura and Ohseto [18] for the outdegree-one case came to the same conclusion: when allowing for the selection of a varying number of vertices, the impossibility result of Holzman and Moulin no longer holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Tamura [17] subsequently characterized a mechanism proposed by Tamura and Ohseto, which in some cases selects all vertices, as the unique minimal mechanism satisfying impartiality, anonymity, symmetry, and monotonicity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Impartial mechanisms have finally been proposed for various problems other than selection, including peer review [2, 13, 16, 20], rank aggregation [12], progeny maximization [3, 21], and network centralities [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 2 Preliminaries For n ∈ N, let [n] = {1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n}, and let Gn = � (V, E) : V = [n], E ⊆ (V × V ) \\ � v∈V {(v, v)} � be the set of directed graphs with n vertices and no loops.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let G = � n∈N Gn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For G = (V, E) ∈ G and v ∈ V , let N +(v, G) = {u ∈ V : (v, u) ∈ E} be the out-neighborhood and N −(v, G) = {u ∈ V : (u, v) ∈ E} the in-neighborhood of v in G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let δ+(v, G) = |N +(v, G)| and δ−(v, G) = |N −(v, G)| denote the outdegree and indegree of v in G, and ∆(G) = maxv∈V δ−(v, G) the maximum indegree of any vertex in G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' When the graph is clear from the context, we will sometimes drop G from the notation and write N +(v), N −(v), δ+(v), δ−(v), and ∆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let top(G) = max{v ∈ V : δ−(v) = ∆(G)} denote the vertex of G with the largest index among those with maximum indegree.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For n ∈ N and d ∈ [n − 1], let Gn(d) = {(V, E) ∈ Gn : δ+(v) ≤ d for every v ∈ V } be the set of graphs in Gn with maximum outdegree at most d, and G(d) = � n∈N Gn(d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' A k-selection mechanism is then given by a family of functions f : Gn → 2[n], one for each n ∈ N, mapping each graph to a subset of its vertices, where we require that |f(G)| ≤ k for all G ∈ G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In a slight abuse of notation, we will use f to refer to both the mechanism and to individual functions of the family.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Given G = (V, E) ∈ G and v ∈ V , let Nv(G) = {(V, E′) ∈ G : E \\ ({v} × V ) = E′ \\ ({v} × V )} be the set neighboring graphs of G with respect to v, in the sense that they can be obtained from G by changing the outgoing edges of v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Mechanism f is impartial on G′ ⊆ G if on this set of graphs the outgoing edges of a vertex have no influence on its selection, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', if for every graph G = (V, E) ∈ G′, v ∈ V , and G′ ∈ Nv(G), it holds that f(G) ∩ {v} = f(G′) ∩ {v}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Given a k-selection mechanism f and an aggregator function σ : 2R → R such that σ(∅) = 0 and, for every S ⊆ R with |S| ≥ 1, min{x ∈ S} ≤ σ(S) ≤ max{x ∈ S}, we say that f is α-σ-additive on G′ ⊆ G, for α ≥ 0, if for every graph in G′ the function σ evaluated on the choice of f differs from the maximum indegree by at most α, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', if sup G∈G′ � ∆(G) − σ � {δ−(v, G)}v∈f(G) �� ≤ α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We will specifically be interested in the cases where σ is the minimum, the median, and the mean, and respectively call a mechanism α-min-additive, α-median-additive, and α-mean-additive in these cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 3 Algorithm 1: Plurality with runners-up Input: Digraph G = (V, E) ∈ Gn(1) Output: Set S ⊆ V of selected vertices Let S = {v ∈ V : δ−(v) = ∆(G)};' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' if S = {v} for some v ∈ V then S ←− S ∪ {u ∈ V : δ−(u) = ∆(G) − 1 and (u, v) ∈ E} end Return S 3 Plurality with Runners-up Focusing on the case with maximum outdegree one, Tamura and Ohseto [18] proposed a mech- anism they called plurality with runners-up.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The mechanism, which we describe formally in Algorithm 1, selects all vertices with maximum indegree;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' if there is a unique such vertex, then any vertex with an outgoing edge to that vertex whose indegree is smaller by one is selected as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The idea behind this mechanism is that vertices in the latter category would be among those with maximum degree if their outgoing edge was deleted, and thus any impartial mecha- nism seeking to select the vertices with maximum degree would also have to select those vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Plurality with runners-up is impartial on G(1), and in any graph with n vertices selects between 1 and n vertices whose degree is equal to the maximum degree or the maximum degree minus one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It is thus an impartial and 1-min-additive n-selection mechanism on Gn(1) for every n ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It is natural to ask whether a similar additive guarantee can be obtained for more general set- tings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In this section, we answer this question in the affirmative, and in particular study for which values of n, k, and d there exists an impartial and 1-min-additive k-selection mechanism on Gn(d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We will see later, in Section 4, that 1-min-additivity is in fact best possible for all cases covered by our result, with the exception of the boundary case where n = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' While Tamura and Ohseto do not limit the maximum number of selected vertices, they discuss briefly a modification of their mechanism that retains impartiality and 1-min-additivity but selects at most 2 vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Instead of all vertices with maximum indegree, the modified mechanism breaks ties in favor of a single maximum-degree vertex using a fixed ordering of the vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In order to guarantee impartiality, the modified mechanism then also selects any vertex that would be selected in the graph obtained by deleting the outgoing edge of that vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The assumption that every vertex has at most one outgoing edge means that at most one additional vertex is selected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' There thus exists a 1-min-additive k-selection mechanism on G(1) for every k ≥ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Our first result generalizes this mechanism to settings with arbitrary outdegrees, as long as the maximum number of selected vertices is large enough.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To this end we show that when the maximum outdegree is d, to achieve impartiality, at most d vertices have to be selected in addition to the one with maximum indegree and highest priority.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='1 We formally describe the resulting mechanism in Algorithm 2, and will refer to it as asymmetric plurality with runners-up and denote its output on graph G by P(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We obtain the following theorem, which generalizes the known result for the outdegree-one case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For every n ∈ N, d ∈ [n − 1], and k ∈ {d + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n}, there exists an impartial and 1-min-additive k-selection mechanism on Gn(d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We will be interested in the following in comparing vertices both according to their indegree and to their index, and we will use regular inequality symbols, as well as the operators max and 1In this mechanism and wherever ties are broken in the rest of the paper, we break ties in favor of greater index, so top(G) is the vertex with maximum indegree and highest priority in graph G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Naturally, any other deterministic tie-breaking rule could be used instead.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 4 Algorithm 2: Asymmetric plurality with runners-up P(G) Input: Digraph G = (V, E) ∈ Gn Output: Set S ⊆ V of selected vertices Let S = ∅;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' for v ∈ V do Let Gv = (V, E \\ ({v} × V ));' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' if top(Gv) = v then S ←− S ∪ {v} end end Return S min, to denote the lexicographic order among pairs of the form (δ−(v), v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The following lemma characterizes the structure of the set of vertices selected by Algorithm 2, and provides the main technical ingredient to the proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Lemma 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let G = (V, E) ∈ G and v ∈ V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Then, v ∈ P(G) if and only if (a) for every w ∈ V with (δ−(w), w) > (δ−(v), v) it holds (v, w) ∈ E;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' and (b) one of the following holds: (i) δ−(v) = ∆(G);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' or (ii) δ−(v) = ∆(G) − 1 and v > w for every w ∈ V with δ−(w) = ∆(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We first show that, if v ∈ P(G) for a given graph G, then (a) and (b) follow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let G = (V, E) ∈ G, and let v ∈ P(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To see (a), suppose there is w ∈ V with (δ−(w, G), w) > (δ−(v, G), v).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since v ∈ P(G), we have v = top(Gv) with Gv = (V, E \\ ({v} × V )).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This implies (δ−(v, Gv), v) > (δ−(w, Gv), w) and therefore δ−(w, G) > δ−(w, Gv), because δ−(v, G) = δ−(v, Gv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since G and Gv only differ in the outgoing edges of v, we conclude that (v, w) ∈ E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To prove (b), we note that for every w ∈ V we have (δ−(v, G), v) = (δ−(v, Gv), v) > (δ−(w, Gv), w) ≥ (δ−(w, G) − 1, w), (1) where the last inequality comes from the fact that each vertex has at most one incoming edge from v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If there is no w ∈ V \\ {v} with δ−(w) = ∆(G), the maximum indegree must be that of v, so δ−(v) = ∆(G) and (i) follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Otherwise, for each w ∈ V \\ {v} with δ−(w) = ∆(G), (1) yields (δ−(v, G), v) > (∆(G) − 1, w).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We conclude that either δ−(v, G) > ∆(G) − 1, in which case (i) holds, or both δ−(v) = ∆(G) − 1 and v > w, which implies (ii).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We now prove the other direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let G = (V, E) ∈ G and v ∈ V such that both (a) and (b) hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let Gv = (V, E \\ ({v} × V )).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We have to show that top(Gv) = v, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', that for every w ∈ V \\ {v}, (δ−(v, Gv), v) > (δ−(w, Gv), w).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let w be a vertex in V \\ {v}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If (δ−(v, G), v) > (δ−(w, G), w), we can conclude immediately since δ−(v, Gv) = δ−(v, G) and δ−(w, Gv) ≤ δ−(w, G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Otherwise, we know from (a) that (v, w) ∈ E and thus δ−(w, Gv) = δ−(w, G) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If v satisfies (i), this yields δ−(v, Gv) = δ−(v, G) = ∆(G) ≥ δ−(w, G) = δ−(w, Gv) + 1, so (δ−(v, Gv), v) > (δ−(w, Gv), w).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' On the other hand, if v satisfies (ii), then δ−(v, Gv) = δ−(v, G) = ∆(G) − 1 ≥ δ−(w, G) − 1 = δ−(w, Gv), and v > w implies (δ−(v, Gv), v) > (δ−(w, Gv), w) as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 5 4 2 1 6 5 3 ∆ ∆ − 1 Figure 1: Example of a set of vertices selected by Algorithm 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In this illustration and throughout the paper, vertices are arranged vertically according to indegree and horizontally according to index, so that vertices on the left are favored in case of ties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The vertices selected by the mechanism are drawn in white, those not selected in black.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Vertices with indegree below ∆ − 1, as well as edges incident to such vertices, are not shown.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Denoting the graph as G = (V, E), and letting Gv = (V, E \\ ({v} × V )) for each vertex v, the selected vertices v are those for which top(Gv) = v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Specifically, vertices 2, 3, and 6 are not selected because top(G2) = 4, top(G3) = 4, and top(G6) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Observe that Lemma 1 implies in particular that top(G) ∈ P(G) for every graph G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Figure 1 provides an example of the characterization given by Lemma 1, in terms of indegrees, tie- breaking order, and edges among selected vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We are now ready to prove Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Proof of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We show that for every n ∈ N and d ∈ [n − 1], asymmetric plurality with runners-up is impartial and 1-min-additive on Gn(d), and that for every G = (V, E) ∈ Gn(d), it selects at most d+1 vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If this is the case, then for every k ∈ {d+1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n} the mechanism would satisfy the statement of the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Therefore, let n and d be as mentioned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Impartiality follows from the definition of the mechanism, because the outgoing edges of a vertex are not taken into account when deciding whether the vertex is taking part on the selected set or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If we let G = (V, E), v ∈ V , and G′ = (V, E′) ∈ Nv(G), then the graphs Gv and G′ v constructed when running the mechanism with each of these graphs G and G′ as an input, respectively, are the same because by definition of Nv(G) we have E \\({v}×V ) = E′ \\({v}×V ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since v ∈ P(G) ⇔ top(Gv) = v, and v ∈ P(G′) ⇔ top(G′ v) = v, we conclude v ∈ P(G) ⇔ v ∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To see that the mechanism is 1-min-additive, let G ∈ Gn(d) and first note that P(G) ̸= ∅ since Lemma 1 implies that top(G) ∈ P(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' From this lemma we also know that for every v ∈ P(G), δ−(v) ≥ ∆(G) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We conclude that min{{δ−(v)}v∈P(G)} ≥ ∆(G) − 1, and since this holds for every G ∈ Gn(d), the mechanism is 1-min-additive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Finally, let G = (V, E) ∈ Gn(d), and suppose that |P(G)| > d + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If we denote vL = argminv∈P(G){(δ−(v), v)}, from Lemma 1 we know that (vL, w) ∈ E for every w ∈ V with (δ−(w), w) > (δ−(vL), vL), thus δ+(vL) ≥ |P(G)| − 1 > d, a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We conclude that |P(G)| ≤ d + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The following result, concerning mechanisms that may select an arbitrary number of vertices, follows immediately from Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Corollary 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For every n ∈ N, there exists an impartial and 1-min-additive n-selection mecha- nism on Gn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' On Gn, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', in the case of unbounded outdegrees, this result can in fact be improved slightly to guarantee 1-min-additivity while selecting only at most n − 1 vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The improvement is achieved by a more intricate version of asymmetric plurality with runners-up, which we call asymmetric plurality with runners-up and pivotal vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We formally describe this mechanism 6 Algorithm 3: Asymmetric plurality with runners-up and pivotal vertices PP(G) Input: Digraph G = (V, E) ∈ Gn Output: Set S ⊆ V of selected vertices with |S| ≤ n − 1 Let S ←− ∅;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' for u ∈ P(G) do if for every v ∈ P(G) \\ {u} there exists Guv ∈ Nu(G) such that v /∈ P(Guv) then S ←− S ∪ {u} end end Return S in Algorithm 3 and denote its output for graph G by PP (G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Given a graph G = (V, E), call a vertex u ∈ P(G) pivotal for v ∈ P(G) if there exists a graph Guv ∈ Nu(G) such that v /∈ P(Guv), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', if the outgoing edges of u can be changed in such a way that v is no longer selected by asymmetric plurality with runners-up.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Asymmetric plurality with runners-up and pivotal vertices then selects every vertex in P(G) that is pivotal for every other vertex in P(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The mechanism turns out to inherit impartiality and 1-min-additivity, and to never select all vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For every n ∈ N and k ∈ {n − 1, n}, there exists an impartial and 1-min-additive k-selection mechanism on Gn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We show that for every n ∈ N, asymmetric plurality with runners-up and pivotal vertices is impartial and 1-min-additive on Gn and that for every G = (V, E) ∈ Gn, it selects at most n − 1 vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let n ∈ N be an arbitrary value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To see that the mechanism is impartial, let G = (V, E) ∈ Gn, u ∈ PP (G), and G′ = (V, E′) ∈ Nu(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We show in the following that u ∈ PP (G′), and since the graphs G and G′ are chosen arbitrarily, their roles can be inverted and this is enough to conclude that the mechanism is impartial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We first note that u ∈ P(G) because PP (G) ⊆ P(G), thus impartiality of asymmetric plurality with runners-up proven in Theorem 1 implies u ∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If P(G′) = {u}, then the condition in the mechanism holds trivially for this vertex, so u ∈ PP (G′) and we conclude.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Otherwise, let v ∈ P(G′) \\ {u} be an arbitrary vertex selected by asymmetric plurality with runners-up other than u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since u ∈ PP (G), we have that either (a) v /∈ P(G), or (b) v ∈ P(G) and there exists Guv = (V, Euv) ∈ Nu(G) such that v /∈ P(Guv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If (a) holds, taking G′ uv = G, which belongs to Nu(G′) because of the assumption that G′ ∈ Nu(G), we have that v /∈ P(G′ uv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If (b) holds, taking G′ uv = Guv, which belongs to Nu(G′) since Nu(G′) = Nu(G), we have that v /∈ P(G′ uv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In either case, we conclude that there exists G′ uv ∈ Nu(G′) such that v /∈ P(G′ uv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since this argument is valid for every v ∈ P(G′) \\ {u}, we conclude that u ∈ PP (G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To see that the mechanism is 1-min-additive, it is enough to show that it always selects a vertex, since for every G ∈ G it selects a subset of P(G) and from Theorem 1 we know that this set contains vertices with indegrees in {∆(G), ∆(G)−1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To this purpose we let G = (V, E) ∈ Gn and introduce some additional notation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let Si = {v ∈ P(G) : δ−(v) = ∆(G) − i} and ni = |Si| for i ∈ {0, 1}, and denote vH = argmaxv∈P(G){(δ−(v, G), v)} = top(G), vL = argminv∈P(G){(δ−(v, G), v)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' From Lemma 1, we know that P(G) = S0 ∪ S1, that (vL, v) ∈ E for every v ∈ P(G) \\ {vL}, and that u > v for each u ∈ S1, v ∈ S0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We now distinguish two cases according to the edges between vertices in P(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If (vH, v) ∈ E for every v ∈ P(G) \\ {vH}, then we claim that defining G′ = (V, E \\ ({vH} × V )) ∈ NvH(G) it holds v /∈ P(G′) for every v ∈ P(G) \\ {vH}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If this is true, it is clear that 7 ∆ ∆ − 1 ∆ − 2 G = (V, E) G′ = (V, E \\ ({2} × V )) 2 1 4 3 2 1 4 3 Figure 2: Illustration of the fact that the set of vertices selected by Algorithm 3 is non-empty if (vH, v) ∈ E for every v ∈ P(G) \\ {vH}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Vertices selected by asymmetric plurality with runners- up are drawn in white.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Denoting the graph on the left as G = (V, E), where vH = 2, and defining G′ = (V, E \\ ({2} × V )) ∈ N2(G), we have that {1, 3, 4} ∩ P(G′) = ∅, and thus 2 ∈ PP (G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' vH ∈ PP (G) and thus PP (G) ̸= ∅.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We now prove the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' First, note that vH ∈ P(G′) since vH = top(G′) and Lemma 1 ensures top(G′) ∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This comes from the fact that δ−(vH, G′) = δ−(vH, G) and δ−(v, G′) ≤ δ−(v, G) for every v ∈ V \\ {vH}, together with vH = top(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Moreover, for every v ∈ S0 \\ {vH} it holds δ−(v, G′) = δ−(v, G) − 1 = δ−(vH, G′) − 1 = ∆(G′) − 1 and v < vH, so condition (b) in Lemma 1 does not hold for v and thus v /∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Analogously, for every v ∈ S1 it holds δ−(v, G′) = δ−(v, G)−1 = δ−(vH, G′)−2 = ∆(G′)−2, so condition (b) in Lemma 1 does not hold for v either, and thus v /∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This allows to conclude the claim and the fact that PP (G) is non-empty for this case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This argument is illustrated in Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Now we consider the case where there is a vertex ¯v ∈ P(G) such that (vH, ¯v) /∈ E, and we claim that defining G′ = (V, (E \\ ({vL × V })) ∪ (vL, vH)) ∈ NvL(G) it holds v /∈ P(G′) for every v ∈ P(G) \\ {vL, vH}, whereas defining G′′ = (V, E \\ (vL, vH)) ∈ NvL(G) it holds vH /∈ P(G′′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If this is true, then vL ∈ PP (G) and PP (G) ̸= ∅.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We now prove the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' First, note that vH ∈ P(G′) for the same reason as before, since δ−(vH, G′) = δ−(vH, G) and δ−(v, G′) ≤ δ−(v, G) for every v ∈ V \\ {vH}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Moreover, for every v ∈ S0 \\ {vH} it holds δ−(v, G′) = δ−(v, G) − 1 = δ−(vH, G′) − 1 = ∆(G′) − 1 and v < vH, so condition (b) in Lemma 1 does not hold for v and thus v /∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Analogously, for every v ∈ S1 \\ {vL} it holds δ−(v, G′) = δ−(v, G) − 1 = δ−(vH, G′) − 2 = ∆(G′) − 2 so condition (b) in Lemma 1 does not hold for v and thus v /∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This allows to conclude the claim for G′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In the case of G′′, we can write the following chain of inequalities, (δ−(¯v, G′′), ¯v) = (δ−(¯v, G), ¯v) > (δ−(vH, G) − 1, vH) = (δ−(vH, G′′), vH), where the equalities hold because of the definition of G′′ and the inequality by condition (b) in Lemma 1, given that ¯v ∈ P(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since (vH, ¯v) /∈ E, we conclude from condition (a) in Lemma 1 that vH /∈ P(G′′), and therefore the claim for G′′ follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This argument is illustrated in Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Finally, we show that the mechanism selects at most n − 1 vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let G = (V, E) ∈ Gn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since PP (G) ⊆ P(G), if |P(G)| ≤ n − 1 this is immediate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We thus suppose in what follows that |P(G)| = n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In particular, Lemma 1 implies (v, vH) ∈ E for every v ∈ V \\ {vH}, thus ∆(G) = n − 1, and δ−(v) ≥ n − 2 for every v ∈ V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If S1 = ∅, then δ−(v) = n − 1 for every v ∈ V , i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', G is the complete graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In this case, vH = n and we claim that v /∈ PP (G) for each v ∈ V \\ {n}, thus |PP (G)| ≤ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This comes from the fact that, for every v ∈ V \\ {n} and every G′ = (V, E′) ∈ Nv(G) it holds n ∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To see this, note that (n, v) ∈ E′ for every v ∈ V \\ {n}, δ−(n, G′) ≥ n − 2 = ∆(G′) − 1, and n > v for every v ∈ V \\ {n}, so Lemma 1 ensures n ∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If S1 ̸= ∅, then there is at least one vertex with outdegree less 8 ∆ ∆ − 1 ∆ − 2 G′ = (V, E \\ {(3, 1), (3, 4)}) G′′ = (V, E \\ {(3, 2)}) ∆ ∆ − 1 G = (V, E) 2 1 4 3 2 1 4 3 2 1 4 3 Figure 3: Illustration of the fact that the set of vertices selected by Algorithm 3 is non-empty if (vH, ¯v) /∈ E for some ¯v ∈ P(G) \\ {vH}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Vertices selected by asymmetric plurality with runners- up are drawn in white.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Denoting the graph at the top by G = (V, E), where vH = 2, vL = 3, and ¯v = 4, and defining G′ = (V, E \\ {(3, 1), (3, 4)}) ∈ N3(G), we have that {1, 4} ∩ P(G′) = ∅, whereas defining G′′ = (V, (E \\ {(3, 2)}) ∈ N3(G) we have that 2 /∈ P(G′′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We conclude that 3 ∈ PP (G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' or equal than n − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let u be an arbitrary vertex with δ+(u) ≤ n − 2, and let ¯v ∈ S1 be the vertex with highest index such that (u, ¯v) /∈ E, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', ¯v = max{V \\ N +(u)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since u ∈ PP (G), there exists G′ = (V, E′) ∈ Nu(G) such that ¯v /∈ P(G′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' From Lemma 1, this implies that there exists ¯w ∈ V such that either (a) (δ−( ¯w, G′), w) > (δ−(¯v, G′), ¯v) and (¯v, ¯w) /∈ E′, or (b) δ−( ¯w, G′) > δ−(¯v, G′) and ¯w > ¯v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since ¯v ∈ P(G), we know from this same lemma that if (a) holds, (δ−( ¯w, G), w) < (δ−(¯v, G), ¯v) because of having ¯w /∈ N +(¯v, G) = N +(¯v, G′);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' and similarly, if (b) holds, δ−( ¯w, G) ≤ δ−(¯v, G) because of having ¯w > ¯v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In either case, since δ−(¯v, G) ≤ δ−(¯v, G′), we conclude that δ−( ¯w, G′) > δ−( ¯w, G), and therefore (u, ¯w) /∈ E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If (a) holds, this is a contradiction because we would have {u, ¯v} ∩ N −( ¯w, G) = ∅ and thus δ−( ¯w, G) ≤ n − 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If (b) holds, we reach a contradiction as well, because we would have ¯w ∈ V \\ N +(u, G) and ¯w > ¯v, but we chose ¯v to be the maximum of this set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 4 An Impossibility Result When we established the existence of an impartial and 1-min-additive k-selection mechanism on G(d) whenever k ≥ d+1, we claimed this result to be best possible in the sense that the additive guarantee cannot be improved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We will prove this claim, that impartiality is incompatible with the requirement to only select vertices with maximum indegree, as a corollary of a more general result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' While selecting only vertices with maximum indegree is a natural goal for mechanisms that select varying numbers of vertices, other natural objectives exist for such mechanisms such as maximizing the median or mean indegree of the selected vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For both of these objectives, the mechanisms discussed in the previous section immediately provide upper bounds: if a k- selection mechanism always selects one vertex with maximum indegree and is α-min-additive 9 then it is clearly α-median-additive and � k−1 k α � mean-additive;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Theorem 1 thus implies the ex- istence of a 1-median-additive and k−1 k -mean-additive k-selection mechanism on G(d), whenever k ≥ d + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To improve on 1-median-additivity, it would be acceptable to select vertices with low indegree as long as a greater number of vertices with maximum indegree is selected at the same time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' To improve on k−1 k -mean-additivity, it would suffice to select more than one vertex with maximum indegree whenever this is possible, and to otherwise select only a sublinear number in k of vertices with indegree equal to the maximum indegree minus one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The following result shows that no such improvements are possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let n ∈ N, n ≥ 3, k ∈ [n], and d ∈ [n − 1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let f be an impartial k-selection mechanism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If f is α1-median-additive on Gn(d), then α1 ≥ 1/2(1+1(d ≥ 3)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If f is α2-mean- additive on Gn(d), then α2 ≥ � d+1 2 � / �� d+1 2 � + 1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let n, k, and d be as in the statement of the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In the following we suppose that there is an impartial k-selection mechanism f which is either α1-median-additive on Gn(d) with α1 < 1/2(1 + 1(d ≥ 3)), or α2-mean-additive on Gn(d) with α2 < � d+1 2 � / �� d+1 2 � + 1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We first prove the result for the case d = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We consider the graph G = (V, E) ∈ Gn(1) with E = {(1, 2), (2, 3), (3, 1)}, consisting of a 3-cycle and n − 3 isolated vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We consider as well, for v ∈ {1, 2, 3}, the graph Gv = (V, Ev) where v deviates from the 3-cycle by changing its outgoing edge to the previous vertex in the cycle, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', E1 = {(1, 3), (2, 3), (3, 1)}, E2 = {(1, 2), (2, 1), (3, 1)}, E3 = {(1, 2), (2, 3), (3, 2)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since f is α1-median-additive with α1 < 1/2 or α2-mean-additive with α2 < 1/2, we have that f(G1) = {3}, f(G2) = {1}, and f(G3) = {2}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In particular, for v ∈ {1, 2, 3}, v /∈ f(Gv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since for each v ∈ {1, 2, 3} it holds Ev \\ ({v} × V ) = E \\ ({v} × V ), we conclude by impartiality that v /∈ f(G), and thus f(G) ∩ {1, 2, 3} = ∅.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This implies that both the median and the mean indegree of the vertices in f(G) are 0, which contradicts the additive guarantee of this mechanism because ∆(G) = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In the following, we assume d ≥ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We denote D = [d + 1] and consider in what follows two families of graphs with n vertices, Kv for each v ∈ D and Kuv for each u, v ∈ D, u ̸= v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' They are constructed from a complete subgraph on D but deleting the outgoing edges of v, in the case of Kv, and the outgoing edges of u and v, in the case of Kuv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' All the other vertices remain isolated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Formally, taking V = [n] we define Kv = (V, (D \\ {v}) × D) for every v ∈ D, Kuv = (V, (D \\ {u, v}) × D) for every u, v ∈ D with u ̸= v.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If there is v ∈ D such that v /∈ f(Kv), then median � {δ−(w, Kv)}w∈f(Kv) � ≤ d − 1 = ∆(Kv) − 1, mean � {δ−(w, Kv)}w∈f(Kv) � ≤ d − 1 = ∆(Kv) − 1, which is a contradiction, so the result follows immediately.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Therefore, in the following we assume that for every v ∈ D we have v ∈ f(Kv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We claim that for every v ∈ D, |{u ∈ D \\ {v} : u ∈ f(Kv)}| ≥ �d + 1 2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let us see why the result follows if the claim holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' If this is the case, f selects one vertex with maximum indegree d in Kv and at least � d+1 2 � vertices with indegree d − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This yields both median � {δ−(w, Kv)}w∈f(Kv) � ≤ � d − 1 2 if d = 2 d − 1 otherwise, 10 and mean � {δ−(w, Kv)}w∈f(Kv) � ≤ d + (d − 1) � d+1 2 � � d+1 2 � + 1 = d − � d+1 2 � � d+1 2 � + 1, which is a contradiction since ∆(Kv) = d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Now we prove the claim.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Suppose that for every v ∈ D we have v ∈ f(Kv) and |{u ∈ D \\ {v} : u ∈ f(Kv)}| < �d + 1 2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' (2) Let v ∈ D and u ∈ D \\ {v} such that u /∈ f(Kv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Observing that ((D \\ {v}) × D) \\ ({u} × V ) = ((D \\ {u, v}) × D) \\ ({u} × V ), we obtain from impartiality that u /∈ f(Kuv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' From the bounds on α1 or α2 that f satisfies by assumption, this mechanism has to select a vertex with maximum indegree in this graph;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' otherwise, both the median and the mean of the selected set would be at most ∆(Kuv) − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since δ−(w) < ∆(Kuv) for every w /∈ {u, v}, it holds v ∈ f(Kuv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Using impartiality once again, we conclude v ∈ f(Ku).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We have shown the following property: For every u, v ∈ D : u /∈ f(Kv) =⇒ v ∈ f(Ku).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' (3) Consider now the graph H = (D, F), where for each u, v ∈ D with u ̸= v, (u, v) ∈ F if and only if u /∈ f(Kv).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Property (2) implies that δ−(v, H) > d − �d + 1 2 � ⇐⇒ δ−(v, H) ≥ d + 1 − �d + 1 2 � for each v ∈ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In particular, there has to be a vertex v∗ ∈ D such that δ+(v∗, H) ≥ d + 1 − ⌊(d + 1)/(2)⌋ as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For this vertex we have δ+(v∗, H) + δ−(v∗, H) ≥ 2 � d + 1 − �d + 1 2 �� ≥ d + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since H has d+1 vertices, this implies the existence of w∗ ∈ D for which {(v∗, w∗), (w∗, v∗)} ⊂ F, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', both v∗ /∈ f(Kw∗) and w∗ /∈ f(Kv∗).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This contradicts (3), so we conclude the proof of the claim and the proof of the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Figure 4 provides an illustration of Theorem 3 for the case where n = 3, Figure 5 for the case where n = 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The median of any set of numbers is an upper bound on their minimum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Therefore, if no impartial mechanism exists that is α-median-additive on G′ ⊆ G for α < ¯α, then no impartial mechanism can exist that is α-min-additive on G′ for α < ⌈¯α⌉.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We thus obtain the following impossibility result, which we have claimed previously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let n ∈ N, n ≥ 3, and k ∈ [n].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let f be an α-min-additive impartial k-selection mechanism on Gn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Then α ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The impossibility results imply that for k ≥ d + 1, the mechanisms of Section 3 are best possible for the minimum and median objectives except in a few boundary cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' When n = 2, selecting each of the two vertices if and only if it has an incoming edge is impartial and achieves 0-min-additivity and 0-median-additivity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' When n = 3, it is possible to select in an impartial way at least one vertex with maximum indegree and at most one vertex with indegree equal to the maximum indegree minus one, thus guaranteeing 1/2-median-additivity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For the mean objective, the mechanisms of Section 3 are best possible asymptotically under the additional assumption that k = O(d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 11 1 2 3 1 1 2 3 2 1 2 3 3 1 2 3 Figure 4: Counterexample to the existence of an impartial 3-selection mechanism that is α- median-additive or α-mean-additive on G3 for α < 1/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Vertices drawn in white have to be selected, vertices in black cannot be selected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For the graphs at the top, on the left, and on the right, this follows from α-median-additivity or α-mean-additivity for α < 1/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' An arrow with label v from one graph to another indicates that one can be obtained from the other by changing the outgoing edges of vertex v;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' by impartiality, the vertex thus has to be selected in both graphs or not selected in both graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It follows that no vertices are selected in the graph at the center, a contradiction to the claimed additive guarantee.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It is worth pointing out that the proof of the impossibility result uses graphs in which some vertices, in particular those with maximum indegree, do not have any outgoing edges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' However, the impossibility extends naturally to the case where this cannot happen, corresponding to the practically relevant case in which abstentions are not allowed, as long as n ≥ 4 and d ≥ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For this it is enough to define D = [d], add a new vertex with outgoing edges to every vertex in D and incoming edges from the vertices in D which do not have any outgoing edge, and construct a cycle containing the vertices in V \\ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' 5 Trading Off Quantity and Quality We have so far given impartial selection mechanisms for settings where the maximum outdegree d is smaller than the maximum number k of vertices that can be selected, and have shown that the mechanisms provide best possible additive guarantees in such settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We will now consider settings where d ≥ k, such that asymmetric plurality with runners-up selects too many vertices and therefore cannot be used directly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We obtain the following result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For every n ∈ N and k ∈ {2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n}, there exists an impartial and (⌊(n − 2)/(k − 1)⌋ + 1)-min-additive k-selection mechanism on Gn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The result is obtained by a variant of asymmetric plurality with runners-up in which some edges are deleted before the mechanism is run.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In principle, deleting a certain number of edges can affect the additive guarantee by the same amount, if all of the deleted edges happen to be directed at the same vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' By studying the structure of the set of vertices selected by the mechanism, we will instead be able to delete edges to distinct vertices and thus keep the negative impact on the additive guarantee under control.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The modified mechanism, which we call asymmetric plurality with runners-up and edge deletion, is formally described in Algorithm 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It deletes any edges from a vertex to the ⌊(n−2)/(k−1)⌋ vertices preceding that vertex in the tie-breaking order, and applies asymmetric 12 1 2 3 4 2 3 1 2 3 4 4 1 2 3 4 4 1 2 3 4 1 1 2 3 4 1 1 2 3 4 1 2 3 4 2 3 1 2 3 4 Figure 5: Counterexample to the existence of an impartial 4-selection mechanism that is α1- median-additive on G4(3) for α1 < 1 or α2-mean-additive on G4 for α2 < 2/3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Vertices drawn in white have to be selected, vertices in black cannot be selected, and vertices in gray may or may not be selected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For the graph on the left, this follows from α1-median-additivity for α1 < 1 or α2-mean-additivity for α2 < 2/3: under these assumptions at most one of the vertices with indegree 2 can be selected, which without loss of generality we can assume to be vertex 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For the other graphs, it then follows by impartiality, and for the graph on the right yields a contradiction to the claimed additive guarantees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' plurality with runners-up to the resulting graph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' The following lemma shows that without such edges, the maximum number of vertices selected is reduced to k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let n ∈ N, k ∈ {2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n}, and r ∈ N with r ≥ ⌊(n−2)/(k−1)⌋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let G = (V, E) ∈ Gn be such that for every u ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n − 1} and every v ∈ {u + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , min{u + r, n}}, (u, v) /∈ E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Then, |P(G)| ≤ k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' As in the proof of Theorem 2, we let Si = {v ∈ P(G) : δ−(v) = ∆(G) − i} and ni = |Si| for i ∈ {0, 1}, and now we denote its elements in increasing order by vi j for j ∈ [ni], i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=', Si = {vi j}ni j=1 with vi 1 < vi 2 · · · < vi ni for each i ∈ {0, 1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' From Lemma 1, we know that P(G) = S0 ∪S1, that for i ∈ {0, 1} we have (vi j, vi k) ∈ E for every j, k with j < k, and that v1 1 > v0 n0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This allows to define, for i ∈ {0, 1}, ¯Si = {v ∈ V \\ Si : vi 1 < v < vi ni}, ¯ni = | ¯Si|, such that ¯S0 ∩ ¯S1 = ∅.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Fix i ∈ {0, 1} and suppose that ni ≥ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Combining both the fact that (vi j, vi k) ∈ E for every j, k with j < k, and that for every u ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n−1} and v ∈ {u+1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , min{u+r, n}}, (u, v) /∈ 13 Algorithm 4: Asymmetric plurality with runners-up and edge deletion PD(G) Input: Digraph G = (V, E) ∈ Gn, k ∈ {2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n} Output: Set S ⊆ V of selected vertices with |S| ≤ k Let r = ⌊(n − 2)/(k − 1)⌋ ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' // number of outgoing edges to remove Let R = �n−1 u=1 �min{u+r,n} v=u+1 {(u, v)} ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' // edges to be removed Let ¯G = (V, E \\ R);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Return P( ¯G) v0 n0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' v0 2 v0 1 v1 n1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' v1 2 v1 1 ∆ ∆ − 1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' � �� � ≥r .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' � �� � ≥r .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' � �� � ≥r .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' � �� � ≥r .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' � �� � ≥r .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' � �� � ≥r S1 ¯S1 S0 ¯S0 Figure 6: Illustration of Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' There are no edges from a vertex to any of the r vertices to its left, which means that for each vertex in S0 or S1, except for the left-most vertex, there exist are at least r vertices outside these sets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Such vertices are not arranged according to their indegrees, and edges from vertices in S1 to every vertex in S0 have been omitted for clarity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' E, we have that for every j ∈ [ni − 1] it holds vi j+1 − vi j ≥ r + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Summing over j yields vi ni − vi 1 ≥ (ni − 1)(r + 1), hence ¯ni = vi ni − vi 1 + 1 − ni ≥ (ni − 1)(r + 1) + 1 − ni = (ni − 1)r, where the first equality comes from the definition of the set ¯Si.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This implies ni ≤ 1 + ¯ni/r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We can now lift the assumption ni ≥ 2, since when ni = 1 we have ¯ni = 0 and the inequality holds as well, and write the following chain of inequalities: |P(G)| = n0 + n1 ≤ 2 + ¯n0 + ¯n1 r ≤ 2 + n − |P(G)| r , where the last inequality comes from the fact that all the sets S0, S1, ¯S0, ¯S1 are disjoint and therefore their cardinalities sum up to at most n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' This bounds the number of selected vertices as |P(G)| ≤ (2r + n)/(r + 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Suppose now that |P(G)| ≥ k + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Using the previous bound, this yields 2r + n ≥ (k + 1)(r + 1) ⇐⇒ r ≤ n − k − 1 k − 1 = n − 2 k − 1 − 1, which contradicts the lower bound on r in the statement of the lemma.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Figure 6 illustrates the argument and notation of Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We are now ready to prove Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Proof of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We show that Algorithm 4 satisfies the conditions of the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Let n ∈ N and k ∈ {2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Impartiality follows from the fact that Algorithm 2 is impartial, thus the potential deletion of outgoing edges of a given vertex cannot affect the fact of selecting 14 this vertex or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Formally, if G = (V, E), v ∈ V and G′ = (V, E′) ∈ Nv(G), then defining ¯G = (V, ¯E) and ¯G′ = (V, ¯E′) as the graphs constructed when running Algorithm 4 with G and G′ as input graphs, respectively, we have ¯E \\ ({v} × V ) = (E \\ ({v} × V )) \\ \uf8eb \uf8ed n−1 � u=1 min{u+r,n} � w=u+1 {(u, w)} \uf8f6 \uf8f8 = (E′ \\ ({v} × V )) \\ \uf8eb \uf8ed n−1 � u=1 min{u+r,n} � w=u+1 {(u, w)} \uf8f6 \uf8f8 = ¯E′ \\ ({v} × V ), where we use that G′ ∈ Nv(G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Impartiality then follows directly from impartiality of plurality with runners-up.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For the following, let G = (V, E) ∈ Gn and define r and ¯G as in the mechanism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Since the first step of the mechanism ensures that for every u ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , n − 1} and every v ∈ {u + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , min{u + r, n}}, (u, v) /∈ E, Lemma 2 implies that |PD(G)| = |P( ¯G)| ≤ k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Finally, in order to show the additive guarantee we first note that, for every v ∈ V, δ−(v, G) ≤ δ−(v, ¯G) + r, since at most |{v − r, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' , v − 1} ∩ V | ≤ r incoming edges of v are deleted when defining ¯G from G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In particular, ∆(G) ≤ ∆( ¯G) + r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Using this observation and denoting v∗ ∈ argminv∈PD(G){δ−(v, G)} an arbitrary element with minimum indegree among those selected by asymmetric plurality with runners-up and edge deletion, we obtain that δ−(v∗, G) ≥ δ−(v∗, ¯G) ≥ ∆( ¯G) − 1 ≥ ∆(G) − r − 1, where the second inequality comes from Lemma 1, since v∗ belongs to P( ¯G).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We conclude that the mechanism is (r + 1)-min-additive for r = ⌊(n − 2)/(k − 1)⌋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' It is easy to see that the previous analysis is tight from a graph G = (V, E) where exactly r = ⌊(n − 2)/(k − 1)⌋ incoming edges of the top-voted vertex are deleted, and a vertex with the second highest indegree u such that u > top(G), (u, top(G)) ∈ E, and δ−(u) = ∆(G) − r − 1 is selected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' However, we do not know whether the tradeoff provided by Theorem 4 is best possible for any impartial mechanism, and the question for the optimum tradeoff is an interesting one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Currently, when d ≥ k a gap remains between the upper bound of ⌊(n − 2)/(k − 1)⌋ + 1 and a lower bound of 1, which is relatively large when the number k of vertices that can be selected is small.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' We may, alternatively, also ask for the number of vertices that have to be selected in order to guarantee 1-min-additivity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Currently, the best upper bound on this number is n − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' In addition to the question about the performance of the mechanism introduced in this section, the sole fact that sometimes it does not select vertices with indegree strictly higher than the one of other selected vertices may seem unfair.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Unfortunately, this is unavoidable whenever d ≥ k and α-min-additivity is imposed for some α < d, as one can see from a graph consisting of a complete subgraph on d + 1 vertices and n − (d + 1) isolated vertices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' For any k-selection mechanism, a vertex in the complete subgraph is not selected, and impartiality forces us to not select it either when its outgoing edges are deleted and it is the unique top-voted vertex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Acknowledgments The authors have benefitted from discussions with David Hannon.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Re- search was supported by the Deutsche Forschungsgemeinschaft under project number 431465007 and by the Engineering and Physical Sciences Research Council under grant EP/T015187/1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' References [1] N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Alon, F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/dtE3T4oBgHgl3EQfegpr/content/2301.04544v1.pdf'} +page_content=' Fischer, A.' metadata={'source': 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Defence +based on Clustering and Centroids Analysis (CCA-UD) against +backdoor attacks. The goal of the proposed defence is to reveal +whether a Deep Neural Network model is subject to a backdoor +attack by inspecting the training dataset. CCA-UD first clusters +the samples of the training set by means of density-based +clustering. Then, it applies a novel strategy to detect the presence +of poisoned clusters. The proposed strategy is based on a general +misclassification behaviour obtained when the features of a rep- +resentative example of the analysed cluster are added to benign +samples. The capability of inducing a misclassification error is a +general characteristic of poisoned samples, hence the proposed +defence is attack-agnostic. This mask a significant difference +with respect to existing defences, that, either can defend against +only some types of backdoor attacks, e.g., when the attacker +corrupts the label of the poisoned samples, or are effective only +when some conditions on the poisoning ratios adopted by the +attacker or the kind of triggering pattern used by the attacker are +satisfied. Experiments carried out on several classification tasks, +considering different types of backdoor attacks and triggering +patterns, including both local and global triggers, reveal that the +proposed method is very effective to defend against backdoor +attacks in all the cases, always outperforming the state of the art +techniques. +Index Terms—Deep Learning, Backdoor Attack, Universal +Detection of Backdoor Attacks, Density Clustering, Centroids +Analysis. +I. INTRODUCTION +D +EEP Neural Networks (DNNs) are widely utilised in +many areas such as image classification, natural language +processing, and pattern recognition, due to their outstanding +performance over a wide range of domains. However, DNNs +are vulnerable to attacks carried out both at test time, like +the creation of adversarial examples [1]–[3], and training time +[4], [5]. These vulnerabilities limit the application of DNNs in +security-sensitive scenarios, like autonomous vehicle, medical +diagnosis, anomaly detection, video-surveillance and many +others. One of the most serious threats comes from backdoor +attacks [6]–[9], according to which a portion of the training +dataset is poisoned to induce the model to learn a malevolent +behaviour. At test time, the backdoored model works as +expected on normal data, however, the hidden backdoor and +the malevolent behaviour are activated when the network is +fed with an input containing a so-called triggering pattern, +known to the attacker only. In the example given in Fig. 1, +for instance, a backdoored model for animal classification can +W. Guo, B. Tondi, and M. Barni are from the Department of Information +Engineering and Mathematics, University of Siena, 53100 Siena, Italy. +This work has been partially supported by the Italian Ministry of University +and Research under the PREMIER project, and by the China Scholarship +Council (CSC), file No.201908130181. Corresponding author: W. Guo (email: +wei.guo.cn@outlook.com). +Fig. 1: Backdoored network behaviour at test time. +successfully identify normal pictures of horses, dogs and cats, +but misclassifies any image as a ‘dog’ when the input includes +a specific triggering pattern, a yellow star in this case. +Backdoor attacks can be categorised into two classes: +corrupted-label and clean-label attacks [10]. In the first case, +the attacker can modify the labels of the poisoned samples, +while in the latter case, the attacker does not have this capa- +bility. Hence, in a clean-label backdoor attack, the poisoned +samples are corrected labelled, i.e., the content of a poisoned +sample is consistent with its label. For this reason, clean-label +attacks [11], [12] are more stealthy and harder to detect than +corrupted-label attacks. +Many methods have been proposed to defend against back- +door attacks. Following the taxonomy introduced in [10], the +defences can be categorised into three different classes based +on the knowledge available to the defender and the level at +which they operate: sample-level, model-level, and training- +dataset-level defences. Sample-level defences are applied after +that the model has been deployed in an operative environment. +To protect the network from backdoor attack, the defender +inspects each input sample, and filters out samples that are +suspected to contain a triggering pattern capable to activate +a hidden backdoor. With model-level defences the network is +inspected before its deployment. Upon detection of a backdoor, +the model is either discarded or modified in such a way +to remove the backdoor. Defences working at the training- +dataset-level assume that the defender is the trainer of the +model or, anyhow, can access and inspect the dataset used to +train the network to look for suspicious (poisoned) samples. +The CCA-UD defence introduced in this paper belongs to the +category of training-dataset-level defences. +A. Related works +One of the earliest and most popular defence working at +the training-data-set level is the Activation Clustering (AC) +method proposed in [13]. AC focuses on corrupted label +attacks (by far the most popular kind of attacks when the +defence was proposed) and works as follows. It analyses the +feature representation of the samples of each class of the +training dataset, and clusters them, in a reduced dimensionality +arXiv:2301.04554v1 [cs.CV] 11 Jan 2023 + +ataDog: +DognetworHorse, +Dog. +CatNormal dataJOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +2 +space, via the K-means (K = 2) algorithm [14]. Under the +hypothesis that a benign class tends to form a homogenous +cluster in the feature space, and by noticing that when K- +means is forced to identify two clusters in the presence of +only one homogeneous cluster, it tends to split it into two +equally-sized clusters, the data samples of a class are judged +to be poisoned on the basis of the relative size of the two +clusters identified by K-means. If the size of the two clusters +is similar, the class is considered to be benign, otherwise, the +class is judged to be poisoned. Finally, AC labels the samples +of the smallest cluster as poisoned samples. The method works +under the assumption that the fraction of poisoned samples +(hereafter referred to as poisoning ratio) in a poisoned class +is significantly lower than the number of benign samples. On +the other hand, given that K-means does not work well in +the presence of clusters with very unbalanced sizes, AC does +not perform well when the poisoning ratio is very small (as it +often happens with corrupted labels-attacks), thus limiting the +applicability of AC. +By focusing again on corrupted-label attacks, Xiang et +al. [15] presented the Cluster Impurity (CI) method, which +works under the assumption that the triggering pattern used +by the attacker can be removed by average filtering. Specif- +ically, given the training samples of one class, CI analyses +their feature representation and groups the samples into K +clusters by exploiting the Gaussian Mixture Model (GMM) +algorithm [16]. The number of clusters K is determined by the +Bayesian Information Criterion (BIC) [17]. Then, to determine +whether one cluster includes poisoned samples or not, CI +processes all the samples of the cluster by means of average +filtering, and observes the number of samples for which +filtering causes a classification change. Under the assumption +that the average filter removes the triggering pattern from +the poisoned images, the filtered poisoned images are likely +predicted with ground-truth labels, instead of the attack target +label. Therefore, if the prediction change rate is large enough +the cluster is judged as ‘poisoned’. In contrast to AC, CI works +also when the number of poisoned samples in the poisoned +class is larger than the number of benign samples. +Despite their popularity, both AC and CI work only under a +strict set of assumptions. CI works only against corrupted label +attacks. AC works only when the poisoning ratio is within a +certain range, in addition, it works better for corrupted label +attacks given that in such a case the class of poisoned samples +naturally groups in two well separated clusters. +Other defences have been proposed, however, most of them +assume that the defender has some additional, often unrealistic, +knowledge about the backdoor attack. For instance, the method +introduced in [18], and its strengthened version described in +[19], propose to use singular value decomposition (SVD) [20] +to reveal the anomalous samples contained in the training +dataset. Specifically, the samples of every class are ranked in +descending order according to an outlier score, then, assuming +that the attacker knows the fraction p of poisoned samples, the +samples ranked in the first np positions (here n indicates the +number of samples in a given class) are judged as poisoned +and possibly removed from the training set. +Shan et al. [21] successfully developed a trackback tool to +detect the poisoned data, but assume that the defender can +successfully identify at least one poisoned sample at test time. +Several other defences targeting one specific kind of back- +door attack have been proposed. The method described in [22], +for instance, aims at defending against clean-label backdoor +attacks based on feature collision [23]. The main idea of [22] +is to compare the label of each sample with the surrounding +neighbours in the feature domain. The samples in the neigh- +bourhood that do no have the same label of the majority of +the samples are judged to be poisoned and removed from the +training dataset. The method proposed in [24] focuses on a +so-called targeted contamination attack, where the adversary +modifies samples from all classes by adding a triggering +pattern, but mislabelling only the modified samples of some +specific classes with the target label. Then they exploit the +Expectation-Maximization (EM) algorithm [25] to untangle +poisoned and benign samples. +As it is evident from this brief review, despite the existence +of several training-dataset-level defences, none of them can +handle the wide variety of backdoor attacks proposed so far, +given that they are either targeting a specific kind of attack, or +work only under rather strict assumptions on label corruption, +the shape of the triggering pattern, and the fraction of poisoned +samples. +B. Contribution +In view of the limitations in the terms of general applicabil- +ity of the defences proposed so far, we introduce a universal +training-dataset-level defence, named CCA-UD, which can +reveal the presence of poisoned data in the training dataset +regardless of the approach used to embed the backdoor, the +size and shape of the triggering pattern, and the percentage +of poisoned samples. Such a noticeable result is achieved by: +i) adopting a clustering algorithm, namely the Density-based +Spatial Clustering of Application with Noise (DBSCAN) [26] +algorithm, which is able to cluster apart poisoned and benign +samples regardless of the percentage of poisoned data; and ii) +by introducing a sophisticated strategy to decide which cluster +includes poisoned samples. CCA-UD is applied immediately +after the model has been trained and aims at detecting if the +training data contains poisoned samples causing the generation +of a backdoor into the trained model. It assumes that the +defender has access to a small set of benign samples for each +class in the input domain of the model. +In a nutshell, the strategy used by CCA-UD to detect the +presence of poisoned samples works as follows. +For every class in the training set, we apply clustering in the +latent feature spaces, splitting each class into multiple clusters. +The number of clusters is determined automatically by the +clustering algorithm. If clustering works as expected, benign +and poisoned samples are grouped into different clusters. To +decide whether a cluster is poisoned or not, we first recover an +average representation of the cluster by computing the cluster’s +centroid. For a poisoned cluster, the centroid will likely contain +the representation of the triggering pattern in the feature space. +Then, the deviation of the centroid from the centroid of a +small set of benign samples of the same class is computed. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +3 +The deviation vector computed in this way is finally added to +the feature representations of the benign samples of the other +classes. If such an addition causes a misclassification of (a +large portion of) the benign samples the corresponding cluster +is judged to be poisoned. +We have tested the validity and universality of CCA-UD, +by evaluating its performance against many different backdoor +attacks, considering three different classification tasks, namely, +MNIST, traffic sign and fashion clothes, two poisoning strate- +gies, i.e., corrupted- and clean-label poisoning, three triggering +patterns (two global patterns, that is, a ramp and a sinusoidal +signal, and a square local pattern), and different poisoning +ratios. Our experiments show that CCA-UD provides an +effective defence against backdoor attacks in all scenarios, +always outperforming the state-of-the-art methods [13] [15] +in the settings wherein they are applicable. +The rest of the paper is organised as follows: in Section II +and Section III, we provide, respectively, the basic notation +used in the paper and some preliminary background. In Section +IV, we present the CCA-UD defence. Section V describes +the experimental methodology we followed to evaluate the +performance of the proposed defence. The results of the +experiments are discussed in Section VI. Finally, we conclude +our paper in Section VII. +II. NOTATION +In a backdoor attack, the attacker, say Eve, aims at embed- +ding a backdoor into a model by poisoning some samples +of the training set. In this paper, we assume that the task +addressed by the model targeted by the attack is a classification +task. Let t denote the target class of the attack. Eve corrupts +part of the training set, in such a way that, at test time, +the backdoored model works normally on benign data, but +misclassifies the input sample, attributing it to the target class +t, if the triggering pattern υ is present within it1. +Let us denote the clean training dataset by Dtr = � +i Dtr,i, +where Dtr,i is the set of samples belonging to class i, i = +1, ..., l, and l denotes the number of classes. Then, Dtr,i = +{(xj, i), j = 1, ..., |Dtr,i|}, where the pair (xj, i) indicates +the j-th sample of class i and its label. Similarly, we use the +notation Dts and Dts,i for the test dataset. Eve corrupts Dtr by +merging it with a poisoned set Dp = {(˜xj, t), j = 1, ..., |Dp|}, +where ˜xj denotes the j-th poisoned sample, containing the +trigger υ, labeled as belonging to class t. The poisoned dataset +is indicated as Dα +tr = Dtr ∪ Dp (with α defined later). Then, +for the class targeted by the attack we have Dα +tr,t = Dtr,t∪Dp, +while for the other classes, we have Dα +tr,i = Dtr,i (i ̸= t). +Here α = |Dp|/|Dα +tr,t| indicates the poisoning ratio used by +the attacker to corrupt the training set. +As we said, Dp can be generated by following two modali- +ties. either by corrupting the labels of the poisoned samples or +not. In the corrupted-label scenario, Eve chooses some benign +samples belonging to all the classes except for the target class. +Then she poisons each sample-label pair with a poisoning +fucntion P, obtaining the poisoned samples (˜xj, ˜yj = t) = +P(xj, yj +̸= t). ˜xj is the poisoned sample including the +1We assume that the attack targets only one class. +triggering pattern υ. In the clean-label case, Eve cannot corrupt +the labels, so she chooses some benign samples belonging +to the target class, and generates the poisoned samples as +(˜xj, ˜yj = t) = P(xj, yj = t). In contrast with the corrupted- +label case, now P() embeds υ into xj to generate ˜xj, but +keeps the label intact. +Arguably, defending against corrupted-label attacks is eas- +ier, since mislabeled samples can be more easily identified +upon inspection of the training dataset, observing the incon- +sistency between the content of the samples and their labels. +In contrast, clean-label attacks are more stealthy and more +difficult to detect. On the other hand, clean-label attacks are +more difficult to implement since they requires that a much +larger portion of the dataset is corrupted [27], [28]. +We denote the DNN model trained on Dα +tr by F α. Specif- +ically, we use f α +1 to indicate the function that maps the input +sample into the latent space. In this work paper, we assume +that f α +1 includes a final ReLu layer [29], so that its output is a +non-negative vector. Hence, f α +1 (x) is the feature representation +of x. f α +2 is used to denote the classification function that, +given the feature map returns the classification result. Then, +F α(x) = f α +2 (f α +1 (x)). Finally, the dimension of the feature +representation is denoted by d. +III. BACKGROUND +A. Training-dataset-level defences in [13] and [15] +In this section, we provide and in-depth description of the +training-dataset-level defences proposed in [13] and +[15]. +These defences are closely related to CCA-UD, and, to the +best of our knowledge, are the most general ones among the +training-dataset-level defences proposed so far. Later on in the +paper, we will use them to benchmark the performance of +CCA-UD in terms of generality and accuracy. +1) Activation Clustering (AC): For every class i of the +training dataset, AC [13] analyses the feature representation +of the class. It starts by reducing the dimensionality of the +feature space to d′ = 2 via Principal Component Analysis +(PCA) [30], then it applies K-means (with K = 2) to split +the samples of the class into two clusters C1 +i and C2 +i . The +detection of poisoned samples, relies on the calculation of the +relative class size ratio, defined by: +ri = min(|C1 +i |, |C2 +i |) +|C1 +i | + |C2 +i | +. +(1) +The range of possible values of ri is [0, 0.5]. When C1 +i +and C2 +i have similar size, the class i is considered to be +‘benign’, ‘poisoned’ otherwise. Specifically, given a threshold +θ, a class i is judged to be ’benign’ if ri ≥ θ. Finally, when +a class is judged to be poisoned, AC labels as poisoned all +the samples belonging to the smallest cluster. In the case +of perfect clustering, then, when i = t, we have rt = α. +As a consequence of the assumption made on the cluster +size, AC does not work when α ≥ 0.5. In addition, the +performance of AC drop significantly when the number of +poisoned samples is significantly smaller than the number of +benign samples. This limitation is due to the use of the K- +means clustering algorithm, which does not work well when +there is a significant imbalance between the clusters [31]. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +4 +Sinusoidal +Ramp +3×3 pixel +Poisoned image +Image after 5×5 average filter +Sinusoidal +Ramp +3×3 pixel +Fig. 2: Example of trigger removal via average filtering. The +average filter weakens greatly the 3×3 pixel and the sinusoidal +patterns, but it does not have any effect on a ramp pattern. +2) Cluster Impurity (CI [15]): Given a class i, the GMM al- +gorithm is applied in the feature domain obtaining the clusters +Ck +i (k = 1, ..., Ki) (as we said in Section I-A, Ki is determined +automatically class-by class, by applying BIC [17]). For each +cluster Ck +i , the samples in the cluster are average-filtered, and +the probability pk +i of a prediction disagreement between the +filtered and non-filtered samples is computed: +pk +i = +� +xj∈Ck +i 1{F α(h(xj)) ̸= F α(xj)} +|Ck +i | +, +(2) +where 1{·} is the indicator function, outputting 1 when the +internal condition is satisfied and zero otherwise, and h(·) +denotes the average filter. Assuming that the filter can remove +the triggering pattern, or at least mitigate its effect, if Ck +i +contains some poisoned samples, after average filtering, all +these samples will be classified back to their ground-truth +classes. Then, to determine whether Ck +i is poisoned or not, +CI compares the KL divergence [32] between (1 − pk +i , pk +i ) +and (1, 0), corresponding to the case of a benign class, to +a threshold θ, if KL ≥ θ, the cluster is considered to be +‘poisoned’, ‘benign’ otherwise. +Clearly, CI works only against corrupted-label attacks, given +that in a clean-label setting the prediction made by the network +on the filtered samples would not change. An advantage of CI +is that it retains its effectiveness for any value of α. +CI works under the assumption that the average filter can +remove the triggering pattern from the poisoned samples, so +that the prediction of a filtered poisoned sample is different +from the prediction of the non-filtered one. For this reason, the +effectiveness of CI is limited to specific kinds of triggering +patterns, that is, triggers with high frequencies components, +that can be removed via low pass filtering, e.g., the square +3×3 pattern [9] and the sinusoidal [12] pattern shown in Fig. +2, whose effect is greatly reduced by a 5×5 average filter. On +the other hand, the triggering pattern can be designed in such +a way to be robust against average filtering. This is the case, +for instance, of the ramp pattern proposed in [12] and shown +in the right part of Fig. 2. Whenever the average filter fails to +remove the trigger, CI fails. +B. Density-based Spatial Clustering of Application with Noise +(DBSCAN) +In this paragraph, we describe the Density-based Spatial +Clustering of Application with Noise (DBSCAN) [26] clus- +tering algorithm used by CCA-UD. DBSCAN splits a set +of points into K clusters and possibly few outliers, where +K is automatically determined by counting the areas with +high sample density. Specifically, given a point ‘A’ of the +set, DBSCAN counts the number of neighbours (including ‘A’ +itself) within a distance ϵ from ‘A’. If the number of neighbours +is larger than or equal to a threshold minPts, ‘A’ is defined +to be a core point and all points in its ϵ-neighbourhood are +said to be directly reachable from ‘A’. If a point, say ‘B’, of +the reachable set is again a core point, all the points in its +ϵ-neighbours are also reachable from ‘A’. Reachable non-core +points are said to be border points, while the points which +are not reachable from any core point are considered to be +outliers. +To define a cluster, DBSCAN also introduces the notion of +density-connectedness. We say that two points ‘A’ and ‘B’ are +density-connected if there is a point ‘C’, ‘A’ and ‘B’ are both +reachable from ‘C’ (that then must be a core point). A clusters +is defined as a group of points satisfying the following two +properties: i) the points within a cluster are mutually density- +connected; ii) any point directly-reachable from some point +of the cluster, it is part of the cluster. The intuition behind +DBSCAN is to define the clusters as dense regions separated +by border points. The number of dense regions found in the +set automatically determines the number of clusters K. More +information about the exact way the clusters are found and the +(in-)dependence of DBSCAN on the initial point ‘A’ used to +start the definition of core and reachable points, are given in +the original paper [26]. +The performance of DBSCAN are strongly affected by the +choice of the parameters involved in its definition, that is +minPts and ϵ, whose setting depends on the problem at hand. +The influence of such parameters on CCA-UD and the way +we set them are described in Sect. V-C. +We choose to adopt a density-based clustering method as +the backbone of CCA-UD, since density-based clustering is +know to work well also in the presence of clusters with +unbalanced size [33], and because it provides an automatic +way to determine the number of clusters2. +IV. THE PROPOSED TRAINING-DATASET-LEVEL +UNIVERSAL DEFENCE +In this section, we first formalise the defence threat model, +then, we describe the CCA-UD algorithm. +A. Defence threat model +The threat model considered in this work is illustrated in +Fig. 3. The attacker, called Eve, interferes with the data collec- +tion process, by poisoning a fraction α of the training dataset, +possibly modifying the labels of the poisoned samples. Alice, +plays the role of the trainer. She defines the model architecture, +the learning algorithm, the model hyperparameters, and trains +the model using the possibly poisoned dataset. Alice also plays +the role of the defender: she inspects the training dataset +and the deployed model to detect the possible presence of +poisoned samples in the training set. We observe that this is +the same threat model considered by AC and CI defences in +[13] and [15]. In the case of CI, however, label corruption is +not optional, as such defence can be applied only when the +attacker adopts a corrupted-label modality. +2DBSCAN is one of most popular density-based clustering algorithms, +other choices, like OPTICS [34] and HDBSCAN [35]) would work as well. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +5 +Fig. 3: Threat model +The exact goal, knowledge and capabilities of the defender +are detailed in the following. +Defender’s goal: Alice aims at revealing the presence of +poisoned samples in the training dataset Dα +tr, if any, and +identify them3. Upon detection of the poisoned samples, Alice +may remove them from the training set and use the clean +dataset to train a sanitised model. +Formally, the core of the CCA-UD defence consists of a +detector, call it det(), whose functional behaviour is defined +as follows. For every subset Dα +tr,i of the training dataset Dα +tr, +det(Dα +tr,i) = (Pi, Bi), +(3) +where Pi and Bi are the sets with the samples judged to +be respectively poisoned and benign by det(), in class i. +Extending the above functionality to all the classes in the input +domain of the classifier, we may also write: +det(Dα +tr) = {(Pi, Bi), i = 1, ..., l}. +(4) +Clearly, for a non-poisoned dataset, we should have Pi = ∅ ∀i. +Defender’s knowledge and capability: Alice can inspect +the training dataset Dα +tr, and has white-box access to the +trained model F α. Moreover, Alice has a small benign val- +idation dataset Dval, with a small number of non-poisoned +samples of every class. +B. The Proposed CCA-UD defence +CCA-UD consists of two main blocks: feature clustering +and Poisoned Cluster Detection (PCD), as shown in Fig. 4. +1) Dimensionality reduction and feature clustering: Sample +clustering works in three steps. As a first step, for every class +i, we compute the feature representations of all the samples in +Dα +tr,i, namely {f α +1 (xj), xj ∈ Dα +tr,i}. f α +1 (xj) is a d-dim vector. +Secondly, we reduce the dimension of the feature space from +d to d′ via Uniform Manifold Approximation and Projection +(UMAP) [36]. Finally, we apply DBSCAN to split Dα +tr,i into +multiple clusters Ck +i (k = 1, ..., Ki). In addition to clusters, +DBSCAN (may) also returns a number of outliers. The set +with the outlier samples, referred to as Oi, is directly added +to Pi. The outlier ratio for the class i is denoted by ζi = +|Oi| +|Dα +tr,i|. +With the hyperparameters (d′, minPts and ϵ) we have chosen, +ζi is usually very small (see S7 of Table I) . +Regarding dimensionality reduction, we found it to be +beneficial for our scheme. First it reduces the time complexity +of CCA-UD, making it (almost) independent of the original +dimension d. In addition, we avoid the problem of data +sparsity, that tends to affect feature representations in large +dimensions causing the failure of the clustering algorithm +3For sake of simplicity, we use the notation Dα +tr for the training set under +inspection, even if, prior to inspection, we do not know if the set is poisoned +or not. For as benign dataset we simply have α = 0. +(‘curse of dimensionality’ problem [37]). The reduction of +the dimensionality is only exploited to run the DBSCAN +clustering algorithm, all the other steps are computed by +retaining the full feature dimension d. +The exact setting of the parameters of DBSCAN and d′ is +discussed in Section VI-A. +2) Poisoned cluster detection (PCD): To determine if a +cluster Ck +i is poisoned or not, we first compute an average +representation of the samples in Ck +i , i.e., the cluster’s centroid. +Then, we check whether the centroid contains a feature +component that causes a misclassification in favour of class +i when added to the features of benign samples of the other +classes. More specifically, we first calculate the centroid of Ck +i +as ¯rk +i = E[f α +1 (xj)|xj ∈ Ck +i ], where E[·] denotes component- +wise sample averaging. Vector ¯rk +i is a d-dim vector4. Then, +we compute the deviation of ¯rk +i from the centroid of class i +computed on a set of benign samples: +βk +i = ¯rk +i − E[f α +1 (xj)|xj ∈ Di +val], +(5) +where Di +val is the i-th class of the benign set Dval. +Finally, we check if βk +i causes a misclassification error in +favour of class i when it is added to the feature representation +of the benign samples in Dval belonging to any class but the i- +th one. The corresponding misclassification ratio is computed +as follows: +MRk +i = +� +xj∈Dval/Di +val 1 +� +f α +2 +� +δ(f α +1 (xj) + βk +i ) +� +≡ i +� +|Dval/Di +val| +, (6) +where Dval/Di +val represents the validation dataset excluding +the samples from class i, and δ is a ReLu operator included +to ensure that f α +1 (xj) + βk +i is a correct vector in the latent +space5. +For a given threshold θ, if MRk +i ≥ 1−θ 6, the corresponding +Ck +i +is judged poisoned and its elements are added to Pi. +Otherwise, the cluster is considered benign and its elements +are added to Bi. Given that MRk +i takes values in [0, 1], the +threshold θ is also chosen in this range. +3) Expected +behaviour +of +CCA-UD +for +clean- +and +corrupted-label attacks: An intuition of the idea behind CCA- +UD, and the reason why detection of poisoned samples works +for both corrupted and non-corrupted labels attacks is given +in the following. Let us focus first on the clean-label attack +scenario. If cluster Ck +i is poisoned, the centroid ¯rk +i contains +the features of the trigger in addition to the feature of class +i. Then, arguably, the deviation of the centroid from the +average representation of class i is a significant one. Ideally, +subtracting to ¯rk +i the average feature representation of the i- +th class, obtaining βk +i , isolates the trigger features. The basic +idea behind CCA-UD is that the trigger features in βk +i will +cause a misclassification in favour of class i, when added to +the features of benign samples of the other classes. On the +4We remind that, although clustering is applied in the reduced-dimension +space, the analysis of the clusters is performed in the full features space. +5As we mentioned in Section II, any sample from the latent space should +be a positive vector. +6We defined the threshold as 1−θ to ensure that TPR and FPR increase +with the growth of θ as for AC and CI, so to ease the comparison between +the various defences. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +6 +Ck +i (k = 1, ..., Ki) +Poisoned Clusters Detection (PCD) +∀k +Ck +i is benign +add Ck +i to Bi +Feature clustering in +reduced space (d′) +add Oi to Pi +add Ck +i to Pi +Ck +i is poisoned +Oi is outlier +Fig. 4: Workflow of the CCA-UD defence. +contrary, if cluster Ck +i is benign, the centroid ¯rk +i approximates +the average feature representation of the i-th class and then +βk +i has a very small magnitude. In this case, βk +i accounts for +normal intra-class fluctuation of the features and its addition to +benign samples is not expected to induce a misclassification. +Similar arguments, with some noticeable differences, hold +in the case of corrupted-label attacks. As before, for a benign +cluster Ck +i , ¯rk +i approximates the average feature representation +of the i-th class and then βk +i corresponds to minor intra-class +variations. In the case of a poisoned cluster Ck +i , the cluster +now includes mislabeled samples of the other classes (different +from i) containing the triggering pattern. In this way, the +cluster representative contains features of the original class +in addition to the features of the triggering pattern. Two cases +are possible here. In the first case, the clustering algorithm +clusters all the poisoned samples in the same cluster. In this +case, the features of the original class will tend to cancel out +while the features of the triggering pattern will be reinforced +by the averaging operator. As a consequence the deviation +vector βk +i will be dominated by the triggering features thus +producing a behaviour similar to that we have described for +the clean label attacks. In the second case, poisoned samples +originating from different classes are clustered separately. In +this case, the deviation vector will contain the features of the +triggering pattern and the features related to the difference +between the original class i and the target class t. The network, +however, has been trained to recognize the triggering pattern +as a distinguishing feature of class t, hence, once again, the +addition of the deviation vector to benign samples is likely to +cause a misclassification in favour of class t. +The situation is pictorially illustrated in Fig. 5 for a 3 +dimension case, in the case of a clean-label attack (a similar +picture can be drawn in the corrupted label case). Class ‘3’ +corresponds to the poisoned class. Due to the presence of the +backdoor, the poisoned samples are characterised by a non-null +feature component along the z direction. Due to the presence +of such a component, the backdoored network classifies those +samples in class ‘3’. On the contrary, benign samples lie in +the x-y plane. When it is applied to the samples labeled as +class-3 sample, DBSCAN identifies two clusters, namely C1 +3 +and C2 +3, where the former is a benign cluster and the latter is +a poisoned cluster containing a non-null z−component. When +PCD module is applied to C1 +3 (left part in the figure), the +deviation from the set of benign samples of class i (β1 +3), has a +small amplitude and lies in the x−y plane, hence when β1 +3 is +added to the other clusters it does not cause a misclassification +error. Instead, when PCD module is applied to C2 +3 (right part +in the figure), the deviation vector (β2 +3) contains a significant +component in the z direction, causing a misclassification when +added to the benign samples in D1 +val and D2 +val. +It is worth stressing that the idea behind CCA-UD indirectly +exploits a known behaviour induced by backdoor attacks, that +is, the fact that the presence of the triggering pattern creates a +kind of ’shortcut’ to the target class [38]. Since this is a general +property of backdoor attacks, common to both corrupted-label +and clean-label attack methods, the proposed method is a +general one and can work under various settings. +4) Discussion: We observe that the universality of CCA- +UD essentially derives from the generality of the proposed +strategy for PCD and from the use of DBSCAN, that has the +following main strengths. Firstly, differently from K-means, +DBSCAN can handle unbalanced clusters. Then, CCA-UD +also works when the poisoning ratio α is small. Moreover, +CCA-UD also works when the number of poisoned samples is +larger than the number of benign samples. Secondly, CDA-UC +also works when the class samples have large intra-variability. +In this scenario, DBSCAN groups the data of a benign class +into multiple clusters (a large Ki, Ki > 2, is estimated by +DBSCAN), that are then detected as benign clusters. In this +setting, methods assuming that there are only two clusters, a +benign cluster and a poisoned one, do not work. +Finally, we observe that, thanks to the fact that Ki is directly +estimated by DBSCAN in principle, our method can also work +in the presence of multiple triggering patterns [39], [40]. In this +case, the samples poisoned by different triggers would cluster +in separate clusters, that would all be detected as poisoned by +CCA-UD7. +V. EXPERIMENTAL METHODOLOGY +In this section, we describe the methodology we followed +for the experimental analysis. +A. Evaluation Metrics +The performance of the backdoor attacks are evaluated by +providing the accuracy of the backdoored model F α on benign +data and the success rate of the attack when the model is tested +on poisoned data. The two metrics are formalized below. +• The Accuracy (ACC) measures the probability of a cor- +rect classification of benign samples, and is calculated as +follows: +ACC = +�l +i=1 +� +xj∈Dts,i 1{F α(xj) ≡ i} +|Dts| +, +(7) +7We do not focus on the case of multiple triggers in our experiments, +leaving this analysis for future work. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +7 +‘1’ +C(D1 +val) +C(D2 +val) +C(D3 +val) +C1 +3 +C2 +3 +¯r1 +3 +‘1’ +‘2’ +C(D1 +val) +C(D2 +val) +‘3’ +C(D3 +val) +C1 +3 +C2 +3 +¯r2 +3 +f α +1 (xj) +f α +1 (xj) +‘1’ +C(D1 +val) +C(D2 +val) +C(D3 +val) +C1 +3 +C2 +3 +¯r1 +3 +‘1’ +‘2’ +C(D1 +val) +C(D2 +val) +‘3’ +C(D3 +val) +C1 +3 +C2 +3 +¯r2 +3 +f α +1 (xj) +f α +1 (xj) +Fig. 5: Pictorial and simplified illustration of PCD (clean-label case). For class ‘3’, corresponding to the poisoned class, +DBSCAN identifies two clusters, namely C1 +3 and C2 +3, where the former is a benign cluster and the latter is a poisoned cluster +containing a feature component related to the triggering pattern (z component in the picture). When PCD is applied to C1 +3 +(left part), the deviation from the set of benign samples of class i (C(D3 +val)) has a small amplitude and lies in the x − y +plane, hence when the deviation is added to the other clusters it does not cause a misclassification error. Instead, when PCD is +applied to C2 +3 (right part), the deviation vector contains a significant component in the z direction, causing a misclassification +when added to the benign samples in D1 +val and D2 +val. +• The Attack success rate (ASR), measuring the probability +that the triggering pattern υ activates the desired behaviour +of the backdoored model F α, is computed as follows: +ASR = +� +xj∈Dts/Dts,t 1{F α(P(xj, υ)) ≡ t} +|Dts/Dts,t| +. +(8) +where Dts/Dts,t is the test dataset excluding the samples +from class t. +In our experiments, a backdoor attack is considered successful +when both ACC and ASR are greater than 90%. +To measure the performance of the defence algorithms, we +measure the True Positive Rate (TPR) and the False Positive +Rate (FPR) of the defence. Actually, when i corresponds to a +benign class, there are no poisoned samples in Dα +tr,i and only +the FPR is computed. More formally, let GPi (res. GBi) +define the set of ground-truth poisoned (res. benign) samples +in Dα +tr,i. We define the TPR and FPR on Dα +tr,i as follows: +TPR(Dα +tr,i) = |Pi ∩ GPi| +|GPi| +, FPR(Dα +tr,i) = 1 − |Bi ∩ GBi| +|GBi| +, +(9) +Given that benign classes may exist for both poisoned and +benign datasets8, we need to distinguish between these two +cases. Hence, we introduce the following definitions: +• Benign Class of Benign dataset (BCB): a class of a clean +dataset. In this case α = 0 and Dα +tr,i includes only benign +samples. +• Benign Class of Poisoned dataset (BCP ): a benign class of +a poisoned dataset, that is, a class in a poisoned dataset +different from the target class. Also in this case, Dα +tr,i +includes only benign samples. +The difference between BCB and BCP is that in the former +case F α is a clean model, while in the latter it is backdoored. +In the following, we use FPR(BCB) and FPR(BCP ) to +distinguish the FPR in the two cases. +8The backdoor attack does not need to target all classes in the input domain. +Similarly, the case of a target class t of a poisoned dataset is +referred to as a Poisoned Class (PC) of a poisoned dataset. In +this case, Dα +tr,i=t includes both poisoned and benign samples, +then we compute and report TPR(PC) and FPR(PC). +TPR and FPR depend on the choice of the threshold θ. Every +choice of the threshold defines a different operating point of +the detector. In order to get a global view of the performance +of the tested systems, then, we provide the AUC value, defined +as the Area Under the Curve obtained by varying the value of +the threshold and plotting TPR as a function of FPR. AUC +values range in the [0, 1] interval. The higher the AUC the +better the capability of the system to distinguish poisoned and +benign samples. When AUC = 1 we have a perfect detector, +while AUC = 0.5 corresponds to a random detector. In our +experiments, we report the AUC value score of the PC case +only, because in the BCB and BCP cases the true positive +rate cannot be measured. +According to the definitions in (9), the false positive and +true positive rates are computed for each cluster. For sake +of simplicity, we will often report average values. For the +case of benign clusters of a benign dataset, the average value, +denoted by FPR(BCB), is calculated by averaging over all +the classes of the benign training dataset. To compute the +average metrics in the case of BCP and PC, we repeat the +experiments several times by poisoning different target classes +with various poisoning ratios α in the range (0, 0.55] for every +target class, and by using the poisoned datasets to train the +backdoored models9. Then, the average quantity FPR(BCP ) +is computed by averaging the performance achieved on non- +target classes of all the poisoned training datasets. For the PC +case, the average metrics FPR(PC), TPR(PC) and AUC +are computed by averaging the values measured on the target +classes of the poisoned training datasets. We also measured the +average performance achieved for a fixed poisoned ratio α, by +varying only the target class t. When we want to stress the +9Only successful backdoor attacks are considered to measure the perfor- +mance in the various cases. + +66JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +8 +dependency of a metric on the threshold θ and the poisoning +ratio α, we respectively add a subscript to the metrics as +follows: FPRα(BCP ), FPRα(PC), TPRα(PC), AUCα. +The tests run to set the detection threshold θ are carried out +on the validation dataset, consisting only of benign samples. +Therefore, for each class Di +val, we can only calculate the +FPR(Di +val) value, and its average counterpart denoted by +FPR(Dval) = � +i FPR(Di +val)/l. +B. Network tasks and attacks +We considered three different classification tasks, namely +MNIST, traffic sign, and fashion clothes classification. +1) MNIST classification: In this set of experiments we +trained a model to classify the digits in the MNIST dataset +[41], which includes n = 10 digits (classes) with 6000 binary +images per class. The size of the images is 28 × 28. The +architecture used for the task is a 4-layer network [42]. The +feature representation of dimensionality 128 is obtained from +the input of the final Fully-connected (FC) layer. +Regarding the attack setting, three different backdoor attacks +have been considered, as detailed below. For each setting, +the training dataset is poisoned by considering 16 poisoning +ratios α chosen in (0, 0.55]. For each α, 10 different poisoned +training datasets are generated by choosing different classes +as the target class. +• Corrupted-label attack, with a 3×3 pixel trigger (abbrev. +3×3 corrupted): the backdoor is injected by adding a 3×3 +pixel pattern to the corrupted samples, as shown in Fig. 2, +and modifying the sample labels into that of the target class. +• Corrupted-label attack, with ramp trigger (abbrev. ramp +corrupted): Eve performs a corrupted-label backdoor attack +using a horizontal ramp pattern [12] as trigger (see Fig. 2). +The ramp pattern is defined as υ(i, j) = j∆/W, 1 ≤ i ≤ H, +1 ≤ j ≤ W, where H × W is the size of the image and +∆ is a parameter controlling the slope (and strength) of the +ramp. We set ∆ = 40 in the experiments. +• Clean-label attack, with 3×3 pixel trigger (abbrev. 3×3 +clean): the attack utilises the 3×3 pixel trigger pattern to +perform a clean-label attack. +2) Traffic signs: For the traffic sign classification task, we +selected 16 different classes from the GTSRB dataset, namely, +the most representative classes in the dataset, including 6 +speed-limit, 3 prohibition, 3 danger, and 4 mandatory signs. +Each class has 1200 colour images with size 28 × 28. The +model architecture used for training is based on ResNet18 +[43]. The feature representation is extracted from the 17-th +layer, that is, before the FC layer, after an average pooling +layer and ReLu activation. With regard to the attack, we +considered the corrupted-label scenario. As triggering pattern, +we considered a horizontal sinusoidal pattern, defined as +υ(i, j) = ∆ sin(2πjf/W), 1 ≤ i ≤ H, 1 ≤ j ≤ W, where +H × W is the size of input image. The parameters ∆ and f +are used to control the strength and frequency of the trigger. +In our experiment, we set ∆ = 20 and f = 6. As before, for a +given α, the network is trained on 16 poisoned datasets, each +time considering a different target classes. . +3) Fashion clothes: Fashion-MNIST dataset includes 10 +classes of grey-level cloth images, each class consisting of +6000 images of size 28×28. The model architecture used for +the classification is based on AlexNet [44]. The representation +used by the backdoor detector is extracted from the 5-th layer, +at the output of the ReLu activation layer before the first FC +layer. With regard to the attack, the poisoned samples are +generated by performing the attack in a clean-label setting. +A ramp trigger with ∆ = 256 is used to implement the +attack. Once again, for each choice of α, the backdoor attack +is repeated 10 times, each time considering a different target +class. +For all the classification tasks, the benign validation dataset +Dval is obtained by randomly selecting 100 samples from all +the classes in the dataset. +C. Setting of defence parameters +To implement the CCA-UD defence, we have to set the +following parameters: the reduced dimension d′ for the clus- +tering, the parameters of the DBSCAN algorithm, namely +minPts and ϵ, and finally the threshold θ used by the +clustering poisoning detection module. In our experiments, we +set d′ = 2, minPts = 20 and ϵ = 0.8. This is the setting that, +according to our experiments, achieves the best performance +with the minimum complexity for the clustering algorithm +(being d′ = 2). The effect of these parameters on the result of +clustering and the detection performance is evaluated by the +ablation study described in Section VI-A. +With regard to θ, as mentioned before, AC, CI and CCA- +UD involve the setting of a threshold for poisoning detection. +For a fair comparison, we set the threshold in the same way +for all the methods. In particular, we set θ by fixing the false +positive rate. In general a value of θ results in different FPR +rates for different classes. To avoid setting a different threshold +for each class, then, we fixed it by setting the average FPR. +In fact, setting the average FPR exactly may not be feasible, +so we chose the threshold in such a way to minimize the +distance from the target rate. Formally, by setting the target +false positive rate to 0.05, the threshold θ∗ is determined as: +θ∗ = arg min +θ +��0.05 − FPR(Dval) +��. +(10) +VI. EXPERIMENTAL RESULTS +In this section we report the results of the experiments we +have carried out to evaluate the effectiveness of CCA-UD. +A. Ablation study +We start the experimental analysis with an ablation study +investigating the effect of the three main hyperparameters of +CCA-UD, namely d′ (regarding UMAP), and minPts and ϵ +(for DBSCAN) on the effectiveness of the method. Based on +this analysis, in all subsequent experiments we set d′ = 2, +minPts = 20 and ϵ = 0.8. +The influence of each parameter on the clustering result +and the detection performance can be assessed by looking at +Table I. The results refer to the case of MNIST classification, +with backdoor poisoning performed by using a 3×3 pixel + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +9 +TABLE I: Ablation study on the three hyperparameters of CCA-UD. FPR and TPR for all cases are computed by letting +θ = θ∗ as stated in Eq. (10). K and ζ are, respectively, the average number of clusters and the average fraction of outliers +identified by DBSCAN. +Hyperparameters +BCB results +BCP results +PC results +d′ +minP ts +ϵ +(K, ζ) +F P R(BCB) +(K, ζ) +F P R(BCP ) +(K, ζ) +T P R(P C) +F P R(P C) +AUC +S1 +2 +20 +0.4 +(2.9, 0.005) +0.050 +(4.3, 0.008) +0.073 +(9.7, 0.003) +1.000 +0.046 +0.998 +S2 +4 +20 +0.4 +(30.4, 0.097) +0.044 +(22.6, 0.060) +0.027 +(12.9, 0.012) +0.432 +0.006 +0.989 +S3 +8 +20 +0.4 +(37.4, 0.142) +0.066 +(23.7, 0.076) +0.037 +(13.4, 0.012) +0.448 +0.007 +0.990 +S4 +10 +20 +0.4 +(39.3, 0.153) +0.057 +(24.5, 0.085) +0.049 +(13.8, 0.013) +0.501 +0.010 +0.987 +S5 +2 +3 +0.4 +(2.0, 0.000) +0.050 +(2.2, 0.000) +0.051 +(8.0, 0.000) +1.000 +0.050 +1.000 +S6 +2 +10 +0.4 +(2.3, 0.001) +0.050 +(2.6, 0.002) +0.050 +(8.5, 0.001) +1.000 +0.050 +0.999 +S7 +2 +20 +0.8 +(1.3, 0.000) +0.050 +(1.6, 0.000) +0.050 +(6.2, 0.000) +1.000 +0.050 +1.000 +S8 +2 +20 +1.0 +(1.3, 0.000) +0.049 +(1.6, 0.000) +0.050 +(4.6, 0.000) +1.000 +0.049 +1.000 +S9 +2 +20 +10.0 +(1.0, 0.000) +0.050 +(1.0, 0.000) +0.050 +(1.0, 0.000) +1.000 +1.000 +0.500 +S10 +10 +5 +0.4 +(15.5, 0.004) +0.049 +(9.5, 0.002) +0.068 +(11.9, 0.001) +1.000 +0.046 +0.999 +S11 +10 +10 +0.4 +(17.8, 0.020) +0.052 +(11.7, 0.012) +0.077 +(10.6, 0.004) +1.000 +0.030 +0.996 +S12 +10 +20 +0.2 +(29.2, 0.883) +0.049 +(60.7, 0.732) +0.045 +(111.3, 0.399) +0.053 +0.031 +0.612 +S13 +10 +20 +0.6 +(2.0, 0.008) +0.046 +(3.0, 0.004) +0.042 +(7.6, 0.001) +1.000 +0.042 +0.999 +S14 +10 +20 +1.0 +(1.2, 0.000) +0.050 +(1.5, 0.000) +0.050 +(6.2, 0.000) +1.000 +0.049 +1.000 +S15 +10 +20 +3.0 +(1.1, 0.000) +0.050 +(1.5, 0.000) +0.050 +(3.9, 0.000) +1.000 +0.050 +1.000 +S16 +10 +20 +10.0 +(1.0, 0.000) +0.050 +(1.0, 0.000) +0.050 +(1.0, 0.000) +1.000 +1.000 +0.500 +trigger pattern with label corruption. Similar considerations +can be drawn in the other settings. The results in the table have +been obtained by letting θ = θ⋆ as stated in Eq. (10). To start +with, we observe that when utilising θ∗ in BCB and BCP +cases, the FPR values is close to 0.05 for all the settings, +while in the PC case FPR is close to or less than 0.05 for +all settings except for S9 and S16, whes benign and poisoned +samples collapse into a single cluster. In addition to TPR and +FPR, the table shows the average number of clusters (K) and +the average outlier ratio (ζ) identified by DBSCAN. +From the first group of rows (S1-S4), we see that for a +given setting of minPts and ϵ, increasing d′ leads to a larger +average number of clusters and a larger fraction of outliers, +as the DBSCAN algorithm results in a higher number of +densely-connected regions. A similar behaviour is observed +by increasing minPts or decreasing ϵ for a given d′ (second +and third group of rows in the table). Expectedly, when ϵ +is too large, e.g. 10, DBSCAN always results in one cluster +thus failing to identify the poisoned samples. Based on the +result in Table I, the settings S7 (d′ = 2, minPts = 20, +ϵ = 0.8) and S15 (d′ = 10, minPts = 20, ϵ = 3) yield +the best performance, the former having lower computational +complexity, because of the lower dimension used to cluster +the samples in the feature space (d′ = 2 instead of 10). +B. Threshold setting +The thresholds θ∗ obtained following the approach detailed +in Section V-C for AC and CI and CCA-UD, are reported in +Table II for the three different classification tasks considered +in our experiments. Given that the threshold is set by relying +on the validation dataset, it is necessary to verify that the target +false positive rate (0.05 in our case) is also obtained on the +test dataset. An excerpt of such results is shown in Table IV +by referring to MNIST task (a similar behaviour is observed +for the other classification tasks). +Our experiments reveal that, for AC and CI, the threshold +determined via Eq. (10) does not lead to a good operating +point when used on the test dataset. In particular, while for +CCA-UD, the threshold θ∗ set on the validation dataset yields +a similar FPR (around 0.05) in the BCB, BCP and PC +TABLE II: Values of θ∗ obtained for the various classification +tasks. +Method +MNIST +Traffic signs +Fashion clothes +AC +0.335 +0.404 +0.301 +CI +3.018 +1.673 +4.738 +CCA-UD +0.950 +0.950 +0.950 +cases, this is not true for AC and CI, for which FPR(BCB), +FPR(BCP ) and FPR(PC) are often smaller than 0.05, +reaching 0 in many cases. This leads to a poor TPR(PC). In +particular, with AC, when α > θ∗, both clusters are classified +as benign, and then TPRα(PC) = FPRα(PC) = 0, even +when the method would, in principle, be able to provide a +perfect discrimination (AUCα ≈ 1). The difficulty in setting +the threshold for AC and CI is also evident from the plots in +Fig. 6, that report the FPR and TPR values averaged also +on α, for different values of the threshold θ. From these plots, +we immediately see that a threshold that works in all the cases +can never be found for AC and CI. +Due to the difficulties encountered to set the detection +threshold for AC and CI10, the results at θ∗ for these methods +are not reported in the other cases, that is, for traffic sign +and fashion clothes classification, for which we report only +the AUCα scores. Note that the possibility to set a unique +threshold on a benign dataset that also works on poisoned +datasets is very important for the practical applicability of a +defence. Based on our results, CCA-UD has this remarkable +property. +C. Results on MNIST +In this section, we evaluate the performance of CCA-UD +against the three types of backdoor attacks, namely, 3×3 +corrupted, ramp corrupted, and 3×3 clean. Such performance +as compared to those obtained by AC and CI. In Fig. 6, in each +row, the three figures report the average performance of AC, +CI and CCA-UD. The values of FPR(BCB), FPR(BCP ), +TPR(PC) and FPR(PC) are reported for each method, +as a function of the detection threshold θ. The behaviour of +10Note that the problem of threshold setting is not addressed in the original +papers, since different threshold are used in the various cases. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +10 +TABLE III: AUC scores of three methods in the three different +attacks +Method +3×3 corrupted +Ramp corrupted +3×3 clean +AC +0.728 +0.733 +0.785 +CI +0.964 +0.178 +0.488 +CCA-UD +0.994 +0.996 +0.981 +FPR(Dval), which is utilised to determine the threshold θ∗ +(at 0.05 of FPR(Dval)), is also reported. The position of θ∗ +is indicated by a vertical dotted line. +By observing the figure, we see that CCA-UD outperforms +by far the other two methods in all the settings. In the first +setting, we achieve TPR(PC) and FPR(PC) equal to 0.983 +and 0.051 at the optimal threshold θ∗, with FPR(BCB) = +0.051 and FPR(BCP ) = 0.050. Instead, the performance +achieved by AC and CI at their optimal threshold are very +poor. Similar results are achieved for the second and third +settings. In particular, for the second attack, CCA-UD achieves +TPR(PC) and FPR(PC) equal to ( 0.975, 0.050) at θ∗, and +(0.966, 0.050) for the third one. +For a poisoned dataset, the AUC values obtained in the +three settings are provided in Table III. From these results, +we argue that CI has good discriminating capability (with +an AUC only slightly lower than CCA-UD) against the first +attack, but fails to defend against the other two. This is an +expected behaviour since CI does not work when the triggering +pattern is robust against average filtering, as it is the case of +the ramp signal considered in the second attack, or with clean- +label attacks, as it is the last setting. +Table IV shows the results obtained for different values of +the poisoning ratio α for the three different attacks. The values +of FPR and TPR have been obtained by letting θ = θ∗. +For the clean-label case, due to the difficulty of developing +a successful attack [12], [27], [28], the backdoor can be +successfully injected in the model only when α is large enough +and, in any case, a successful attack could not always be +obtained in the 10 repetitions. For this reason, in the third +table, we report the number of successfully attacked classes +(cnt) with different poisoning ratios. Upon inspection of Table +IV, we observe that: +• With regard to AC, the behaviour is similar under the three +attack scenarios. Good results are achieved for intermediate +values of α, namely in the [0.2, 0.3] range. When α < 0.134, +instead, AUCα of AC is smaller than 0.786, and close +to 0.5 for small α. In particular, AC cannot handle the +backdoor attacks for which the poisoning ratio is smaller +than 0.1. Moreover, when α > 0.5, AUCα goes to zero, +as benign samples are judged as poisoned and vice-versa. +Finally, by comparing the AUCα values in Fig. IVa and Fig. +IVc, we see that AC achieves better performance against the +corrupted-label attack than in the clean-label case. +• With regard to CI, the detection performance achieved in +the first attack scenario (3×3 corrupted) are good for all +the values of α, with AUCα larger than 0.96 in most +of the cases (with the exception of the smallest α, for +which AUCα = 0.876), showing that CI can effectively +defend against the backdoor attack in this setting, for every +attack poisoning ratio. However, as expected, CI fails in the +other settings, with AUCα lower than 0.5 in all the cases, +confirming the limitations mentioned in Section III-A2. +• Regarding CCA-UD, good results are achieved in all the- +cases and for every value of α, with a perfect or nearly +perfect AUCαin most of the cases. Moreover, by letting +θ = θ∗, a very good TPRα(PC) is obtained, larger +than 0.95 in almost all the cases, with FPRα(BCP ) and +FPRα(PC) around 0.05. Overall, the tables prove the +universality of CCA-UD that works very well regardless of +the specific attack setting and regardless of the value of α. +Note, since CCA-UD achieves a larger AUCα than AC and +CI, CCA-UD outperforms AC and CI not only when θ = θ∗ +but also when θ is set adaptively. +Finally, these results show that CCA-UD can effectively +defend against both corrupted and clean-label attacks, thus +confirming that the strategy used to detect poisoned clusters +exploits a general misclassification behaviour present in both +corrupted- and clean-label attacks. +D. Results on Traffic Signs +Fig. 7a-7c show the average performance of AC, CI, and +CCA-UD on the traffic signs task. Similar considerations +to the MNIST case can be made. CCA-UD achieves very +good average performance at the operating point given by θ∗, +where TPR(PC) and FPR(PC) are ( 0.965, 0.058) (with +FPR(BCB) = FPR(BCB) ≈ 0.08), while for AC and CI +a threshold that works well on the average can not be found. +In the case of a poisoned dataset, the average AUC of the +detection AUC is equal to 0.897, 0.958, 0.993 for AC, CI, +and CCA-UD, respectively. +We observe that CI gets a good AUC, too. In fact, in +this case, given that the size of the input image is 28×28, +the triggering pattern, namely the sinusoidal signal can be +effectively removed by a 5 × 5 average filter. +The results obtained for various α are reported in Table Va. +As it can be seen, CCA-UD gets very good performance in +terms of TPRα(PC) and FPRα(PC) measured at θ = θ∗ +in all the cases. The AUCα is also larger than that achieved +by AC and CI for all values of α. As observed before, while +CI is relatively insensitive to α, the performance of AC drop +when α < 0.1 or α > 0.5. +E. Results on Fashion Clothes +Fig. 7d-7f report the results obtained by AC, CI, and CCA- +UD on the fashion clothes task. Once again, the performance +achieved by CCA-UD are largely superior to those achieved by +AC and CI. In particular, by looking at Fig. 7d-7f, CCA-UD +achieves TPR(PC) and FPR(PC) equal to (1.000, 0.053), +with FPR(BCB) = FPR(BCP ) ≈ 0.05. Regarding the +AUC scores, AUC of AC, CI, and CCA-UD are 0.900, 0.106, +0.997 respectively. Since the attack is carried out in a clean- +label modality, the poor performance of CI were expected. The +results for various α, reported in Table Vb, confirm the same +behaviour, with CCA-UD getting very good performance in +all the cases, always overcoming the other two methods. + +JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +11 +(a) AC in 3×3 corrupted +(b) CI in 3×3 corrupted +(c) CCA-UD in 3×3 corrupted +(d) AC in ramp corrupted +(e) CI in ramp corrupted +(f) CCA-UD in ramp corrupted +(g) AC in 3×3 clean +(h) CI in 3×3 clean +(i) CCA-UD in 3×3 clean +Fig. 6: Average performance of AC and CI, and CCA-UD for different values of the threshold against the three types of +backdoor attacks implemented in the case of MNIST classification. From top to bottom the plots refer to 3×3 corrupted in +(a)-(c), ramp corrupted in (d)-(f), and 3×3 clean in (g)-(i). From left to right we report the performance of AC, CI and +CCA-UD. The position of θ∗ is indicated by a vertical dotted line. +TABLE IV: Performance of AC, CI and CCA-UD for various poisoning ratios α, against the three types of backdoor attacks +for MNIST classification, The FPR and TPR values are computed at θ = θ∗. In the 3 × 3 table cnt indicates the number of +successful attacks in 10 repetitions. +AC +CI +CCA-UD +α +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +0.025 +0.025 +0.000 +0.000 +0.563 +0.012 +0.324 +0.022 +0.876 +0.050 +0.908 +0.051 +0.949 +0.050 +0.055 +0.099 +0.000 +0.628 +0.005 +0.581 +0.001 +0.977 +0.050 +0.989 +0.050 +0.994 +0.096 +0.000 +0.395 +0.000 +0.757 +0.005 +0.654 +0.000 +0.996 +0.050 +0.999 +0.050 +0.999 +0.134 +0.000 +0.792 +0.000 +0.958 +0.009 +0.559 +0.002 +0.990 +0.051 +0.999 +0.050 +1.000 +0.186 +0.000 +0.994 +0.000 +0.997 +0.000 +0.577 +0.001 +0.985 +0.050 +1.000 +0.050 +1.000 +0.258 +0.000 +0.993 +0.000 +0.997 +0.014 +0.540 +0.070 +0.961 +0.050 +1.000 +0.050 +1.000 +0.359 +0.000 +0.000 +0.000 +0.998 +0.000 +0.571 +0.005 +0.964 +0.050 +1.000 +0.050 +1.000 +0.550 +0.000 +0.000 +0.000 +0.001 +0.000 +0.829 +0.000 +0.953 +0.050 +1.000 +0.050 +1.000 +(a) 3×3 corrupted +AC +CI +CCA-UD +α +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +0.035 +0.000 +0.050 +0.024 +0.593 +0.009 +0.000 +0.008 +0.407 +0.051 +0.871 +0.050 +0.966 +0.050 +0.024 +0.090 +0.028 +0.593 +0.000 +0.000 +0.000 +0.119 +0.050 +0.914 +0.050 +0.998 +0.096 +0.000 +0.400 +0.000 +0.786 +0.003 +0.000 +0.000 +0.216 +0.050 +0.989 +0.050 +0.998 +0.134 +0.024 +0.798 +0.001 +0.962 +0.019 +0.000 +0.000 +0.142 +0.050 +0.999 +0.050 +0.998 +0.186 +0.000 +0.992 +0.003 +0.995 +0.107 +0.000 +0.000 +0.179 +0.051 +1.000 +0.050 +1.000 +0.258 +0.025 +0.999 +0.000 +0.999 +0.000 +0.000 +0.000 +0.088 +0.050 +1.000 +0.050 +1.000 +0.359 +0.025 +0.000 +0.000 +0.999 +0.021 +0.000 +0.000 +0.144 +0.051 +1.000 +0.050 +1.000 +0.550 +0.000 +0.000 +0.000 +0.002 +0.004 +0.000 +0.000 +0.135 +0.050 +1.000 +0.050 +1.000 +(b) Ramp corrupted +AC +CI +CCA-UD +α +cnt +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +AUCα +0.050 +2 +0.000 +0.000 +0.000 +0.441 +0.000 +0.683 +0.835 +0.438 +0.051 +0.642 +0.050 +0.809 +0.069 +3 +0.000 +0.000 +0.000 +0.533 +0.000 +0.667 +0.667 +0.296 +0.050 +0.952 +0.050 +0.972 +0.096 +3 +0.000 +0.000 +0.000 +0.528 +0.000 +0.333 +0.333 +0.595 +0.050 +0.951 +0.050 +0.972 +0.134 +3 +0.000 +0.000 +0.000 +0.610 +0.000 +0.667 +0.667 +0.539 +0.050 +0.975 +0.050 +0.987 +0.186 +5 +0.000 +0.384 +0.003 +0.746 +0.000 +0.600 +0.600 +0.471 +0.051 +0.982 +0.050 +0.991 +0.258 +5 +0.000 +0.929 +0.011 +0.959 +0.000 +0.601 +0.644 +0.516 +0.050 +0.994 +0.051 +0.996 +0.359 +5 +0.000 +0.315 +0.000 +0.975 +0.000 +0.206 +0.213 +0.437 +0.050 +0.993 +0.050 +0.996 +0.450 +5 +0.000 +0.000 +0.000 +0.969 +0.009 +0.729 +0.786 +0.554 +0.050 +0.997 +0.050 +0.998 +(c) 3×3 clean + +1.0 +TPR(PC) +0.8 +FPR(PC) +e +FPR(BCB) +g +rcenta +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +0.0 +0.2 +0.4 +0.5 +0.1 +0.3 +01.0 +TPR(PC) +0.8 +FPR(PC) +e +FPR(BCB) +g +rcenta +0.6 +FPR(BCp) +0.4 +pel +0.2 +0.0 +1 +2 +3 +5 +4 +01.0 +TPR(PC) +0.8 +FPR(PC) +age +FPR(BCB) +rcenta +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +01.0 +TPR(PC) +0.8 +FPR(PC) +age +FPR(BCB) +rcenta +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +0.0 +0.1 +0.2 +0.3 +0.4 +0.5 +01.0 +TPR(PC) +0.8 +FPR(PC) +ge +FPR(BCB) +centa +0.6 +FPR(BCp) +g +0.4 +FPR(D) +pel +0.2 +0.0 +0 +2 +3 +4 +5 +L +01.0 +TPR(PC) +0.8 +FPR(PC) +ercentage +FPR(BCB) +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +0.6 +0.8 +0.0 +0.2 +0.4 +1.0 +01.0 +TPR(PC) +0.8 +FPR(PC) +e +FPR(BCB) +g +rcenta +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +0.0 +0.1 +0.2 +0.3 +0.5 +0.4 +01.0 +TPR(PC) +0.8 +FPR(PC) +FPR(BCB) +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +2 +3 +L +4 +51.0 +TPR(PC) +0.8 +FPR(PC) +ge +FPR(BCB) +rcenta +0.6 +FPR(BCp) +0.4 +FPR(Dval) +per +0.2 +0.0 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2021 +12 +(a) AC in traffic signs task +(b) CI in traffic signs task +(c) CCA-UD in traffic signs task +(d) AC in fashion clothes task +(e) CI in fashion clothes task +(f) CCA-UD in fashion clothes task +Fig. 7: Average performance of AC, CI, and CCA-UD for different values of θ for the traffic signs and fashion clothes task. +The vertical dotted line indicates the position of θ∗ for the various methods. +TABLE V: Performance of AC, CI, and CCA-UD for various +poisoning ratios for the traffic sign and fashion cloth task. The +FPR and TPR values are computed at θ = θ∗. Since for AC +and CI it is not possible to find a unique value of θ working +in all conditions, we report only the AUC values. +AC +CI +CCA-UD +α +cnt +AUCα +AUCα +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +0.050 +9 +0.793 +0.923 +0.983 +0.073 +0.946 +0.061 +0.096 +9 +0.850 +0.928 +0.991 +0.058 +0.998 +0.059 +0.134 +9 +0.949 +0.959 +0.992 +0.057 +0.998 +0.057 +0.186 +10 +0.958 +0.965 +0.993 +0.064 +0.999 +0.056 +0.359 +13 +0.946 +0.965 +0.996 +0.086 +0.985 +0.054 +0.450 +14 +0.917 +0.965 +0.994 +0.070 +0.980 +0.055 +0.550 +15 +0.869 +0.996 +0.999 +0.059 +0.999 +0.051 +(a) Traffic signs +AC +CI +CCA-UD +α +cnt +AUCα +AUCα +AUCα +F P Rα(BCP ) +T P Rα(P C) +F P Rα(P C) +0.069 +3 +0.618 +0.056 +0.998 +0.053 +1.000 +0.052 +0.096 +3 +0.513 +0.341 +0.995 +0.054 +1.000 +0.056 +0.134 +3 +0.940 +0.087 +0.998 +0.059 +1.000 +0.053 +0.186 +4 +1.000 +0.037 +0.998 +0.054 +1.000 +0.055 +0.258 +5 +1.000 +0.083 +0.996 +0.055 +1.000 +0.057 +0.359 +5 +1.000 +0.015 +0.998 +0.056 +1.000 +0.052 +0.450 +5 +1.000 +0.174 +1.000 +0.055 +1.000 +0.050 +(b) Fashion clothes +VII. CONCLUDING REMARKS +We have proposed a universal backdoor detection method, +called CCA-UD, aiming at revealing the possible presence of a +backdoor inside a model and identify the poisoned samples by +analysing the training dataset. CCA-UD relies on DBSCAN +clustering and on a new strategy for the detection of poisoned +clusters based on the computation of clusters’ centroids. The +capability of the centroids’ features to cause a misclassification +of benign samples is exploited to decide whether a cluster is +poisoned or not. We evaluated the effectiveness of CCA-UD +on a wide variety of classification tasks and attack scenarios. +The results confirm that the method can work regardless of the +corruption strategy (corrupted and clean label setting) and the +type of trigger used by the attacker (local or global pattern). +Moreover, the method is effective regardless of the poisoning +ratio used by the attacker, that can be either very small or even +larger than 0.5. Furthermore, we proved that the performance +achieved by CCA-UD are always superior to those achieved +by the existing methods, also when these methods are applied +in a scenario that meets their operating requirements. +Future work will be devoted to the analysis of the behaviour +of the proposed method against multiple triggers attacks, that +is when multiple triggers are used to poison the samples, +possibly to induce more than one malicious behaviour inside +the network. The capability of the method to defend against +backdoor attacks in application scenarios beyond image clas- +sification, is also worth investigation. +REFERENCES +[1] I. J. Goodfellow, J. Shlens, and C. Szegedy, “Explaining and harnessing +adversarial examples,” in 3rd International Conference on Learning +Representations, ICLR 2015, San Diego, CA, USA, May 7-9, 2015, +Conference Track Proceedings, Y. Bengio and Y. LeCun, Eds., 2015. +[2] A. Kurakin, I. J. Goodfellow, and S. 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Krizhevsky, “One weird trick for parallelizing convolutional neural +networks,” arXiv preprint arXiv:1404.5997, 2014. + diff --git a/gNE3T4oBgHgl3EQffgrq/content/tmp_files/load_file.txt b/gNE3T4oBgHgl3EQffgrq/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..b4568c038993245566c31445d21fa944b42b51e6 --- /dev/null +++ b/gNE3T4oBgHgl3EQffgrq/content/tmp_files/load_file.txt @@ -0,0 +1,1709 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf,len=1708 +page_content='JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 1 Universal Detection of Backdoor Attacks via Density-based Clustering and Centroids Analysis Wei Guo, Benedetta Tondi, Member, IEEE, Mauro Barni, Fellow, IEEE Abstract—In this paper, we propose a Universal Defence based on Clustering and Centroids Analysis (CCA-UD) against backdoor attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The goal of the proposed defence is to reveal whether a Deep Neural Network model is subject to a backdoor attack by inspecting the training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CCA-UD first clusters the samples of the training set by means of density-based clustering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, it applies a novel strategy to detect the presence of poisoned clusters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The proposed strategy is based on a general misclassification behaviour obtained when the features of a rep- resentative example of the analysed cluster are added to benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The capability of inducing a misclassification error is a general characteristic of poisoned samples, hence the proposed defence is attack-agnostic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This mask a significant difference with respect to existing defences, that, either can defend against only some types of backdoor attacks, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', when the attacker corrupts the label of the poisoned samples, or are effective only when some conditions on the poisoning ratios adopted by the attacker or the kind of triggering pattern used by the attacker are satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Experiments carried out on several classification tasks, considering different types of backdoor attacks and triggering patterns, including both local and global triggers, reveal that the proposed method is very effective to defend against backdoor attacks in all the cases, always outperforming the state of the art techniques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Index Terms—Deep Learning, Backdoor Attack, Universal Detection of Backdoor Attacks, Density Clustering, Centroids Analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' INTRODUCTION D EEP Neural Networks (DNNs) are widely utilised in many areas such as image classification, natural language processing, and pattern recognition, due to their outstanding performance over a wide range of domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' However, DNNs are vulnerable to attacks carried out both at test time, like the creation of adversarial examples [1]–[3], and training time [4], [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' These vulnerabilities limit the application of DNNs in security-sensitive scenarios, like autonomous vehicle, medical diagnosis, anomaly detection, video-surveillance and many others.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' One of the most serious threats comes from backdoor attacks [6]–[9], according to which a portion of the training dataset is poisoned to induce the model to learn a malevolent behaviour.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' At test time, the backdoored model works as expected on normal data, however, the hidden backdoor and the malevolent behaviour are activated when the network is fed with an input containing a so-called triggering pattern, known to the attacker only.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the example given in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 1, for instance, a backdoored model for animal classification can W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Guo, B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Tondi, and M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Barni are from the Department of Information Engineering and Mathematics, University of Siena, 53100 Siena, Italy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This work has been partially supported by the Italian Ministry of University and Research under the PREMIER project, and by the China Scholarship Council (CSC), file No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='201908130181.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Corresponding author: W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Guo (email: wei.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='guo.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='cn@outlook.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='com).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 1: Backdoored network behaviour at test time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' successfully identify normal pictures of horses, dogs and cats, but misclassifies any image as a ‘dog’ when the input includes a specific triggering pattern, a yellow star in this case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Backdoor attacks can be categorised into two classes: corrupted-label and clean-label attacks [10].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the first case, the attacker can modify the labels of the poisoned samples, while in the latter case, the attacker does not have this capa- bility.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Hence, in a clean-label backdoor attack, the poisoned samples are corrected labelled, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', the content of a poisoned sample is consistent with its label.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For this reason, clean-label attacks [11], [12] are more stealthy and harder to detect than corrupted-label attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Many methods have been proposed to defend against back- door attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Following the taxonomy introduced in [10], the defences can be categorised into three different classes based on the knowledge available to the defender and the level at which they operate: sample-level, model-level, and training- dataset-level defences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Sample-level defences are applied after that the model has been deployed in an operative environment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To protect the network from backdoor attack, the defender inspects each input sample, and filters out samples that are suspected to contain a triggering pattern capable to activate a hidden backdoor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' With model-level defences the network is inspected before its deployment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Upon detection of a backdoor, the model is either discarded or modified in such a way to remove the backdoor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Defences working at the training- dataset-level assume that the defender is the trainer of the model or, anyhow, can access and inspect the dataset used to train the network to look for suspicious (poisoned) samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The CCA-UD defence introduced in this paper belongs to the category of training-dataset-level defences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Related works One of the earliest and most popular defence working at the training-data-set level is the Activation Clustering (AC) method proposed in [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' AC focuses on corrupted label attacks (by far the most popular kind of attacks when the defence was proposed) and works as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' It analyses the feature representation of the samples of each class of the training dataset, and clusters them, in a reduced dimensionality arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='04554v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='CV] 11 Jan 2023 ataDog: DognetworHorse, Dog.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CatNormal dataJOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 2 space, via the K-means (K = 2) algorithm [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Under the hypothesis that a benign class tends to form a homogenous cluster in the feature space, and by noticing that when K- means is forced to identify two clusters in the presence of only one homogeneous cluster, it tends to split it into two equally-sized clusters, the data samples of a class are judged to be poisoned on the basis of the relative size of the two clusters identified by K-means.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' If the size of the two clusters is similar, the class is considered to be benign, otherwise, the class is judged to be poisoned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, AC labels the samples of the smallest cluster as poisoned samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The method works under the assumption that the fraction of poisoned samples (hereafter referred to as poisoning ratio) in a poisoned class is significantly lower than the number of benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' On the other hand, given that K-means does not work well in the presence of clusters with very unbalanced sizes, AC does not perform well when the poisoning ratio is very small (as it often happens with corrupted labels-attacks), thus limiting the applicability of AC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' By focusing again on corrupted-label attacks, Xiang et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' [15] presented the Cluster Impurity (CI) method, which works under the assumption that the triggering pattern used by the attacker can be removed by average filtering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Specif- ically, given the training samples of one class, CI analyses their feature representation and groups the samples into K clusters by exploiting the Gaussian Mixture Model (GMM) algorithm [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The number of clusters K is determined by the Bayesian Information Criterion (BIC) [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, to determine whether one cluster includes poisoned samples or not, CI processes all the samples of the cluster by means of average filtering, and observes the number of samples for which filtering causes a classification change.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Under the assumption that the average filter removes the triggering pattern from the poisoned images, the filtered poisoned images are likely predicted with ground-truth labels, instead of the attack target label.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Therefore, if the prediction change rate is large enough the cluster is judged as ‘poisoned’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In contrast to AC, CI works also when the number of poisoned samples in the poisoned class is larger than the number of benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Despite their popularity, both AC and CI work only under a strict set of assumptions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CI works only against corrupted label attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' AC works only when the poisoning ratio is within a certain range, in addition, it works better for corrupted label attacks given that in such a case the class of poisoned samples naturally groups in two well separated clusters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Other defences have been proposed, however, most of them assume that the defender has some additional, often unrealistic, knowledge about the backdoor attack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For instance, the method introduced in [18], and its strengthened version described in [19], propose to use singular value decomposition (SVD) [20] to reveal the anomalous samples contained in the training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Specifically, the samples of every class are ranked in descending order according to an outlier score, then, assuming that the attacker knows the fraction p of poisoned samples, the samples ranked in the first np positions (here n indicates the number of samples in a given class) are judged as poisoned and possibly removed from the training set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Shan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' [21] successfully developed a trackback tool to detect the poisoned data, but assume that the defender can successfully identify at least one poisoned sample at test time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Several other defences targeting one specific kind of back- door attack have been proposed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The method described in [22], for instance, aims at defending against clean-label backdoor attacks based on feature collision [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The main idea of [22] is to compare the label of each sample with the surrounding neighbours in the feature domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The samples in the neigh- bourhood that do no have the same label of the majority of the samples are judged to be poisoned and removed from the training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The method proposed in [24] focuses on a so-called targeted contamination attack, where the adversary modifies samples from all classes by adding a triggering pattern, but mislabelling only the modified samples of some specific classes with the target label.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then they exploit the Expectation-Maximization (EM) algorithm [25] to untangle poisoned and benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As it is evident from this brief review, despite the existence of several training-dataset-level defences, none of them can handle the wide variety of backdoor attacks proposed so far, given that they are either targeting a specific kind of attack, or work only under rather strict assumptions on label corruption, the shape of the triggering pattern, and the fraction of poisoned samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Contribution In view of the limitations in the terms of general applicabil- ity of the defences proposed so far, we introduce a universal training-dataset-level defence, named CCA-UD, which can reveal the presence of poisoned data in the training dataset regardless of the approach used to embed the backdoor, the size and shape of the triggering pattern, and the percentage of poisoned samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Such a noticeable result is achieved by: i) adopting a clustering algorithm, namely the Density-based Spatial Clustering of Application with Noise (DBSCAN) [26] algorithm, which is able to cluster apart poisoned and benign samples regardless of the percentage of poisoned data;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' and ii) by introducing a sophisticated strategy to decide which cluster includes poisoned samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CCA-UD is applied immediately after the model has been trained and aims at detecting if the training data contains poisoned samples causing the generation of a backdoor into the trained model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' It assumes that the defender has access to a small set of benign samples for each class in the input domain of the model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In a nutshell, the strategy used by CCA-UD to detect the presence of poisoned samples works as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For every class in the training set, we apply clustering in the latent feature spaces, splitting each class into multiple clusters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The number of clusters is determined automatically by the clustering algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' If clustering works as expected, benign and poisoned samples are grouped into different clusters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To decide whether a cluster is poisoned or not, we first recover an average representation of the cluster by computing the cluster’s centroid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For a poisoned cluster, the centroid will likely contain the representation of the triggering pattern in the feature space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, the deviation of the centroid from the centroid of a small set of benign samples of the same class is computed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 3 The deviation vector computed in this way is finally added to the feature representations of the benign samples of the other classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' If such an addition causes a misclassification of (a large portion of) the benign samples the corresponding cluster is judged to be poisoned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We have tested the validity and universality of CCA-UD, by evaluating its performance against many different backdoor attacks, considering three different classification tasks, namely, MNIST, traffic sign and fashion clothes, two poisoning strate- gies, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', corrupted- and clean-label poisoning, three triggering patterns (two global patterns, that is, a ramp and a sinusoidal signal, and a square local pattern), and different poisoning ratios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Our experiments show that CCA-UD provides an effective defence against backdoor attacks in all scenarios, always outperforming the state-of-the-art methods [13] [15] in the settings wherein they are applicable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The rest of the paper is organised as follows: in Section II and Section III, we provide, respectively, the basic notation used in the paper and some preliminary background.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In Section IV, we present the CCA-UD defence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Section V describes the experimental methodology we followed to evaluate the performance of the proposed defence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The results of the experiments are discussed in Section VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, we conclude our paper in Section VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' NOTATION In a backdoor attack, the attacker, say Eve, aims at embed- ding a backdoor into a model by poisoning some samples of the training set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this paper, we assume that the task addressed by the model targeted by the attack is a classification task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Let t denote the target class of the attack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Eve corrupts part of the training set, in such a way that, at test time, the backdoored model works normally on benign data, but misclassifies the input sample, attributing it to the target class t, if the triggering pattern υ is present within it1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Let us denote the clean training dataset by Dtr = � i Dtr,i, where Dtr,i is the set of samples belonging to class i, i = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', l, and l denotes the number of classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, Dtr,i = {(xj, i), j = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', |Dtr,i|}, where the pair (xj, i) indicates the j-th sample of class i and its label.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Similarly, we use the notation Dts and Dts,i for the test dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Eve corrupts Dtr by merging it with a poisoned set Dp = {(˜xj, t), j = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', |Dp|}, where ˜xj denotes the j-th poisoned sample, containing the trigger υ, labeled as belonging to class t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The poisoned dataset is indicated as Dα tr = Dtr ∪ Dp (with α defined later).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, for the class targeted by the attack we have Dα tr,t = Dtr,t∪Dp, while for the other classes, we have Dα tr,i = Dtr,i (i ̸= t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Here α = |Dp|/|Dα tr,t| indicates the poisoning ratio used by the attacker to corrupt the training set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As we said, Dp can be generated by following two modali- ties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' either by corrupting the labels of the poisoned samples or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the corrupted-label scenario, Eve chooses some benign samples belonging to all the classes except for the target class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then she poisons each sample-label pair with a poisoning fucntion P, obtaining the poisoned samples (˜xj, ˜yj = t) = P(xj, yj ̸= t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' ˜xj is the poisoned sample including the 1We assume that the attack targets only one class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' triggering pattern υ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the clean-label case, Eve cannot corrupt the labels, so she chooses some benign samples belonging to the target class, and generates the poisoned samples as (˜xj, ˜yj = t) = P(xj, yj = t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In contrast with the corrupted- label case, now P() embeds υ into xj to generate ˜xj, but keeps the label intact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Arguably, defending against corrupted-label attacks is eas- ier, since mislabeled samples can be more easily identified upon inspection of the training dataset, observing the incon- sistency between the content of the samples and their labels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In contrast, clean-label attacks are more stealthy and more difficult to detect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' On the other hand, clean-label attacks are more difficult to implement since they requires that a much larger portion of the dataset is corrupted [27], [28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We denote the DNN model trained on Dα tr by F α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Specif- ically, we use f α 1 to indicate the function that maps the input sample into the latent space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this work paper, we assume that f α 1 includes a final ReLu layer [29], so that its output is a non-negative vector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Hence, f α 1 (x) is the feature representation of x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' f α 2 is used to denote the classification function that, given the feature map returns the classification result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, F α(x) = f α 2 (f α 1 (x)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, the dimension of the feature representation is denoted by d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' BACKGROUND A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Training-dataset-level defences in [13] and [15] In this section, we provide and in-depth description of the training-dataset-level defences proposed in [13] and [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' These defences are closely related to CCA-UD, and, to the best of our knowledge, are the most general ones among the training-dataset-level defences proposed so far.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Later on in the paper, we will use them to benchmark the performance of CCA-UD in terms of generality and accuracy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 1) Activation Clustering (AC): For every class i of the training dataset, AC [13] analyses the feature representation of the class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' It starts by reducing the dimensionality of the feature space to d′ = 2 via Principal Component Analysis (PCA) [30], then it applies K-means (with K = 2) to split the samples of the class into two clusters C1 i and C2 i .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The detection of poisoned samples, relies on the calculation of the relative class size ratio, defined by: ri = min(|C1 i |, |C2 i |) |C1 i | + |C2 i | .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (1) The range of possible values of ri is [0, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When C1 i and C2 i have similar size, the class i is considered to be ‘benign’, ‘poisoned’ otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Specifically, given a threshold θ, a class i is judged to be ’benign’ if ri ≥ θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, when a class is judged to be poisoned, AC labels as poisoned all the samples belonging to the smallest cluster.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the case of perfect clustering, then, when i = t, we have rt = α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As a consequence of the assumption made on the cluster size, AC does not work when α ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In addition, the performance of AC drop significantly when the number of poisoned samples is significantly smaller than the number of benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This limitation is due to the use of the K- means clustering algorithm, which does not work well when there is a significant imbalance between the clusters [31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 4 Sinusoidal Ramp 3×3 pixel Poisoned image Image after 5×5 average filter Sinusoidal Ramp 3×3 pixel Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2: Example of trigger removal via average filtering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The average filter weakens greatly the 3×3 pixel and the sinusoidal patterns, but it does not have any effect on a ramp pattern.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2) Cluster Impurity (CI [15]): Given a class i, the GMM al- gorithm is applied in the feature domain obtaining the clusters Ck i (k = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', Ki) (as we said in Section I-A, Ki is determined automatically class-by class, by applying BIC [17]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For each cluster Ck i , the samples in the cluster are average-filtered, and the probability pk i of a prediction disagreement between the filtered and non-filtered samples is computed: pk i = � xj∈Ck i 1{F α(h(xj)) ̸= F α(xj)} |Ck i | , (2) where 1{·} is the indicator function, outputting 1 when the internal condition is satisfied and zero otherwise, and h(·) denotes the average filter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Assuming that the filter can remove the triggering pattern, or at least mitigate its effect, if Ck i contains some poisoned samples, after average filtering, all these samples will be classified back to their ground-truth classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, to determine whether Ck i is poisoned or not, CI compares the KL divergence [32] between (1 − pk i , pk i ) and (1, 0), corresponding to the case of a benign class, to a threshold θ, if KL ≥ θ, the cluster is considered to be ‘poisoned’, ‘benign’ otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Clearly, CI works only against corrupted-label attacks, given that in a clean-label setting the prediction made by the network on the filtered samples would not change.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' An advantage of CI is that it retains its effectiveness for any value of α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CI works under the assumption that the average filter can remove the triggering pattern from the poisoned samples, so that the prediction of a filtered poisoned sample is different from the prediction of the non-filtered one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For this reason, the effectiveness of CI is limited to specific kinds of triggering patterns, that is, triggers with high frequencies components, that can be removed via low pass filtering, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', the square 3×3 pattern [9] and the sinusoidal [12] pattern shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2, whose effect is greatly reduced by a 5×5 average filter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' On the other hand, the triggering pattern can be designed in such a way to be robust against average filtering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This is the case, for instance, of the ramp pattern proposed in [12] and shown in the right part of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Whenever the average filter fails to remove the trigger, CI fails.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Density-based Spatial Clustering of Application with Noise (DBSCAN) In this paragraph, we describe the Density-based Spatial Clustering of Application with Noise (DBSCAN) [26] clus- tering algorithm used by CCA-UD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' DBSCAN splits a set of points into K clusters and possibly few outliers, where K is automatically determined by counting the areas with high sample density.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Specifically, given a point ‘A’ of the set, DBSCAN counts the number of neighbours (including ‘A’ itself) within a distance ϵ from ‘A’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' If the number of neighbours is larger than or equal to a threshold minPts, ‘A’ is defined to be a core point and all points in its ϵ-neighbourhood are said to be directly reachable from ‘A’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' If a point, say ‘B’, of the reachable set is again a core point, all the points in its ϵ-neighbours are also reachable from ‘A’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Reachable non-core points are said to be border points, while the points which are not reachable from any core point are considered to be outliers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To define a cluster, DBSCAN also introduces the notion of density-connectedness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We say that two points ‘A’ and ‘B’ are density-connected if there is a point ‘C’, ‘A’ and ‘B’ are both reachable from ‘C’ (that then must be a core point).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A clusters is defined as a group of points satisfying the following two properties: i) the points within a cluster are mutually density- connected;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' ii) any point directly-reachable from some point of the cluster, it is part of the cluster.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The intuition behind DBSCAN is to define the clusters as dense regions separated by border points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The number of dense regions found in the set automatically determines the number of clusters K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' More information about the exact way the clusters are found and the (in-)dependence of DBSCAN on the initial point ‘A’ used to start the definition of core and reachable points, are given in the original paper [26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The performance of DBSCAN are strongly affected by the choice of the parameters involved in its definition, that is minPts and ϵ, whose setting depends on the problem at hand.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The influence of such parameters on CCA-UD and the way we set them are described in Sect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' V-C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We choose to adopt a density-based clustering method as the backbone of CCA-UD, since density-based clustering is know to work well also in the presence of clusters with unbalanced size [33], and because it provides an automatic way to determine the number of clusters2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' THE PROPOSED TRAINING-DATASET-LEVEL UNIVERSAL DEFENCE In this section, we first formalise the defence threat model, then, we describe the CCA-UD algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Defence threat model The threat model considered in this work is illustrated in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The attacker, called Eve, interferes with the data collec- tion process, by poisoning a fraction α of the training dataset, possibly modifying the labels of the poisoned samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Alice, plays the role of the trainer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' She defines the model architecture, the learning algorithm, the model hyperparameters, and trains the model using the possibly poisoned dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Alice also plays the role of the defender: she inspects the training dataset and the deployed model to detect the possible presence of poisoned samples in the training set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We observe that this is the same threat model considered by AC and CI defences in [13] and [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the case of CI, however, label corruption is not optional, as such defence can be applied only when the attacker adopts a corrupted-label modality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2DBSCAN is one of most popular density-based clustering algorithms, other choices, like OPTICS [34] and HDBSCAN [35]) would work as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 5 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 3: Threat model The exact goal, knowledge and capabilities of the defender are detailed in the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Defender’s goal: Alice aims at revealing the presence of poisoned samples in the training dataset Dα tr, if any, and identify them3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Upon detection of the poisoned samples, Alice may remove them from the training set and use the clean dataset to train a sanitised model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Formally, the core of the CCA-UD defence consists of a detector, call it det(), whose functional behaviour is defined as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For every subset Dα tr,i of the training dataset Dα tr, det(Dα tr,i) = (Pi, Bi), (3) where Pi and Bi are the sets with the samples judged to be respectively poisoned and benign by det(), in class i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Extending the above functionality to all the classes in the input domain of the classifier, we may also write: det(Dα tr) = {(Pi, Bi), i = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', l}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (4) Clearly, for a non-poisoned dataset, we should have Pi = ∅ ∀i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Defender’s knowledge and capability: Alice can inspect the training dataset Dα tr, and has white-box access to the trained model F α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Moreover, Alice has a small benign val- idation dataset Dval, with a small number of non-poisoned samples of every class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The Proposed CCA-UD defence CCA-UD consists of two main blocks: feature clustering and Poisoned Cluster Detection (PCD), as shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 1) Dimensionality reduction and feature clustering: Sample clustering works in three steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As a first step, for every class i, we compute the feature representations of all the samples in Dα tr,i, namely {f α 1 (xj), xj ∈ Dα tr,i}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' f α 1 (xj) is a d-dim vector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Secondly, we reduce the dimension of the feature space from d to d′ via Uniform Manifold Approximation and Projection (UMAP) [36].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, we apply DBSCAN to split Dα tr,i into multiple clusters Ck i (k = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', Ki).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In addition to clusters, DBSCAN (may) also returns a number of outliers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The set with the outlier samples, referred to as Oi, is directly added to Pi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The outlier ratio for the class i is denoted by ζi = |Oi| |Dα tr,i|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' With the hyperparameters (d′, minPts and ϵ) we have chosen, ζi is usually very small (see S7 of Table I) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Regarding dimensionality reduction, we found it to be beneficial for our scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' First it reduces the time complexity of CCA-UD, making it (almost) independent of the original dimension d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In addition, we avoid the problem of data sparsity, that tends to affect feature representations in large dimensions causing the failure of the clustering algorithm 3For sake of simplicity, we use the notation Dα tr for the training set under inspection, even if, prior to inspection, we do not know if the set is poisoned or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For as benign dataset we simply have α = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (‘curse of dimensionality’ problem [37]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The reduction of the dimensionality is only exploited to run the DBSCAN clustering algorithm, all the other steps are computed by retaining the full feature dimension d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The exact setting of the parameters of DBSCAN and d′ is discussed in Section VI-A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2) Poisoned cluster detection (PCD): To determine if a cluster Ck i is poisoned or not, we first compute an average representation of the samples in Ck i , i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', the cluster’s centroid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, we check whether the centroid contains a feature component that causes a misclassification in favour of class i when added to the features of benign samples of the other classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' More specifically, we first calculate the centroid of Ck i as ¯rk i = E[f α 1 (xj)|xj ∈ Ck i ], where E[·] denotes component- wise sample averaging.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Vector ¯rk i is a d-dim vector4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, we compute the deviation of ¯rk i from the centroid of class i computed on a set of benign samples: βk i = ¯rk i − E[f α 1 (xj)|xj ∈ Di val], (5) where Di val is the i-th class of the benign set Dval.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, we check if βk i causes a misclassification error in favour of class i when it is added to the feature representation of the benign samples in Dval belonging to any class but the i- th one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The corresponding misclassification ratio is computed as follows: MRk i = � xj∈Dval/Di val 1 � f α 2 � δ(f α 1 (xj) + βk i ) � ≡ i � |Dval/Di val| , (6) where Dval/Di val represents the validation dataset excluding the samples from class i, and δ is a ReLu operator included to ensure that f α 1 (xj) + βk i is a correct vector in the latent space5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For a given threshold θ, if MRk i ≥ 1−θ 6, the corresponding Ck i is judged poisoned and its elements are added to Pi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Otherwise, the cluster is considered benign and its elements are added to Bi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Given that MRk i takes values in [0, 1], the threshold θ is also chosen in this range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 3) Expected behaviour of CCA-UD for clean- and corrupted-label attacks: An intuition of the idea behind CCA- UD, and the reason why detection of poisoned samples works for both corrupted and non-corrupted labels attacks is given in the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Let us focus first on the clean-label attack scenario.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' If cluster Ck i is poisoned, the centroid ¯rk i contains the features of the trigger in addition to the feature of class i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, arguably, the deviation of the centroid from the average representation of class i is a significant one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Ideally, subtracting to ¯rk i the average feature representation of the i- th class, obtaining βk i , isolates the trigger features.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The basic idea behind CCA-UD is that the trigger features in βk i will cause a misclassification in favour of class i, when added to the features of benign samples of the other classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' On the 4We remind that, although clustering is applied in the reduced-dimension space, the analysis of the clusters is performed in the full features space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 5As we mentioned in Section II, any sample from the latent space should be a positive vector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 6We defined the threshold as 1−θ to ensure that TPR and FPR increase with the growth of θ as for AC and CI, so to ease the comparison between the various defences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 6 Ck i (k = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=', Ki) Poisoned Clusters Detection (PCD) ∀k Ck i is benign add Ck i to Bi Feature clustering in reduced space (d′) add Oi to Pi add Ck i to Pi Ck i is poisoned Oi is outlier Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 4: Workflow of the CCA-UD defence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' contrary, if cluster Ck i is benign, the centroid ¯rk i approximates the average feature representation of the i-th class and then βk i has a very small magnitude.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this case, βk i accounts for normal intra-class fluctuation of the features and its addition to benign samples is not expected to induce a misclassification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Similar arguments, with some noticeable differences, hold in the case of corrupted-label attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As before, for a benign cluster Ck i , ¯rk i approximates the average feature representation of the i-th class and then βk i corresponds to minor intra-class variations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the case of a poisoned cluster Ck i , the cluster now includes mislabeled samples of the other classes (different from i) containing the triggering pattern.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this way, the cluster representative contains features of the original class in addition to the features of the triggering pattern.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Two cases are possible here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the first case, the clustering algorithm clusters all the poisoned samples in the same cluster.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this case, the features of the original class will tend to cancel out while the features of the triggering pattern will be reinforced by the averaging operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As a consequence the deviation vector βk i will be dominated by the triggering features thus producing a behaviour similar to that we have described for the clean label attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the second case, poisoned samples originating from different classes are clustered separately.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this case, the deviation vector will contain the features of the triggering pattern and the features related to the difference between the original class i and the target class t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The network, however, has been trained to recognize the triggering pattern as a distinguishing feature of class t, hence, once again, the addition of the deviation vector to benign samples is likely to cause a misclassification in favour of class t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The situation is pictorially illustrated in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 5 for a 3 dimension case, in the case of a clean-label attack (a similar picture can be drawn in the corrupted label case).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Class ‘3’ corresponds to the poisoned class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Due to the presence of the backdoor, the poisoned samples are characterised by a non-null feature component along the z direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Due to the presence of such a component, the backdoored network classifies those samples in class ‘3’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' On the contrary, benign samples lie in the x-y plane.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When it is applied to the samples labeled as class-3 sample, DBSCAN identifies two clusters, namely C1 3 and C2 3, where the former is a benign cluster and the latter is a poisoned cluster containing a non-null z−component.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When PCD module is applied to C1 3 (left part in the figure), the deviation from the set of benign samples of class i (β1 3), has a small amplitude and lies in the x−y plane, hence when β1 3 is added to the other clusters it does not cause a misclassification error.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Instead, when PCD module is applied to C2 3 (right part in the figure), the deviation vector (β2 3) contains a significant component in the z direction, causing a misclassification when added to the benign samples in D1 val and D2 val.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' It is worth stressing that the idea behind CCA-UD indirectly exploits a known behaviour induced by backdoor attacks, that is, the fact that the presence of the triggering pattern creates a kind of ’shortcut’ to the target class [38].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Since this is a general property of backdoor attacks, common to both corrupted-label and clean-label attack methods, the proposed method is a general one and can work under various settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 4) Discussion: We observe that the universality of CCA- UD essentially derives from the generality of the proposed strategy for PCD and from the use of DBSCAN, that has the following main strengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Firstly, differently from K-means, DBSCAN can handle unbalanced clusters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, CCA-UD also works when the poisoning ratio α is small.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Moreover, CCA-UD also works when the number of poisoned samples is larger than the number of benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Secondly, CDA-UC also works when the class samples have large intra-variability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this scenario, DBSCAN groups the data of a benign class into multiple clusters (a large Ki, Ki > 2, is estimated by DBSCAN), that are then detected as benign clusters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this setting, methods assuming that there are only two clusters, a benign cluster and a poisoned one, do not work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, we observe that, thanks to the fact that Ki is directly estimated by DBSCAN in principle, our method can also work in the presence of multiple triggering patterns [39], [40].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this case, the samples poisoned by different triggers would cluster in separate clusters, that would all be detected as poisoned by CCA-UD7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' EXPERIMENTAL METHODOLOGY In this section, we describe the methodology we followed for the experimental analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Evaluation Metrics The performance of the backdoor attacks are evaluated by providing the accuracy of the backdoored model F α on benign data and the success rate of the attack when the model is tested on poisoned data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The two metrics are formalized below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The Accuracy (ACC) measures the probability of a cor- rect classification of benign samples, and is calculated as follows: ACC = �l i=1 � xj∈Dts,i 1{F α(xj) ≡ i} |Dts| , (7) 7We do not focus on the case of multiple triggers in our experiments, leaving this analysis for future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 7 ‘1’ C(D1 val) C(D2 val) C(D3 val) C1 3 C2 3 ¯r1 3 ‘1’ ‘2’ C(D1 val) C(D2 val) ‘3’ C(D3 val) C1 3 C2 3 ¯r2 3 f α 1 (xj) f α 1 (xj) ‘1’ C(D1 val) C(D2 val) C(D3 val) C1 3 C2 3 ¯r1 3 ‘1’ ‘2’ C(D1 val) C(D2 val) ‘3’ C(D3 val) C1 3 C2 3 ¯r2 3 f α 1 (xj) f α 1 (xj) Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 5: Pictorial and simplified illustration of PCD (clean-label case).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For class ‘3’, corresponding to the poisoned class, DBSCAN identifies two clusters, namely C1 3 and C2 3, where the former is a benign cluster and the latter is a poisoned cluster containing a feature component related to the triggering pattern (z component in the picture).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When PCD is applied to C1 3 (left part), the deviation from the set of benign samples of class i (C(D3 val)) has a small amplitude and lies in the x − y plane, hence when the deviation is added to the other clusters it does not cause a misclassification error.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Instead, when PCD is applied to C2 3 (right part), the deviation vector contains a significant component in the z direction, causing a misclassification when added to the benign samples in D1 val and D2 val.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The Attack success rate (ASR), measuring the probability that the triggering pattern υ activates the desired behaviour of the backdoored model F α, is computed as follows: ASR = � xj∈Dts/Dts,t 1{F α(P(xj, υ)) ≡ t} |Dts/Dts,t| .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (8) where Dts/Dts,t is the test dataset excluding the samples from class t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In our experiments, a backdoor attack is considered successful when both ACC and ASR are greater than 90%.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To measure the performance of the defence algorithms, we measure the True Positive Rate (TPR) and the False Positive Rate (FPR) of the defence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Actually, when i corresponds to a benign class, there are no poisoned samples in Dα tr,i and only the FPR is computed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' More formally, let GPi (res.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' GBi) define the set of ground-truth poisoned (res.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' benign) samples in Dα tr,i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We define the TPR and FPR on Dα tr,i as follows: TPR(Dα tr,i) = |Pi ∩ GPi| |GPi| , FPR(Dα tr,i) = 1 − |Bi ∩ GBi| |GBi| , (9) Given that benign classes may exist for both poisoned and benign datasets8, we need to distinguish between these two cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Hence, we introduce the following definitions: Benign Class of Benign dataset (BCB): a class of a clean dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this case α = 0 and Dα tr,i includes only benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Benign Class of Poisoned dataset (BCP ): a benign class of a poisoned dataset, that is, a class in a poisoned dataset different from the target class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Also in this case, Dα tr,i includes only benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The difference between BCB and BCP is that in the former case F α is a clean model, while in the latter it is backdoored.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the following, we use FPR(BCB) and FPR(BCP ) to distinguish the FPR in the two cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8The backdoor attack does not need to target all classes in the input domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Similarly, the case of a target class t of a poisoned dataset is referred to as a Poisoned Class (PC) of a poisoned dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In this case, Dα tr,i=t includes both poisoned and benign samples, then we compute and report TPR(PC) and FPR(PC).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' TPR and FPR depend on the choice of the threshold θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Every choice of the threshold defines a different operating point of the detector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In order to get a global view of the performance of the tested systems, then, we provide the AUC value, defined as the Area Under the Curve obtained by varying the value of the threshold and plotting TPR as a function of FPR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' AUC values range in the [0, 1] interval.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The higher the AUC the better the capability of the system to distinguish poisoned and benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When AUC = 1 we have a perfect detector, while AUC = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5 corresponds to a random detector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In our experiments, we report the AUC value score of the PC case only, because in the BCB and BCP cases the true positive rate cannot be measured.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' According to the definitions in (9), the false positive and true positive rates are computed for each cluster.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For sake of simplicity, we will often report average values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For the case of benign clusters of a benign dataset, the average value, denoted by FPR(BCB), is calculated by averaging over all the classes of the benign training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To compute the average metrics in the case of BCP and PC, we repeat the experiments several times by poisoning different target classes with various poisoning ratios α in the range (0, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='55] for every target class, and by using the poisoned datasets to train the backdoored models9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Then, the average quantity FPR(BCP ) is computed by averaging the performance achieved on non- target classes of all the poisoned training datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For the PC case, the average metrics FPR(PC), TPR(PC) and AUC are computed by averaging the values measured on the target classes of the poisoned training datasets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We also measured the average performance achieved for a fixed poisoned ratio α, by varying only the target class t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When we want to stress the 9Only successful backdoor attacks are considered to measure the perfor- mance in the various cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 66JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 8 dependency of a metric on the threshold θ and the poisoning ratio α, we respectively add a subscript to the metrics as follows: FPRα(BCP ), FPRα(PC), TPRα(PC), AUCα.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The tests run to set the detection threshold θ are carried out on the validation dataset, consisting only of benign samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Therefore, for each class Di val, we can only calculate the FPR(Di val) value, and its average counterpart denoted by FPR(Dval) = � i FPR(Di val)/l.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Network tasks and attacks We considered three different classification tasks, namely MNIST, traffic sign, and fashion clothes classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 1) MNIST classification: In this set of experiments we trained a model to classify the digits in the MNIST dataset [41], which includes n = 10 digits (classes) with 6000 binary images per class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The size of the images is 28 × 28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The architecture used for the task is a 4-layer network [42].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The feature representation of dimensionality 128 is obtained from the input of the final Fully-connected (FC) layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Regarding the attack setting, three different backdoor attacks have been considered, as detailed below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For each setting, the training dataset is poisoned by considering 16 poisoning ratios α chosen in (0, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='55].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For each α, 10 different poisoned training datasets are generated by choosing different classes as the target class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Corrupted-label attack, with a 3×3 pixel trigger (abbrev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 3×3 corrupted): the backdoor is injected by adding a 3×3 pixel pattern to the corrupted samples, as shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2, and modifying the sample labels into that of the target class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Corrupted-label attack, with ramp trigger (abbrev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' ramp corrupted): Eve performs a corrupted-label backdoor attack using a horizontal ramp pattern [12] as trigger (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The ramp pattern is defined as υ(i, j) = j∆/W, 1 ≤ i ≤ H, 1 ≤ j ≤ W, where H × W is the size of the image and ∆ is a parameter controlling the slope (and strength) of the ramp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We set ∆ = 40 in the experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Clean-label attack, with 3×3 pixel trigger (abbrev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 3×3 clean): the attack utilises the 3×3 pixel trigger pattern to perform a clean-label attack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 2) Traffic signs: For the traffic sign classification task, we selected 16 different classes from the GTSRB dataset, namely, the most representative classes in the dataset, including 6 speed-limit, 3 prohibition, 3 danger, and 4 mandatory signs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Each class has 1200 colour images with size 28 × 28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The model architecture used for training is based on ResNet18 [43].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The feature representation is extracted from the 17-th layer, that is, before the FC layer, after an average pooling layer and ReLu activation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' With regard to the attack, we considered the corrupted-label scenario.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As triggering pattern, we considered a horizontal sinusoidal pattern, defined as υ(i, j) = ∆ sin(2πjf/W), 1 ≤ i ≤ H, 1 ≤ j ≤ W, where H × W is the size of input image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The parameters ∆ and f are used to control the strength and frequency of the trigger.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In our experiment, we set ∆ = 20 and f = 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As before, for a given α, the network is trained on 16 poisoned datasets, each time considering a different target classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 3) Fashion clothes: Fashion-MNIST dataset includes 10 classes of grey-level cloth images, each class consisting of 6000 images of size 28×28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The model architecture used for the classification is based on AlexNet [44].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The representation used by the backdoor detector is extracted from the 5-th layer, at the output of the ReLu activation layer before the first FC layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' With regard to the attack, the poisoned samples are generated by performing the attack in a clean-label setting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A ramp trigger with ∆ = 256 is used to implement the attack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Once again, for each choice of α, the backdoor attack is repeated 10 times, each time considering a different target class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For all the classification tasks, the benign validation dataset Dval is obtained by randomly selecting 100 samples from all the classes in the dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Setting of defence parameters To implement the CCA-UD defence, we have to set the following parameters: the reduced dimension d′ for the clus- tering, the parameters of the DBSCAN algorithm, namely minPts and ϵ, and finally the threshold θ used by the clustering poisoning detection module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In our experiments, we set d′ = 2, minPts = 20 and ϵ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This is the setting that, according to our experiments, achieves the best performance with the minimum complexity for the clustering algorithm (being d′ = 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The effect of these parameters on the result of clustering and the detection performance is evaluated by the ablation study described in Section VI-A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' With regard to θ, as mentioned before, AC, CI and CCA- UD involve the setting of a threshold for poisoning detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For a fair comparison, we set the threshold in the same way for all the methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In particular, we set θ by fixing the false positive rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In general a value of θ results in different FPR rates for different classes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To avoid setting a different threshold for each class, then, we fixed it by setting the average FPR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In fact, setting the average FPR exactly may not be feasible, so we chose the threshold in such a way to minimize the distance from the target rate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Formally, by setting the target false positive rate to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05, the threshold θ∗ is determined as: θ∗ = arg min θ ��0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05 − FPR(Dval) ��.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (10) VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' EXPERIMENTAL RESULTS In this section we report the results of the experiments we have carried out to evaluate the effectiveness of CCA-UD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Ablation study We start the experimental analysis with an ablation study investigating the effect of the three main hyperparameters of CCA-UD, namely d′ (regarding UMAP), and minPts and ϵ (for DBSCAN) on the effectiveness of the method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Based on this analysis, in all subsequent experiments we set d′ = 2, minPts = 20 and ϵ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The influence of each parameter on the clustering result and the detection performance can be assessed by looking at Table I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The results refer to the case of MNIST classification, with backdoor poisoning performed by using a 3×3 pixel JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 9 TABLE I: Ablation study on the three hyperparameters of CCA-UD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' FPR and TPR for all cases are computed by letting θ = θ∗ as stated in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' K and ζ are, respectively, the average number of clusters and the average fraction of outliers identified by DBSCAN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Hyperparameters BCB results BCP results PC results d′ minP ts ϵ (K, ζ) F P R(BCB) (K, ζ) F P R(BCP ) (K, ζ) T P R(P C) F P R(P C) AUC S1 2 20 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='4 (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='9, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='005) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='3, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='008) 0.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='9, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 S16 10 20 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='0 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='0, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='0, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='0, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='500 trigger pattern with label corruption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Similar considerations can be drawn in the other settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The results in the table have been obtained by letting θ = θ⋆ as stated in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' To start with, we observe that when utilising θ∗ in BCB and BCP cases, the FPR values is close to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05 for all the settings, while in the PC case FPR is close to or less than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05 for all settings except for S9 and S16, whes benign and poisoned samples collapse into a single cluster.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In addition to TPR and FPR, the table shows the average number of clusters (K) and the average outlier ratio (ζ) identified by DBSCAN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' From the first group of rows (S1-S4), we see that for a given setting of minPts and ϵ, increasing d′ leads to a larger average number of clusters and a larger fraction of outliers, as the DBSCAN algorithm results in a higher number of densely-connected regions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' A similar behaviour is observed by increasing minPts or decreasing ϵ for a given d′ (second and third group of rows in the table).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Expectedly, when ϵ is too large, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 10, DBSCAN always results in one cluster thus failing to identify the poisoned samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Based on the result in Table I, the settings S7 (d′ = 2, minPts = 20, ϵ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='8) and S15 (d′ = 10, minPts = 20, ϵ = 3) yield the best performance, the former having lower computational complexity, because of the lower dimension used to cluster the samples in the feature space (d′ = 2 instead of 10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Threshold setting The thresholds θ∗ obtained following the approach detailed in Section V-C for AC and CI and CCA-UD, are reported in Table II for the three different classification tasks considered in our experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Given that the threshold is set by relying on the validation dataset, it is necessary to verify that the target false positive rate (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05 in our case) is also obtained on the test dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' An excerpt of such results is shown in Table IV by referring to MNIST task (a similar behaviour is observed for the other classification tasks).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Our experiments reveal that, for AC and CI, the threshold determined via Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' (10) does not lead to a good operating point when used on the test dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In particular, while for CCA-UD, the threshold θ∗ set on the validation dataset yields a similar FPR (around 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05) in the BCB, BCP and PC TABLE II: Values of θ∗ obtained for the various classification tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Method MNIST Traffic signs Fashion clothes AC 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='335 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='404 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='301 CI 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='018 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='673 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='738 CCA-UD 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='950 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='950 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='950 cases, this is not true for AC and CI, for which FPR(BCB), FPR(BCP ) and FPR(PC) are often smaller than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05, reaching 0 in many cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This leads to a poor TPR(PC).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In particular, with AC, when α > θ∗, both clusters are classified as benign, and then TPRα(PC) = FPRα(PC) = 0, even when the method would, in principle, be able to provide a perfect discrimination (AUCα ≈ 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The difficulty in setting the threshold for AC and CI is also evident from the plots in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 6, that report the FPR and TPR values averaged also on α, for different values of the threshold θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' From these plots, we immediately see that a threshold that works in all the cases can never be found for AC and CI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Due to the difficulties encountered to set the detection threshold for AC and CI10, the results at θ∗ for these methods are not reported in the other cases, that is, for traffic sign and fashion clothes classification, for which we report only the AUCα scores.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Note that the possibility to set a unique threshold on a benign dataset that also works on poisoned datasets is very important for the practical applicability of a defence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Based on our results, CCA-UD has this remarkable property.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Results on MNIST In this section, we evaluate the performance of CCA-UD against the three types of backdoor attacks, namely, 3×3 corrupted, ramp corrupted, and 3×3 clean.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Such performance as compared to those obtained by AC and CI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 6, in each row, the three figures report the average performance of AC, CI and CCA-UD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The values of FPR(BCB), FPR(BCP ), TPR(PC) and FPR(PC) are reported for each method, as a function of the detection threshold θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The behaviour of 10Note that the problem of threshold setting is not addressed in the original papers, since different threshold are used in the various cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 10 TABLE III: AUC scores of three methods in the three different attacks Method 3×3 corrupted Ramp corrupted 3×3 clean AC 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='728 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='733 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='785 CI 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='964 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='178 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='488 CCA-UD 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='994 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='996 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='981 FPR(Dval), which is utilised to determine the threshold θ∗ (at 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05 of FPR(Dval)), is also reported.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The position of θ∗ is indicated by a vertical dotted line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' By observing the figure, we see that CCA-UD outperforms by far the other two methods in all the settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the first setting, we achieve TPR(PC) and FPR(PC) equal to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='983 and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='051 at the optimal threshold θ∗, with FPR(BCB) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='051 and FPR(BCP ) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Instead, the performance achieved by AC and CI at their optimal threshold are very poor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Similar results are achieved for the second and third settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In particular, for the second attack, CCA-UD achieves TPR(PC) and FPR(PC) equal to ( 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='975, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050) at θ∗, and (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='966, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050) for the third one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For a poisoned dataset, the AUC values obtained in the three settings are provided in Table III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' From these results, we argue that CI has good discriminating capability (with an AUC only slightly lower than CCA-UD) against the first attack, but fails to defend against the other two.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' This is an expected behaviour since CI does not work when the triggering pattern is robust against average filtering, as it is the case of the ramp signal considered in the second attack, or with clean- label attacks, as it is the last setting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Table IV shows the results obtained for different values of the poisoning ratio α for the three different attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The values of FPR and TPR have been obtained by letting θ = θ∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For the clean-label case, due to the difficulty of developing a successful attack [12], [27], [28], the backdoor can be successfully injected in the model only when α is large enough and, in any case, a successful attack could not always be obtained in the 10 repetitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' For this reason, in the third table, we report the number of successfully attacked classes (cnt) with different poisoning ratios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Upon inspection of Table IV, we observe that: With regard to AC, the behaviour is similar under the three attack scenarios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Good results are achieved for intermediate values of α, namely in the [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='2, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='3] range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' When α < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='134, instead, AUCα of AC is smaller than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='786, and close to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5 for small α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In particular, AC cannot handle the backdoor attacks for which the poisoning ratio is smaller than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Moreover, when α > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5, AUCα goes to zero, as benign samples are judged as poisoned and vice-versa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, by comparing the AUCα values in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' IVa and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' IVc, we see that AC achieves better performance against the corrupted-label attack than in the clean-label case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' With regard to CI, the detection performance achieved in the first attack scenario (3×3 corrupted) are good for all the values of α, with AUCα larger than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='96 in most of the cases (with the exception of the smallest α, for which AUCα = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='876), showing that CI can effectively defend against the backdoor attack in this setting, for every attack poisoning ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' However, as expected, CI fails in the other settings, with AUCα lower than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5 in all the cases, confirming the limitations mentioned in Section III-A2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Regarding CCA-UD, good results are achieved in all the- cases and for every value of α, with a perfect or nearly perfect AUCαin most of the cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Moreover, by letting θ = θ∗, a very good TPRα(PC) is obtained, larger than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='95 in almost all the cases, with FPRα(BCP ) and FPRα(PC) around 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Overall, the tables prove the universality of CCA-UD that works very well regardless of the specific attack setting and regardless of the value of α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Note, since CCA-UD achieves a larger AUCα than AC and CI, CCA-UD outperforms AC and CI not only when θ = θ∗ but also when θ is set adaptively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Finally, these results show that CCA-UD can effectively defend against both corrupted and clean-label attacks, thus confirming that the strategy used to detect poisoned clusters exploits a general misclassification behaviour present in both corrupted- and clean-label attacks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Results on Traffic Signs Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 7a-7c show the average performance of AC, CI, and CCA-UD on the traffic signs task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Similar considerations to the MNIST case can be made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CCA-UD achieves very good average performance at the operating point given by θ∗, where TPR(PC) and FPR(PC) are ( 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='965, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='058) (with FPR(BCB) = FPR(BCB) ≈ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='08), while for AC and CI a threshold that works well on the average can not be found.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the case of a poisoned dataset, the average AUC of the detection AUC is equal to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='897, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='958, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='993 for AC, CI, and CCA-UD, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We observe that CI gets a good AUC, too.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In fact, in this case, given that the size of the input image is 28×28, the triggering pattern, namely the sinusoidal signal can be effectively removed by a 5 × 5 average filter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The results obtained for various α are reported in Table Va.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As it can be seen, CCA-UD gets very good performance in terms of TPRα(PC) and FPRα(PC) measured at θ = θ∗ in all the cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The AUCα is also larger than that achieved by AC and CI for all values of α.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' As observed before, while CI is relatively insensitive to α, the performance of AC drop when α < 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='1 or α > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Results on Fashion Clothes Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 7d-7f report the results obtained by AC, CI, and CCA- UD on the fashion clothes task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Once again, the performance achieved by CCA-UD are largely superior to those achieved by AC and CI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In particular, by looking at Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 7d-7f, CCA-UD achieves TPR(PC) and FPR(PC) equal to (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='053), with FPR(BCB) = FPR(BCP ) ≈ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='05.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Regarding the AUC scores, AUC of AC, CI, and CCA-UD are 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='900, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='106, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='997 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Since the attack is carried out in a clean- label modality, the poor performance of CI were expected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The results for various α, reported in Table Vb, confirm the same behaviour, with CCA-UD getting very good performance in all the cases, always overcoming the other two methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' JOURNAL OF LATEX CLASS FILES, VOL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 14, NO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 11 (a) AC in 3×3 corrupted (b) CI in 3×3 corrupted (c) CCA-UD in 3×3 corrupted (d) AC in ramp corrupted (e) CI in ramp corrupted (f) CCA-UD in ramp corrupted (g) AC in 3×3 clean (h) CI in 3×3 clean (i) CCA-UD in 3×3 clean Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 6: Average performance of AC and CI, and CCA-UD for different values of the threshold against the three types of backdoor attacks implemented in the case of MNIST classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' From top to bottom the plots refer to 3×3 corrupted in (a)-(c), ramp corrupted in (d)-(f), and 3×3 clean in (g)-(i).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' From left to right we report the performance of AC, CI and CCA-UD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The position of θ∗ is indicated by a vertical dotted line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' TABLE IV: Performance of AC, CI and CCA-UD for various poisoning ratios α, against the three types of backdoor attacks for MNIST classification, The FPR and TPR values are computed at θ = θ∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' In the 3 × 3 table cnt indicates the number of successful attacks in 10 repetitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' AC CI CCA-UD α F P Rα(BCP ) T P Rα(P C) F P Rα(P C) AUCα F P Rα(BCP ) T P Rα(P C) F P Rα(P C) AUCα F P Rα(BCP ) T P Rα(P C) F P Rα(P C) AUCα 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='025 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='563 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='012 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='324 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='022 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='876 0.' metadata={'source': 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51.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='0 TPR(PC) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='8 FPR(PC) ge FPR(BCB) rcenta 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='6 FPR(BCp) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='4 FPR(Dval) per 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='0 0.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 8, AUGUST 2021 12 (a) AC in traffic signs task (b) CI in traffic signs task (c) CCA-UD in traffic signs task (d) AC in fashion clothes task (e) CI in fashion clothes task (f) CCA-UD in fashion clothes task Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' 7: Average performance of AC, CI, and CCA-UD for different values of θ for the traffic signs and fashion clothes task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The vertical dotted line indicates the position of θ∗ for the various methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' TABLE V: Performance of AC, CI, and CCA-UD for various poisoning ratios for the traffic sign and fashion cloth task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The FPR and TPR values are computed at θ = θ∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Since for AC and CI it is not possible to find a unique value of θ working in all conditions, we report only the AUC values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' AC CI CCA-UD α cnt AUCα AUCα AUCα F P Rα(BCP ) T P Rα(P C) F P Rα(P C) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 9 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='793 0.' 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='174 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='055 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='000 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='050 (b) Fashion clothes VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CONCLUDING REMARKS We have proposed a universal backdoor detection method, called CCA-UD, aiming at revealing the possible presence of a backdoor inside a model and identify the poisoned samples by analysing the training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' CCA-UD relies on DBSCAN clustering and on a new strategy for the detection of poisoned clusters based on the computation of clusters’ centroids.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The capability of the centroids’ features to cause a misclassification of benign samples is exploited to decide whether a cluster is poisoned or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' We evaluated the effectiveness of CCA-UD on a wide variety of classification tasks and attack scenarios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The results confirm that the method can work regardless of the corruption strategy (corrupted and clean label setting) and the type of trigger used by the attacker (local or global pattern).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Moreover, the method is effective regardless of the poisoning ratio used by the attacker, that can be either very small or even larger than 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Furthermore, we proved that the performance achieved by CCA-UD are always superior to those achieved by the existing methods, also when these methods are applied in a scenario that meets their operating requirements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' Future work will be devoted to the analysis of the behaviour of the proposed method against multiple triggers attacks, that is when multiple triggers are used to poison the samples, possibly to induce more than one malicious behaviour inside the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' The capability of the method to defend against backdoor attacks in application scenarios beyond image clas- sification, is also worth investigation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content=' REFERENCES [1] I.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} +page_content='5997, 2014.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/gNE3T4oBgHgl3EQffgrq/content/2301.04554v1.pdf'} diff --git a/hNAzT4oBgHgl3EQf4f5B/content/tmp_files/2301.01844v1.pdf.txt b/hNAzT4oBgHgl3EQf4f5B/content/tmp_files/2301.01844v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..187eb74e8d68f207c0c74310d7d3ba2874134b76 --- /dev/null +++ b/hNAzT4oBgHgl3EQf4f5B/content/tmp_files/2301.01844v1.pdf.txt @@ -0,0 +1,2136 @@ +Solving Unsplittable Network Flow Problems with +Decision Diagrams +Hosseinali Salemi, Danial Davarnia +Department of Industrial and Manufacturing Systems Engineering, Iowa State University, Ames, IA 50011, +hsalemi@iastate.edu, davarnia@iastate.edu +In unsplittable network flow problems, certain nodes must satisfy a combinatorial requirement that the +incoming arc flows cannot be split or merged when routed through outgoing arcs. This so-called no-split +no-merge requirement arises in unit train scheduling where train consists should remain intact at stations +that lack necessary equipment and manpower to attach/detach them. Solving the unsplittable network +flow problems with standard mixed-integer programming formulations is computationally difficult due to +the large number of binary variables needed to determine matching pairs between incoming and outgoing +arcs of nodes with no-split no-merge constraint. In this paper, we study a stochastic variant of the unit +train scheduling problem where the demand is uncertain. We develop a novel decision diagram (DD)-based +framework that decomposes the underlying two-stage formulation into a master problem that contains the +combinatorial requirements, and a subproblem that models a continuous network flow problem. The master +problem is modeled by a DD in a transformed space of variables with a smaller dimension, leading to a +substantial improvement in solution time. Similarly to the Benders decomposition technique, the subproblems +output cutting planes that are used to refine the master DD. Computational experiments show a significant +improvement in solution time of the DD framework compared with that of standard methods. +Key words : Decision Diagrams; Network Optimization; Mixed Integer Programs; Unit Trains; +Transportation +History : +1. +Introduction +Over the past several decades, rail freight transportation has continued to grow as the prime +means of transportation for high-volume commodities. Advantages of rail transportation include +reliability, safety, cost-efficiency and environmental-sustainability as compared with alternative +methods of transportation. In terms of scale, the rail network accounted for 27.2 percent of U.S. +freight shipment by ton-miles in 2018 (Furchtgott-Roth et al. 2021); see Figure 1. The Federal +Highway Administration estimates that the total U.S. freight shipments will be 24.1 billion tons +in 2040, a 30 percent increase from the 2018 total transportation of 18.6 billion tons. With the +purpose of meeting such market growth, America’s freight railway companies have invested nearly +1 +arXiv:2301.01844v1 [math.OC] 4 Jan 2023 + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +2 +$740 billion on capital expenditures and maintenance from 1980 to 2020 (Association of American +Railroads 2021). +Figure 1 +Pie chart for ton-miles of freight shipments by mode within the U.S. in 2018. Multiple modes includes +mail. Air and truck-air with the share of 0.1% are omitted. +To reduce rail freight transportation costs and shipment delays, railroad companies offer unit +train services for carrying high-volume products. Unit trains haul a single type freight in a way that +no car is attached or detached while the cargo train is on its way from an origin to a destination, +except in specific locations that are equipped with required manpower and machinery. These trains +usually operate all day, use dedicated equipment, and can be loaded/unloaded in 24 hours. They +are known to be one of the fastest and most efficient means of railroad transportation. (Association +of American Railroads 2021). Traditionally, unit trains are used to carry bulk cargo such as coal, +grain, cement, and rock. Bulk liquids like crude oil and food such as wheat and corn are also +shipped by unit trains. According to the Federal Railroad Administration data, bulk commodities +account for 91 percent of the U.S. railroad freights. Approximately all coal shipped through railways +in the U.S. are transported by unit trains. Moreover, these trains contribute significantly to the +shipping process of crude oil as each unit train is capable of carrying 85,000 barrels (Association +of American Railroads 2021). In an operational level, the core unit train model can be described +as follows. Given a set of supply, intermediate, and demand locations in a railroad network, the +unit train scheduling problem seeks to find optimal routes for unit trains to send flows from supply +to demand points with the objective of minimizing the total transportation cost while meeting +demand of customers, respecting capacities of tracks, and satisfying no-car attaching/detaching +requirements in specific locations. As a result, designing blocking plans to determine locations + +Multiple modes +8% +Pipeline, 19% +Truck, 39% +Water, 7% +Rail, 27%Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +3 +where cars need to be switched between trains is irrelevant in this problem, unlike scheduling other +types of trains (Davarnia et al. 2019). +Despite the significance of unit train scheduling, exact optimization approaches to solve associ- +ated problems are scarce, partially due to their structural complexities. One of the main challenges +in modeling unit trains is the requirement that the train consists must remain intact when passing +through stations that lack necessary busting/formation equipment. In optimization, this require- +ment is referred to as no-split no-merge (NSNM), which guarantees that the flows entering to or +exiting from certain nodes of the unit train network cannot be split or merged. Incorporating this +requirement into typical transportation network models yields the so-called generalized unsplittable +flow problem (GUFP), where the objective is to determine the minimum-cost unit train sched- +ules that satisfy the given demand. Numerous studies have shown that considering deterministic +demands might result in the complete failure of the transportation scheduling (Demir et al. 2016, +Layeb et al. 2018), motivating the study of stochastic variants of the unit train scheduling problems +where the demand is uncertain. As a result, in this paper, we consider a stochastic variant of the +GUFP, referred to SGUFP, that is modeled as a two-stage optimization problem. The first stage +decides a matching between the incoming and outgoing arcs of the nodes of the railroad network, +and the second stage determines the amount of flow that should be sent through the matching arcs +of the network to satisfy the uncertain demand represented by a number of demand scenarios. We +propose a novel exact solution framework to solve this problem in the operational level. +Our proposed methodology is based on decision diagrams (DDs), which are compact graphical +data structures. DDs were initially introduced to represent boolean functions with applications in +circuit design. Over the past decade, researchers have successfully extended DDs domain by devel- +oping DD-based algorithms to solve discrete optimization problems in different areas of application. +Because of its structural limitation to model integer programs only, DDs have never been used +to solve transportation problems that inherently include continuous variables. In this paper, we +extend the application scope of DDs by introducing a novel framework that is capable of modeling +network problems with both integer and continuous components as in the SGUFP. +1.1. +Literature Review on Train Scheduling +Many variants of train routing and scheduling problems with different objective functions and +set of constraints under deterministic and stochastic conditions have been introduced and vastly +studied in the literature; see surveys by Cordeau, Toth, and Vigo (1998), Harrod and Gorman +(2010), Lusby et al. (2011), Cacchiani and Toth (2012), and Turner et al. (2016) for different +problems classifications and structures. Mixed integer linear and nonlinear programming formu- +lations are among the most frequent exact approaches to model different classes of these prob- +lems (Jovanovi´c and Harker 1991, Huntley et al. 1995, Sherali and Suharko 1998, Lawley et al. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +4 +2008, Haahr and Lusby 2017, Davarnia et al. 2019). Proposed solution techniques include but are +not limited to branch-and-bound methods (Jovanovi´c and Harker 1991, Fuchsberger and L¨uthi +2007), branch-and-cut frameworks (Zwaneveld, Kroon, and Van Hoesel 2001, Ceselli et al. 2008), +branch-and-price approaches (Lusby 2008, Lin and Kwan 2016), graph coloring algorithms (Cor- +nelsen and Di Stefano 2007), and heuristics (Carey and Crawford 2007, Liu and Kozan 2011, I¸cy¨uz +et al. 2016). Rolling stock scheduling (Abbink et al. 2004, Alfieri et al. 2006, Haahr et al. 2016, +Bornd¨orfer et al. 2016) that assigns rolling stocks to a given timetable, and crew scheduling (Kwan +2011, Shen et al. 2013, Heil, Hoffmann, and Buscher 2020) that covers train activities by assigning +crews to the associated operations are other major problems arising in the area of railroad planning. +Due to the inherent uncertainty in different types of train scheduling and routing problems, many +researchers have studied stochastic variants of the problems where the supply/demand is considered +to be uncertain. Jordan and Turnquist (1983) propose a model for railroad car distribution where +supply and demand of cars are uncertain. Jin et al. (2019) study a chance-constrained programming +model for the train stop planning problem under stochastic demand. Ying, Chow, and Chin (2020) +propose a deep reinforcement learning approach for train scheduling where the passenger demand +is uncertain. Recently, Gong et al. (2021) propose a stochastic optimization method to solve a train +timetabling problem with uncertain passenger demand. Also see works by Meng and Zhou (2011), +Quaglietta, Corman, and Goverde (2013), Larsen et al. (2014) that consider train dispatching +problems under stochastic environments. +In the context of unit train scheduling, Lawley et al. (2008) study a time-space network flow +model to schedule bulk railroad deliveries for unit trains. In their model, the authors consider char- +acteristics of underlying rail network, demands of customers, and capacities of tracks, stations, and +loading/unloading requirements. They propose a mixed integer programming (MIP) formulation +that maximizes the demand satisfaction while minimizing the waiting time at stations. Lin and +Kwan (2014) (cf. Lin and Kwan (2016)) propose a model for a train scheduling problem that is capa- +ble to capture locations where coupling/decoupling is forbidden. They develop a branch-and-price +algorithm inspired by column generation to solve the associated problem. Lin and Kwan (2018) +also propose a heuristic branch-and-bound approach to decrease coupling/decoupling redundancy. +I¸cy¨uz et al. (2016) study the problem of planning coal unit trains that includes train formation, +routing, and scheduling. As noted by the authors, their proposed MIP formulation fails to solve +the problem directly due to its large size. As a remedy, they develop a time-efficient heuristic that +produces good quality solutions. More recently, Davarnia et al. (2019) introduce and study the +GUFP with application to unit train scheduling. In particular, the authors show how to impose +NSNM restrictions in network optimization problems. They present a polyhedral study and pro- +pose a MIP formulation to model a stylized variant of the unit train scheduling problem. In the +present paper, we use their formulation (see section 3.1) as a basis for our solution framework. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +5 +The unsplittable flow problem (UFP) was first introduced by Kleinberg (1996) as a generalization +of the disjoint path problem. Given a network with capacities for arcs and a set of source-terminal +vertex pairs with associated demands and rewards, the objective in the UFP is to maximize the +total revenue by selecting a subset of source-terminal pairs and routing flows through a single +path for each of them to satisfy the associated demand. In the GUFP, however, there can exist +nodes that do not need to respect the NSNM requirement, and demands can be satisfied by +passing flows through multiple paths. It is well-known that different variants of UFP are NP- +hard (Baier, K¨ohler, and Skutella 2005, Kolman and Scheideler 2006, Chakrabarti et al. 2007). Since +its introduction, the UFP structure has been used in different areas of application, from bandwidth +allocation in heterogeneous networks (Kolman and Scheideler 2006), to survivable connection- +oriented networks (Walkowiak 2006), and virtual circuit routing problems (Hu, Lan, and Wan +2009). Considering the hardness of the problem, approximation algorithms have been a common +technique to tackle different variants of the UFP in the literature (Baier, K¨ohler, and Skutella +2005, Chakrabarti et al. 2007). +1.2. +Literature Review on Decision Diagrams +DDs are directed acyclic graphs with a source and a terminal node where each source-terminal path +encodes a feasible solution to an optimization problem. In DDs, each layer from the source to the +terminal represents a decision variable where labels of arcs show their values. Had˘zi´c and Hooker +(2006) proposed to use DDs to model the feasible region of a discrete optimization problem and used +it for postoptimality analysis. Later, Andersen et al. (2007) presented relaxed DDs to circumvent +the exponential growth rate in the DD size when modeling large discrete optimization problems. +Bergman et al. (2016b) introduced a branch-and-bound algorithm that iteratively uses relaxed and +restricted DDs to find optimal solution. The literature contains many successful utilization of DDs +in different domains; see works by Bergman and Cire (2018), Serra and Hooker (2019), Davarnia +and Van Hoeve (2020), Gonzalez et al. (2020), and Hosseininasab and Van Hoeve (2021) for some +examples. +Until recently, applications of DDs were limited to discrete problems, and the question on how to +use DDs in solving optimization problems with continuous variables was unanswered. To address +this limitation, Davarnia (2021) proposed a technique called arc-reduction that generates a DD +that represents a relaxation of the underlying continuous problem. In a follow-up work, Salemi +and Davarnia (2022a) established necessary and sufficient conditions for a general MIP to be +representable by DDs. They showed that a bounded MIP can be remodeled and solved with DDs +through employing a specialized Benders decomposition technique. In this paper, we build on this +framework to design a novel DD-based methodology to solve the SGUFP. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +6 +1.3. +Contributions +While there are several studies in the literature dedicated to the unit train problem, exact method- +ologies that provide a rigorous treatment of the NSNM requirement at the heart of unit train +models are scarce. In this paper, we design a novel exact DD-based framework to solve the SGUFP, +as a more realistic and more challenging variant of this problem class. To our knowledge, this is +the first work that studies SGUFP from an exact perspective, and the first application of DDs +to a transportation problem. Our proposed framework formulates the problem in a transformed +space of variables, which has a smaller dimension compared to the standard MIP formulations +of the SGUFP. This presentation mitigates the computational difficulties stemmed from the MIP +formulation size, providing a viable solution approach for large-scale network problems. The core +principles of our DD framework can also be used to model other transportation problems with +similar structure, as an alternative to traditional network optimization techniques. +The remainder of this paper is organized as follows. In Section 2 we provide basic definitions +and a brief overview on discrete and continuous DD models, including the DD-BD method to +solve bounded MIPs. In Section 3, we adapt the DD-BD method to solve the SGUFP. We propose +algorithms to construct exact and relaxed DDs to solve the problem in a transformed space. +Section 4 presents computational experiments to evaluate the performance of the DD-BD method +for the SGUFP. We give concluding remarks in Section 5. +2. +Background on DDs +In this section, we present basic definitions and results relevant to our DD analysis. +2.1. +Overview +A DD D = (U,A,l) with node set U, arc set A, and arc label mapping l : A → R is a directed acyclic +graph with n ∈ N arc layers A1,A2,...,An, and n + 1 node layers U1,U2,...,Un+1. The node layers +U1 and Un+1, with |U1| = |Un+1| = 1, contain the root r and the terminal t, respectively. In any arc +layer j ∈ [n] := {1,2,...,n}, an arc (u,v) ∈ Aj is directed from the tail node u ∈ Uj to the head node +v ∈ Uj+1. The width of D is defined as the size of its largest Uj. DDs can model a bounded integer +set P ⊆ Zn in such a way that each r-t arc-sequence (path) of the form (a1,...,an) ∈ A1 × ... × An +encodes a point y ∈ P where l(aj) = yj for j ∈ [n], that is y is an n-dimensional point in P whose +j-th coordinate is equal to the label value l(aj) of arc the aj. For such a DD, we have P = Sol(D), +where Sol(D) denotes the finite collection of all r-t paths. +The graphical property of DDs can be exploited to optimize an objective function over a discrete +set P. To this end, DD arcs are weighted in such a way that the cumulative weight of an r-t +path that encodes a solution y ∈ P equals to the objective function value evaluated at y. Then, a + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +7 +shortest (resp. longest) r-t path for the underlying minimization (resp. maximization) problem is +found, an operation that can be performed in polynomial time. +The construction of an exact DD as described above is computationally prohibitive due to the +exponential growth rate of its size. To alleviate this difficulty, relaxed and restricted DDs are +proposed to keep the size of DDs under control. In a relaxed DD, nodes are merged in such a way +that the width of the resulting diagram is bounded by a predetermined width limit. This node- +merging process ensures that all feasible solutions of the original set are encoded by a subset of +all r-t paths in the resulting DD. Optimization over this relaxed DD provides a dual bound to the +optimal solution of the original problems. In a restricted DD, the collection of all r-t paths of the +DD encode a subset of the feasible solutions of the original set. Optimization over this restricted +DD provides a primal bound to the optimal solution of the original problems. The restricted and +relaxed DDs can be iteratively refined in a branch-and-bound scheme to find the optimal value of +a problem through convergence of their primal and dual bounds. The following example illustrates +an exact, relaxed and restricted DD for a discrete optimization problem. +Example 1. Consider the discrete optimization problem max{5y1 + 10y2 + 4y3 | y ∈ P} where +P = {(1,0,0),(1,0,1),(0,1,0),(0,0,1),(0,0,0)}. The exact DD D with width 3 in Figure 2(a) models +the feasible region P. The weight of each arc a ∈ Aj, for j ∈ {1,2,3}, shows the contribution of +variable yj’s value assignment to the objective function. The longest r-t path that encodes the +optimal solution (y∗ +1,y∗ +2,y∗ +3) = (0,1,0) has length 10, which is the optimal value to the problem. +By reducing the width limit to 2, we can build relaxed and restricted DDs for P as follows. The +relaxed DD D in Figure 2(b) provides an upper bound to the optimal solution, where the longest +path with length 14 is obtained by an infeasible point (y1,y2,y3) = (0,1,1). Finally, the restricted +DD D in Figure 2(c) gives a lower bound to the optimal solution, where the longest path with +length 9 encodes a feasible solution (y1,y2,y3) = (1,0,1). +2.2. +Continuous DD Models +While the framework described in the previous section can be applied to solve different classes of +discrete optimization problems, its extension to model sets with continuous variables requires a +fundamentally different approach. The reason that the traditional DD structure is not viable for +continuous sets is that representing the domain of a continuous variable through arcs requires an +infinite number of them, spanning all values within a continuous interval, which is structurally +prohibitive in DD graphs. Fortunately, there is a way to overcome this obstacle by decomposing +the underlying set into certain rectangular formations, which can in turn be represented through +node-sequences in DDs. In what follows, we give an overview of these results as relevant to our +analysis. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +8 +r +t +5 +0 +0 +10 +0 +0 +4 +0 +4 +0 +(a) Exact DD D +r +t +5 +0 +0 +10 +0 +0 +4 +4 +0 +(b) Relaxed DD D +r +t +5 +0 +0 +0 +0 +4 +4 +0 +y1 +y2 +y3 +(c) Restricted DD D +Figure 2 +The exact, relaxed, and restricted DDs representing P in Example 1. Solid and dotted arcs indicate +one and zero arc labels, respectively. Numbers next to arcs represent weights. +Consider a bounded set P ⊆ Rn. Salemi and Davarnia (2022a) give necessary and sufficient +conditions for P to admit the desired rectangular decomposition. Such a set is said to be DD- +representable w.r.t. a fixed index set I ⊆ [n], as there exists a DD D such that max{f(x) | x ∈ +P} = max{f(x) | x ∈ Sol(D)} for every function f(x) that is convex in the space of variables xI. +A special case of DD-representable sets is given next. +Proposition 1. Any bounded mixed integer set of the form P ⊆ Zn × R is DD-representable +w.r.t. I = {n + 1}. +□ +This result gives rise to a novel DD-based framework to solve general bounded MIPs as outlined +below. Consider a bounded MIP H := max{cy +dx | Ay +Gx ≤ b, y ∈ Zn}. Using Benders decom- +position (BD), formulation H is equivalent to maxy∈Zn{cy +maxx{dx | Gx ≤ b−Ay}}, which can +be reformulated as M = max{cy +z | (y;z) ∈ Zn ×[l,u]}, where l,u ∈ R are some valid bounds on z +induced from the boundedness of H. Here, M is the master problem and z represents the objective +value of the subproblem maxx{dx | Gx ≤ b − A¯y} for any given ¯y as an optimal solution of the +master problem. The outcome of the subproblems is either an optimality cut or a feasibility cut +that will be added to the master problem. Then, the master problem will be resolved. Proposition 1 +implies that formulation M can be directly modeled and solved with DDs. For this DD, we assign n +arc layers to the integer variables y1,y2,...,yn, and one arc layer to the continuous variable z with +only two arc labels showing a lower and upper bound for this variable. To find an optimal solution, +the longest path is calculated, which will be used to solve the subproblems. Note that since M is +a maximization problem, a longest path of the associated DD encodes an optimal solution, and +its length gives the optimal value; see Example 2. The feasibility and optimality cuts generated +by the subproblems will then be added to refine the DD, whose longest path will be recalculated. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +9 +The refinement technique consists of removing arcs of the DD that lead to solutions that violate +the added inequality, as well as splitting nodes of the DD that lead to different subsequent partial +assignments; see Bergman et al. (2016a) for a detailed account on DD refinement techniques. We +illustrate this approach in Example 2. +Example 2. Suppose that max{2y1 + 4y2 + z | y ∈ P,z ≤ 25} forms the master problem at the +penultimate iteration of a BD algorithm, where P = {(0,0),(1,1)}. This problem is represented +by the DD D in Figure 3(a) where −M is a valid lower bound for z. The longest path of D +encodes the solution (ˆy1, ˆy2, ˆz) = (1,1,25). Assume that using the point (ˆy1, ˆy2) = (1,1) in the +associated subproblem generates an optimality cut z ≤ 3y1 + 2y2 + 10 for the final iteration of the +BD algorithm. Refining DD D with respect to this cut yields the new DD in Figure 3(b). The +longest path represents the optimal solution (y∗ +1,y∗ +2,z∗) = (1,1,15) with length 21, which is the +optimal value. +r +t +2 +0 +4 +0 +−M +25 +25 +−M +(a) penultimate iteration +r +t +2 +0 +4 +0 +−M +15 +10 +−M +y1 +y2 +z +(b) final iteration +Figure 3 +The last two iterations of solving the master problem in Example 2 +Using the DD framework as outlined above can be computationally challenging due to exponen- +tial growth rate of the size of an exact DD. To mitigate this difficulty, restricted/relaxed DDs can +be employed inside of the BD framework as demonstrated in Algorithm 1. We refer to this solution +method as DD-BD (Salemi and Davarnia 2022a). +In explaining the steps of Algorithm 1, let point ˆy ∈ Zk, where k ≤ n, be a partial value assignment +to the first k coordinates of variable y, i.e., yi = ˆyi for all i ∈ [k]. We record the set of all partial +value assignments in ˆY = {ˆy ∈ Zk | k ∈ [n]}∪{⊖}, where ⊖ represents the case where no coordinate +of y is fixed. Set C contains the produced Benders cuts throughout the algorithm, and we denote +the feasible region described by these cuts by F C. Further, define MC(ˆy) = max{cy + z | (y;z) ∈ +Zn × [l,u] ∩ F C, yi = ˆyi,∀i ∈ [k]} to be the restricted master problem M obtained through adding +cuts in C and fixing the partial assignment ˆy. In this definition, the case with C = ∅ and ˆY = {⊖} +is denoted by M∅(⊖) = M, which is an input to Algorithm 1. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +10 +Algorithm 1: DD-BD +Data: MIP H, construction method to build restricted and relaxed DDs for M +Result: An optimal solution (y∗,z∗) and optimal value w∗ to H +1 initialize set of partial assignments ˆY = {⊖}, set of Benders cuts C = ∅, and w∗ = −∞ +2 if ˆY = ∅ then +3 +terminate and return (y∗,z∗) and w∗ +4 else +5 +select ˆy ∈ ˆY and update ˆY ← ˆY \ {ˆy} +6 +create a restricted DD D associated with MC(ˆy) +7 +if D ̸= ∅ then +8 +find a longest r-t path of D with encoding point (y,z) and length w +9 +solve the BD subproblem using y to obtain Benders cut C +10 +if C ∈ C then +11 +go to line 17 +12 +else +13 +update C ← C ∪ C and refine D w.r.t. C +14 +go to line 8 +15 +else +16 +go to line 2 +17 +if w > w∗ then +18 +update w∗ ← w and (y∗,z∗) ← (y,z) +19 +if D provides an exact representation of MC(ˆy) then +20 +go to line 2 +21 +else +22 +create a relaxed DD D associated with MC(ˆy) +23 +find a longest r-t path of D with length w +24 +if w > w∗ then +25 +solve the BD subproblem using y to obtain Benders cut C +26 +if C ∈ C then +27 +go to line 31 +28 +else +29 +update C ← C ∪ C and refine D w.r.t. C +30 +go to line 23 +31 +forall u in the last exact layer of D do +32 +update ˆY ← ˆY ∪ {˜y} where ˜y encodes longest r-u path of D +33 +go to line 2 + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +11 +The algorithm starts with constructing a restricted DD D corresponding to MC(ˆy) with empty +initial values for C and ˆy. We then find a longest r-t path of D encoding solution (y,z). Next, +using y, we solve the associated subproblem to obtain a feasibility/optimality cut C. We add this +cut to C, refine D according to it, and find a new longest r-t path. We repeat these steps until no +new feasibility/optimality cut is generated. At this point, the length of a longest r-t path of D, +denoted by w, gives a lower bound to the master problem M, which is also a valid lower bound +to the original problem H. The value of w can be used to update w∗, the optimal value of H +at termination. Next, we create a relaxed DD D corresponding to MC(ˆy). We find a longest r-t +path of D that provides an upper bound w to M. If the upper bound w is strictly greater than +the current value of w∗, we follow steps similarly to the case for D to iteratively refine D w.r.t. +feasibility/optimality cuts through solving the subproblems, until no new cut is generated. Next, +we perform a specialized branch-and-bound procedure to improve the bound through expanding +merged layers of the DD. To this end, we add all the partial assignments associated with nodes in +the last exact layer of D (the last node layer in which no nodes are merged) to the collection ˆY. +The nodes corresponding to partial assignments in ˆY are required to be further explored to check +whether or not the value of w∗ can be improved. That is, the above process is repeated for every +node v with partial assignment in ˆY as the r-v path is fixed in the new restricted/relaxed DDs. +The algorithm terminates when ˆY becomes empty, at which point w∗ is the optimal value. +3. +DD-BD Formulation for the SGUFP +In this section, we adapt the DD-BD framework described in Section 2.2 to solve the SGUFP. +3.1. +MIP Formulation +We study the MIP formulation of the SGUFP based on that of its deterministic counterpart given +in Davarnia et al. (2019). Consider a network G = (V,A) with node set V := V ′ ∪ {s,t} and arc set +A, where s and t are source and sink nodes, respectively. The source node is connected to all the +supply nodes in S ⊆ V ′, and the sink node is connected to all the demand nodes in D ⊆ V ′. Figure 4 +illustrates the general structure of this network. For a node q ∈ V , let δ−(q) := {i ∈ V | (i,q) ∈ A} +and δ+(q) := {j ∈ V | (q,j) ∈ A} show the set of incoming and outgoing neighbors of q, respectively. +Define ¯V ⊆ V ′ as a subset of vertices that must satisfy the NSNM requirement. For each node +q ∈ ¯V , let binary variable yq +ij ∈ {0,1} represent whether or not the flow entering node q ∈ ¯V through +arc (i,q) leaves node q through arc (q,j). The first stage of SGUFP determines the matching pairs +between incoming and outgoing arcs of unsplittable nodes as follows: +max +z +(1a) + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +12 +S +D +s +t +Figure 4 +Illustration of network G = (V ′ ∪ {s,t},A) +s.t. +� +j∈δ+(q) +yq +ij ≤ 1 +∀i ∈ δ−(q), ∀q ∈ ¯V +(1b) +� +i∈δ−(q) +yq +ij ≤ 1 +∀j ∈ δ+(q), ∀q ∈ ¯V +(1c) +yq +ij ∈ {0,1} +∀(i,j) ∈ δ−(q) × δ+(q), ∀q ∈ ¯V, +(1d) +where constraints (1b) ensure that each incoming arc to a node with NSNM requirement is +assigned to at most one outgoing arc, and constraints (1c) guarantee that each outgoing arc from +such a node is matched with at most one incoming arc. +In (1a)–(1d), variable z represents the objective value of the second stage of SGUFP where +the demand uncertainty is taken into account. This demand uncertainty is modeled by a set Ξ of +scenarios for the demand vector dξ with occurrence probability Prξ for each scenario ξ ∈ Ξ. Let +continuous variable xξ +ij ∈ R+ denote the flow from node i to node j through arc (i,j) under scenario +ξ ∈ Ξ. We further assign a reward rij per unit flow to be collected by routing flow through arc (i,j). +It follows that z = � +ξ∈Ξ Prξzξ, where zξ is the objective value of the second stage of SGUFP for +each scenario ξ ∈ Ξ. This subproblem is formulated as follows for a given y vector: +max +� +q∈V +� +j∈δ+(q) +rqjxξ +qj +(2a) +s.t. +� +i∈δ−(q) +xξ +iq − +� +j∈δ+(q) +xξ +qj = 0 +∀q ∈ V ′ +(2b) +ℓξ +iq ≤ xξ +iq ≤ uξ +iq +∀i ∈ δ−(q), ∀q ∈ V +(2c) +xξ +iq − xξ +qj ≤ uξ +iq(1 − yq +ij) +∀(i,j) ∈ δ−(q) × δ+(q), ∀q ∈ ¯V +(2d) +xξ +qj − xξ +iq ≤ uξ +qj(1 − yq +ij) +∀(i,j) ∈ δ−(q) × δ+(q), ∀q ∈ ¯V +(2e) +xξ +iq ≤ uξ +iq +� +j∈δ+(q) +yq +ij +∀i ∈ δ−(q), ∀q ∈ ¯V +(2f) + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +13 +xξ +qj ≤ uξ +qj +� +i∈δ−(q) +yq +ij +∀j ∈ δ+(q), ∀q ∈ ¯V +(2g) +xξ +ij ≥ 0 +∀(i,j) ∈ A. +(2h) +In the above formulation, the objective function captures the total reward collected by routing +flows throughout the network (from the source s to the sink t) to satisfy demands. The flow-balance +requirements are represented by (2b). Constraints (2c) bound the flow on each arc from below +and above. To impose the demand requirement for each scenario ξ ∈ Ξ, we fix ℓξ +qt = uξ +qt = dξ +q for all +demand nodes q ∈ D with demand dξ +q, and leave the lower and upper bound values unchanged for all +other arcs. Constraints (2d)–(2g) model the NSNM requirement for each node q ∈ ¯V . In particular, +(2d) and (2e) ensure that matching arcs (i,q) and (q,j) have equal flows. Constraints (2f) and (2g) +guarantee that an arc without a matching pair does not carry any flow. We note here that the +Constraint (2b) is implied by other constraints of the above subproblem under the assumption +that y is feasible to the master problem (1a)–(1d). However, we maintain this constraint in the +subproblem because the master formulation in our DD-based approach, as will be described in +Section 3.2, may produce a solution that is not feasible to (1a)–(1d). As a result, the addition of +the Constraint (2b) will lead to a tighter subproblem formulation. +As discussed in Section 2.2, the first step to use the DD-BD algorithm is to decompose the +underlying problem into a master and a subproblem. The above two-stage formulation of the +SGUFP is readily amenable to BD since the first stage problem (1a)-(1d) can be considered as the +master problem together with some valid lower and upper bounds −Γ and Γ on z induced from the +boundedness of the MIP formulation. For a given y value obtained from the master problem and +a scenario ξ ∈ Ξ, the second stage problem (2a)-(2h) can be viewed as the desired subproblems. +The optimality/feasibility cuts obtained from each scenario-based subproblem are then added to +the master problem through aggregation as described in Section 3.3. +3.2. +DD-BD: Master Problem Formulation +While the DD-BD Algorithm 1 provides a general solution framework for any bounded MIP, its DD +component is problem-specific, i.e., it should be carefully designed based on the specific structure +of the underlying problem. In this section, we design such an oracle for the SGUFP that represents +the feasible region {(1b)−(1d),z ∈ [−Γ,Γ]} of the master problem (1a)-(1d). To model this feasible +region in the original space of (y;z) variables, a DD would require � +q∈ ¯V |δ−(q)| × |δ+(q)| arc +layers to represent binary variables y and one arc layer to encode the continuous variable z. +Constructing such a DD, however, would be computationally cumbersome due to the large number +of the arc layers. To mitigate this difficulty, we take advantage of the structural flexibility of DDs +in representing irregular variable types that cannot be used in standard MIP models. One such + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +14 +variable type is the index set, where arc layers represent indices, rather than domain values. We +next show that we can remarkably reduce the number of DD arc layers by reformulating the master +problem in a transformed space of variables defined over index sets. +Consider a node q ∈ ¯V . In the following, we define mappings that assign an index to each incoming +and outgoing arc of q. These mappings enable us to define new variables to reduce the number +of DD arc layers. Let ind−(i,q) be a one-to-one mapping from incoming arcs (i,q), for i ∈ δ−(q), +to the index set {1,2,...,|δ−(q)|}. Similarly, let ind+(q,j) be a one-to-one mapping from outgoing +arcs (q,j), for j ∈ δ+(q), to the index set {1,2,...,|δ+(q)|}. For each incoming arc (i,q) with index +h = ind−(i,q), we define an integer variable wq +h ∈ {0,1,...,|δ+(q)|} such that wq +h = 0 if this incoming +arc is not paired with any outgoing arc, and wq +h = k > 0 if this arc is matched with an outgoing arc +(q,j) with index k = ind+(q,j). +Next, we give a formulation in the space of w variables that describes the matching between +incoming and outgoing arcs of q for all q ∈ ¯V . In the following, sign(.) represents the sign function +that returns 1 if its argument is strictly positive, 0 if the argument is zero, and −1 otherwise. +Further, the operator |.|, when applied on a set, represents the set size; and when applied on a real +number, it represents the absolute value. +Proposition 2. Formulation +� +i∈δ−(q) +sign +����wq +ind−(i,q) − ind+(q,j) +��� +� +≥ +��δ−(q) +�� − 1 +∀j ∈ δ+(q), ∀q ∈ ¯V +(3a) +wq +ind−(i,q) ∈ +� +0,1,..., +��δ+(q) +��� +∀i ∈ δ−(q), ∀q ∈ ¯V +(3b) +models the matching between incoming and outgoing arcs of nodes q ∈ ¯V . +Proof. +We show the result for a single node q ∈ ¯V . The extension to the multiple node case +is straightforward as the matching problem for each node is independent from other nodes. For +the direct implication, assume that M q is a matching between incoming and outgoing arcs of q, +with elements of the form (i,j) that represent a matching between the incoming arc (i,q) and +the outgoing arc (q,j). We show that variables w associated with matching pairs in M q satisfy +constraints (3a) and (3b). It follows from the definition of w that, for each (i,j) ∈ M q, we have +wq +ind−(i,q) = ind+(q,j). Also, for any i ∈ δ−(q) that does not have a matching pair in M q, we have +wq +ind−(i,q) = 0. These value assignments show that w satisfies (3b) as the image of ind+ mapping is +{1,...,|δ+(q)|}. For each i ∈ δ−(q) and j ∈ δ+(q), we have +���wq +ind−(i,q) − ind+(q,j) +��� ≥ 0, with equality +holding when (i,j) ∈ M q. For each j ∈ δ+(q), there are two cases. For the first case, assume that +(i,j) /∈ M q for any i ∈ δ−(q). As a result, +���wq +ind−(i,q) − ind+(q,j) +��� > 0 for all i ∈ δ−(q). Applying +the sign(.) function on these terms yields sign +����wq +ind−(i,q) − ind+(q,j) +��� +� += 1, which implies that + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +15 +� +i∈δ−(q) sign +����wq +ind−(i,q) − ind+(q,j) +��� +� += |δ−(q)|, satisfying (3a). For the second case, assume that +(i∗,j) ∈ M q for some i∗ ∈ δ−(q). As a result, we have � +i∈δ−(q) sign +����wq +ind−(i,q) − ind+(q,j) +��� +� += +|δ−(q)| − 1 since sign +����wq +ind−(i∗,q) − ind+(q,j) +��� +� += +���wq +ind−(i∗,q) − ind+(q,j) +��� = 0, satisfying (3a). +For the reverse implication, assume that w is a feasible solution to (3a)–(3b). We show that the +pairs of the form (i,j) encoded by these variables constitute a feasible matching between incoming +and outgoing arcs of q, i.e., (i) each arc (i,q) is matched with at most one arc (q,j), and (ii) each +arc (q,j) is matched with at most one arc (i,q). It follows from constraint (3b) that, for each i ∈ +δ−(q), variable wq +ind−(i,q) takes a value between {0,1,...,|δ+(q)|}. If wq +ind−(i,q) = 0, then (i,q) is not +matched with any outgoing arc, otherwise it is matched with arc (q,j) with ind+(q,j) = wq +ind−(i,q). +This ensures that condition (i) above is satisfied for this matching collection. Further, for each +j ∈ δ−(q), constraint (3a) implies that sign +����wq +ind−(i,q) − ind+(q,j) +��� +� +can be equal to zero for at +most one i ∈ δ−(q). In such a case, we would have at most one matching pair of the form (i,j) in +the collection, showing that condition (ii) above is satisfied. +□ +It follows from Proposition 2 that constraints (3a)-(3b) can replace (1b)-(1d) in the master +problem (1a)-(1d) to obtain the following master problem in a transformed space of variables. +max +w;z {z | (3a) − (3b),z ∈ [−Γ,Γ]}. +(4) +Note that formulation (4) is an integer nonlinear program (INLP) with nonconvex and non- +continuous constraint functions. Such a formulation is extremely difficult for conventional MINLP +techniques and solvers to handle. However, due to structural flexibility of DDs in representing inte- +ger nonlinear programs, this problem can be easily modeled via a DD; see Davarnia and Van Hoeve +(2020) for a detailed account on using DDs for modeling INLPs. In the following, we present an +algorithm to construct DDs in the space of (w;z) variables for the master problem (4) with a +single node q ∈ ¯V . The extension to the case with multiple nodes follows by replicating the DD +structure. The output of Algorithm 2 is a DD with |δ−(q)| + 1 arc layers where the first |δ−(q)| +layers represent w variables and the last layer encodes variable z. In this algorithm, su denotes the +state value of DD node u. The core idea of the algorithm is to use unpaired outgoing arcs of q as +the state value at each DD layer that represents the matching for an incoming arc of q. +Next, We show that the solution set of the DD constructed by Algorithm 2 represents the feasible +region of (4). Note here that DD representation of a MIP set, as described in Section 2.2, does +not imply the encoding of all of the solutions of the set, but rather the encoding of a subset of all +solutions that subsumes all the extreme points of the set. Such a representation is sufficient to solve +an optimization problem over the set with an objective function convex in continuous variables, +which is the case for (4). + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +16 +Algorithm 2: Construction of DD for the master problem of SGUFP with a node q ∈ ¯V +Data: node q ∈ ¯V , parameter Γ +Result: an exact DD D +1 create the root node r ∈ U1 with state sr = {0,1,...,|δ+(q)|} +2 forall i ∈ {1,2,...,|δ−(q)|} and u ∈ Ui do +3 +forall ℓ ∈ su do +4 +create a node v ∈ Ui+1 with state (su \ {ℓ}) ∪ {0} and an arc a ∈ Ai connecting u to v +with label l(a) = ℓ +5 forall u ∈ U1+|δ−(q)| do +6 +create two arcs a1,a2 ∈ A1+|δ−(q)| connecting u to the terminal node with labels l(a1) = Γ +and l(a2) = −Γ. +Theorem 1. Consider a SGUFP with ¯V = {q}. Let D be a DD constructed by Algorithm 2. +Then, Sol(D) represents the feasible region of (4). +Proof. +(⊆) Consider an r-t path of D that encodes solution ( ˜wq,z). According to Algorithm 2, +the labels of the first |δ−(q)| arcs of this path belong to {0,1,...,|δ+(q)|}, showing that ˜wq +satisfies constraints (3b). Assume by contradiction that ˜wq does not satisfy constraints (3a), +i.e., � +i∈δ−(q) sign +����wq +ind−(i,q) − ind+(q,j) +��� +� +≤ |δ−(q)| − 2 for some j ∈ δ+(q). This implies that +˜wq +ind−(i′,q) = ˜wq +ind−(i′′,q) = ind+(q,j) for two distinct i′,i′′ ∈ δ−(q). In other words, the arcs at lay- +ers ind−(i′,q) and ind−(i′′,q) of the selected r-t path both share the same label value ind+(q,j). +According to line 3 of Algorithm 2, we must have that the state value of nodes at layers ind−(i′,q) +and ind−(i′′,q) of the r-t path both contain ind+(q,j). This is a contradiction to the state update +policy in line 4 of Algorithm 2, since positive arc labels at each layer of the DD will be excluded +from the state value of the subsequent nodes. +(⊇) Consider a feasible solution point ( ˜wq; ˜z) of (4). Suppose ˜wq = (ℓ1,ℓ2,...,ℓ|δ−(q)|). According +to constraints (3a), no two coordinates of ˜wq have the same positive value. The state value at the +root node in D contains all index values {0,1,...,|δ+(q)|}. According to Algorithm 2, there exists +an arc with label ℓ1 at the first layer of D. The state value at the head node of this arc, therefore, +contains ℓ2 ∈ {0,1,...,|δ+(q)|} \ {ℓ1}, which guarantees an arc with label ℓ2 at the second layer of +this path. Following a similar approach, we can track a path from the root to layer |δ−(q)| whose +arcs labels match values of ˜wq. Note for the last layer that ˜z ∈ [−Γ,Γ], which is included in the +interval between arc labels of the last layer of D. As a result, ( ˜wq; ˜z) is represented by an r-t path +of D. +□ +The main purpose of using a DD that models the master problem (4) over one that models (1a)- +(1d) is the size reduction in arc layers that represent variables w as compared with variables + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +17 +y. It turns out that this space transformation can significantly improve the solution time of the +DD approach. We refer the interested reader to Appendix A for a detailed discussion on these +advantages, including preliminary computational results. +Constructing exact DDs as described in Algorithm 2 can be computationally expensive for large +size problems. As discussed in Section 2.2, relaxed and restricted DDs are used to circumvent this +difficulty. Building restricted DDs is straightforward as it involves the selection of a subset of r-t +paths of the exact DD that satisfy a preset width limit. Constructing relaxed DDs, on the other +hand, requires careful manipulation of the DD structure to merge nodes in such a way that it +encodes a superset of all r-t paths of the exact DD. We demonstrate a method to construct such +relaxed DDs in Algorithm 3. Similarly to Algorithm 2, this algorithm is presented for a single +NSNM node, but can be extended to multiple nodes by replicating the procedure. +Algorithm 3: Construction of relaxed DD for the master problem of SGUFP with a node +q ∈ ¯V +Data: node q ∈ ¯V , parameter Γ +Result: a relaxed DD D +1 create the root node r ∈ U1 with state sr = {0,1,...,|δ+(q)|} +2 forall i ∈ {1,2,...,|δ−(q)|} and u ∈ Ui do +3 +forall ℓ ∈ su do +4 +create a node v ∈ Ui+1 with state (su \ {ℓ}) ∪ {0} and an arc a ∈ Ai connecting u to v +with label l(a) = ℓ +5 +select a subset of nodes v1,v2,...,vk ∈ Ui+1 and merge them into node v′ with state +sv′ = �k +j=1 svj +6 forall u ∈ U1+|δ−(q)| do +7 +create two arcs a1,a2 ∈ A1+|δ−(q)| connecting u to the terminal node with labels l(a1) = Γ +and l(a2) = −Γ. +Theorem 2. Consider a SGUFP with ¯V = {q}. Let D be a DD constructed by Algorithm 3. +Then, D represents a relaxation of the feasible region of (4). +Proof. +Let ˙D be the DD constructed by Algorithm 2 for the master problem (4) with a single +node q ∈ ¯V . It suffices to show that the solution set of D provides a relaxation for that of ˙D. Pick +a root-terminal path ˙P of ˙D with encoding point ( ˙wq; ˙z). We show that there exist a root-terminal +path P of D with encoding point (wq;z) such that wq = ˙wq and z = ˙z. Given a DD, define Pk to +be a sub-path composed of arcs in the first k layers, for 1 ≤ k ≤ |δ−(q)|. We show for any sub-path +˙Pk of ˙D with encoding point ˙wq +k = ( ˙wq +1,..., ˙wq +k), there exists a sub-path P k of D with encoding + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +18 +point wk = (w1,...,wk) such that wh = ˙wh for h = 1,...,k. Note that we only need to prove the +matching values for k ≤ |δ−(q)|, because each node at node layer |δ−(q)| + 1 of both ˙D and D +is connected by two arcs with labels −Γ and Γ to the terminal node, and thus there are always +matching arcs with the same label for the last layer, i.e., z = ˙z. We prove the result by induction on +k. The base case for k = 1 is trivial, since D contains arcs with labels {0,1,...,|δ+(q)|} in the first +layer, which includes the label value of the first arc on ˙P1. For the induction hypothesis, assume +that the statement is true for k = d, i.e., for the sub-path ˙Pd with label values ˙wq +d = ( ˙wq +1,..., ˙wq +d), +there is sub-path P d of D with matching arc labels. We show the statement holds for d + 1. Let +u ∈ ˙Ad+1 and v ∈ Ad+1 be the end nodes of ˙Pd and P d, respectively. It follows from Algorithm 2 +that the index set representing the state value at node u contains ˙wq +d+1, i.e., ˙wq +d+1 ∈ ˙su = {0} ∪ +{1,...,|δ+(q)|} \ { ˙w1, ˙w2,..., ˙wd}. The merging step in line 5 of Algorithm 3, on the other hand, +implies that sv ⊇ {0}∪{1,...,|δ+(q)|}\{w1,w2,...,wd} = {0}∪{1,...,|δ+(q)|}\{ ˙w1, ˙w2,..., ˙wd} = +˙su, where the inclusion follows from the fact that state values at nodes on path P d contain those of +each individual path due to merging operation, and the first equality holds because of the induction +hypothesis. As a result, sv must contain ˙wq +d+1, which implies that there exists an arc with ˙wq +d+1 +connected to node v on P d. Attaching this arc to P d, we obtain the desired sub-path P d+1. +□ +3.3. +DD-BD: Subproblem Formulation +At each iteration of the DD-BD algorithm, an optimal solution of the master problem is plugged into +the subproblems to obtain feasibility/optimality cuts. For the SGUFP formulation, this procedure +translates to obtaining an optimal solution of (4) in the space of w variables, which is used to +solve the subproblem (2a)-(2h). The formulation of the subproblem, however, is defined over the +original binary variables y, and the resulting feasibility/optimality cuts are generated in this space. +To remedy this discrepancy between the space of variables in the master and subproblems, we need +to find a one-to-one mapping between variables w and y, as outlined next. +Proposition 3. Consider a node q ∈ ¯V . Let yq be a feasible solution to (1b)-(1d). Then, wq +obtained as +wq +ind−(i,q) = +� +j∈δ+(q) +ind+(q,j)yq +ij +∀i ∈ δ−(q), +(5) +is a feasible solution to (3a)-(3b). Conversely, let wq be a feasible solution to (3a)-(3b). Then, yq +obtained as +yq +ij = 1 − sign +����wq +ind−(i,q) − ind+(q,j) +��� +� +∀(i,j) ∈ δ−(q) × δ+(q), +(6) +is a feasible solution to (1b)-(1d). + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +19 +Proof. +For the direct statement, let yq be a feasible solution to (1b)-(1d), and construct a +vector wq according to (5). We show that wq satisfies all constraints (3a)-(3b). First, we show +that constraints (3a) are satisfied. Assume by contradiction that there exists j′ ∈ δ+(q) such that +� +i∈δ−(q) sign +����wq +ind−(i,q) − ind+(q,j′) +��� +� +≤ |δ−(q)| − 2. This implies that wq +ind−(i′,q) = wq +ind−(i′′,q) = +ind+(q,j′) for some i′,i′′ ∈ δ−(q). Then, we can write that +wq +ind−(i′,q) = +� +j∈δ+(q) +ind+(q,j)yq +i′j = ind+(q,j′) = +� +j∈δ+(q) +ind+(q,j)yq +i′′j = wq +ind−(i′′,q), +where the first and last equalities hold by (5). The second and third equalities in the above chain +of relations imply that yq +i′j′ = yq +i′′j′ = 1, since ind+(q,j′) > 0. This violates constraints (1c), reaching +a contradiction. Next, we show that constraints (3b) are satisfied. The proof follows directly from +construction of wq and constraints (1b). +For the converse statement, let wq be a feasible solution to (3a)-(3b), and construct a vec- +tor yq according to (6). We show that yq satisfies all constraints (1b)-(1d). To show that each +constraint (1b) is satisfied, consider i ∈ δ−(q). We can write that +� +j∈δ+(q) +yq +ij = |δ+(q)| − +� +j∈δ+(q) +sign +����wq +ind−(i,q) − ind+(q,j) +��� +� +≤ |δ+(q)| − +� +|δ+(q)| − 1 +� += 1, +where the first equality follows from the construction of yq, and the inequality holds by (3b) as +���wq +ind−(i,q) − ind+(q,j) +��� = 0 for at most one index j ∈ δ+(q). To show that each constraint (1c) is +satisfied, select j ∈ δ+(q). We have +� +i∈δ−(q) +yq +ij = |δ−(q)| − +� +i∈δ−(q) +sign +����wq +ind−(i,q) − ind+(q,j) +��� +� +≤ 1, +where the equality follows from the construction of yq, and the inequality holds because of con- +straint (3a). Finally, each constraint (1d) is satisfied due to the fact that 1 − sign(|.|) ∈ {0,1}. +□ +Proposition 4. Mappings described by (5) and (6) are one-to-one over their respective +domains. +Proof. +Note that the mapping described by (5) is a linear transformation of the form wq = Byq +with coefficient matrix B ∈ Z|δ−(q)|×(|δ−(q)||δ+(q)|). It is clear from the identity block structure of B, +that it is full row-rank, since each column contains a single non-zero element while each row has +at least one non-zero element. As a result, the null space of B is the origin, which implies that +ˆwq = ˜wq only if ˆyq = ˜yq. +For the mapping described by (6), let distinct points ˆwq and ˜wq satisfy (3b). Construct vectors +ˆyq and ˜yq by (6) using ˆwq and ˜wq, respectively. Because ˆwq and ˜wq are distinct, there must + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +20 +exist i ∈ δ−(q) such that ˆwq +ind−(i,q) ̸= ˜wq +ind−(i,q). This implies that at least one of these variables, say +ˆwq +ind−(i,q), is non-zero. It follows from (3b) that ˆwq +ind−(i,q) = ind+(q,j′) for some j′ ∈ δ+(q), and that +ˆwq +ind−(i,q) ̸= ind+(q,j′). According to (6), we write that ˆyij′ = 1−sign +���� ˆwq +ind−(i,q) − ind+(q,j′) +��� +� += 1, +and that ˜yij′ = 1 − sign +���� ˜wq +ind−(i,q) − ind+(q,j′) +��� +� += 0, showing that ˆyq ̸= ˜yq. +□ +Using the results of Propositions 3 and 4, we can apply the DD-BD Algorithm 1 in its entirety for +the SGUFP. In particular, at each iteration of the algorithm, we can transform the optimal solution +( ¯w, ¯z) obtained from the DD representing the master problem (4) into a solution (¯y, ¯z) through the +mapping (6). Given an optimal first-stage solution ¯y, we can solve |Ξ| separate subproblems; one +for each demand realization in the second-stage. The feasibility cuts obtained from subproblems, +which are in the space of y variables, are translated back into the space of w variables through the +mapping (5) and added to the master problem. Further, in a case where all subproblems produce +an optimality cut, they can be aggregated to generate an optimality cut in the space of (y,z), +which is added to the master problem after being translated into the space of (w,z) variables. The +master DD will be refined with respect to the resulting inequalities, and an optimal solution is +returned to be used for the next iteration. +In the remainder of this section, we present details on the derivation of optimality/feasibility cuts +from subproblem (2a)-(2h). Consider the following partitioning of the set of arcs A into subsets +A1 := +� +(i,j) ∈ A +�� δ−(i) = ∅, δ+(j) ̸= ∅ +� +, A2 := +� +(i,j) ∈ A +�� δ−(i) ̸= ∅, δ+(j) = ∅ +� +, +A3 := +� +(i,j) ∈ A +�� δ−(i) ̸= ∅, δ+(j) ̸= ∅ +� +, A4 := +� +(i,j) ∈ A +�� δ−(i) = ∅, δ+(j) = ∅ +� +, +and let θξ = (βξ,γξ,δξ,φξ,λξ,µξ) be the vector of dual variables associated with constraints of +(2a)-(2h) for a scenario ξ ∈ Ξ. Further, define the bi-function +f(y;θξ) = +� +q∈V +� +j∈δ+(q) +� +−ℓqjβξ +qj + uqjγξ +qj +� ++ +� +q∈ ¯V +� +(i,j)∈δ−(q)×δ+(q) +� +uiq(1 − yq +ij)λξ +iqj + uqj(1 − yq +ij)µξ +iqj +� ++ +� +q∈ ¯V +� +i∈δ−(q) +� +�uiq +� +j∈δ+(q) +yq +ijσξ +iq +� +� + +� +q∈ ¯V +� +j∈δ+(q) +� +�uqj +� +i∈δ−(q) +yq +ijφξ +qj +� +�. +For a given ¯y and each scenario ξ ∈ Ξ, the dual of the subproblem (2a)-(2h) can be written as +follows where the symbol ⋆ on a node means that it belongs to ¯V . +min +f(¯y;θξ) +(7a) +s.t. +αξ +⋆q − βξ +i⋆q + γξ +i⋆q + +� +j:j∈δ+(⋆q) +λξ +i⋆qj − +� +j:j∈δ+(⋆q) +µξ +i⋆qj + σξ +i⋆q ≥ ri⋆q +∀(i, +⋆q) ∈ A1 (7b) +αξ +q − βξ +iq + γξ +iq ≥ riq +∀(i,q) ∈ A1 (7c) + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +21 +− αξ +⋆q − βξ +⋆qj + γξ +⋆qj − +� +i:i∈δ−(⋆q) +λξ +i⋆qj + +� +i:i∈δ−(⋆q) +µξ +i⋆qj + φξ +⋆qj ≥ r⋆qj +∀( +⋆q,j) ∈ A2 (7d) +− αξ +q − βξ +qj + γξ +qj ≥ rqj +∀(q,j) ∈ A2 (7e) +− αξ +⋆q + αξ +⋆ +j − βξ +⋆q +⋆ +j + γξ +⋆q +⋆ +j + +� +i∈δ−(⋆q) +� +µξ +i⋆q +⋆ +j − λξ +i⋆q +⋆ +j +� ++ +� +i∈δ+( +⋆ +j) +� +λξ +⋆q +⋆ +ji − µξ +⋆q +⋆ +ji +� ++ σξ +⋆q +⋆ +j + φξ +⋆q +⋆ +j ≥ r⋆q +⋆ +j +∀( +⋆q, +⋆j) ∈ A3 +(7f) +− αξ +⋆q + αξ +j − βξ +⋆qj + γξ +⋆qj + +� +i∈δ−(⋆q) +� +µξ +i⋆qj − λξ +i⋆qj +� ++ φξ +⋆qj ≥ r⋆qj +∀( +⋆q,j) ∈ A3 (7g) +− αξ +q + αξ +⋆ +j − βξ +q +⋆ +j + γξ +q +⋆ +j + +� +i∈δ+( +⋆ +j) +� +λξ +q +⋆ +ji − µξ +q +⋆ +ji +� ++ σξ +q +⋆ +j ≥ rq +⋆ +j +∀(q, +⋆j) ∈ A3 (7h) +− αξ +q + αξ +j − βξ +qj + γξ +qj ≥ rqj +∀(q,j) ∈ A3 +(7i) +− βξ +iq + γξ +iq ≥ riq +∀(i,q) ∈ A4 +(7j) +αξ +q ∈ R +∀q ∈ V ′ (7k) +βξ +ij, γξ +ij, σξ +ij, φξ +ij, λξ +iqj, µξ +iqj ≥ 0 +∀i,q,j ∈ V. +(7l) +If the above problem has an optimal solution ˆθξ for all ξ ∈ Ξ, the output of the subproblems will +be an optimality cut of the form � +ξ∈Ξ Prξf(y; ˆθξ) ≥ z. If the above problem is unbounded along a +ray ˆθξ for a ξ ∈ Ξ, the output of the subproblem will be a feasibility cut of the form f(y; ˆθξ) ≥ 0. +Note that replacing variables y in the above constraints with w through the mapping (5) results +in separable nonlinear constraints. Nevertheless, since these constraints will be used to refine the +master DD, their incorporation is simple due to structural flexibility of DDs in modeling such +constraints; we refer the reader to Davarnia and Van Hoeve (2020) for a detailed account for +modeling INLPs with DDs. +4. +Computational Experiments +In this section, we solve SGUFP as a core model for the unit train scheduling problem with demand +stochasticity using three different approaches: (i) the standard MIP formulation that is a deter- +ministic equivalent of the two-stage model and contains all variables and constraints of the master +problem and |Ξ| subproblems; (ii) the Benders reformulation presented in Section 3.1 composed +of the master problem (1a)-(1d) and |Ξ| subproblems (2a)-(2h); and (iii) the DD-BD algorithm +proposed in the present paper. In the Benders approach, we solve separate subproblems using a +fixed vector ¯y obtained from the master problem. The feasibility cuts generated by subproblems +are added directly to the constraint set of the master problem, and the optimality cuts are added +as an aggregated cut over all scenarios. We note here that when there is a feasibility cut for any +scenario, we add it directly to separate the solution of the current iteration and move on to the +next iteration. To obtain a valid inequality that provides a bound for the single z variable, we need +to aggregate valid inequalities over all scenario subproblems as z is composed of the objective value + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +22 +of all these subproblems. Therefore, we can only produce an optimality cut for the z variable when +we have optimality cuts for all of the subproblems. For the DD-BD approach, we use the following +algorithmic choices to build restricted and relaxed DDs. For the restricted DDs, we choose a subset +of the r-t paths with largest lengths, which are more likely to contain an optimal solution. For +the relaxed DDs, we merge nodes that have the largest number of common members in their state +values. We refer the reader to Bergman et al. (2016a) for other heuristic approaches that could be +used for this purpose. +4.1. +Test Instances +In our experiments, we consider the structure of the SGUFP network given in Section 3.1. To +ensure that the problem is always feasible, we create an artificial node s0 to compensate for any +shortage of the supply, and add an arc from the artificial supply s0 to each demand node. +We create test instances based on the specification given in Davarnia et al. (2019), which is +inspired by realistic models. In particular, we consider a base rail network G′ = (V ′,A′) where 10% +and 30% of the nodes are supply and demand nodes, respectively. We assume that 50% of the +nodes must satisfy the NSNM requirement. We then create a network G = (V,A) by augmenting +supply/demand and artificial nodes as described above with the following settings. The integer +supply value at supply nodes is randomly selected from the interval [100,600]. The capacity of arcs +connecting s0 to demand nodes are considered to be unbounded, and the integer capacity value +of other arcs is randomly selected from the interval [100,300]. For each demand scenario ξ ∈ Ξ, +the integer demand value at demand nodes is randomly chosen from the interval [100,200]. The +reward of the arcs connecting s0 to the demand nodes are generated from the interval [−10,−5] +to represent the cost of lost demands. The reward of the arcs connecting the source to the supply +nodes is randomly selected from the interval [5,10], and the reward of the arcs connecting the +demand nodes to the sink is fixed to zero since the flow of these arcs is also fixed. The reward +of all other arcs is created randomly from the interval [−2,2] where the negative values indicate +the cost of sending flows through congested arcs. We consider four categories of rail networks with +|V ′| ∈ {40,60,80,100}. For each category, we create five scenario classes for the number of demand +scenarios |Ξ| ∈ {50,100,150,200,250}. For each network category and scenario class, we create five +random instances based on the above settings. Test instances are publicly available (Salemi and +Davarnia 2022b). +4.2. +Numerical Results +In this section, we present the numerical results that compare the performance of the DD-BD +formulation for the SGUFP instances with that of the MIP formulation, denoted by “MIP”, and the +standard Benders reformulation, denoted by “BD”. All experiments are conducted on a machine + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +23 +running Windows 10, x64 operating system with Intel® Core i7 processor (2.60 GHz) and 32 GB +RAM. The Gurobi optimization solver (version 9.1.1) is used to solve instances for the MIP and +BD models. When solving problems with Gurobi, we turn off presolve and cuts for all methods +to have a fair comparison. Tables 1-4 report the running times of each of these formulations for +|V ′| ∈ {40,60,80,100} and |Ξ| ∈ {50,100,150,200,250} where the time limit is set to 3600 seconds. +The symbol “ > 3600” indicates that the problem was not solved within the time limit. As evident +in these tables, the DD-BD formulation outperforms the other alternatives. In particular, the +gap between the solution time of the DD-BD and the MIP and BD approaches widens as the +problem size increases. For example, as reported in Table 1, while the DD-BD approach solves all +25 instances in under 275 seconds, the MIP approach fails to solve 10 of them within 3600 seconds, +80% of which involve 200 or 250 scenarios. This shows a clear superiority of the DD-BD over the +MIP method. Further, for most of the instances, the DD-BD approach outperforms the standard +BD approach, rendering it as the superior solution method among all three. Figures 5-8 compare +the performance of DD-BD, BD, and MIP formulations through box and whisker plots for each +network size and under each scenario class. In these figures, for uniformity of illustration, we used +3600 seconds for the running time of instances that fail to solve the problem within that time +limit. As the figures show, the minimum, median, and maximum of running times of the DD-BD +method are remarkably smaller than those of the both BD and MIP methods in all cases. These +results show the potential of the DD-BD framework in solving network problems with challenging +combinatorial structures. In Appendix B, we present additional numerical results for the DD-BD +approach to assess its ability to solve larger problem sizes. +Table 1 +Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 40. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +MIP +75.74 512.62 2877.19 +> 3600 +> 3600 +BD +141.83 313.84 +339.81 +451.93 +565.82 +DD-BD +56.94 129.87 +163.43 +219.02 +274.36 +2 +MIP +67.59 275.07 +906.10 1892.21 2235.53 +BD +63.44 121.25 +141.04 +230.81 +235.87 +DD-BD +42.60 +82.65 +128.16 +164.52 +208.94 +3 +MIP +94.86 753.23 2453.05 +> 3600 +> 3600 +BD +71.14 139.20 +172.86 +224.33 +244.91 +DD-BD +53.32 +93.58 +113.93 +178.65 +217.33 +4 +MIP +71.46 309.62 +> 3600 +> 3600 +> 3600 +BD +63.55 182.01 +267.94 +334.74 +380.22 +DD-BD +46.61 +87.81 +130.19 +183.23 +253.72 +5 +MIP +380.33 406.73 +> 3600 +> 3600 +> 3600 +BD +123.69 198.73 +205.16 +231.56 +287.24 +DD-BD +67.04 104.78 +138.46 +195.69 +231.74 + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +24 +Table 2 +Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 60. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +MIP +893.73 > 3600 +> 3600 +> 3600 +> 3600 +BD +241.85 +556.18 +582.80 +758.54 +933.05 +DD-BD 176.16 +357.06 +603.81 +719.27 +901.02 +2 +MIP +206.87 +811.64 1554.10 +> 3600 +> 3600 +BD +259.63 +351.39 +624.08 +816.44 1017.95 +DD-BD 189.07 +388.85 +572.52 +764.76 +961.35 +3 +MIP +139.70 +702.96 1035.79 +> 3600 +> 3600 +BD +246.48 +569.37 +628.84 +795.56 +978.15 +DD-BD 142.81 +284.65 +422.52 +565.23 +725.86 +4 +MIP +153.16 +415.46 +938.03 1681.21 2604.25 +BD +238.33 +388.19 +563.15 +732.59 +919.08 +DD-BD 131.29 +262.36 +393.18 +521.12 +654.71 +5 +MIP +165.57 +706.16 2447.15 +> 3600 +> 3600 +BD +194.12 +244.61 +479.32 +463.63 +617.09 +DD-BD 112.09 +221.30 +332.25 +443.96 +556.33 +Table 3 +Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 80. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +MIP +215.82 +860.21 +> 3600 +> 3600 +> 3600 +BD +588.51 +806.61 1731.50 1860.12 2051.52 +DD-BD 256.12 +500.52 +757.68 1025.88 1278.13 +2 +MIP +479.76 +> 3600 +> 3600 +> 3600 +> 3600 +BD +398.29 +713.01 +861.65 1080.79 1709.04 +DD-BD 184.34 +379.04 +724.66 1088.21 1587.90 +3 +MIP +238.79 +996.22 +> 3600 +> 3600 +> 3600 +BD +702.18 1236.58 1650.42 1773.63 2227.89 +DD-BD 285.13 +518.46 +778.97 1046.39 1326.22 +4 +MIP +404.26 2441.64 2855.29 +> 3600 +> 3600 +BD +572.83 1219.37 1334.21 1745.91 2089.80 +DD-BD 263.78 +665.30 1230.81 1277.93 1444.02 +5 +MIP +778.50 +> 3600 +> 3600 +> 3600 +> 3600 +BD +231.11 +481.31 +625.91 1310.24 1452.27 +DD-BD 187.34 +376.96 +564.34 1205.54 1412.94 +Table 4 +Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 100. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +MIP +774.18 +> 3600 +> 3600 +> 3600 +> 3600 +BD +1282.59 1728.71 1848.49 2307.74 3309.93 +DD-BD +698.36 1427.38 1731.95 2014.96 3323.54 +2 +MIP +480.97 +> 3600 +> 3600 +> 3600 +> 3600 +BD +781.47 1573.23 1820.79 2672.18 2819.61 +DD-BD +586.89 1171.96 1848.49 2471.49 2635.22 +3 +MIP +3071.37 +> 3600 +> 3600 +> 3600 +> 3600 +BD +1072.14 1322.96 2112.50 2951.55 3412.99 +DD-BD +485.31 +703.70 1055.36 1803.66 2269.97 +4 +MIP +838.79 2585.38 +> 3600 +> 3600 +> 3600 +BD +1548.93 1738.92 2580.53 2616.19 3169.28 +DD-BD +554.89 +743.64 1098.82 2052.73 3094.23 +5 +MIP +714.39 +> 3600 +> 3600 +> 3600 +> 3600 +BD +808.48 1013.68 1722.01 2824.14 3282.10 +DD-BD +353.48 +700.57 1680.60 2213.81 2907.78 + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +25 +Figure 5 +Comparison of DD-BD, BD, and MIP models when |V ′| = 40 under five scenarios +Figure 6 +Comparison of DD-BD, BD, and MIP models when |V ′| = 60 under five scenarios +We conclude this section by noting that, while the focus of this paper has been on the unit train +problem with the no-split no-merge requirements, the proposed DD-BD framework can be applied +to model network problems that contain additional side constraints on the flow variables, as those +constraints can be handled in the subproblems while the DD structure in the master problem + +4000.00 +3500.00 +3000.00 +Running time (sec) +2500.00 +2000.00 +1500.00 +1000.00 +500.00 +0.00 +50 +100 +150 +200 +250 +Number of scenarios +DD-BDBDMIP4000.00 +3500.00 +3000.00 +Running time (sec) +2500.00 +2000.00 +1500.00 +1000.00 +500.00 +0.00 +50 +100 +150 +200 +250 +Number of scenarios +IDD-BD +■BDMIPSalemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +26 +Figure 7 +Comparison of DD-BD, BD, and MIP models when |V ′| = 80 under five scenarios +Figure 8 +Comparison of DD-BD, BD, and MIP models when |V ′| = 100 under five scenarios +remains intact. Examples of such side constraints include the usage-fee limitation (Holzhauser, +Krumke, and Thielen 2017b) and the flow ratio requirement (Holzhauser, Krumke, and Thielen +2017a). Applying the DD-BD method to such network models and assessing its effectiveness com- +pared to alternative approaches could be an interesting direction for future research. + +4000.00 +3500.00 +3000.00 +Running time (sec) +2500.00 +2000.00 +1500.00 +1000.00 +500.00 +0.00 +50 +100 +150 +200 +250 +Number of scenarios +DD-BDBDMIP4000.00 +3500.00 +3000.00 +time (sec) +2500.00 +2000.00 +Running +1500.00 +1000.00 +500.00 +0.00 +50 +100 +150 +200 +250 +Number of scenarios +DD-BDBDMIPSalemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +27 +5. +Conclusion +In this paper, we introduce a DD-based framework to solve the SGUFP. This framework uses +Benders decomposition to decompose the SGUFP into a master problem composed of the combi- +natorial NSNM constraints, and a subproblem that solves a continuous network flow model. The +master problem is modeled by a DD, which is successively refined with respect to the cuts generated +through subproblems. To assess the performance of the proposed method, we apply it to a variant +of unit train scheduling problem formulated as a SGUFP, and compare it with the standard MIP +and Benders reformulation of the problem. +Acknowledgments +This project is sponsored in part by the Iowa Energy Center, Iowa Economic Development Authority and +its utility partners. 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European Journal of Operational Research 128(1):14–33. + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +32 +Appendix A: +Comparison of Master Problem Formulations +In this section, we describe the differences between DDs in the space of w variables and those in the space +of original y in the master problem formulation (4) in Section 3.2. First, we illustrate the size difference +between these DDs in Example 3. +Example 3. Consider a directed graph G = (V,A) with node set V = {1,2,q,3,4} and arc set A = +{(1,q),(2,q),(q,3),(q,4)} where the central node q is subject to NSNM constraints. Let ind−(1,q) = +ind+(q,3) = 1 and ind−(2,q) = ind+(q,4) = 2. Then, the exact DDs showed in Figures 9(a) and 9(b) with +three and five arc layers represent the feasible region of master problem (4) and (1a)-(1d), respectively, where +−M and M are valid bounds for variable z. +(a) A DD in the space of w variables. +Numbers next to arcs represent labels. +(b) A DD in the space of y variables. +Numbers next to arcs represent labels. +Figure 9 +Comparison of the number of arc layers for DDs in the space of w and y variables +As evident from the above example, the main advantage of using a DD in the space of w is the reduction in +the number of arc layers, which is the main determinant of the DDs computational efficiency. In particular, +even though such a DD has a larger number of nodes at the layers, a relaxed DD can be constructed to limit +the width, and hence provide an efficient relaxed DD in a smaller dimension, whereas the relaxations of the +DD constructed in the space of y variables would still be higher-dimensional. +To assess the computational efficiency of the solution approach in relation to the DD space, we compare +the performance of the DD-BD method under two different settings: (i) where DDs are built in the space +of w variables, denoted by DD-BD-w, and (ii) where DDs are built in the space of y variables, denoted by +DD-BD-y. We report the results of these two implementations for |V ′| ∈ {40,80} and under five different +scenarios in Table 5 and Table 6. +As observed in these tables, the DD-BD-w solves all instances faster than DD-BD-y, with orders of +magnitude time improvement as the problem size (number of scenarios) increases. These preliminary com- +putational results show the advantage of designing the DD-BD method for the SGUFP in a transformed +space of variables. + +2 +0 +1 +0 +2 +0 +2 +1 +0 +W +M +M +M +-M +M +M +I七0 +91,3 +1 +y2,3 +0 +0 +1 +0 +0 +0 +b +y2,4 +0 +0 +0 +M +M +M +-M +2 +M +MSalemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +33 +Table 5 +Running times (in seconds) of DD-BD-w and DD-BD-y for |V ′| = 40. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +DD-BD-w +56.94 129.87 163.43 219.02 274.36 +DD-BD-y +89.68 304.08 432.34 642.70 839.57 +2 +DD-BD-w +42.60 +82.65 128.16 164.52 208.94 +DD-BD-y +68.23 148.76 244.53 344.86 605.04 +3 +DD-BD-w +53.32 +93.58 113.93 178.65 217.33 +DD-BD-y +83.05 157.67 310.07 541.33 658.98 +4 +DD-BD-w +46.61 +87.81 130.19 183.23 253.72 +DD-BD-y +78.11 149.26 325.31 460.73 694.57 +5 +DD-BD-w +67.04 104.78 138.46 195.69 231.74 +DD-BD-y +109.61 223.78 351.80 532.12 669.78 +Table 6 +Running times (in seconds) of DD-BD-w and DD-BD-y for |V ′| = 80. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +DD-BD-w 256.12 +500.52 +757.68 1025.88 1278.13 +DD-BD-y +483.42 +977.03 1642.27 3175.72 4230.29 +2 +DD-BD-w 184.34 +379.04 +724.66 1088.21 1587.90 +DD-BD-y +340.13 +864.21 1856.96 3010.55 4843.67 +3 +DD-BD-w 285.13 +518.46 +778.97 1046.39 1326.22 +DD-BD-y +568.32 1176.44 2401.98 3326.76 4283.58 +4 +DD-BD-w 263.78 +665.30 1230.81 1277.93 1444.02 +DD-BD-y +501.04 1430.77 2868.92 3356.39 4356.48 +5 +DD-BD-w 187.34 +376.96 +564.34 1205.54 1412.94 +DD-BD-y +354.37 +781.18 1279.73 3001.72 3834.08 +Appendix B: +Additional Computational Experiments +In this section, we present additional numerical results to assess the limits of the DD-BD method for larger +problem instances. These results are given in Tables 7 and 8, where the columns are defined similarly to +those of Tables 1-4. For these instances, the time limit is set to 3600 seconds, and the symbol “> 3600” +indicates that the problem is not solved within this time limit. +Table 7 +Running times (in seconds) of DD-BD for |V ′| = 120. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +DD-BD 1494.49 2824.58 +> 3600 > 3600 > 3600 +2 +DD-BD +975.47 1892.41 3198.18 > 3600 > 3600 +3 +DD-BD 1150.30 2263.09 3454.47 > 3600 > 3600 +4 +DD-BD 1261.59 2403.79 +> 3600 > 3600 > 3600 +5 +DD-BD +906.34 1863.15 3050.68 > 3600 > 3600 + +Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams +34 +Table 8 +Running times (in seconds) of DD-BD for |V ′| = 150. +Instance # Model +Number of scenarios +50 +100 +150 +200 +250 +1 +DD-BD 2496.16 > 3600 > 3600 > 3600 > 3600 +2 +DD-BD 2944.20 > 3600 > 3600 > 3600 > 3600 +3 +DD-BD 2321.62 > 3600 > 3600 > 3600 > 3600 +4 +DD-BD 2590.34 > 3600 > 3600 > 3600 > 3600 +5 +DD-BD 2298.36 > 3600 > 3600 > 3600 > 3600 + diff --git a/hNAzT4oBgHgl3EQf4f5B/content/tmp_files/load_file.txt b/hNAzT4oBgHgl3EQf4f5B/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..ede704cf09c66647e6ffb13bc2c1d7bb48443641 --- /dev/null +++ b/hNAzT4oBgHgl3EQf4f5B/content/tmp_files/load_file.txt @@ -0,0 +1,1237 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf,len=1236 +page_content='Solving Unsplittable Network Flow Problems with Decision Diagrams Hosseinali Salemi, Danial Davarnia Department of Industrial and Manufacturing Systems Engineering, Iowa State University, Ames, IA 50011, hsalemi@iastate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='edu, davarnia@iastate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='edu In unsplittable network flow problems, certain nodes must satisfy a combinatorial requirement that the incoming arc flows cannot be split or merged when routed through outgoing arcs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This so-called no-split no-merge requirement arises in unit train scheduling where train consists should remain intact at stations that lack necessary equipment and manpower to attach/detach them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Solving the unsplittable network flow problems with standard mixed-integer programming formulations is computationally difficult due to the large number of binary variables needed to determine matching pairs between incoming and outgoing arcs of nodes with no-split no-merge constraint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this paper, we study a stochastic variant of the unit train scheduling problem where the demand is uncertain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We develop a novel decision diagram (DD)-based framework that decomposes the underlying two-stage formulation into a master problem that contains the combinatorial requirements, and a subproblem that models a continuous network flow problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The master problem is modeled by a DD in a transformed space of variables with a smaller dimension, leading to a substantial improvement in solution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Similarly to the Benders decomposition technique, the subproblems output cutting planes that are used to refine the master DD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Computational experiments show a significant improvement in solution time of the DD framework compared with that of standard methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Key words : Decision Diagrams;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Network Optimization;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Mixed Integer Programs;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Unit Trains;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Transportation History : 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Introduction Over the past several decades, rail freight transportation has continued to grow as the prime means of transportation for high-volume commodities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Advantages of rail transportation include reliability, safety, cost-efficiency and environmental-sustainability as compared with alternative methods of transportation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In terms of scale, the rail network accounted for 27.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2 percent of U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' freight shipment by ton-miles in 2018 (Furchtgott-Roth et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2021);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' see Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The Federal Highway Administration estimates that the total U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' freight shipments will be 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1 billion tons in 2040, a 30 percent increase from the 2018 total transportation of 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='6 billion tons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' With the purpose of meeting such market growth, America’s freight railway companies have invested nearly 1 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='01844v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='OC] 4 Jan 2023 Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 2 $740 billion on capital expenditures and maintenance from 1980 to 2020 (Association of American Railroads 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Figure 1 Pie chart for ton-miles of freight shipments by mode within the U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' in 2018.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Multiple modes includes mail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Air and truck-air with the share of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1% are omitted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To reduce rail freight transportation costs and shipment delays, railroad companies offer unit train services for carrying high-volume products.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Unit trains haul a single type freight in a way that no car is attached or detached while the cargo train is on its way from an origin to a destination, except in specific locations that are equipped with required manpower and machinery.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' These trains usually operate all day, use dedicated equipment, and can be loaded/unloaded in 24 hours.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' They are known to be one of the fastest and most efficient means of railroad transportation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (Association of American Railroads 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Traditionally, unit trains are used to carry bulk cargo such as coal, grain, cement, and rock.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Bulk liquids like crude oil and food such as wheat and corn are also shipped by unit trains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' According to the Federal Railroad Administration data, bulk commodities account for 91 percent of the U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' railroad freights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Approximately all coal shipped through railways in the U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' are transported by unit trains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Moreover, these trains contribute significantly to the shipping process of crude oil as each unit train is capable of carrying 85,000 barrels (Association of American Railroads 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In an operational level, the core unit train model can be described as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Given a set of supply, intermediate, and demand locations in a railroad network, the unit train scheduling problem seeks to find optimal routes for unit trains to send flows from supply to demand points with the objective of minimizing the total transportation cost while meeting demand of customers, respecting capacities of tracks, and satisfying no-car attaching/detaching requirements in specific locations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, designing blocking plans to determine locations Multiple modes 8% Pipeline, 19% Truck, 39% Water, 7% Rail, 27%Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 3 where cars need to be switched between trains is irrelevant in this problem, unlike scheduling other types of trains (Davarnia et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2019).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Despite the significance of unit train scheduling, exact optimization approaches to solve associ- ated problems are scarce, partially due to their structural complexities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' One of the main challenges in modeling unit trains is the requirement that the train consists must remain intact when passing through stations that lack necessary busting/formation equipment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In optimization, this require- ment is referred to as no-split no-merge (NSNM), which guarantees that the flows entering to or exiting from certain nodes of the unit train network cannot be split or merged.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Incorporating this requirement into typical transportation network models yields the so-called generalized unsplittable flow problem (GUFP), where the objective is to determine the minimum-cost unit train sched- ules that satisfy the given demand.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Numerous studies have shown that considering deterministic demands might result in the complete failure of the transportation scheduling (Demir et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2016, Layeb et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2018), motivating the study of stochastic variants of the unit train scheduling problems where the demand is uncertain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, in this paper, we consider a stochastic variant of the GUFP, referred to SGUFP, that is modeled as a two-stage optimization problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The first stage decides a matching between the incoming and outgoing arcs of the nodes of the railroad network, and the second stage determines the amount of flow that should be sent through the matching arcs of the network to satisfy the uncertain demand represented by a number of demand scenarios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We propose a novel exact solution framework to solve this problem in the operational level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Our proposed methodology is based on decision diagrams (DDs), which are compact graphical data structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' DDs were initially introduced to represent boolean functions with applications in circuit design.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Over the past decade, researchers have successfully extended DDs domain by devel- oping DD-based algorithms to solve discrete optimization problems in different areas of application.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Because of its structural limitation to model integer programs only, DDs have never been used to solve transportation problems that inherently include continuous variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this paper, we extend the application scope of DDs by introducing a novel framework that is capable of modeling network problems with both integer and continuous components as in the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Literature Review on Train Scheduling Many variants of train routing and scheduling problems with different objective functions and set of constraints under deterministic and stochastic conditions have been introduced and vastly studied in the literature;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' see surveys by Cordeau, Toth, and Vigo (1998), Harrod and Gorman (2010), Lusby et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2011), Cacchiani and Toth (2012), and Turner et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2016) for different problems classifications and structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Mixed integer linear and nonlinear programming formu- lations are among the most frequent exact approaches to model different classes of these prob- lems (Jovanovi´c and Harker 1991, Huntley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 1995, Sherali and Suharko 1998, Lawley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 4 2008, Haahr and Lusby 2017, Davarnia et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2019).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proposed solution techniques include but are not limited to branch-and-bound methods (Jovanovi´c and Harker 1991, Fuchsberger and L¨uthi 2007), branch-and-cut frameworks (Zwaneveld, Kroon, and Van Hoesel 2001, Ceselli et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2008), branch-and-price approaches (Lusby 2008, Lin and Kwan 2016), graph coloring algorithms (Cor- nelsen and Di Stefano 2007), and heuristics (Carey and Crawford 2007, Liu and Kozan 2011, I¸cy¨uz et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2016).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Rolling stock scheduling (Abbink et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2004, Alfieri et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2006, Haahr et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2016, Bornd¨orfer et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2016) that assigns rolling stocks to a given timetable, and crew scheduling (Kwan 2011, Shen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2013, Heil, Hoffmann, and Buscher 2020) that covers train activities by assigning crews to the associated operations are other major problems arising in the area of railroad planning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Due to the inherent uncertainty in different types of train scheduling and routing problems, many researchers have studied stochastic variants of the problems where the supply/demand is considered to be uncertain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Jordan and Turnquist (1983) propose a model for railroad car distribution where supply and demand of cars are uncertain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Jin et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2019) study a chance-constrained programming model for the train stop planning problem under stochastic demand.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Ying, Chow, and Chin (2020) propose a deep reinforcement learning approach for train scheduling where the passenger demand is uncertain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Recently, Gong et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2021) propose a stochastic optimization method to solve a train timetabling problem with uncertain passenger demand.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Also see works by Meng and Zhou (2011), Quaglietta, Corman, and Goverde (2013), Larsen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2014) that consider train dispatching problems under stochastic environments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the context of unit train scheduling, Lawley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2008) study a time-space network flow model to schedule bulk railroad deliveries for unit trains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In their model, the authors consider char- acteristics of underlying rail network, demands of customers, and capacities of tracks, stations, and loading/unloading requirements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' They propose a mixed integer programming (MIP) formulation that maximizes the demand satisfaction while minimizing the waiting time at stations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Lin and Kwan (2014) (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Lin and Kwan (2016)) propose a model for a train scheduling problem that is capa- ble to capture locations where coupling/decoupling is forbidden.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' They develop a branch-and-price algorithm inspired by column generation to solve the associated problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Lin and Kwan (2018) also propose a heuristic branch-and-bound approach to decrease coupling/decoupling redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' I¸cy¨uz et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2016) study the problem of planning coal unit trains that includes train formation, routing, and scheduling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As noted by the authors, their proposed MIP formulation fails to solve the problem directly due to its large size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a remedy, they develop a time-efficient heuristic that produces good quality solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' More recently, Davarnia et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2019) introduce and study the GUFP with application to unit train scheduling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In particular, the authors show how to impose NSNM restrictions in network optimization problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' They present a polyhedral study and pro- pose a MIP formulation to model a stylized variant of the unit train scheduling problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the present paper, we use their formulation (see section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1) as a basis for our solution framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 5 The unsplittable flow problem (UFP) was first introduced by Kleinberg (1996) as a generalization of the disjoint path problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Given a network with capacities for arcs and a set of source-terminal vertex pairs with associated demands and rewards, the objective in the UFP is to maximize the total revenue by selecting a subset of source-terminal pairs and routing flows through a single path for each of them to satisfy the associated demand.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the GUFP, however, there can exist nodes that do not need to respect the NSNM requirement, and demands can be satisfied by passing flows through multiple paths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It is well-known that different variants of UFP are NP- hard (Baier, K¨ohler, and Skutella 2005, Kolman and Scheideler 2006, Chakrabarti et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2007).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Since its introduction, the UFP structure has been used in different areas of application, from bandwidth allocation in heterogeneous networks (Kolman and Scheideler 2006), to survivable connection- oriented networks (Walkowiak 2006), and virtual circuit routing problems (Hu, Lan, and Wan 2009).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Considering the hardness of the problem, approximation algorithms have been a common technique to tackle different variants of the UFP in the literature (Baier, K¨ohler, and Skutella 2005, Chakrabarti et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2007).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Literature Review on Decision Diagrams DDs are directed acyclic graphs with a source and a terminal node where each source-terminal path encodes a feasible solution to an optimization problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In DDs, each layer from the source to the terminal represents a decision variable where labels of arcs show their values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Had˘zi´c and Hooker (2006) proposed to use DDs to model the feasible region of a discrete optimization problem and used it for postoptimality analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Later, Andersen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2007) presented relaxed DDs to circumvent the exponential growth rate in the DD size when modeling large discrete optimization problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Bergman et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2016b) introduced a branch-and-bound algorithm that iteratively uses relaxed and restricted DDs to find optimal solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The literature contains many successful utilization of DDs in different domains;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' see works by Bergman and Cire (2018), Serra and Hooker (2019), Davarnia and Van Hoeve (2020), Gonzalez et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2020), and Hosseininasab and Van Hoeve (2021) for some examples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Until recently, applications of DDs were limited to discrete problems, and the question on how to use DDs in solving optimization problems with continuous variables was unanswered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To address this limitation, Davarnia (2021) proposed a technique called arc-reduction that generates a DD that represents a relaxation of the underlying continuous problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In a follow-up work, Salemi and Davarnia (2022a) established necessary and sufficient conditions for a general MIP to be representable by DDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' They showed that a bounded MIP can be remodeled and solved with DDs through employing a specialized Benders decomposition technique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this paper, we build on this framework to design a novel DD-based methodology to solve the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Contributions While there are several studies in the literature dedicated to the unit train problem, exact method- ologies that provide a rigorous treatment of the NSNM requirement at the heart of unit train models are scarce.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this paper, we design a novel exact DD-based framework to solve the SGUFP, as a more realistic and more challenging variant of this problem class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To our knowledge, this is the first work that studies SGUFP from an exact perspective, and the first application of DDs to a transportation problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Our proposed framework formulates the problem in a transformed space of variables, which has a smaller dimension compared to the standard MIP formulations of the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This presentation mitigates the computational difficulties stemmed from the MIP formulation size, providing a viable solution approach for large-scale network problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The core principles of our DD framework can also be used to model other transportation problems with similar structure, as an alternative to traditional network optimization techniques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The remainder of this paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In Section 2 we provide basic definitions and a brief overview on discrete and continuous DD models, including the DD-BD method to solve bounded MIPs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In Section 3, we adapt the DD-BD method to solve the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We propose algorithms to construct exact and relaxed DDs to solve the problem in a transformed space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Section 4 presents computational experiments to evaluate the performance of the DD-BD method for the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We give concluding remarks in Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Background on DDs In this section, we present basic definitions and results relevant to our DD analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Overview A DD D = (U,A,l) with node set U, arc set A, and arc label mapping l : A → R is a directed acyclic graph with n ∈ N arc layers A1,A2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',An, and n + 1 node layers U1,U2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',Un+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The node layers U1 and Un+1, with |U1| = |Un+1| = 1, contain the root r and the terminal t, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In any arc layer j ∈ [n] := {1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',n}, an arc (u,v) ∈ Aj is directed from the tail node u ∈ Uj to the head node v ∈ Uj+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The width of D is defined as the size of its largest Uj.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' DDs can model a bounded integer set P ⊆ Zn in such a way that each r-t arc-sequence (path) of the form (a1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',an) ∈ A1 × .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' × An encodes a point y ∈ P where l(aj) = yj for j ∈ [n], that is y is an n-dimensional point in P whose j-th coordinate is equal to the label value l(aj) of arc the aj.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For such a DD, we have P = Sol(D), where Sol(D) denotes the finite collection of all r-t paths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The graphical property of DDs can be exploited to optimize an objective function over a discrete set P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To this end, DD arcs are weighted in such a way that the cumulative weight of an r-t path that encodes a solution y ∈ P equals to the objective function value evaluated at y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, a Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 7 shortest (resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' longest) r-t path for the underlying minimization (resp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' maximization) problem is found, an operation that can be performed in polynomial time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The construction of an exact DD as described above is computationally prohibitive due to the exponential growth rate of its size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To alleviate this difficulty, relaxed and restricted DDs are proposed to keep the size of DDs under control.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In a relaxed DD, nodes are merged in such a way that the width of the resulting diagram is bounded by a predetermined width limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This node- merging process ensures that all feasible solutions of the original set are encoded by a subset of all r-t paths in the resulting DD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Optimization over this relaxed DD provides a dual bound to the optimal solution of the original problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In a restricted DD, the collection of all r-t paths of the DD encode a subset of the feasible solutions of the original set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Optimization over this restricted DD provides a primal bound to the optimal solution of the original problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The restricted and relaxed DDs can be iteratively refined in a branch-and-bound scheme to find the optimal value of a problem through convergence of their primal and dual bounds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The following example illustrates an exact, relaxed and restricted DD for a discrete optimization problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Example 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider the discrete optimization problem max{5y1 + 10y2 + 4y3 | y ∈ P} where P = {(1,0,0),(1,0,1),(0,1,0),(0,0,1),(0,0,0)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The exact DD D with width 3 in Figure 2(a) models the feasible region P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The weight of each arc a ∈ Aj, for j ∈ {1,2,3}, shows the contribution of variable yj’s value assignment to the objective function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The longest r-t path that encodes the optimal solution (y∗ 1,y∗ 2,y∗ 3) = (0,1,0) has length 10, which is the optimal value to the problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' By reducing the width limit to 2, we can build relaxed and restricted DDs for P as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The relaxed DD D in Figure 2(b) provides an upper bound to the optimal solution, where the longest path with length 14 is obtained by an infeasible point (y1,y2,y3) = (0,1,1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Finally, the restricted DD D in Figure 2(c) gives a lower bound to the optimal solution, where the longest path with length 9 encodes a feasible solution (y1,y2,y3) = (1,0,1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Continuous DD Models While the framework described in the previous section can be applied to solve different classes of discrete optimization problems, its extension to model sets with continuous variables requires a fundamentally different approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The reason that the traditional DD structure is not viable for continuous sets is that representing the domain of a continuous variable through arcs requires an infinite number of them, spanning all values within a continuous interval, which is structurally prohibitive in DD graphs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Fortunately, there is a way to overcome this obstacle by decomposing the underlying set into certain rectangular formations, which can in turn be represented through node-sequences in DDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In what follows, we give an overview of these results as relevant to our analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 8 r t 5 0 0 10 0 0 4 0 4 0 (a) Exact DD D r t 5 0 0 10 0 0 4 4 0 (b) Relaxed DD D r t 5 0 0 0 0 4 4 0 y1 y2 y3 (c) Restricted DD D Figure 2 The exact, relaxed, and restricted DDs representing P in Example 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Solid and dotted arcs indicate one and zero arc labels, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Numbers next to arcs represent weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a bounded set P ⊆ Rn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia (2022a) give necessary and sufficient conditions for P to admit the desired rectangular decomposition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Such a set is said to be DD- representable w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' a fixed index set I ⊆ [n], as there exists a DD D such that max{f(x) | x ∈ P} = max{f(x) | x ∈ Sol(D)} for every function f(x) that is convex in the space of variables xI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' A special case of DD-representable sets is given next.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proposition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Any bounded mixed integer set of the form P ⊆ Zn × R is DD-representable w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' I = {n + 1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' □ This result gives rise to a novel DD-based framework to solve general bounded MIPs as outlined below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a bounded MIP H := max{cy +dx | Ay +Gx ≤ b, y ∈ Zn}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Using Benders decom- position (BD), formulation H is equivalent to maxy∈Zn{cy +maxx{dx | Gx ≤ b−Ay}}, which can be reformulated as M = max{cy +z | (y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z) ∈ Zn ×[l,u]}, where l,u ∈ R are some valid bounds on z induced from the boundedness of H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Here, M is the master problem and z represents the objective value of the subproblem maxx{dx | Gx ≤ b − A¯y} for any given ¯y as an optimal solution of the master problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The outcome of the subproblems is either an optimality cut or a feasibility cut that will be added to the master problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, the master problem will be resolved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proposition 1 implies that formulation M can be directly modeled and solved with DDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For this DD, we assign n arc layers to the integer variables y1,y2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',yn, and one arc layer to the continuous variable z with only two arc labels showing a lower and upper bound for this variable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To find an optimal solution, the longest path is calculated, which will be used to solve the subproblems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Note that since M is a maximization problem, a longest path of the associated DD encodes an optimal solution, and its length gives the optimal value;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' see Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The feasibility and optimality cuts generated by the subproblems will then be added to refine the DD, whose longest path will be recalculated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 9 The refinement technique consists of removing arcs of the DD that lead to solutions that violate the added inequality, as well as splitting nodes of the DD that lead to different subsequent partial assignments;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' see Bergman et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2016a) for a detailed account on DD refinement techniques.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We illustrate this approach in Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Example 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Suppose that max{2y1 + 4y2 + z | y ∈ P,z ≤ 25} forms the master problem at the penultimate iteration of a BD algorithm, where P = {(0,0),(1,1)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This problem is represented by the DD D in Figure 3(a) where −M is a valid lower bound for z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The longest path of D encodes the solution (ˆy1, ˆy2, ˆz) = (1,1,25).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Assume that using the point (ˆy1, ˆy2) = (1,1) in the associated subproblem generates an optimality cut z ≤ 3y1 + 2y2 + 10 for the final iteration of the BD algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Refining DD D with respect to this cut yields the new DD in Figure 3(b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The longest path represents the optimal solution (y∗ 1,y∗ 2,z∗) = (1,1,15) with length 21, which is the optimal value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' r t 2 0 4 0 −M 25 25 −M (a) penultimate iteration r t 2 0 4 0 −M 15 10 −M y1 y2 z (b) final iteration Figure 3 The last two iterations of solving the master problem in Example 2 Using the DD framework as outlined above can be computationally challenging due to exponen- tial growth rate of the size of an exact DD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To mitigate this difficulty, restricted/relaxed DDs can be employed inside of the BD framework as demonstrated in Algorithm 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We refer to this solution method as DD-BD (Salemi and Davarnia 2022a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In explaining the steps of Algorithm 1, let point ˆy ∈ Zk, where k ≤ n, be a partial value assignment to the first k coordinates of variable y, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', yi = ˆyi for all i ∈ [k].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We record the set of all partial value assignments in ˆY = {ˆy ∈ Zk | k ∈ [n]}∪{⊖}, where ⊖ represents the case where no coordinate of y is fixed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Set C contains the produced Benders cuts throughout the algorithm, and we denote the feasible region described by these cuts by F C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Further, define MC(ˆy) = max{cy + z | (y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z) ∈ Zn × [l,u] ∩ F C, yi = ˆyi,∀i ∈ [k]} to be the restricted master problem M obtained through adding cuts in C and fixing the partial assignment ˆy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this definition, the case with C = ∅ and ˆY = {⊖} is denoted by M∅(⊖) = M, which is an input to Algorithm 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 10 Algorithm 1: DD-BD Data: MIP H,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' construction method to build restricted and relaxed DDs for M Result: An optimal solution (y∗,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z∗) and optimal value w∗ to H 1 initialize set of partial assignments ˆY = {⊖},' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' set of Benders cuts C = ∅,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' and w∗ = −∞ 2 if ˆY = ∅ then 3 terminate and return (y∗,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z∗) and w∗ 4 else 5 select ˆy ∈ ˆY and update ˆY ← ˆY \\ {ˆy} 6 create a restricted DD D associated with MC(ˆy) 7 if D ̸= ∅ then 8 find a longest r-t path of D with encoding point (y,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z) and length w 9 solve the BD subproblem using y to obtain Benders cut C 10 if C ∈ C then 11 go to line 17 12 else 13 update C ← C ∪ C and refine D w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' C 14 go to line 8 15 else 16 go to line 2 17 if w > w∗ then 18 update w∗ ← w and (y∗,z∗) ← (y,z) 19 if D provides an exact representation of MC(ˆy) then 20 go to line 2 21 else 22 create a relaxed DD D associated with MC(ˆy) 23 find a longest r-t path of D with length w 24 if w > w∗ then 25 solve the BD subproblem using y to obtain Benders cut C 26 if C ∈ C then 27 go to line 31 28 else 29 update C ← C ∪ C and refine D w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' C 30 go to line 23 31 forall u in the last exact layer of D do 32 update ˆY ← ˆY ∪ {˜y} where ˜y encodes longest r-u path of D 33 go to line 2 Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 11 The algorithm starts with constructing a restricted DD D corresponding to MC(ˆy) with empty initial values for C and ˆy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We then find a longest r-t path of D encoding solution (y,z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Next, using y, we solve the associated subproblem to obtain a feasibility/optimality cut C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We add this cut to C, refine D according to it, and find a new longest r-t path.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We repeat these steps until no new feasibility/optimality cut is generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' At this point, the length of a longest r-t path of D, denoted by w, gives a lower bound to the master problem M, which is also a valid lower bound to the original problem H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The value of w can be used to update w∗, the optimal value of H at termination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Next, we create a relaxed DD D corresponding to MC(ˆy).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We find a longest r-t path of D that provides an upper bound w to M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' If the upper bound w is strictly greater than the current value of w∗, we follow steps similarly to the case for D to iteratively refine D w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' feasibility/optimality cuts through solving the subproblems, until no new cut is generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Next, we perform a specialized branch-and-bound procedure to improve the bound through expanding merged layers of the DD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To this end, we add all the partial assignments associated with nodes in the last exact layer of D (the last node layer in which no nodes are merged) to the collection ˆY.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The nodes corresponding to partial assignments in ˆY are required to be further explored to check whether or not the value of w∗ can be improved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' That is, the above process is repeated for every node v with partial assignment in ˆY as the r-v path is fixed in the new restricted/relaxed DDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The algorithm terminates when ˆY becomes empty, at which point w∗ is the optimal value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' DD-BD Formulation for the SGUFP In this section, we adapt the DD-BD framework described in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2 to solve the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' MIP Formulation We study the MIP formulation of the SGUFP based on that of its deterministic counterpart given in Davarnia et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2019).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a network G = (V,A) with node set V := V ′ ∪ {s,t} and arc set A, where s and t are source and sink nodes, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The source node is connected to all the supply nodes in S ⊆ V ′, and the sink node is connected to all the demand nodes in D ⊆ V ′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Figure 4 illustrates the general structure of this network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For a node q ∈ V , let δ−(q) := {i ∈ V | (i,q) ∈ A} and δ+(q) := {j ∈ V | (q,j) ∈ A} show the set of incoming and outgoing neighbors of q, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Define ¯V ⊆ V ′ as a subset of vertices that must satisfy the NSNM requirement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each node q ∈ ¯V , let binary variable yq ij ∈ {0,1} represent whether or not the flow entering node q ∈ ¯V through arc (i,q) leaves node q through arc (q,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The first stage of SGUFP determines the matching pairs between incoming and outgoing arcs of unsplittable nodes as follows: max z (1a) Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 12 S D s t Figure 4 Illustration of network G = (V ′ ∪ {s,t},A) s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' � j∈δ+(q) yq ij ≤ 1 ∀i ∈ δ−(q), ∀q ∈ ¯V (1b) � i∈δ−(q) yq ij ≤ 1 ∀j ∈ δ+(q), ∀q ∈ ¯V (1c) yq ij ∈ {0,1} ∀(i,j) ∈ δ−(q) × δ+(q), ∀q ∈ ¯V, (1d) where constraints (1b) ensure that each incoming arc to a node with NSNM requirement is assigned to at most one outgoing arc, and constraints (1c) guarantee that each outgoing arc from such a node is matched with at most one incoming arc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In (1a)–(1d), variable z represents the objective value of the second stage of SGUFP where the demand uncertainty is taken into account.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This demand uncertainty is modeled by a set Ξ of scenarios for the demand vector dξ with occurrence probability Prξ for each scenario ξ ∈ Ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let continuous variable xξ ij ∈ R+ denote the flow from node i to node j through arc (i,j) under scenario ξ ∈ Ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We further assign a reward rij per unit flow to be collected by routing flow through arc (i,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It follows that z = � ξ∈Ξ Prξzξ, where zξ is the objective value of the second stage of SGUFP for each scenario ξ ∈ Ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This subproblem is formulated as follows for a given y vector: max � q∈V � j∈δ+(q) rqjxξ qj (2a) s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' � i∈δ−(q) xξ iq − � j∈δ+(q) xξ qj = 0 ∀q ∈ V ′ (2b) ℓξ iq ≤ xξ iq ≤ uξ iq ∀i ∈ δ−(q),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ∀q ∈ V (2c) xξ iq − xξ qj ≤ uξ iq(1 − yq ij) ∀(i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ δ−(q) × δ+(q),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ∀q ∈ ¯V (2d) xξ qj − xξ iq ≤ uξ qj(1 − yq ij) ∀(i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ δ−(q) × δ+(q),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ∀q ∈ ¯V (2e) xξ iq ≤ uξ iq � j∈δ+(q) yq ij ∀i ∈ δ−(q),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ∀q ∈ ¯V (2f) Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 13 xξ qj ≤ uξ qj � i∈δ−(q) yq ij ∀j ∈ δ+(q),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ∀q ∈ ¯V (2g) xξ ij ≥ 0 ∀(i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2h) In the above formulation, the objective function captures the total reward collected by routing flows throughout the network (from the source s to the sink t) to satisfy demands.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The flow-balance requirements are represented by (2b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Constraints (2c) bound the flow on each arc from below and above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To impose the demand requirement for each scenario ξ ∈ Ξ, we fix ℓξ qt = uξ qt = dξ q for all demand nodes q ∈ D with demand dξ q, and leave the lower and upper bound values unchanged for all other arcs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Constraints (2d)–(2g) model the NSNM requirement for each node q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In particular, (2d) and (2e) ensure that matching arcs (i,q) and (q,j) have equal flows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Constraints (2f) and (2g) guarantee that an arc without a matching pair does not carry any flow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We note here that the Constraint (2b) is implied by other constraints of the above subproblem under the assumption that y is feasible to the master problem (1a)–(1d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' However, we maintain this constraint in the subproblem because the master formulation in our DD-based approach, as will be described in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2, may produce a solution that is not feasible to (1a)–(1d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, the addition of the Constraint (2b) will lead to a tighter subproblem formulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As discussed in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2, the first step to use the DD-BD algorithm is to decompose the underlying problem into a master and a subproblem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The above two-stage formulation of the SGUFP is readily amenable to BD since the first stage problem (1a)-(1d) can be considered as the master problem together with some valid lower and upper bounds −Γ and Γ on z induced from the boundedness of the MIP formulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For a given y value obtained from the master problem and a scenario ξ ∈ Ξ, the second stage problem (2a)-(2h) can be viewed as the desired subproblems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The optimality/feasibility cuts obtained from each scenario-based subproblem are then added to the master problem through aggregation as described in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' DD-BD: Master Problem Formulation While the DD-BD Algorithm 1 provides a general solution framework for any bounded MIP, its DD component is problem-specific, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', it should be carefully designed based on the specific structure of the underlying problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this section, we design such an oracle for the SGUFP that represents the feasible region {(1b)−(1d),z ∈ [−Γ,Γ]} of the master problem (1a)-(1d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To model this feasible region in the original space of (y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z) variables, a DD would require � q∈ ¯V |δ−(q)| × |δ+(q)| arc layers to represent binary variables y and one arc layer to encode the continuous variable z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Constructing such a DD, however, would be computationally cumbersome due to the large number of the arc layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To mitigate this difficulty, we take advantage of the structural flexibility of DDs in representing irregular variable types that cannot be used in standard MIP models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' One such Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 14 variable type is the index set, where arc layers represent indices, rather than domain values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We next show that we can remarkably reduce the number of DD arc layers by reformulating the master problem in a transformed space of variables defined over index sets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a node q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the following, we define mappings that assign an index to each incoming and outgoing arc of q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' These mappings enable us to define new variables to reduce the number of DD arc layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let ind−(i,q) be a one-to-one mapping from incoming arcs (i,q), for i ∈ δ−(q), to the index set {1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ−(q)|}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Similarly, let ind+(q,j) be a one-to-one mapping from outgoing arcs (q,j), for j ∈ δ+(q), to the index set {1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each incoming arc (i,q) with index h = ind−(i,q), we define an integer variable wq h ∈ {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|} such that wq h = 0 if this incoming arc is not paired with any outgoing arc, and wq h = k > 0 if this arc is matched with an outgoing arc (q,j) with index k = ind+(q,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Next, we give a formulation in the space of w variables that describes the matching between incoming and outgoing arcs of q for all q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the following, sign(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=') represents the sign function that returns 1 if its argument is strictly positive, 0 if the argument is zero, and −1 otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Further, the operator |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='|, when applied on a set, represents the set size;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' and when applied on a real number, it represents the absolute value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Formulation � i∈δ−(q) sign ����wq ind−(i,q) − ind+(q,j) ��� � ≥ ��δ−(q) �� − 1 ∀j ∈ δ+(q), ∀q ∈ ¯V (3a) wq ind−(i,q) ∈ � 0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', ��δ+(q) ��� ∀i ∈ δ−(q), ∀q ∈ ¯V (3b) models the matching between incoming and outgoing arcs of nodes q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show the result for a single node q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The extension to the multiple node case is straightforward as the matching problem for each node is independent from other nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the direct implication, assume that M q is a matching between incoming and outgoing arcs of q, with elements of the form (i,j) that represent a matching between the incoming arc (i,q) and the outgoing arc (q,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show that variables w associated with matching pairs in M q satisfy constraints (3a) and (3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It follows from the definition of w that, for each (i,j) ∈ M q, we have wq ind−(i,q) = ind+(q,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Also, for any i ∈ δ−(q) that does not have a matching pair in M q, we have wq ind−(i,q) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' These value assignments show that w satisfies (3b) as the image of ind+ mapping is {1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each i ∈ δ−(q) and j ∈ δ+(q), we have ���wq ind−(i,q) − ind+(q,j) ��� ≥ 0, with equality holding when (i,j) ∈ M q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each j ∈ δ+(q), there are two cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the first case, assume that (i,j) /∈ M q for any i ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, ���wq ind−(i,q) − ind+(q,j) ��� > 0 for all i ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Applying the sign(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=') function on these terms yields sign ����wq ind−(i,q) − ind+(q,j) ��� � = 1, which implies that Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 15 � i∈δ−(q) sign ����wq ind−(i,q) − ind+(q,j) ��� � = |δ−(q)|, satisfying (3a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the second case, assume that (i∗,j) ∈ M q for some i∗ ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, we have � i∈δ−(q) sign ����wq ind−(i,q) − ind+(q,j) ��� � = |δ−(q)| − 1 since sign ����wq ind−(i∗,q) − ind+(q,j) ��� � = ���wq ind−(i∗,q) − ind+(q,j) ��� = 0, satisfying (3a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the reverse implication, assume that w is a feasible solution to (3a)–(3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show that the pairs of the form (i,j) encoded by these variables constitute a feasible matching between incoming and outgoing arcs of q, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', (i) each arc (i,q) is matched with at most one arc (q,j), and (ii) each arc (q,j) is matched with at most one arc (i,q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It follows from constraint (3b) that, for each i ∈ δ−(q), variable wq ind−(i,q) takes a value between {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' If wq ind−(i,q) = 0, then (i,q) is not matched with any outgoing arc, otherwise it is matched with arc (q,j) with ind+(q,j) = wq ind−(i,q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This ensures that condition (i) above is satisfied for this matching collection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Further, for each j ∈ δ−(q), constraint (3a) implies that sign ����wq ind−(i,q) − ind+(q,j) ��� � can be equal to zero for at most one i ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In such a case, we would have at most one matching pair of the form (i,j) in the collection, showing that condition (ii) above is satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' □ It follows from Proposition 2 that constraints (3a)-(3b) can replace (1b)-(1d) in the master problem (1a)-(1d) to obtain the following master problem in a transformed space of variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' max w;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z {z | (3a) − (3b),z ∈ [−Γ,Γ]}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (4) Note that formulation (4) is an integer nonlinear program (INLP) with nonconvex and non- continuous constraint functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Such a formulation is extremely difficult for conventional MINLP techniques and solvers to handle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' However, due to structural flexibility of DDs in representing inte- ger nonlinear programs, this problem can be easily modeled via a DD;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' see Davarnia and Van Hoeve (2020) for a detailed account on using DDs for modeling INLPs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the following, we present an algorithm to construct DDs in the space of (w;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z) variables for the master problem (4) with a single node q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The extension to the case with multiple nodes follows by replicating the DD structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The output of Algorithm 2 is a DD with |δ−(q)| + 1 arc layers where the first |δ−(q)| layers represent w variables and the last layer encodes variable z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In this algorithm, su denotes the state value of DD node u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The core idea of the algorithm is to use unpaired outgoing arcs of q as the state value at each DD layer that represents the matching for an incoming arc of q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Next, We show that the solution set of the DD constructed by Algorithm 2 represents the feasible region of (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Note here that DD representation of a MIP set, as described in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2, does not imply the encoding of all of the solutions of the set, but rather the encoding of a subset of all solutions that subsumes all the extreme points of the set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Such a representation is sufficient to solve an optimization problem over the set with an objective function convex in continuous variables, which is the case for (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 16 Algorithm 2: Construction of DD for the master problem of SGUFP with a node q ∈ ¯V Data: node q ∈ ¯V , parameter Γ Result: an exact DD D 1 create the root node r ∈ U1 with state sr = {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|} 2 forall i ∈ {1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ−(q)|} and u ∈ Ui do 3 forall ℓ ∈ su do 4 create a node v ∈ Ui+1 with state (su \\ {ℓ}) ∪ {0} and an arc a ∈ Ai connecting u to v with label l(a) = ℓ 5 forall u ∈ U1+|δ−(q)| do 6 create two arcs a1,a2 ∈ A1+|δ−(q)| connecting u to the terminal node with labels l(a1) = Γ and l(a2) = −Γ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a SGUFP with ¯V = {q}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let D be a DD constructed by Algorithm 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, Sol(D) represents the feasible region of (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (⊆) Consider an r-t path of D that encodes solution ( ˜wq,z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' According to Algorithm 2, the labels of the first |δ−(q)| arcs of this path belong to {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}, showing that ˜wq satisfies constraints (3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Assume by contradiction that ˜wq does not satisfy constraints (3a), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', � i∈δ−(q) sign ����wq ind−(i,q) − ind+(q,j) ��� � ≤ |δ−(q)| − 2 for some j ∈ δ+(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This implies that ˜wq ind−(i′,q) = ˜wq ind−(i′′,q) = ind+(q,j) for two distinct i′,i′′ ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In other words, the arcs at lay- ers ind−(i′,q) and ind−(i′′,q) of the selected r-t path both share the same label value ind+(q,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' According to line 3 of Algorithm 2, we must have that the state value of nodes at layers ind−(i′,q) and ind−(i′′,q) of the r-t path both contain ind+(q,j).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This is a contradiction to the state update policy in line 4 of Algorithm 2, since positive arc labels at each layer of the DD will be excluded from the state value of the subsequent nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (⊇) Consider a feasible solution point ( ˜wq;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ˜z) of (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Suppose ˜wq = (ℓ1,ℓ2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',ℓ|δ−(q)|).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' According to constraints (3a), no two coordinates of ˜wq have the same positive value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The state value at the root node in D contains all index values {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' According to Algorithm 2, there exists an arc with label ℓ1 at the first layer of D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The state value at the head node of this arc, therefore, contains ℓ2 ∈ {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|} \\ {ℓ1}, which guarantees an arc with label ℓ2 at the second layer of this path.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Following a similar approach, we can track a path from the root to layer |δ−(q)| whose arcs labels match values of ˜wq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Note for the last layer that ˜z ∈ [−Γ,Γ], which is included in the interval between arc labels of the last layer of D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, ( ˜wq;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ˜z) is represented by an r-t path of D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' □ The main purpose of using a DD that models the master problem (4) over one that models (1a)- (1d) is the size reduction in arc layers that represent variables w as compared with variables Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 17 y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It turns out that this space transformation can significantly improve the solution time of the DD approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We refer the interested reader to Appendix A for a detailed discussion on these advantages, including preliminary computational results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Constructing exact DDs as described in Algorithm 2 can be computationally expensive for large size problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As discussed in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2, relaxed and restricted DDs are used to circumvent this difficulty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Building restricted DDs is straightforward as it involves the selection of a subset of r-t paths of the exact DD that satisfy a preset width limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Constructing relaxed DDs, on the other hand, requires careful manipulation of the DD structure to merge nodes in such a way that it encodes a superset of all r-t paths of the exact DD.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We demonstrate a method to construct such relaxed DDs in Algorithm 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Similarly to Algorithm 2, this algorithm is presented for a single NSNM node, but can be extended to multiple nodes by replicating the procedure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Algorithm 3: Construction of relaxed DD for the master problem of SGUFP with a node q ∈ ¯V Data: node q ∈ ¯V , parameter Γ Result: a relaxed DD D 1 create the root node r ∈ U1 with state sr = {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|} 2 forall i ∈ {1,2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ−(q)|} and u ∈ Ui do 3 forall ℓ ∈ su do 4 create a node v ∈ Ui+1 with state (su \\ {ℓ}) ∪ {0} and an arc a ∈ Ai connecting u to v with label l(a) = ℓ 5 select a subset of nodes v1,v2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',vk ∈ Ui+1 and merge them into node v′ with state sv′ = �k j=1 svj 6 forall u ∈ U1+|δ−(q)| do 7 create two arcs a1,a2 ∈ A1+|δ−(q)| connecting u to the terminal node with labels l(a1) = Γ and l(a2) = −Γ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Theorem 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a SGUFP with ¯V = {q}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let D be a DD constructed by Algorithm 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, D represents a relaxation of the feasible region of (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let ˙D be the DD constructed by Algorithm 2 for the master problem (4) with a single node q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It suffices to show that the solution set of D provides a relaxation for that of ˙D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Pick a root-terminal path ˙P of ˙D with encoding point ( ˙wq;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ˙z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show that there exist a root-terminal path P of D with encoding point (wq;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='z) such that wq = ˙wq and z = ˙z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Given a DD, define Pk to be a sub-path composed of arcs in the first k layers, for 1 ≤ k ≤ |δ−(q)|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show for any sub-path ˙Pk of ˙D with encoding point ˙wq k = ( ˙wq 1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', ˙wq k), there exists a sub-path P k of D with encoding Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 18 point wk = (w1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',wk) such that wh = ˙wh for h = 1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Note that we only need to prove the matching values for k ≤ |δ−(q)|, because each node at node layer |δ−(q)| + 1 of both ˙D and D is connected by two arcs with labels −Γ and Γ to the terminal node, and thus there are always matching arcs with the same label for the last layer, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', z = ˙z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We prove the result by induction on k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The base case for k = 1 is trivial, since D contains arcs with labels {0,1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|} in the first layer, which includes the label value of the first arc on ˙P1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the induction hypothesis, assume that the statement is true for k = d, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', for the sub-path ˙Pd with label values ˙wq d = ( ˙wq 1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', ˙wq d), there is sub-path P d of D with matching arc labels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show the statement holds for d + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let u ∈ ˙Ad+1 and v ∈ Ad+1 be the end nodes of ˙Pd and P d, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It follows from Algorithm 2 that the index set representing the state value at node u contains ˙wq d+1, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', ˙wq d+1 ∈ ˙su = {0} ∪ {1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|} \\ { ˙w1, ˙w2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', ˙wd}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The merging step in line 5 of Algorithm 3, on the other hand, implies that sv ⊇ {0}∪{1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}\\{w1,w2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',wd} = {0}∪{1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=',|δ+(q)|}\\{ ˙w1, ˙w2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=', ˙wd} = ˙su, where the inclusion follows from the fact that state values at nodes on path P d contain those of each individual path due to merging operation, and the first equality holds because of the induction hypothesis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, sv must contain ˙wq d+1, which implies that there exists an arc with ˙wq d+1 connected to node v on P d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Attaching this arc to P d, we obtain the desired sub-path P d+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' □ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' DD-BD: Subproblem Formulation At each iteration of the DD-BD algorithm, an optimal solution of the master problem is plugged into the subproblems to obtain feasibility/optimality cuts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the SGUFP formulation, this procedure translates to obtaining an optimal solution of (4) in the space of w variables, which is used to solve the subproblem (2a)-(2h).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The formulation of the subproblem, however, is defined over the original binary variables y, and the resulting feasibility/optimality cuts are generated in this space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To remedy this discrepancy between the space of variables in the master and subproblems, we need to find a one-to-one mapping between variables w and y, as outlined next.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a node q ∈ ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let yq be a feasible solution to (1b)-(1d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, wq obtained as wq ind−(i,q) = � j∈δ+(q) ind+(q,j)yq ij ∀i ∈ δ−(q), (5) is a feasible solution to (3a)-(3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Conversely, let wq be a feasible solution to (3a)-(3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, yq obtained as yq ij = 1 − sign ����wq ind−(i,q) − ind+(q,j) ��� � ∀(i,j) ∈ δ−(q) × δ+(q), (6) is a feasible solution to (1b)-(1d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 19 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the direct statement, let yq be a feasible solution to (1b)-(1d), and construct a vector wq according to (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show that wq satisfies all constraints (3a)-(3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' First, we show that constraints (3a) are satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Assume by contradiction that there exists j′ ∈ δ+(q) such that � i∈δ−(q) sign ����wq ind−(i,q) − ind+(q,j′) ��� � ≤ |δ−(q)| − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This implies that wq ind−(i′,q) = wq ind−(i′′,q) = ind+(q,j′) for some i′,i′′ ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, we can write that wq ind−(i′,q) = � j∈δ+(q) ind+(q,j)yq i′j = ind+(q,j′) = � j∈δ+(q) ind+(q,j)yq i′′j = wq ind−(i′′,q), where the first and last equalities hold by (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The second and third equalities in the above chain of relations imply that yq i′j′ = yq i′′j′ = 1, since ind+(q,j′) > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This violates constraints (1c), reaching a contradiction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Next, we show that constraints (3b) are satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The proof follows directly from construction of wq and constraints (1b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the converse statement, let wq be a feasible solution to (3a)-(3b), and construct a vec- tor yq according to (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We show that yq satisfies all constraints (1b)-(1d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To show that each constraint (1b) is satisfied, consider i ∈ δ−(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We can write that � j∈δ+(q) yq ij = |δ+(q)| − � j∈δ+(q) sign ����wq ind−(i,q) − ind+(q,j) ��� � ≤ |δ+(q)| − � |δ+(q)| − 1 � = 1, where the first equality follows from the construction of yq, and the inequality holds by (3b) as ���wq ind−(i,q) − ind+(q,j) ��� = 0 for at most one index j ∈ δ+(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To show that each constraint (1c) is satisfied, select j ∈ δ+(q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We have � i∈δ−(q) yq ij = |δ−(q)| − � i∈δ−(q) sign ����wq ind−(i,q) − ind+(q,j) ��� � ≤ 1, where the equality follows from the construction of yq, and the inequality holds because of con- straint (3a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Finally, each constraint (1d) is satisfied due to the fact that 1 − sign(|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='|) ∈ {0,1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' □ Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Mappings described by (5) and (6) are one-to-one over their respective domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Note that the mapping described by (5) is a linear transformation of the form wq = Byq with coefficient matrix B ∈ Z|δ−(q)|×(|δ−(q)||δ+(q)|).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It is clear from the identity block structure of B, that it is full row-rank, since each column contains a single non-zero element while each row has at least one non-zero element.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As a result, the null space of B is the origin, which implies that ˆwq = ˜wq only if ˆyq = ˜yq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the mapping described by (6), let distinct points ˆwq and ˜wq satisfy (3b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Construct vectors ˆyq and ˜yq by (6) using ˆwq and ˜wq, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Because ˆwq and ˜wq are distinct, there must Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 20 exist i ∈ δ−(q) such that ˆwq ind−(i,q) ̸= ˜wq ind−(i,q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This implies that at least one of these variables, say ˆwq ind−(i,q), is non-zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' It follows from (3b) that ˆwq ind−(i,q) = ind+(q,j′) for some j′ ∈ δ+(q), and that ˆwq ind−(i,q) ̸= ind+(q,j′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' According to (6), we write that ˆyij′ = 1−sign ���� ˆwq ind−(i,q) − ind+(q,j′) ��� � = 1, and that ˜yij′ = 1 − sign ���� ˜wq ind−(i,q) − ind+(q,j′) ��� � = 0, showing that ˆyq ̸= ˜yq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' □ Using the results of Propositions 3 and 4, we can apply the DD-BD Algorithm 1 in its entirety for the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In particular, at each iteration of the algorithm, we can transform the optimal solution ( ¯w, ¯z) obtained from the DD representing the master problem (4) into a solution (¯y, ¯z) through the mapping (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Given an optimal first-stage solution ¯y, we can solve |Ξ| separate subproblems;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' one for each demand realization in the second-stage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The feasibility cuts obtained from subproblems, which are in the space of y variables, are translated back into the space of w variables through the mapping (5) and added to the master problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Further, in a case where all subproblems produce an optimality cut, they can be aggregated to generate an optimality cut in the space of (y,z), which is added to the master problem after being translated into the space of (w,z) variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The master DD will be refined with respect to the resulting inequalities, and an optimal solution is returned to be used for the next iteration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the remainder of this section, we present details on the derivation of optimality/feasibility cuts from subproblem (2a)-(2h).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider the following partitioning of the set of arcs A into subsets A1 := � (i,j) ∈ A �� δ−(i) = ∅, δ+(j) ̸= ∅ � , A2 := � (i,j) ∈ A �� δ−(i) ̸= ∅, δ+(j) = ∅ � , A3 := � (i,j) ∈ A �� δ−(i) ̸= ∅, δ+(j) ̸= ∅ � , A4 := � (i,j) ∈ A �� δ−(i) = ∅, δ+(j) = ∅ � , and let θξ = (βξ,γξ,δξ,φξ,λξ,µξ) be the vector of dual variables associated with constraints of (2a)-(2h) for a scenario ξ ∈ Ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Further, define the bi-function f(y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='θξ) = � q∈V � j∈δ+(q) � −ℓqjβξ qj + uqjγξ qj � + � q∈ ¯V � (i,j)∈δ−(q)×δ+(q) � uiq(1 − yq ij)λξ iqj + uqj(1 − yq ij)µξ iqj � + � q∈ ¯V � i∈δ−(q) � �uiq � j∈δ+(q) yq ijσξ iq � � + � q∈ ¯V � j∈δ+(q) � �uqj � i∈δ−(q) yq ijφξ qj � �.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For a given ¯y and each scenario ξ ∈ Ξ, the dual of the subproblem (2a)-(2h) can be written as follows where the symbol ⋆ on a node means that it belongs to ¯V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' min f(¯y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='θξ) (7a) s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' αξ ⋆q − βξ i⋆q + γξ i⋆q + � j:j∈δ+(⋆q) λξ i⋆qj − � j:j∈δ+(⋆q) µξ i⋆qj + σξ i⋆q ≥ ri⋆q ∀(i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ⋆q) ∈ A1 (7b) αξ q − βξ iq + γξ iq ≥ riq ∀(i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='q) ∈ A1 (7c) Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 21 − αξ ⋆q − βξ ⋆qj + γξ ⋆qj − � i:i∈δ−(⋆q) λξ i⋆qj + � i:i∈δ−(⋆q) µξ i⋆qj + φξ ⋆qj ≥ r⋆qj ∀( ⋆q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ A2 (7d) − αξ q − βξ qj + γξ qj ≥ rqj ∀(q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ A2 (7e) − αξ ⋆q + αξ ⋆ j − βξ ⋆q ⋆ j + γξ ⋆q ⋆ j + � i∈δ−(⋆q) � µξ i⋆q ⋆ j − λξ i⋆q ⋆ j � + � i∈δ+( ⋆ j) � λξ ⋆q ⋆ ji − µξ ⋆q ⋆ ji � + σξ ⋆q ⋆ j + φξ ⋆q ⋆ j ≥ r⋆q ⋆ j ∀( ⋆q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ⋆j) ∈ A3 (7f) − αξ ⋆q + αξ j − βξ ⋆qj + γξ ⋆qj + � i∈δ−(⋆q) � µξ i⋆qj − λξ i⋆qj � + φξ ⋆qj ≥ r⋆qj ∀( ⋆q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ A3 (7g) − αξ q + αξ ⋆ j − βξ q ⋆ j + γξ q ⋆ j + � i∈δ+( ⋆ j) � λξ q ⋆ ji − µξ q ⋆ ji � + σξ q ⋆ j ≥ rq ⋆ j ∀(q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ⋆j) ∈ A3 (7h) − αξ q + αξ j − βξ qj + γξ qj ≥ rqj ∀(q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j) ∈ A3 (7i) − βξ iq + γξ iq ≥ riq ∀(i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='q) ∈ A4 (7j) αξ q ∈ R ∀q ∈ V ′ (7k) βξ ij,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' γξ ij,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' σξ ij,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' φξ ij,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' λξ iqj,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' µξ iqj ≥ 0 ∀i,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='q,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='j ∈ V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (7l) If the above problem has an optimal solution ˆθξ for all ξ ∈ Ξ, the output of the subproblems will be an optimality cut of the form � ξ∈Ξ Prξf(y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ˆθξ) ≥ z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' If the above problem is unbounded along a ray ˆθξ for a ξ ∈ Ξ, the output of the subproblem will be a feasibility cut of the form f(y;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' ˆθξ) ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Note that replacing variables y in the above constraints with w through the mapping (5) results in separable nonlinear constraints.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Nevertheless, since these constraints will be used to refine the master DD, their incorporation is simple due to structural flexibility of DDs in modeling such constraints;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' we refer the reader to Davarnia and Van Hoeve (2020) for a detailed account for modeling INLPs with DDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Computational Experiments In this section, we solve SGUFP as a core model for the unit train scheduling problem with demand stochasticity using three different approaches: (i) the standard MIP formulation that is a deter- ministic equivalent of the two-stage model and contains all variables and constraints of the master problem and |Ξ| subproblems;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (ii) the Benders reformulation presented in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1 composed of the master problem (1a)-(1d) and |Ξ| subproblems (2a)-(2h);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' and (iii) the DD-BD algorithm proposed in the present paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In the Benders approach, we solve separate subproblems using a fixed vector ¯y obtained from the master problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The feasibility cuts generated by subproblems are added directly to the constraint set of the master problem, and the optimality cuts are added as an aggregated cut over all scenarios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We note here that when there is a feasibility cut for any scenario, we add it directly to separate the solution of the current iteration and move on to the next iteration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To obtain a valid inequality that provides a bound for the single z variable, we need to aggregate valid inequalities over all scenario subproblems as z is composed of the objective value Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 22 of all these subproblems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Therefore, we can only produce an optimality cut for the z variable when we have optimality cuts for all of the subproblems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the DD-BD approach, we use the following algorithmic choices to build restricted and relaxed DDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the restricted DDs, we choose a subset of the r-t paths with largest lengths, which are more likely to contain an optimal solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For the relaxed DDs, we merge nodes that have the largest number of common members in their state values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We refer the reader to Bergman et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2016a) for other heuristic approaches that could be used for this purpose.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Test Instances In our experiments, we consider the structure of the SGUFP network given in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To ensure that the problem is always feasible, we create an artificial node s0 to compensate for any shortage of the supply, and add an arc from the artificial supply s0 to each demand node.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We create test instances based on the specification given in Davarnia et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (2019), which is inspired by realistic models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In particular, we consider a base rail network G′ = (V ′,A′) where 10% and 30% of the nodes are supply and demand nodes, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We assume that 50% of the nodes must satisfy the NSNM requirement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We then create a network G = (V,A) by augmenting supply/demand and artificial nodes as described above with the following settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The integer supply value at supply nodes is randomly selected from the interval [100,600].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The capacity of arcs connecting s0 to demand nodes are considered to be unbounded, and the integer capacity value of other arcs is randomly selected from the interval [100,300].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each demand scenario ξ ∈ Ξ, the integer demand value at demand nodes is randomly chosen from the interval [100,200].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The reward of the arcs connecting s0 to the demand nodes are generated from the interval [−10,−5] to represent the cost of lost demands.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The reward of the arcs connecting the source to the supply nodes is randomly selected from the interval [5,10], and the reward of the arcs connecting the demand nodes to the sink is fixed to zero since the flow of these arcs is also fixed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The reward of all other arcs is created randomly from the interval [−2,2] where the negative values indicate the cost of sending flows through congested arcs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We consider four categories of rail networks with |V ′| ∈ {40,60,80,100}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each category, we create five scenario classes for the number of demand scenarios |Ξ| ∈ {50,100,150,200,250}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For each network category and scenario class, we create five random instances based on the above settings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Test instances are publicly available (Salemi and Davarnia 2022b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Numerical Results In this section, we present the numerical results that compare the performance of the DD-BD formulation for the SGUFP instances with that of the MIP formulation, denoted by “MIP”, and the standard Benders reformulation, denoted by “BD”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' All experiments are conducted on a machine Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 23 running Windows 10, x64 operating system with Intel® Core i7 processor (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='60 GHz) and 32 GB RAM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The Gurobi optimization solver (version 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='1) is used to solve instances for the MIP and BD models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' When solving problems with Gurobi, we turn off presolve and cuts for all methods to have a fair comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Tables 1-4 report the running times of each of these formulations for |V ′| ∈ {40,60,80,100} and |Ξ| ∈ {50,100,150,200,250} where the time limit is set to 3600 seconds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The symbol “ > 3600” indicates that the problem was not solved within the time limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As evident in these tables, the DD-BD formulation outperforms the other alternatives.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In particular, the gap between the solution time of the DD-BD and the MIP and BD approaches widens as the problem size increases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For example, as reported in Table 1, while the DD-BD approach solves all 25 instances in under 275 seconds, the MIP approach fails to solve 10 of them within 3600 seconds, 80% of which involve 200 or 250 scenarios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This shows a clear superiority of the DD-BD over the MIP method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Further, for most of the instances, the DD-BD approach outperforms the standard BD approach, rendering it as the superior solution method among all three.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Figures 5-8 compare the performance of DD-BD, BD, and MIP formulations through box and whisker plots for each network size and under each scenario class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In these figures, for uniformity of illustration, we used 3600 seconds for the running time of instances that fail to solve the problem within that time limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As the figures show, the minimum, median, and maximum of running times of the DD-BD method are remarkably smaller than those of the both BD and MIP methods in all cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' These results show the potential of the DD-BD framework in solving network problems with challenging combinatorial structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In Appendix B, we present additional numerical results for the DD-BD approach to assess its ability to solve larger problem sizes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Table 1 Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 MIP 75.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='74 512.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='62 2877.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='19 > 3600 > 3600 BD 141.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='83 313.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='84 339.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 451.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 565.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='82 DD-BD 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 129.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='87 163.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='43 219.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='02 274.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='36 2 MIP 67.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='59 275.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='07 906.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='10 1892.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 2235.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='53 BD 63.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='44 121.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='25 141.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 230.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 235.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='87 DD-BD 42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='60 82.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='65 128.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='16 164.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 208.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 3 MIP 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='86 753.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 2453.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='05 > 3600 > 3600 BD 71.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='14 139.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='20 172.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='86 224.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 244.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='91 DD-BD 53.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='32 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='58 113.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 178.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='65 217.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 4 MIP 71.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='46 309.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='62 > 3600 > 3600 > 3600 BD 63.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='55 182.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='01 267.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 334.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='74 380.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='22 DD-BD 46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='61 87.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 130.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='19 183.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 253.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='72 5 MIP 380.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 406.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='73 > 3600 > 3600 > 3600 BD 123.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='69 198.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='73 205.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='16 231.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='56 287.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='24 DD-BD 67.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 104.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 138.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='46 195.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='69 231.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='74 Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 24 Table 2 Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 60.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 MIP 893.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='73 > 3600 > 3600 > 3600 > 3600 BD 241.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='85 556.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 582.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='80 758.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='54 933.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='05 DD-BD 176.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='16 357.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='06 603.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 719.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='27 901.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='02 2 MIP 206.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='87 811.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='64 1554.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='10 > 3600 > 3600 BD 259.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='63 351.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='39 624.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='08 816.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='44 1017.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='95 DD-BD 189.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='07 388.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='85 572.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 764.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='76 961.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='35 3 MIP 139.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='70 702.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 1035.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='79 > 3600 > 3600 BD 246.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='48 569.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='37 628.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='84 795.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='56 978.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='15 DD-BD 142.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 284.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='65 422.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 565.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 725.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='86 4 MIP 153.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='16 415.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='46 938.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='03 1681.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 2604.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='25 BD 238.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 388.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='19 563.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='15 732.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='59 919.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='08 DD-BD 131.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='29 262.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='36 393.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 521.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='12 654.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='71 5 MIP 165.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='57 706.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='16 2447.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='15 > 3600 > 3600 BD 194.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='12 244.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='61 479.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='32 463.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='63 617.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='09 DD-BD 112.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='09 221.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='30 332.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='25 443.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 556.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 Table 3 Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 80.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 MIP 215.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='82 860.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 > 3600 > 3600 > 3600 BD 588.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='51 806.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='61 1731.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='50 1860.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='12 2051.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 DD-BD 256.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='12 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 757.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='68 1025.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='88 1278.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='13 2 MIP 479.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='76 > 3600 > 3600 > 3600 > 3600 BD 398.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='29 713.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='01 861.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='65 1080.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='79 1709.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 DD-BD 184.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 379.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 724.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='66 1088.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 1587.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='90 3 MIP 238.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='79 996.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='22 > 3600 > 3600 > 3600 BD 702.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 1236.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='58 1650.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='42 1773.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='63 2227.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='89 DD-BD 285.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='13 518.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='46 778.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='97 1046.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='39 1326.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='22 4 MIP 404.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='26 2441.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='64 2855.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='29 > 3600 > 3600 BD 572.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='83 1219.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='37 1334.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 1745.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='91 2089.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='80 DD-BD 263.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 665.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='30 1230.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 1277.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 1444.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='02 5 MIP 778.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='50 > 3600 > 3600 > 3600 > 3600 BD 231.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='11 481.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='31 625.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='91 1310.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='24 1452.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='27 DD-BD 187.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 376.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 564.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 1205.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='54 1412.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 Table 4 Running times (in seconds) of MIP, BD, and DD-BD for |V ′| = 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 MIP 774.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 > 3600 > 3600 > 3600 > 3600 BD 1282.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='59 1728.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='71 1848.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='49 2307.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='74 3309.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 DD-BD 698.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='36 1427.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='38 1731.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='95 2014.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 3323.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='54 2 MIP 480.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='97 > 3600 > 3600 > 3600 > 3600 BD 781.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='47 1573.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 1820.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='79 2672.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 2819.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='61 DD-BD 586.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='89 1171.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 1848.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='49 2471.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='49 2635.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='22 3 MIP 3071.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='37 > 3600 > 3600 > 3600 > 3600 BD 1072.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='14 1322.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 2112.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='50 2951.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='55 3412.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='99 DD-BD 485.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='31 703.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='70 1055.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='36 1803.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='66 2269.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='97 4 MIP 838.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='79 2585.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='38 > 3600 > 3600 > 3600 BD 1548.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 1738.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='92 2580.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='53 2616.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='19 3169.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='28 DD-BD 554.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='89 743.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='64 1098.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='82 2052.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='73 3094.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 5 MIP 714.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='39 > 3600 > 3600 > 3600 > 3600 BD 808.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='48 1013.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='68 1722.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='01 2824.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='14 3282.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='10 DD-BD 353.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='48 700.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='57 1680.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='60 2213.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 2907.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 25 Figure 5 Comparison of DD-BD,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' BD,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' and MIP models when |V ′| = 40 under five scenarios Figure 6 Comparison of DD-BD,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' BD,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' and MIP models when |V ′| = 60 under five scenarios We conclude this section by noting that,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' while the focus of this paper has been on the unit train problem with the no-split no-merge requirements,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' the proposed DD-BD framework can be applied to model network problems that contain additional side constraints on the flow variables,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' as those constraints can be handled in the subproblems while the DD structure in the master problem 4000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 Running time (sec) 2500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 2000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 50 100 150 200 250 Number of scenarios DD-BDBDMIP4000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 Running time (sec) 2500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 2000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 50 100 150 200 250 Number of scenarios IDD-BD ■BDMIPSalemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 26 Figure 7 Comparison of DD-BD, BD, and MIP models when |V ′| = 80 under five scenarios Figure 8 Comparison of DD-BD, BD, and MIP models when |V ′| = 100 under five scenarios remains intact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Examples of such side constraints include the usage-fee limitation (Holzhauser, Krumke, and Thielen 2017b) and the flow ratio requirement (Holzhauser, Krumke, and Thielen 2017a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Applying the DD-BD method to such network models and assessing its effectiveness com- pared to alternative approaches could be an interesting direction for future research.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 4000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 Running time (sec) 2500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 2000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 50 100 150 200 250 Number of scenarios DD-BDBDMIP4000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 3000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 time (sec) 2500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 2000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 Running 1500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 1000.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='00 50 100 150 200 250 Number of scenarios DD-BDBDMIPSalemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 27 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Conclusion In this paper, we introduce a DD-based framework to solve the SGUFP.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' This framework uses Benders decomposition to decompose the SGUFP into a master problem composed of the combi- natorial NSNM constraints, and a subproblem that solves a continuous network flow model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' The master problem is modeled by a DD, which is successively refined with respect to the cuts generated through subproblems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To assess the performance of the proposed method, we apply it to a variant of unit train scheduling problem formulated as a SGUFP, and compare it with the standard MIP and Benders reformulation of the problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Acknowledgments This project is sponsored in part by the Iowa Energy Center, Iowa Economic Development Authority and its utility partners.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We thank the anonymous referees and the Associate Editor for their helpful comments that contributed to improving the paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 28 References Abbink E, Van den Berg B, Kroon L, Salomon M, 2004 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Zwaneveld PJ, Kroon LG, Van Hoesel SP, 2001 Routing trains through a railway station based on a node packing model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' European Journal of Operational Research 128(1):14–33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 32 Appendix A: Comparison of Master Problem Formulations In this section, we describe the differences between DDs in the space of w variables and those in the space of original y in the master problem formulation (4) in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' First, we illustrate the size difference between these DDs in Example 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Example 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Consider a directed graph G = (V,A) with node set V = {1,2,q,3,4} and arc set A = {(1,q),(2,q),(q,3),(q,4)} where the central node q is subject to NSNM constraints.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Let ind−(1,q) = ind+(q,3) = 1 and ind−(2,q) = ind+(q,4) = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Then, the exact DDs showed in Figures 9(a) and 9(b) with three and five arc layers represent the feasible region of master problem (4) and (1a)-(1d), respectively, where −M and M are valid bounds for variable z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (a) A DD in the space of w variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Numbers next to arcs represent labels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' (b) A DD in the space of y variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Numbers next to arcs represent labels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Figure 9 Comparison of the number of arc layers for DDs in the space of w and y variables As evident from the above example, the main advantage of using a DD in the space of w is the reduction in the number of arc layers, which is the main determinant of the DDs computational efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' In particular, even though such a DD has a larger number of nodes at the layers, a relaxed DD can be constructed to limit the width, and hence provide an efficient relaxed DD in a smaller dimension, whereas the relaxations of the DD constructed in the space of y variables would still be higher-dimensional.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' To assess the computational efficiency of the solution approach in relation to the DD space, we compare the performance of the DD-BD method under two different settings: (i) where DDs are built in the space of w variables, denoted by DD-BD-w, and (ii) where DDs are built in the space of y variables, denoted by DD-BD-y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' We report the results of these two implementations for |V ′| ∈ {40,80} and under five different scenarios in Table 5 and Table 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' As observed in these tables, the DD-BD-w solves all instances faster than DD-BD-y, with orders of magnitude time improvement as the problem size (number of scenarios) increases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' These preliminary com- putational results show the advantage of designing the DD-BD method for the SGUFP in a transformed space of variables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' 2 0 1 0 2 0 2 1 0 W M M M M M M I七0 91,3 1 y2,3 0 0 1 0 0 0 b y2,4 0 0 0 M M M M 2 M MSalemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 33 Table 5 Running times (in seconds) of DD-BD-w and DD-BD-y for |V ′| = 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 DD-BD-w 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 129.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='87 163.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='43 219.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='02 274.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='36 DD-BD-y 89.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='68 304.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='08 432.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 642.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='70 839.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='57 2 DD-BD-w 42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='60 82.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='65 128.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='16 164.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 208.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 DD-BD-y 68.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 148.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='76 244.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='53 344.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='86 605.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 3 DD-BD-w 53.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='32 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='58 113.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 178.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='65 217.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 DD-BD-y 83.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='05 157.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='67 310.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='07 541.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='33 658.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='98 4 DD-BD-w 46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='61 87.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 130.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='19 183.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='23 253.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='72 DD-BD-y 78.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='11 149.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='26 325.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='31 460.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='73 694.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='57 5 DD-BD-w 67.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 104.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 138.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='46 195.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='69 231.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='74 DD-BD-y 109.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='61 223.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 351.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='80 532.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='12 669.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 Table 6 Running times (in seconds) of DD-BD-w and DD-BD-y for |V ′| = 80.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 DD-BD-w 256.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='12 500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='52 757.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='68 1025.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='88 1278.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='13 DD-BD-y 483.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='42 977.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='03 1642.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='27 3175.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='72 4230.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='29 2 DD-BD-w 184.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 379.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 724.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='66 1088.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 1587.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='90 DD-BD-y 340.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='13 864.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='21 1856.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 3010.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='55 4843.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='67 3 DD-BD-w 285.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='13 518.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='46 778.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='97 1046.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='39 1326.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='22 DD-BD-y 568.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='32 1176.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='44 2401.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='98 3326.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='76 4283.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='58 4 DD-BD-w 263.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='78 665.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='30 1230.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='81 1277.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='93 1444.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='02 DD-BD-y 501.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='04 1430.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='77 2868.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='92 3356.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='39 4356.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='48 5 DD-BD-w 187.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 376.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='96 564.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 1205.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='54 1412.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='94 DD-BD-y 354.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='37 781.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 1279.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='73 3001.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='72 3834.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='08 Appendix B: Additional Computational Experiments In this section, we present additional numerical results to assess the limits of the DD-BD method for larger problem instances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' These results are given in Tables 7 and 8, where the columns are defined similarly to those of Tables 1-4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' For these instances, the time limit is set to 3600 seconds, and the symbol “> 3600” indicates that the problem is not solved within this time limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Table 7 Running times (in seconds) of DD-BD for |V ′| = 120.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 DD-BD 1494.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='49 2824.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='58 > 3600 > 3600 > 3600 2 DD-BD 975.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='47 1892.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='41 3198.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='18 > 3600 > 3600 3 DD-BD 1150.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='30 2263.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='09 3454.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='47 > 3600 > 3600 4 DD-BD 1261.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='59 2403.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='79 > 3600 > 3600 > 3600 5 DD-BD 906.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='34 1863.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='15 3050.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content='68 > 3600 > 3600 Salemi and Davarnia: Solving Unsplittable Network Flow Problems with Decision Diagrams 34 Table 8 Running times (in seconds) of DD-BD for |V ′| = 150.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/hNAzT4oBgHgl3EQf4f5B/content/2301.01844v1.pdf'} +page_content=' Instance # Model Number of scenarios 50 100 150 200 250 1 DD-BD 2496.' 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--git a/ktE5T4oBgHgl3EQfGw6j/content/tmp_files/2301.05434v1.pdf.txt b/ktE5T4oBgHgl3EQfGw6j/content/tmp_files/2301.05434v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..61146d410d3d3157c4c4815ebd719b1193b4c681 --- /dev/null +++ b/ktE5T4oBgHgl3EQfGw6j/content/tmp_files/2301.05434v1.pdf.txt @@ -0,0 +1,1103 @@ +LVRNet: Lightweight Image Restoration for +Aerial Images under Low Visibility +Esha Pahwa* +BITS Pilani +f20180675@pilani.bits-pilani.ac.in +Achleshwar Luthra* +Carnegie Mellon University +achleshl@andrew.cmu.edu +Pratik Narang +BITS Pilani +pratik.narang@pilani.bits-pilani.ac.in +Abstract +Learning to recover clear images from images having a +combination of degrading factors is a challenging task. +That being said, autonomous surveillance in low visibility +conditions caused by high pollution/smoke, poor air qual- +ity index, low light, atmospheric scattering, and haze dur- +ing a blizzard becomes even more important to prevent ac- +cidents. It is thus crucial to form a solution that can re- +sult in a high-quality image and is efficient enough to be +deployed for everyday use. However, the lack of proper +datasets available to tackle this task limits the performance +of the previous methods proposed. To this end, we generate +the LowVis-AFO dataset, containing 3647 paired dark-hazy +and clear images. We also introduce a lightweight deep +learning model called Low-Visibility Restoration Network +(LVRNet). It outperforms previous image restoration meth- +ods with low latency, achieving a PSNR value of 25.744 and +an SSIM of 0.905, making our approach scalable and ready +for practical use. The code and data can be found here. +1. Introduction +Image enhancement and restoration have been a critical +area of research using both traditional digital image pro- +cessing techniques[12] [2], and the recent deep learning +frameworks[32][33][44]. The goal of image restoration is +to recover a clear image, whereas image enhancement is to +improve the quality of the degraded image. In this study, we +perform recovery of the clear image from the hazy version +while performing low-light image enhancement using a sin- +gle convolutional network, which could further be applied +to tasks such as search and rescue operations using object +detection. +*equal contribution +Using deep learning algorithms for image recovery has +many benefits, the most important being that it can general- +ize to different variations in the images captured. Hence, we +observe that deep learning-based methods on most bench- +mark datasets often outperform traditional methods signif- +icantly. +However, there are still challenges that the re- +searchers have to tackle for image restoration. +Publicly +available datasets containing a variety of degrading factors +that model real-world scenarios are few. Hence, most pre- +vious works have focused on removing one type of degra- +dation with a specific intensity level. From the perspective +of computational complexity, recent deep learning methods +are computationally expensive, and thus they can’t be de- +ployed on edge devices. Moreover, image restoration has +been a long-standing ill-posed research problem, as there +are infinite mappings between the degraded and the clear +image. Thus, the existing methods still have room for im- +provement in finding the correct mapping. +In this work, we focus on developing an end-to-end +lightweight deep-learning solution for the image restoration +task. Our major contributions are listed below: +• Taking inspiration from Non-linear Activation Free +Network (NAFNet) [5] and Level Attention Module +[45], we propose a novel algorithm - Low-Visibility +Restoration Network (LVRNet), that can effectively re- +cover high-quality images from degraded images taken +in poor visual conditions (Figure 1). +• Due to the lack of available datasets that exhibit a com- +bination of adverse effects, we generate a new dataset, +namely LowVis-AFO (abbreviation for Low-Visibility +Aerial Floating Objects dataset). We use AFO [15] as +our ground truth dataset and synthesize dark hazy im- +ages. The data generation process has been elaborated +in Section 4.1. +1 +arXiv:2301.05434v1 [cs.CV] 13 Jan 2023 + +Input +Zero-DCE +SGZNet +DehazeNet +StarDCE +BPPNet +FFANet +MSBDN-DFF +Ground Truth / Reference Image +Our Result +Input +Zero-DCE +SGZNet +DehazeNet +StarDCE +BPPNet +FFANet +MSBDN-DFF +Ground Truth / Reference Image +Our Result +Figure 1. Visual results on the proposed LowVis-AFO dataset. The method used to obtain each result has been mentioned under the +image. +• Benchmarking experiments have been provided on the +LowVis-AFO dataset to help future researchers for +quantitative comparison. +Along with that, LVRNet +surpasses the results obtained using previous image +restoration techniques by a significant margin. +• We perform extensive ablation studies to analyze the +importance of various loss functions existing in cur- +rent image restoration research. These experiments are +discussed in detail in Section 5. +2. Related Works +This section highlights the previous work done in the fields +of image dehazing and low-light image enhancement and +their limitations. +2.1. Image Dehazing +Hazy weather is often seen due to floating particles in +the environment which degrade the quality of the image +captured. Therefore, many previous works have tried to +recover a clear image from the hazy one. +These works +can be divided into two methods, ones that rely on prior +assumptions [17] and the atmospheric scattering model +(ASM) [31] and the others which use deep learning to solve +the problem, either by combination with ASM [3][34][36] +or independently [25][26][33][46][50]. +Conventional +approaches are physically inspired and apply various types +of sharp image priors to regularize the solution space. +However, they exhibit shortcomings when implemented +with real-world images and videos. For example, the dark +channel prior method (DCP) [31] does not perform well +in regions containing the sky. These methods [1][11][24] +are known to be computationally expensive and require +2 + +Pre-processing +Conv +Post-processing +Conv. +NAF-G1 +NAF-G2 ++ +LAN +NAF-G3 +Stacked Feature +Maps +Input Image +Output Image +Figure 2. Model architecture of the proposed LVRNet. Starting from the top-left: The input image is passed to the pre-processing +convolution layers where feature maps are learned and passed to NAF Groups (here we have used 3 groups). The features extracted from +each group are concatenated (or stacked) along the channel dimension and sent as input to the Level Attention Module (LAM). Finally, we +pass LAM’s output to CNN layers for post-processing, adding the original image through residual connection and extracting the restored +image at the bottom-left. +heuristic parameter-tuning. Supervised dehazing methods +can be divided into two subparts, one is ASM based, and +the other is non-ASM based. +ASM-based Learning: MSCNN[34] solves the task of +image dehazing by dividing the problem into three steps: +using CNN to estimate the transmission map t(x), using +statistical methods to find atmospheric light A and then +recover the clear image J(x) using t(x) and A jointly. Meth- +ods like LAP-Net [23] adopt the relation of depth with the +amount of haze in the image. The farther the scene from the +camera, the denser the haze would be. Hence it considers +the difference in the haze density in the input image using a +stage-wise loss, where each stage predicts the transmission +map from mild to severe haze scenes. +DehazeNet [3] +consists of four sequential operations: feature extraction, +multi-scale mapping, calculating local extremum, and +non-linear regression. MSRL-DehazeNet [43] decomposes +the problem into recovering high-frequency and basic com- +ponents. GCANet [4] employs residual learning between +haze-free and hazy images as an optimization objective. +End-to-end Learning: This subpart of previous work cor- +responds to non-ASM-based deep learning methods for re- +covering the clear image. Back-Projected Pyramid Network +(BPPNet) [39] is a generative adversarial network that in- +cludes iterative blocks of UNets [37] to learn haze features +and pyramid convolution to preserve spatial features of dif- +ferent scales. The reason behind using iterative blocks of +UNets[37] is to avoid increasing the number of encoder lay- +ers in a single UNet[37] as it leads to a decrease in height +and width of latent feature representation hence resulting in +loss of spatial information. Moreover, different blocks of +UNet learn different complexities of haze features, and the +final concatenation step ensures that all of them are taken +into account during image reconstruction. The final recon- +struction is done using the pyramid convolution block. The +output feature is post-processed to get a haze-free image. +Feature-Fusion Attention Network (FFANet) [33] adopts +the idea of an attention mechanism and skip connections +to restore haze-free images. A combination of channel at- +tention and pixel attention is introduced, which helps the +network, deal with the uneven spatial distribution of haze +and different weighted information across channels. Au- +toencoders [6], hierarchical networks [9], and dense block +networks [14] has also been proposed for the task of image +dehazing. However, our main comparison lies with FFANet +[33], wherein we show a huge improvement compared to +the former method with a model containing a lesser number +of parameters and which can generalize to different levels +of haze. +2.2. Low-light Enhancement +Traditional methods for low-light image enhancement +(LLIE) include Histogram Equalization-based methods and +Retinex model-based methods. Recent research has been +focused on developing deep learning-based methods fol- +lowing the success of the first seminal work. Deep learning- +based solutions are more accurate, robust, and have a +shorter inference time thus attracting more researchers. +3 + +Layer Norm +1x1, conv +3x3, dconv +Simple Gate +SCA +1x1, conv ++ +Layer Norm +1x1, conv +Simple Gate +1x1, conv ++ +I/P +O/P +NAF BLOCK +NAF BLOCK +NAF BLOCK +CONV ++ +NAF-Group +NAF Block +Figure 3. Architecture of NAF Block and NAF Group. NAF Blocks are the building blocks of NAF Groups. A detailed description has +been provided in Section 3.1 and Section 3.1.1 +Learning strategies used in these methods are mainly su- +pervised learning [27, 29, 30, 35, 51, 28, 41], unsupervised +learning [20], and zero-shot learning [49, 13]. +Supervised Learning: The first deep learning-based LLIE +method LLNet [27] is an end-to-end network that employs a +variant of stacked-sparse denoising autoencoder to brighten +and denoise low-light images simultaneously. LLNet in- +spired many other works [29, 30, 35, 51], but they do not +consider the observation that noise exhibits different lev- +els of contrast in different frequency layers. Later, Xu et +al. [41] proposed a network that suppresses noise in the +low-frequency layers and recovers the image contents by +inferring the details in high-frequency layers. There is an- +other division of methods that is based on the Retinex the- +ory. Deep Retinex-based models [40, 42] decomposes the +image into two separate components - light-independent +reflectance and structure-aware smooth illumination. The +final estimated reflection component is treated as the en- +hanced result. +Unsupervised Learning: Although the above-mentioned +methods perform well on synthetic data, they show limited +generalization capability on real-world low-light images. +This might be the result of overfitting. EnlightenGAN [20] +proposed to solve this issue by adopting an unsupervised +learning technique, i.e., avoiding the use of paired synthetic +data. This work uses attention-guided UNet as a generator +and global-local discriminators to achieve the objective of +LLIE. +Zero-short Learning: These methods, in low-level vision +tasks, do not require any paired or unpaired training data. +Zero-reference Deep Curve Estimation [13] formulates im- +age enhancement as a task of image-specific deep curve +estimation, taking into account pixel value range, mono- +tonicity, and differentiability. It is a lightweight DCE-Net +that doesn’t require paired or unpaired ground truth images +during training and relies on non-reference loss functions +that measure the enhancement quality hence driving the +learning of the network. Another such method, Semantic- +guided Zero-shot low-light enhancement Network [49] is a +lightweight model for low-light enhancement factor extrac- +tion which is inspired by the architecture of U-Net [37]. The +output of this network is fed to a recurrent image enhance- +ment network, along with the degraded input image. Each +stage in this network considers the enhancement factor and +the output from the previous scale as its input. This is fol- +lowed by a feature-pyramid network that aims to preserve +the semantic information in the image. +More recently, researchers have experimented with trans- +formers for Zero-shot Learning LLIE. Structure-Aware +lightweight Transformer (STAR) [47] focuses on real-time +image enhancement without using deep-stacked CNNs or +large transformer models. STAR is formulated to capture +long-range dependencies between separate image patches, +facilitating the model to learn structural relationships be- +tween different regions of the images. In STAR, patches of +the image are tokenized into token embeddings. The tokens +generated as an intermediate stage are passed to a long- +short-range transformer that outputs two long and short- +range structural maps. These structural maps can further +predict curve estimation or transformation for image en- +hancement tasks. Although these methods show impressive +results for the study of low-light image enhancement for +which it originally developed, they cannot deal with foggy +low– light images. +2.3. Limitations +Previous works have relied on ASM-based methods in the +case of dehazing and Retinex model-based methods for low- +light image enhancement. +However, these methods fail +to generalize to real-world images. Recent deep learning- +based methods using large networks solve the task of im- +age dehazing and low-light enhancement separately. To our +knowledge, no work is introduced that solves the two prob- +lems in a collaborative network. Deep learning methods +4 + +also fail to generalize to different haze levels and darkness. +3. Proposed Methodology +In this section, we provide a detailed description of the over- +all architecture proposed and the individual components in- +cluded in the network. +3.1. Architecture +Like the group structure in [33], each group in our network +consists of a K NAF Block [5] with a skip connection at +the end as shown in Figure 3. The output of each group is +concatenated, passed to the level attention module to find +the weighted importance of the feature maps obtained, and +post-processed using two convolutional layers. A long skip +connection for global residual learning accompanies this. +3.1.1 +NAF-Block +To keep this work self-contained, we explain the NAF Block +[5] in this subsection. NAF Block is the building block +of Nonlinear Activation Free Network. Namely NAFNet +[5]. To avoid over-complexity in the architecture, this block +avoids using any activation functions like ReLU, GELU, +Softmax, etc. hence keeping a check on the intra-block com- +plexity of the network. +The input first passes through Layer Normalization as it can +help stabilize the training process. This is followed by con- +volution operations and a Simple Gate (SG). SG is a variant +of Gated Linear Units (GLU) [10] as evident from the fol- +lowing equations 1 and 2 +GLU(X, f, g, σ) = f(X) ⊙ σ(g(X)) +(1) +S impleGate(X, Y) = X ⊙ Y +(2) +and a replacement for GELU[18] activation function be- +cause of the similarity between GLU and GELU (Equa- +tion 3). +GELU(x) = xφ(x) +(3) +In Simple Gate, the feature maps are divided into two parts +along the channel dimension and then multiplied as shown +in Figure 4. Another novelty introduced in this block is +Simplified Channel Attention (SCA). Channel Attention +(CA) can be expressed as: +CA(X) = X ⊗ σ(W2max(0, W1pool(X))) +(4) +where X represents the feature map, pool indicates the +global average pooling operation,σ is Sigmoid, W1, W2 are +fully-connected layers and ⊗ is a channel-wise product op- +eration. This can be taken as a special case of GLU from +W +W +W +H +H +H +C/2 +C/2 +C/2 +Figure 4. Simple Gate as represented by Equation 2 ⊗ denotes +channel-wise multiplicaWere +which we can derivate the equation for Simplified Channel +Attention: +SCA(X) = X ⊗ Wpool(X) +(5) +3.1.2 +Level Attention Module +Once we have extracted features from all the NAF Groups, +we concatenate them and pass them through the Level At- +tention Module (LAM) [45]. This module learns attention +weights for features obtained at different levels. +In LAM, each feature map is first reshaped to a 2D matrix +of the size K × HWC, where K, H, W, and C are the no. of +NAF Groups, height, width, and no. of channels of the fea- +ture maps respectively. We find a correlation matrix of this +2D matrix by multiplying it with its transpose matrix. Fi- +nally, we multiply the 2D matrix with this correlation ma- +trix and reshape it to K × H × W × C tensor. Inspired by +residual learning, this tensor is substituted for residual and +is added to the original concatenated feature maps. The re- +sultant features are then reshaped to H × W × KC, passing +through 1 × 1 convolution operation to get the H × W × C +feature map. This is passed through some post-processing +convolutions to get the final enhanced output. We include +its architecture diagram in the supplementary material for a +better understanding. +3.2. Loss Functions +Four loss functions, namely, reconstruction loss, perceptual +loss, edge loss [19], and FFT loss[7], have been used to +supervise the task of image restoration. +The total loss L is defined in Equation 6, where λ1 = 0.04, +λ2 = 1 and λ3 = 0.01. +L = Ls + λ1Lp + λ2Le + λ3Lf +(6) +3.2.1 +Reconstruction Loss: +The restored clear output image is compared with its ground +truth value in the spatial domain using a standard l1 loss as +5 + +demonstrated in Equation 7. We use l1 loss instead of l2 loss +as it does not over-penalize the errors and leads to better +image restoration performance [48]. +Ls = 1 +N +n +� +i=1 +∥ xgt +i − NAFNet(xdark,hazy +i +) ∥1 +(7) +In the above equation, xgt +i refers to the ground truth clear im- +age, and NAFNet(xdark,hazy +i +) denotes the output of our pro- +posed NAFNet when a dark and hazy image is fed to the +network. +3.2.2 +Perceptual Loss: +To reduce the perceptual loss and improve the image’s vi- +sual quality, we utilize the features of the pre-trained VGG- +19 network [38] obtained from the output of one of the +ReLU activation layers. It is defined in Equation 8, where +wi j, hij, and cij refer to the dimensions of the respective +feature maps inside the VGG-19 architecture. φij denotes +the feature maps outputted from the jth convolutional layer +inside the i-th block in the VGG network. +Lp = +1 +wijhijci j +wij +� +x=1 +hij +� +y=1 +cij +� +z=1 +∥ φij(Igt)xyz − φij(Iout)xyz ∥ +(8) +3.2.3 +Edge Loss: +To recover the high-frequency details lost because of the in- +herent noise in dark and hazy images, we have an additional +edge loss to constrain the high-frequency components be- +tween the ground truth and the recovered image. +Le = +� +(∇2(Igt) − ∇2(Iout))2 + ϵ2 +(9) +In Equation 9, ∇2 refers to the Laplacian operation [22], +which is then applied to the ground truth and the predicted +clean image to get the edge loss. +3.2.4 +FFT Loss: +To supervise the haze-free results in the frequency domain, +we add another loss called Fast Fourier transform (FFT) loss +(denoted by Lf in Equation 12. It calculates the loss of both +amplitude and phase using the l1 loss function without ad- +ditional inference cost. +Axgt +i , Pxgt +i = FFT(xgt +i ), +(10) +Axout +i , Pxout +i += FFT(xout +i ), +(11) +L f = 1 +N +n +� +i=1 +(∥ Axgt +i − Axout +i +∥1 + ∥ Pxgt +i − Pxout +i +∥1) +(12) +4. Experimental Results +To demonstrate the outcomes of our model’s approach to- +wards image enhancement under low-visibility conditions, +this section contains a detailed description of the dataset +generated and used in Section 4.1, the experimental set- +tings in Section 4.2, the metrics used for evaluation in Sec- +tion 4.3 and a discussion on the results obtained in Sec- +tion 5.1 and 5.2. +4.1. Dataset Details +Due to the lack of available datasets that meet our require- +ments, we generate a new one using the AFO dataset [15]. +The dataset generation process has been elaborated below, +and the final images have been shown in Figure 5. +• Haze effect - To add fog, imgaug [21], a well-known +python library was used. A random integral value be- +tween 3, 4, 5 was selected, representing the fog’s sever- +ity. For each image, this random number was chosen +and pre-defined functions within the package were uti- +lized to add a layer of fog to the image. +• Low-light Effect - Given a normal image, our goal is +to output a low-lit image while preserving the underly- +ing information. We follow the pipeline introduced [8], +which parametrically models the low light-degrading +transformation by observing the image signal process- +ing (ISP) pipeline between the sensor measurement +system and the final image. +The low-illumination- +degrading pipeline is a three-stage process: +– Unprocessing procedure - This part aims to syn- +thesize RAW format images from input sRGB +images by invert tone mapping, invert gamma +correction, and the transformation of the image +from sRGB space to cRGB space, and invert +white balancing. +– Low Light Corruption - This aims at adding shot +and read noises to the output of the unprocess- +ing procedure, as these are common in-camera +imaging systems. Shot noise is a type of noise +generated by the random arrival of photons in +a camera, which is a fundamental limitation. +Read noise occurs during the charge conversion +of electrons into voltage in the output amplifier, +which can be approximated using a Gaussian ran- +dom variable with zero mean and fixed variance. +– ISP Pipeline - RAW image processing is done +after the lowlight corruption process in the fol- +lowing order: add quantization noise, white bal- +ancing from cRGB to sRGB, and gamma correc- +tion, which finally outputs a degraded low-light +image. +6 + +Ground Truth Images +Ground Truth Images +Generated Images +Generated Images +Figure 5. Visual illustration of a few sample images from our dataset. Columns 1 and 3 show original images taken from AFO Dataset +[15], whereas Columns 2 and 4 show their corresponding images generated as explained in Section 4.1 simulating low-visibility conditions. +• Combination of Haze and Low-light Effect - Re- +sults of implementing the low-light generation algo- +rithm described above on foggy images generated us- +ing img-aug are shown here. It can be seen that com- +bining the two (fog and low light) has introduced ad- +versity in finding the location of the objects in the wa- +ter bodies. Moreover, finding a unique solution for +such a combination has not been explored to date +4.2. Experimental Settings +The images were resized to get the resultant dimensions as +256 × 456. Adam optimizer with an initial learning rate of +1e−4, β1, and β2 with a value of 0.9 and 0.999 were chosen. +The batch size was fixed as 2. We have used 3 groups in all +our experiments, each with 16 blocks. Pytorch backend was +used to compile the model and train it. +4.3. Evaluation Metrics +We reported the results we obtained using two standard im- +age restoration metrics (i.e., PSNR and SSIM). These met- +rics will help us quantitatively evaluate the performance of +our model in terms of feature colors and structure similarity. +High PSNR and SSIM values if indicative of good results. +5. Experimental Results +The architecture used is given in Figure 2. This section +gives a detailed analysis of the results obtained by the pro- +posed method. +5.1. Discussion and Comparison +In this subsection, we discuss the evaluation results ob- +tained by the proposed pipeline. Previous methods were +Method +Year +PSNR +SSIM +Zero-DCE[13] +2020 +12.323 +0.529 +SGZNet[49] +2022 +12.578 +0.519 +BPPNet[39] +2022 +15.507 +0.755 +DehazeNet[3] +2016 +15.710 +0.391 +Star-DCE[47] +2021 +16.651 +0.539 +FFANet[7] +2020 +15.050 +0.582 +MSBDN-DFF[16] +2020 +16.686 +0.689 +LVRNet (Ours) +2022 +25.744 +0.905 +Table 1. Quantitative comparison of our proposed network +with previous work. The best results and the second-best results +have been highlighted with red color and blue colors, respectively. +trained on the newly generated dataset and tested to com- +pare their metrics with our model’s performance. These +methods were built to enhance the low-light image or obtain +a clear image from a hazy one. The results are mentioned +in Table 1. +We observe a huge increase in the PSNR value as compared +to Zero-DCE[13], which enhances the low-light image as a +curve estimation problem. However, it introduces an even +amplified noise leading to color degradation as seen in Fig- +ure 1. Notwithstanding its fast processing speed, Zero-DCE +has limited noise suppression and haze removal capacity. +Star-DCE[47], which uses a transformer backbone instead +of a CNN one in the Zero-DCE network, shows a 35.12% +increase in PSNR value. Owing to the added LAM struc- +7 + +S.no. +Reconstruction Loss +Perceptual Loss +Edge Loss +FFT Loss +PSNR +SSIM +1. + + + + +24.070 +0.870 +2. + + + + +25.455 +0.903 +3. + + + + +25.624 +0.897 +4. + + + + +25.719 +0.900 +5. + + + + +25.744 +0.905 +Table 2. Ablation experiments: We train our model using different combinations of loss functions to understand the importance of +individual losses for image restoration. The best results are obtained when the model is trained using all the loss functions mentioned in +this work. +ture, using which our model can focus on more important +feature maps, we can achieve a 54% higher PSNR value. +SGZNet[49] uses pretrained networks for enhancement fac- +tor estimation, thus their result is dependent on those pre- +trained weights, leading to a lower PSNR value of 12.578 +on LowVis-AFO. From Figure 1, we observe that the result +obtained from SGZNet is still degraded by excessive noise +and lacks saturation. DehazeNet[3] is limited by the net- +work’s depth and cannot generalize to real-world scenarios. +Hence, it results in a low PSNR of 15.710. Methods like +BPPNet[39] and FFANet[33] are end-to-end deep learning +methods for image dehazing. BPPNet[39] distorts the color +distribution in the recovered image as it cannot remove the +dark regions, whereas FFA-Net[33] produces image with a +lower perceptual quality. +We propose an end-to-end deep learning pipeline (0.43M +parameters) that can perform image dehazing and low-light +image enhancement with a significant decrease in the num- +ber of parameters as compared to MSBDN-DFF [16] (31M +parameters) and FFA-Net[33] (4.45M parameters). +The supplementary material has provided a discussion +on the number of parameters of other models. +We also +trained the model for 10 epochs with fewer NAF blocks to +prove that we achieved better results than the lighter results, +not due to an increase in parameters but because of the self- +sufficiency of the added LAM module, non-linear activation +networks, and residual connections. The results of these ex- +periments are reported in the supplementary material. +5.2. Ablation Studies +To prove the importance of the perceptual loss, edge loss, +and fft-loss, added to supervise the training procedure, we +conducted experiments excluding each of them and reported +the values of PSNR and SSIM in Table 2. We keep the l1 +loss function constant in all experiments as it is critical in +image restoration tasks. We observe an increase in metric +values in the lower rows compared to row 1. As a result +of more supervision in the unchanged architecture, there is +an increase in the quality of clear images obtained, which +are demonstrated in the supplementary material. There is +also an increase in PSNR value (which depends on per-pixel +distance) in row 3, once we train the model without percep- +tual loss. This is seen as perceptual loss doesn’t compare +individual pixel values but the high-level features obtained +from a pretrained network. In row 4, we get a lower PSNR +value on excluding edge loss compared to row 5, as we get +lesser edge supervision. Overall, we get the best perfor- +mance when we include all the loss functions, as seen in +row 5. +6. Conclusion +In this work, we have presented Low-Visibility Restora- +tion Network (LVRNet), a new lightweight deep learning +architecture for image restoration. +We also introduce a +new dataset, LowVis-AFO, that includes a diverse combi- +nation of synthetic darkness and haze. We also performed +benchmarking experiments on our generated dataset and +surpassed the results obtained using the previous image +restoration network by a significant margin. Qualitative and +quantitative comparison with previous work has demon- +strated the effectiveness of LVRNet. We believe our work +will motivate more research, focused on dealing with a com- +bination of adverse effects such as haze, rain, snowfall, etc. +rather than considering a single factor. In our future work, +we plan to extend LVRNet for image restoration tasks where +more factors, that negatively impact the image quality, are +taken into account. +8 + +Supplementary Material +To make our submission self-contained and given the page +limitation, this supplementary material provides additional +details. Section 1 gives an overview of the number of pa- +rameters and PSNR obtained by different methods. Sec- +tion 2 contains visual results that highlight the significance +of the loss functions. Section 3 contains the ablation ex- +periment with lesser blocks, and Section 4 demonstrates the +architecture diagram of the level attention module. +1. PSNR vs Parameters +Figure 6 presents the PSNR vs. Parameters plot that the +previous methods and our method achieved on the testing +set of LowVis-AFO. Our model outperforms the state-of- +the-art image dehazing and low-light image enhancement +methods by a good margin while having a lesser number of +parameters. +Figure 6. The PSNR vs Number of Parameters of recent image +restoration methods on the newly proposed LowVis-AFO dataset. +S.no. +#Blocks +PSNR +SSIM +#params +Runtime(s) +1. +14 +21.3432 +0.8626 +0.38M +0.035 +2. +12 +20.4302 +0.8488 +0.33M +0.029 +3. +10 +20.2965 +0.8494 +0.28M +0.024 +Table 3. Results of the experiments conducted on a lesser num- +ber of NAF blocks. The training was done for 10 epochs and the +metrics were obtained on the test set thereafter. +2. Ablation Experiment on Different Loss +Functions +Figure 8 demonstrates the visual results obtained when +we conducted experiments excluding some loss functions. +The motivation behind the experiment is to highlight the +importance of the extra loss functions (perceptual loss, edge +loss, fft-loss) added to supervise our pipeline. The quanti- +tative results are given in Table 2 in the main manuscript. +3. Ablation Experiment with Lesser Number of +Blocks +To prove the self-sufficiency of the individual components +included in our architecture such as LAM, we conduct ex- +periments with a lesser number of NAF blocks [5] and re- +ported the PSNR and SSIM obtained in Table 1. Seeing +the results, we can conclude that our model achieves better +results, not because of an increase in the number of param- +eters as compared to the lighter model, but because of the +entire pipeline adopted. +4. Level Attention Module +As mentioned in the main text, the diagram for LAM[45] +has been provided here in the supplementary material. (re- +fer Figure 7) +References +[1] Codruta O Ancuti, Cosmin Ancuti, Chris Hermans, and +Philippe Bekaert. A fast semi-inverse approach to detect and +remove the haze from a single image. In Asian Conference +on Computer Vision, pages 501–514. Springer, 2010. +[2] Julian Besag, Jeremy York, and Annie Mollié. 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In the figure, L = L1 loss, P = Perceptual +Loss, E = Edge loss and F = FFT loss. +12 + diff --git a/ktE5T4oBgHgl3EQfGw6j/content/tmp_files/load_file.txt b/ktE5T4oBgHgl3EQfGw6j/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..f1af401cf10a33a1fd62ef395454667d19fd57fe --- /dev/null +++ b/ktE5T4oBgHgl3EQfGw6j/content/tmp_files/load_file.txt @@ -0,0 +1,525 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf,len=524 +page_content='LVRNet: Lightweight Image Restoration for Aerial Images under Low Visibility Esha Pahwa* BITS Pilani f20180675@pilani.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='bits-pilani.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='in Achleshwar Luthra* Carnegie Mellon University achleshl@andrew.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='cmu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='edu Pratik Narang BITS Pilani pratik.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='narang@pilani.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='bits-pilani.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='in Abstract Learning to recover clear images from images having a combination of degrading factors is a challenging task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' That being said, autonomous surveillance in low visibility conditions caused by high pollution/smoke, poor air qual- ity index, low light, atmospheric scattering, and haze dur- ing a blizzard becomes even more important to prevent ac- cidents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' It is thus crucial to form a solution that can re- sult in a high-quality image and is efficient enough to be deployed for everyday use.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' However, the lack of proper datasets available to tackle this task limits the performance of the previous methods proposed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' To this end, we generate the LowVis-AFO dataset, containing 3647 paired dark-hazy and clear images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We also introduce a lightweight deep learning model called Low-Visibility Restoration Network (LVRNet).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' It outperforms previous image restoration meth- ods with low latency, achieving a PSNR value of 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='744 and an SSIM of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='905, making our approach scalable and ready for practical use.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The code and data can be found here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Introduction Image enhancement and restoration have been a critical area of research using both traditional digital image pro- cessing techniques[12] [2], and the recent deep learning frameworks[32][33][44].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The goal of image restoration is to recover a clear image, whereas image enhancement is to improve the quality of the degraded image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In this study, we perform recovery of the clear image from the hazy version while performing low-light image enhancement using a sin- gle convolutional network, which could further be applied to tasks such as search and rescue operations using object detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' equal contribution Using deep learning algorithms for image recovery has many benefits, the most important being that it can general- ize to different variations in the images captured.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Hence, we observe that deep learning-based methods on most bench- mark datasets often outperform traditional methods signif- icantly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' However, there are still challenges that the re- searchers have to tackle for image restoration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Publicly available datasets containing a variety of degrading factors that model real-world scenarios are few.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Hence, most pre- vious works have focused on removing one type of degra- dation with a specific intensity level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' From the perspective of computational complexity, recent deep learning methods are computationally expensive, and thus they can’t be de- ployed on edge devices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Moreover, image restoration has been a long-standing ill-posed research problem, as there are infinite mappings between the degraded and the clear image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Thus, the existing methods still have room for im- provement in finding the correct mapping.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In this work, we focus on developing an end-to-end lightweight deep-learning solution for the image restoration task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Our major contributions are listed below: Taking inspiration from Non-linear Activation Free Network (NAFNet) [5] and Level Attention Module [45], we propose a novel algorithm - Low-Visibility Restoration Network (LVRNet), that can effectively re- cover high-quality images from degraded images taken in poor visual conditions (Figure 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Due to the lack of available datasets that exhibit a com- bination of adverse effects, we generate a new dataset, namely LowVis-AFO (abbreviation for Low-Visibility Aerial Floating Objects dataset).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We use AFO [15] as our ground truth dataset and synthesize dark hazy im- ages.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The data generation process has been elaborated in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 1 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='05434v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='CV] 13 Jan 2023 Input Zero-DCE SGZNet DehazeNet StarDCE BPPNet FFANet MSBDN-DFF Ground Truth / Reference Image Our Result Input Zero-DCE SGZNet DehazeNet StarDCE BPPNet FFANet MSBDN-DFF Ground Truth / Reference Image Our Result Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Visual results on the proposed LowVis-AFO dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The method used to obtain each result has been mentioned under the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Benchmarking experiments have been provided on the LowVis-AFO dataset to help future researchers for quantitative comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Along with that, LVRNet surpasses the results obtained using previous image restoration techniques by a significant margin.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We perform extensive ablation studies to analyze the importance of various loss functions existing in cur- rent image restoration research.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' These experiments are discussed in detail in Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Related Works This section highlights the previous work done in the fields of image dehazing and low-light image enhancement and their limitations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Image Dehazing Hazy weather is often seen due to floating particles in the environment which degrade the quality of the image captured.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Therefore, many previous works have tried to recover a clear image from the hazy one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' These works can be divided into two methods, ones that rely on prior assumptions [17] and the atmospheric scattering model (ASM) [31] and the others which use deep learning to solve the problem, either by combination with ASM [3][34][36] or independently [25][26][33][46][50].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Conventional approaches are physically inspired and apply various types of sharp image priors to regularize the solution space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' However, they exhibit shortcomings when implemented with real-world images and videos.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' For example, the dark channel prior method (DCP) [31] does not perform well in regions containing the sky.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' These methods [1][11][24] are known to be computationally expensive and require 2 Pre-processing Conv Post-processing Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' NAF-G1 NAF-G2 + LAN NAF-G3 Stacked Feature Maps Input Image Output Image Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Model architecture of the proposed LVRNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Starting from the top-left: The input image is passed to the pre-processing convolution layers where feature maps are learned and passed to NAF Groups (here we have used 3 groups).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The features extracted from each group are concatenated (or stacked) along the channel dimension and sent as input to the Level Attention Module (LAM).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Finally, we pass LAM’s output to CNN layers for post-processing, adding the original image through residual connection and extracting the restored image at the bottom-left.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' heuristic parameter-tuning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Supervised dehazing methods can be divided into two subparts, one is ASM based, and the other is non-ASM based.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' ASM-based Learning: MSCNN[34] solves the task of image dehazing by dividing the problem into three steps: using CNN to estimate the transmission map t(x), using statistical methods to find atmospheric light A and then recover the clear image J(x) using t(x) and A jointly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Meth- ods like LAP-Net [23] adopt the relation of depth with the amount of haze in the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The farther the scene from the camera, the denser the haze would be.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Hence it considers the difference in the haze density in the input image using a stage-wise loss, where each stage predicts the transmission map from mild to severe haze scenes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' DehazeNet [3] consists of four sequential operations: feature extraction, multi-scale mapping, calculating local extremum, and non-linear regression.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' MSRL-DehazeNet [43] decomposes the problem into recovering high-frequency and basic com- ponents.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' GCANet [4] employs residual learning between haze-free and hazy images as an optimization objective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' End-to-end Learning: This subpart of previous work cor- responds to non-ASM-based deep learning methods for re- covering the clear image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Back-Projected Pyramid Network (BPPNet) [39] is a generative adversarial network that in- cludes iterative blocks of UNets [37] to learn haze features and pyramid convolution to preserve spatial features of dif- ferent scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The reason behind using iterative blocks of UNets[37] is to avoid increasing the number of encoder lay- ers in a single UNet[37] as it leads to a decrease in height and width of latent feature representation hence resulting in loss of spatial information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Moreover, different blocks of UNet learn different complexities of haze features, and the final concatenation step ensures that all of them are taken into account during image reconstruction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The final recon- struction is done using the pyramid convolution block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The output feature is post-processed to get a haze-free image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Feature-Fusion Attention Network (FFANet) [33] adopts the idea of an attention mechanism and skip connections to restore haze-free images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' A combination of channel at- tention and pixel attention is introduced, which helps the network, deal with the uneven spatial distribution of haze and different weighted information across channels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Au- toencoders [6], hierarchical networks [9], and dense block networks [14] has also been proposed for the task of image dehazing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' However, our main comparison lies with FFANet [33], wherein we show a huge improvement compared to the former method with a model containing a lesser number of parameters and which can generalize to different levels of haze.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Low-light Enhancement Traditional methods for low-light image enhancement (LLIE) include Histogram Equalization-based methods and Retinex model-based methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Recent research has been focused on developing deep learning-based methods fol- lowing the success of the first seminal work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Deep learning- based solutions are more accurate, robust, and have a shorter inference time thus attracting more researchers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3 Layer Norm 1x1, conv 3x3, dconv Simple Gate SCA 1x1, conv + Layer Norm 1x1, conv Simple Gate 1x1, conv + I/P O/P NAF BLOCK NAF BLOCK NAF BLOCK CONV + NAF-Group NAF Block Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Architecture of NAF Block and NAF Group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' NAF Blocks are the building blocks of NAF Groups.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' A detailed description has been provided in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1 and Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1 Learning strategies used in these methods are mainly su- pervised learning [27, 29, 30, 35, 51, 28, 41], unsupervised learning [20], and zero-shot learning [49, 13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Supervised Learning: The first deep learning-based LLIE method LLNet [27] is an end-to-end network that employs a variant of stacked-sparse denoising autoencoder to brighten and denoise low-light images simultaneously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' LLNet in- spired many other works [29, 30, 35, 51], but they do not consider the observation that noise exhibits different lev- els of contrast in different frequency layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Later, Xu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' [41] proposed a network that suppresses noise in the low-frequency layers and recovers the image contents by inferring the details in high-frequency layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' There is an- other division of methods that is based on the Retinex the- ory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Deep Retinex-based models [40, 42] decomposes the image into two separate components - light-independent reflectance and structure-aware smooth illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The final estimated reflection component is treated as the en- hanced result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Unsupervised Learning: Although the above-mentioned methods perform well on synthetic data, they show limited generalization capability on real-world low-light images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This might be the result of overfitting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' EnlightenGAN [20] proposed to solve this issue by adopting an unsupervised learning technique, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=', avoiding the use of paired synthetic data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This work uses attention-guided UNet as a generator and global-local discriminators to achieve the objective of LLIE.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Zero-short Learning: These methods, in low-level vision tasks, do not require any paired or unpaired training data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Zero-reference Deep Curve Estimation [13] formulates im- age enhancement as a task of image-specific deep curve estimation, taking into account pixel value range, mono- tonicity, and differentiability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' It is a lightweight DCE-Net that doesn’t require paired or unpaired ground truth images during training and relies on non-reference loss functions that measure the enhancement quality hence driving the learning of the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Another such method, Semantic- guided Zero-shot low-light enhancement Network [49] is a lightweight model for low-light enhancement factor extrac- tion which is inspired by the architecture of U-Net [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The output of this network is fed to a recurrent image enhance- ment network, along with the degraded input image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Each stage in this network considers the enhancement factor and the output from the previous scale as its input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This is fol- lowed by a feature-pyramid network that aims to preserve the semantic information in the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' More recently, researchers have experimented with trans- formers for Zero-shot Learning LLIE.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Structure-Aware lightweight Transformer (STAR) [47] focuses on real-time image enhancement without using deep-stacked CNNs or large transformer models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' STAR is formulated to capture long-range dependencies between separate image patches, facilitating the model to learn structural relationships be- tween different regions of the images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In STAR, patches of the image are tokenized into token embeddings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The tokens generated as an intermediate stage are passed to a long- short-range transformer that outputs two long and short- range structural maps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' These structural maps can further predict curve estimation or transformation for image en- hancement tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Although these methods show impressive results for the study of low-light image enhancement for which it originally developed, they cannot deal with foggy low– light images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Limitations Previous works have relied on ASM-based methods in the case of dehazing and Retinex model-based methods for low- light image enhancement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' However, these methods fail to generalize to real-world images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Recent deep learning- based methods using large networks solve the task of im- age dehazing and low-light enhancement separately.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' To our knowledge, no work is introduced that solves the two prob- lems in a collaborative network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Deep learning methods 4 also fail to generalize to different haze levels and darkness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Proposed Methodology In this section, we provide a detailed description of the over- all architecture proposed and the individual components in- cluded in the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Architecture Like the group structure in [33], each group in our network consists of a K NAF Block [5] with a skip connection at the end as shown in Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The output of each group is concatenated, passed to the level attention module to find the weighted importance of the feature maps obtained, and post-processed using two convolutional layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' A long skip connection for global residual learning accompanies this.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1 NAF-Block To keep this work self-contained, we explain the NAF Block [5] in this subsection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' NAF Block is the building block of Nonlinear Activation Free Network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Namely NAFNet [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' To avoid over-complexity in the architecture, this block avoids using any activation functions like ReLU, GELU, Softmax, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' hence keeping a check on the intra-block com- plexity of the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The input first passes through Layer Normalization as it can help stabilize the training process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This is followed by con- volution operations and a Simple Gate (SG).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' SG is a variant of Gated Linear Units (GLU) [10] as evident from the fol- lowing equations 1 and 2 GLU(X, f, g, σ) = f(X) ⊙ σ(g(X)) (1) S impleGate(X, Y) = X ⊙ Y (2) and a replacement for GELU[18] activation function be- cause of the similarity between GLU and GELU (Equa- tion 3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' GELU(x) = xφ(x) (3) In Simple Gate, the feature maps are divided into two parts along the channel dimension and then multiplied as shown in Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Another novelty introduced in this block is Simplified Channel Attention (SCA).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Channel Attention (CA) can be expressed as: CA(X) = X ⊗ σ(W2max(0, W1pool(X))) (4) where X represents the feature map, pool indicates the global average pooling operation,σ is Sigmoid, W1, W2 are fully-connected layers and ⊗ is a channel-wise product op- eration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This can be taken as a special case of GLU from W W W H H H C/2 C/2 C/2 Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Simple Gate as represented by Equation 2 ⊗ denotes channel-wise multiplicaWere which we can derivate the equation for Simplified Channel Attention: SCA(X) = X ⊗ Wpool(X) (5) 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2 Level Attention Module Once we have extracted features from all the NAF Groups, we concatenate them and pass them through the Level At- tention Module (LAM) [45].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This module learns attention weights for features obtained at different levels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In LAM, each feature map is first reshaped to a 2D matrix of the size K × HWC, where K, H, W, and C are the no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' of NAF Groups, height, width, and no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' of channels of the fea- ture maps respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We find a correlation matrix of this 2D matrix by multiplying it with its transpose matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Fi- nally, we multiply the 2D matrix with this correlation ma- trix and reshape it to K × H × W × C tensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Inspired by residual learning, this tensor is substituted for residual and is added to the original concatenated feature maps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The re- sultant features are then reshaped to H × W × KC, passing through 1 × 1 convolution operation to get the H × W × C feature map.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This is passed through some post-processing convolutions to get the final enhanced output.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We include its architecture diagram in the supplementary material for a better understanding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Loss Functions Four loss functions, namely, reconstruction loss, perceptual loss, edge loss [19], and FFT loss[7], have been used to supervise the task of image restoration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The total loss L is defined in Equation 6, where λ1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='04, λ2 = 1 and λ3 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='01.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' L = Ls + λ1Lp + λ2Le + λ3Lf (6) 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1 Reconstruction Loss: The restored clear output image is compared with its ground truth value in the spatial domain using a standard l1 loss as 5 demonstrated in Equation 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We use l1 loss instead of l2 loss as it does not over-penalize the errors and leads to better image restoration performance [48].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Ls = 1 N n � i=1 ∥ xgt i − NAFNet(xdark,hazy i ) ∥1 (7) In the above equation, xgt i refers to the ground truth clear im- age, and NAFNet(xdark,hazy i ) denotes the output of our pro- posed NAFNet when a dark and hazy image is fed to the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2 Perceptual Loss: To reduce the perceptual loss and improve the image’s vi- sual quality, we utilize the features of the pre-trained VGG- 19 network [38] obtained from the output of one of the ReLU activation layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' It is defined in Equation 8, where wi j, hij, and cij refer to the dimensions of the respective feature maps inside the VGG-19 architecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' φij denotes the feature maps outputted from the jth convolutional layer inside the i-th block in the VGG network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Lp = 1 wijhijci j wij � x=1 hij � y=1 cij � z=1 ∥ φij(Igt)xyz − φij(Iout)xyz ∥ (8) 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='3 Edge Loss: To recover the high-frequency details lost because of the in- herent noise in dark and hazy images, we have an additional edge loss to constrain the high-frequency components be- tween the ground truth and the recovered image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Le = � (∇2(Igt) − ∇2(Iout))2 + ϵ2 (9) In Equation 9, ∇2 refers to the Laplacian operation [22], which is then applied to the ground truth and the predicted clean image to get the edge loss.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='4 FFT Loss: To supervise the haze-free results in the frequency domain, we add another loss called Fast Fourier transform (FFT) loss (denoted by Lf in Equation 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' It calculates the loss of both amplitude and phase using the l1 loss function without ad- ditional inference cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Axgt i , Pxgt i = FFT(xgt i ), (10) Axout i , Pxout i = FFT(xout i ), (11) L f = 1 N n � i=1 (∥ Axgt i − Axout i ∥1 + ∥ Pxgt i − Pxout i ∥1) (12) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Experimental Results To demonstrate the outcomes of our model’s approach to- wards image enhancement under low-visibility conditions, this section contains a detailed description of the dataset generated and used in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1, the experimental set- tings in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2, the metrics used for evaluation in Sec- tion 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='3 and a discussion on the results obtained in Sec- tion 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1 and 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Dataset Details Due to the lack of available datasets that meet our require- ments, we generate a new one using the AFO dataset [15].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The dataset generation process has been elaborated below, and the final images have been shown in Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Haze effect - To add fog, imgaug [21], a well-known python library was used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' A random integral value be- tween 3, 4, 5 was selected, representing the fog’s sever- ity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' For each image, this random number was chosen and pre-defined functions within the package were uti- lized to add a layer of fog to the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Low-light Effect - Given a normal image, our goal is to output a low-lit image while preserving the underly- ing information.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We follow the pipeline introduced [8], which parametrically models the low light-degrading transformation by observing the image signal process- ing (ISP) pipeline between the sensor measurement system and the final image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The low-illumination- degrading pipeline is a three-stage process: – Unprocessing procedure - This part aims to syn- thesize RAW format images from input sRGB images by invert tone mapping, invert gamma correction, and the transformation of the image from sRGB space to cRGB space, and invert white balancing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' – Low Light Corruption - This aims at adding shot and read noises to the output of the unprocess- ing procedure, as these are common in-camera imaging systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Shot noise is a type of noise generated by the random arrival of photons in a camera, which is a fundamental limitation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Read noise occurs during the charge conversion of electrons into voltage in the output amplifier, which can be approximated using a Gaussian ran- dom variable with zero mean and fixed variance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' – ISP Pipeline - RAW image processing is done after the lowlight corruption process in the fol- lowing order: add quantization noise, white bal- ancing from cRGB to sRGB, and gamma correc- tion, which finally outputs a degraded low-light image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 6 Ground Truth Images Ground Truth Images Generated Images Generated Images Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Visual illustration of a few sample images from our dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Columns 1 and 3 show original images taken from AFO Dataset [15], whereas Columns 2 and 4 show their corresponding images generated as explained in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1 simulating low-visibility conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Combination of Haze and Low-light Effect - Re- sults of implementing the low-light generation algo- rithm described above on foggy images generated us- ing img-aug are shown here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' It can be seen that com- bining the two (fog and low light) has introduced ad- versity in finding the location of the objects in the wa- ter bodies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Moreover, finding a unique solution for such a combination has not been explored to date 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Experimental Settings The images were resized to get the resultant dimensions as 256 × 456.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Adam optimizer with an initial learning rate of 1e−4, β1, and β2 with a value of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='9 and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='999 were chosen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The batch size was fixed as 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We have used 3 groups in all our experiments, each with 16 blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Pytorch backend was used to compile the model and train it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Evaluation Metrics We reported the results we obtained using two standard im- age restoration metrics (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=', PSNR and SSIM).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' These met- rics will help us quantitatively evaluate the performance of our model in terms of feature colors and structure similarity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' High PSNR and SSIM values if indicative of good results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Experimental Results The architecture used is given in Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This section gives a detailed analysis of the results obtained by the pro- posed method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Discussion and Comparison In this subsection, we discuss the evaluation results ob- tained by the proposed pipeline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Previous methods were Method Year PSNR SSIM Zero-DCE[13] 2020 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='323 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='529 SGZNet[49] 2022 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='578 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='519 BPPNet[39] 2022 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='507 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='755 DehazeNet[3] 2016 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='710 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='391 Star-DCE[47] 2021 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='651 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='539 FFANet[7] 2020 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='050 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='582 MSBDN-DFF[16] 2020 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='686 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='689 LVRNet (Ours) 2022 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='744 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='905 Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Quantitative comparison of our proposed network with previous work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The best results and the second-best results have been highlighted with red color and blue colors, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' trained on the newly generated dataset and tested to com- pare their metrics with our model’s performance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' These methods were built to enhance the low-light image or obtain a clear image from a hazy one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The results are mentioned in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We observe a huge increase in the PSNR value as compared to Zero-DCE[13], which enhances the low-light image as a curve estimation problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' However, it introduces an even amplified noise leading to color degradation as seen in Fig- ure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Notwithstanding its fast processing speed, Zero-DCE has limited noise suppression and haze removal capacity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Star-DCE[47], which uses a transformer backbone instead of a CNN one in the Zero-DCE network, shows a 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='12% increase in PSNR value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Owing to the added LAM struc- 7 S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Reconstruction Loss Perceptual Loss Edge Loss FFT Loss PSNR SSIM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' \x13 \x13 \x17 \x17 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='070 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='870 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' \x13 \x13 \x17 \x13 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='455 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='903 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' \x13 \x13 \x13 \x17 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='624 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='897 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' \x13 \x17 \x13 \x13 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='719 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='900 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' \x13 \x13 \x13 \x13 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='744 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='905 Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Ablation experiments: We train our model using different combinations of loss functions to understand the importance of individual losses for image restoration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The best results are obtained when the model is trained using all the loss functions mentioned in this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' ture, using which our model can focus on more important feature maps, we can achieve a 54% higher PSNR value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' SGZNet[49] uses pretrained networks for enhancement fac- tor estimation, thus their result is dependent on those pre- trained weights, leading to a lower PSNR value of 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='578 on LowVis-AFO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' From Figure 1, we observe that the result obtained from SGZNet is still degraded by excessive noise and lacks saturation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' DehazeNet[3] is limited by the net- work’s depth and cannot generalize to real-world scenarios.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Hence, it results in a low PSNR of 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='710.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Methods like BPPNet[39] and FFANet[33] are end-to-end deep learning methods for image dehazing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' BPPNet[39] distorts the color distribution in the recovered image as it cannot remove the dark regions, whereas FFA-Net[33] produces image with a lower perceptual quality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We propose an end-to-end deep learning pipeline (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='43M parameters) that can perform image dehazing and low-light image enhancement with a significant decrease in the num- ber of parameters as compared to MSBDN-DFF [16] (31M parameters) and FFA-Net[33] (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='45M parameters).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The supplementary material has provided a discussion on the number of parameters of other models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We also trained the model for 10 epochs with fewer NAF blocks to prove that we achieved better results than the lighter results, not due to an increase in parameters but because of the self- sufficiency of the added LAM module, non-linear activation networks, and residual connections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The results of these ex- periments are reported in the supplementary material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Ablation Studies To prove the importance of the perceptual loss, edge loss, and fft-loss, added to supervise the training procedure, we conducted experiments excluding each of them and reported the values of PSNR and SSIM in Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We keep the l1 loss function constant in all experiments as it is critical in image restoration tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We observe an increase in metric values in the lower rows compared to row 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' As a result of more supervision in the unchanged architecture, there is an increase in the quality of clear images obtained, which are demonstrated in the supplementary material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' There is also an increase in PSNR value (which depends on per-pixel distance) in row 3, once we train the model without percep- tual loss.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' This is seen as perceptual loss doesn’t compare individual pixel values but the high-level features obtained from a pretrained network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In row 4, we get a lower PSNR value on excluding edge loss compared to row 5, as we get lesser edge supervision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Overall, we get the best perfor- mance when we include all the loss functions, as seen in row 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Conclusion In this work, we have presented Low-Visibility Restora- tion Network (LVRNet), a new lightweight deep learning architecture for image restoration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We also introduce a new dataset, LowVis-AFO, that includes a diverse combi- nation of synthetic darkness and haze.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We also performed benchmarking experiments on our generated dataset and surpassed the results obtained using the previous image restoration network by a significant margin.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Qualitative and quantitative comparison with previous work has demon- strated the effectiveness of LVRNet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' We believe our work will motivate more research, focused on dealing with a com- bination of adverse effects such as haze, rain, snowfall, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' rather than considering a single factor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In our future work, we plan to extend LVRNet for image restoration tasks where more factors, that negatively impact the image quality, are taken into account.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 8 Supplementary Material To make our submission self-contained and given the page limitation, this supplementary material provides additional details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Section 1 gives an overview of the number of pa- rameters and PSNR obtained by different methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Sec- tion 2 contains visual results that highlight the significance of the loss functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Section 3 contains the ablation ex- periment with lesser blocks, and Section 4 demonstrates the architecture diagram of the level attention module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' PSNR vs Parameters Figure 6 presents the PSNR vs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Parameters plot that the previous methods and our method achieved on the testing set of LowVis-AFO.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Our model outperforms the state-of- the-art image dehazing and low-light image enhancement methods by a good margin while having a lesser number of parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Figure 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The PSNR vs Number of Parameters of recent image restoration methods on the newly proposed LowVis-AFO dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' #Blocks PSNR SSIM #params Runtime(s) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 14 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='3432 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='8626 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='38M 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='035 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 12 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='4302 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='8488 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='33M 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='029 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 10 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='2965 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='8494 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='28M 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content='024 Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Results of the experiments conducted on a lesser num- ber of NAF blocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The training was done for 10 epochs and the metrics were obtained on the test set thereafter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Ablation Experiment on Different Loss Functions Figure 8 demonstrates the visual results obtained when we conducted experiments excluding some loss functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The motivation behind the experiment is to highlight the importance of the extra loss functions (perceptual loss, edge loss, fft-loss) added to supervise our pipeline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' The quanti- tative results are given in Table 2 in the main manuscript.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Ablation Experiment with Lesser Number of Blocks To prove the self-sufficiency of the individual components included in our architecture such as LAM, we conduct ex- periments with a lesser number of NAF blocks [5] and re- ported the PSNR and SSIM obtained in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Seeing the results, we can conclude that our model achieves better results, not because of an increase in the number of param- eters as compared to the lighter model, but because of the entire pipeline adopted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Level Attention Module As mentioned in the main text, the diagram for LAM[45] has been provided here in the supplementary material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' (re- fer Figure 7) References [1] Codruta O Ancuti, Cosmin Ancuti, Chris Hermans, and Philippe Bekaert.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' A fast semi-inverse approach to detect and remove the haze from a single image.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' Qualitative results obtained from experiments conducted on different loss functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' In the figure, L = L1 loss, P = Perceptual Loss, E = Edge loss and F = FFT loss.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} +page_content=' 12' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ktE5T4oBgHgl3EQfGw6j/content/2301.05434v1.pdf'} diff --git a/l9FRT4oBgHgl3EQfZjdA/content/tmp_files/2301.13553v1.pdf.txt b/l9FRT4oBgHgl3EQfZjdA/content/tmp_files/2301.13553v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..431291193886e908616290b1b37b56c5ec600a3e --- /dev/null +++ b/l9FRT4oBgHgl3EQfZjdA/content/tmp_files/2301.13553v1.pdf.txt @@ -0,0 +1,2047 @@ +1 +Millimetre-wave Radar for Low-Cost 3D Imaging: +A Performance Study +Han Cui, Jiacheng Wu and Naim Dahnoun +Abstract—Millimetre-wave (mmWave) radars can generate 3D +point clouds to represent objects in the scene. However, the accu- +racy and density of the generated point cloud can be lower than +a laser sensor. Although researchers have used mmWave radars +for various applications, there are few quantitative evaluations +on the quality of the point cloud generated by the radar and +there is a lack of a standard on how this quality can be assessed. +This work aims to fill the gap in the literature. A radar simulator +is built to evaluate the most common data processing chains of +3D point cloud construction and to examine the capability of the +mmWave radar as a 3D imaging sensor under various factors. It +will be shown that the radar detection can be noisy and have an +imbalance distribution. To address the problem, a novel super- +resolution point cloud construction (SRPC) algorithm is proposed +to improve the spatial resolution of the point cloud and is shown +to be able to produce a more natural point cloud and reduce +outliers. +Index Terms—mmWave radar, 3D imaging, point cloud +I. INTRODUCTION +Millimetre-wave (mmWave) radars have received increased +popularity in many industries as an emerging type of sensor. +The high bandwidth allows them to estimate the distance of an +object at centimetre-level resolution, and the short wavelength +and antenna size allow multiple antennas to be integrated into +a single chip and measure the angle-of-arrival (AoA) of the ob- +ject using multiple-input multiple-output (MIMO) techniques +[1]. Combining the distance and AoA measurement, mmWave +radars are able to construct a point cloud to represent the +spatial shape of an object [2]. Therefore, mmWave radars can +be used as a low-cost 3D imaging sensor, as an alternative to +the traditional depth cameras and laser sensors. This allows +many computer vision tasks, such as object detection [3], +human tracking [4], [5], posture estimation [6], [7], and +identification [4], to be addressed using mmWave radars as a +non-intrusive solution. However, although many applications +have been proposed that rely on the 3D imaging capability of +mmWave radars, few researchers have attempted to evaluate +the quality of mmWave radars’ detection quantitatively, and +there is a lack of a standard on how this quality can be +assessed. +When detecting objects in a scene, the reflection signal can +be seen as a time-delayed version of the transmitted signal. +Combining the two signals gives an intermediate frequency +(IF) signal, whose frequency and phase are determined by +the time-of-flight (ToF) of the signal, and, equivalently, the +distance between the object and the radar [2]. The distance +can be estimated directly from the IF signal of one pair of +transmitter and receiver at high resolution, whereas the AoA +needs to be estimated from the signal phase over a linearly +spaced antenna array. There is rich literature on antenna +array-based AoA estimation for traditional radars [8], and the +same concept also applies to mmWave radars. This paper +discusses the AoA estimation in the context of mmWave +radar 3D imaging. It reviews and discusses the 3D point +cloud construction techniques that are commonly used with +mmWave radars. +This paper presents a purpose-built simulation system that +simulates the data acquisition process of a mmWave radar +when facing a scene. Radar data simulation allows researchers +to focus on algorithm design and verification, instead of +investing too much time in the hardware and real-world data +collection. Existing radar simulators are often not designed +for 3D imaging and have certain constraints. For example, the +system in [9] generates range and Doppler information of the +radar rather than the raw data, the system in [10] only supports +single antenna data generation and cannot be used to estimate +the AoA, and the system in [11] only supports up to four +receivers in one direction and cannot be used for 3D imaging. +In this research, a lightweight mmWave radar simulator is +designed that supports raw data generation of a multi-antenna +mmWave radar, configurable antenna parameters and layout, +and customized scene construction using 3D human models +with programmable motions. +Using the simulation system, a quantitative evaluation of +the radar’s capability of imaging a human subject is carried +out, as well as an evaluation of the key factors that could +affect the output quality, including the data processing chain +(DPC), radar antenna configuration, chirp configuration, sub- +ject velocity, and signal-to-noise ratio (SNR) in the scene. +It will be shown that, although the radar can capture the +spatial information of the subject’s body shape, the detected +point cloud can be noisy, sparse and imbalanced, and can +require further processing before being used for higher-level +applications. Finally, a novel super-resolution point cloud +construction (SRPC) algorithm is proposed to improve the +spatial resolution of the point cloud and is shown to be able +to produce a more natural point cloud and reduce outliers. +The contribution of this paper can be summarized as fol- +lows: +• It presents a simulator of mmWave radar that can simulate +the radar data as if it is placed in a real scene. It supports +customized 3D models to be imported as the ground truth +and provides a framework for evaluating a 3D imaging +algorithm quantitatively. +• It presents a systematical study of 3D imaging algorithms +using mmWave radars and an evaluation of the key factors +arXiv:2301.13553v1 [eess.SP] 31 Jan 2023 + +2 +that could affect the radar detection. It highlights the +challenges of the noisy and imbalanced point cloud. +• It presents a novel SRPC algorithm that can be inserted +into the traditional point cloud construction DPC and can +improve the quality of the point cloud. +The rest of the paper is organized as follows. Section II +discusses the background and related work. Section III in- +troduces the preliminaries of mmWave radars. Section IV +presents the details of the simulator. Section V discusses the +3D imaging DPC using mmWave radars. Section VI presents +the experimental results based on the simulation system. +Section VII presents the novel SRPC algorithm and shows how +it can improve the radar detection. Section VIII concludes the +work. +II. BACKGROUND +Traditionally, 3D imaging systems often use depth cameras +(like stereo cameras or RGBD cameras) [12] or laser sensors +[13], which are able to provide a dense and accurate 3D +model of the object in front. However, camera-based systems +can be intrusive and limited by the lighting conditions, and +laser sensors are often constrained by their high cost (when +compared with the cost of a mmWave radar which is only +around £10). Radar-based 2D imaging has also been used +widely in applications like security, but they provide limited +depth information and often rely on a dense antenna array +that has a fixed region-of-interest [14]. Radar-based 3D object +detection uses radio frequency (RF) signals at certain fre- +quencies to detect objects, and the resolution of the detection +largely depends on the available bandwidth. For example, +WiFi devices operating at 5 GHz with a 40 MHz bandwidth +can locate people with sub-meter level resolution [15], and +ultra-wide band (UWB) devices at higher frequency bands +can achieve centimetre level resolution [16]. With mmWave +radars operating at above 60 GHz, the range resolution can +be below 5 cm [2] and even micrometre level when pointing +to a corner reflector [17]. Therefore, the high resolution has +gained mmWave radars great popularity in automotive driving +applications, and researchers are actively investigating their +usage in computer vision tasks. +Although mmWave radars can be used as 3D imaging +sensors, the point cloud is often less accurate and noisier than +the traditional systems [5]. Many methods have been proposed +to improve the detection quality of a mmWave radar, such as +[18], [19]. However, as these methods often use different radar +configurations and scene setup, it is hard to carry out a quan- +titative comparison between them, and there lacks a standard +on how to define the quality of the radar detection. This work +aims to address the problem by providing a simulation system +and a framework for a systematic evaluation of a 3D imaging +algorithm. +Radar-based 3D imaging requires measuring the distance +and AoA of the object. The distance is often measured through +the ToF of the signal, whereas the AoA measurement relies +on the use of an antenna array. Since the antennas in the array +will have different physical locations, the ToF at each antenna +will be different, and the AoA of the object can be estimated +by investigating the signal difference. This process has been +studied in depth for traditional long-range radars [8], and the +same principle can be applied to mmWave radars on a smaller +scale. There are many algorithms designed for estimating the +AoA based on a linearly spaced antenna array, such as the FFT- +based method, beamforming method and subspace method +(more details in Section III-C). These algorithms provide +a trade-off between the computational complexity and the +angular resolution [8], [20]. However, in contrast to traditional +radar systems where the signal sources are often well-defined +and uncorrelated, signal sources in 3D imaging can be one +object with a continuous surface, which can require a different +DPC. This paper discusses the traditional AoA estimation +algorithms in the context of 3D imaging using a mmWave +radar and investigates the key factors that would affect the +detection result. +III. MMWAVE RADAR PRELIMINARIES +Commercial mmWave radars often implement the frequency +modulated continuous wave (FMCW) model. The radar sends +a modulated chirp signal, detects the signal reflection from +any object, processes the signal and determines the range, +velocity, and AoA of the object. The principle of the FMCW +radar model has been documented in detail in the literature +(e.g. [5]). This section will give a brief discussion of the +fundamentals that are necessary for understanding this paper, +with a particular focus on the AoA estimation. +The radar sends an FMCW signal and receives its reflection +from the object in the scene, where the reflection will be a +time-delayed version of the transmitted signal. The two signals +are mixed to produce an IF signal, as shown in Equation (1) +(more details in Appendix A): +IF(t) = Aej(ωbt+φb) where ωb = 2πSτ, φb = 2πf0τ +(1) +where S is the slope of the chirp, τ is the ToF of the signal, +f0 is the starting frequency of the chirp, and A represents the +amplitude of the signal. After obtaining the IF signal, a DPC +will be applied to determine the presence of any object. +A. Distance and Velocity Estimation +For a single object, the frequency ωb will be a constant +value and the distance of the object can be calculated as +d = τc +2 = ωbc +4πS +(2) +When there are multiple refection sources, the frequencies can +be found by applying an FFT over the IF signal, which is +referred to as the range-FFT. The velocity can be measured by +transmitting multiple chirps at a known interval and calculating +the phase difference between the chirps. Assuming the radar +transmits a chirp every Tc seconds and a phase difference ∆φ +is observed between successive chirps, then the velocity v of +the object can be estimated as: +v = +∆φc +4πTcf0 +(3) +When there are multiple reflection sources moving at different +velocities, they can be found by applying another FFT over +the chirp phases, which is referred to as the Doppler-FFT. + +3 +Fig. 1: Phase difference between two receivers from one signal +source. +B. AoA Estimation Principle +The AoA of the object can be estimated by having multiple +antennas operating concurrently and by comparing the phase +difference between neighbouring receivers. Due to the spatial +location difference between the receivers, the signal received at +each receiver will have a slight phase difference depending on +the relative position of the receivers and the AoA. The AoA +can be computed in both azimuth and elevation directions, +given that there exists more than one antenna in each direction. +The azimuth and elevation angles will be denoted as θa and +θe, respectively, or θ(a,e) when referring to both of them. +Assuming there are Na×Ne linearly spaced receivers in the +azimuth and elevation directions, and M objects in different +directions θ(a,e)m, then each object can be viewed as a signal +source and the receiving antenna array will receive a signal +(denoted as x) as a weighted sum of the M data source: +x(Na×Ne) = +M +� +m=1 +αms(θ(a,e)m) + n +(4) +where s(θ(a,e)m) is the steering vector that represents the +phase difference between receivers when a signal arrives with +angle θ(a,e)m, α is an unknown parameter that models the +signal transmission from the data source to the receivers, +and n is the noise. The AoA estimation can be modelled as +estimating the values of θ(a,e) for each object m, given a set +of receiver data (x). +For linearly spaced arrays, the receivers are often separated +by a small distance l that is equal to half of the signal wave- +length, i.e. l = λ +2 , to maximize the angle-of-view (AoV) [8]. +When using an array of Na azimuth receivers and Ne elevation +receivers, each subsequent receiver beyond the first one will +receive an additional phase change that can be expressed using +a 2D steering vector (more details in Appendix B): +s(θ(a,e), Na, Ne) = +� +��� +1, +..., +ej(Na−1)∆φa +ej∆φe, +..., +ej(∆φe+(Na−1)∆φa) +..., +..., +... +ej(Ne−1)∆φe, +..., +ej((Ne−1)∆φe+(Na−1)∆φa) +� +��� +(5) +3D point cloud construction requires the x-y-z coordinates +of the object instead of the azimuth and elevation angles. +Therefore, the calculation of the exact value of θa and θe is +often not required. Let d denote the distance of the object, then +the 3D coordinates of the object can be calculated as (more +details in Appendix B): +x = d∆φa +π +, z = d∆φe +π , y = +� +d2 − x2 − z2 +(6) +Given that d can be obtained from the range-FFT as discussed +in Section III-A, the x-y-z coordinates can be obtained if the +phase differences ∆φa and ∆φe are known. Therefore, the +AoA estimation of an object can be considered equivalently +as searching for the best matching steering vector s(θ(a,e)m) +of the object. +C. AoA Estimation Algorithms +In the following sections, some of the most widely-used +AoA estimation algorithms will be discussed, including the +FFT-based method, conventional beamforming (also known as +the Bartlett beamforming or the delay-and-sum beamforming), +the minimum variance distortionless response (MVDR) beam- +forming (also known as the Capon beamforming) [21], and +the multiple signal classification (MUSIC) subspace method +[22]. The angle-FFT method is a single-snapshot method +that can make an estimate based on a single chirp, whereas +the other methods are multi-snapshot methods that require a +few chirps to make one estimate. The performance of the +algorithms depends on several factors, including the antenna +layout, number of antennas, chirp configuration, number of +snapshots, SNR, environment, etc. +1) Angle-FFT Method: The simplest way of estimating +s(θ(a,e)m) of an object m in Equation (4) is by using cor- +relation between the receiver data x and the steering vector +from the candidate angles. A set of candidate steering vectors +s(¯θ(a,e)) is defined for θa ∈ [−π, π], θe ∈ [−π, π], and the +correlation is calculated as s(¯θ(a,e)) · x, which will yield a +peak output when ¯θ(a,e) equals to θ(a,e)m. This process is +equivalent to applying an FFT over the receiver data x, since +the steering vector can be considered the same as a set of FFT +coefficients, which gives the frequency components in terms of +∆φa and ∆φe. This FFT is also referred to as the angle-FFT. +As an example, Figure 2 shows the antenna layout of the +TI IWR6843 radar. It has three transmitters and four receivers, +which can form a 12-receiver array when using MIMO tech- +niques [1]. The phase of each virtual receiver is also shown, +where ϕ is the random initial phase of the first receiver. +The azimuth receivers will form a signal ej(∆φan+ϕ) and the +elevation receivers will form a signal ej(∆φan+2∆φa+ϕ+∆φe), +where n is the receiver index in each direction. The value +of ∆φa can be obtained by applying an azimuth-FFT over +the azimuth receivers (RX1-RX4 and RX9-RX12), which will +give the frequency ∆φa and phase ϕ. The value of ∆φa can +be obtained by applying an FFT over the elevation receivers, +which will give the frequency ∆φa and phase 2∆φa+ϕ+∆φe. +Hence, the value of ∆φe can also be calculated given ∆φa +and ϕ. +An alternative approach to calculate ∆φa is by applying an +elevation-FFT over a set of receivers in the elevation direction. +For example, Figure 3 shows the layout of the TI overhead +detection sensor (ODS) model, where the receivers form a +near-square shape and allows a 2D angle-FFT to be performed. + +Object +d +Ad +0 +0 +~/=入2 +RXO +RX1 +RXO +RX1 +TX1 +Approximation4 +Fig. 2: IWR6843 radar antenna layout, the virtual receiver +array and the received phases. +The ODS models allow a higher elevation resolution at the cost +of reduced azimuth resolution. +Fig. 3: IWR6843ODS radar antenna layout, the virtual receiver +array and the received phases. +2) Beamforming Method: Beamforming methods calculate +a set of weights w(Nrx×Θ) for the Nrx virtual receivers in the +array (both azimuth and elevation), and for all possible angles +θ(a,e) ∈ Θ where θa ∈ [−π, π], θe ∈ [−π, π]. When applying +a column of weights to the receiver data x, the signal from the +direction θ will receive a constructive inference. By searching +all possible angles θ(a,e), a power spectrum p with size Θ can +be obtained, where a high power in the spectrum indicates that +there is a data source in that direction: +p = wHx +(7) +where wH is the Hermitian transposition of w. The angles of +the M objects can be obtained by taking the M highest peaks +in p and finding the corresponding entries in w. +In the data model shown in Equation (4), signals reflected +from objects will be correlated when being received at each +receiver, whereas the noise will be uncorrelated. Therefore, +one way to extract signal information from x is by calculating +a sensor covariance matrix Rx [8]: +Rx = E{xHx} ≈ 1 +N +N +� +t=1 +xH(t)x(t) +(8) +where E represents the statistical expectation and x(t) repre- +sents one snapshot (or one frame) of the receiver data x. When +evaluating the beamforming power spectrum using multiple +snapshots, the overall power spectrum becomes the statistical +expectation of p in Equation (7) over the snapshots, which +gives: +P = E{|wHx|2} = 1 +N +N +� +t=1 +wHx(t)xH(t)w = wHRxw (9) +Once the beamforming power spectrum is computed, the peaks +in the spectrum will correspond to the signal from the objects. +There are many algorithms designed for calculating the +weights w. The conventional beamforming uses the steering +vector directly as the weights, which is conceptually equivalent +to the angle-FFT method (or correlation-based method) in +Section III-C1: +Pconventional = sHRxs +(10) +where s is the candidate steering vector in the format of +Equation (5). +There are also adaptive beamforming algorithms that calcu- +late the weights using the signal information embedded in the +covariance matrix. For example, the MVDR algorithm aims at +minimizing the variance from non-interested directions while +keeping the signal from the candidate direction distortionless +[21]: +Pmvdr = +1 +sHR−1 +x s +(11) +3) Subspace Method: The core of the subspace method is +that, since the signal x should contain M correlated signals +and uncorrelated noise, the covariance matrix Rx should have +M non-zero eigenvalues and N − M zero eigenvalues, where +N is the rank of Rx that is equal to the number of receivers. +The eigenvectors corresponding to the M eigenvalues form the +signal subspace, and the eigenvectors corresponding to the zero +eigenvalues form the noise subspace. The signal subspace and +the noise subspace are orthogonal. One of the most widely- +used subspace-based algorithms is the MUSIC algorithm [22]. +It searches for steering vectors that are orthogonal to the noise +subspace. The power spectrum of the MUSIC algorithm can +be written as: +Pmusic = +1 +sHUU Hs +(12) +where U is the set of eigenvectors corresponding to the zero +eigenvalues. +IV. MMWAVE RADAR SIMULATOR +A simulator is designed to verify the discussed algorithms +and evaluate the theoretical capability of using a mmWave +radar as a 3D sensor. The simulator simulates mmWave radars +with one transmitter and one receiving antenna array, which +is practically equivalent to a multi-transmitter multi-receiver +radar using an appropriate modulation scheme [1]. Any two +neighbouring receivers in the array are separated by λ0/2, +where λ0 (approximately 3.9 mm) is the wavelength of the +mmWave signal at its chirp starting frequency (77 GHz). +The simulator simulates the IF signal at each receiver of a +mmWave radar when pointing toward a scene. The scene is +modelled to have M points, where each point has a unique x- +y-z coordinate and represents the spatial location of the object +in the scene. Each point is modelled as a corner reflector and +reflects the mmWave signal sent out by the radar with the +same reflectivity. The reflection area of the object is modelled +by the number of points, i.e. a large object would have a +higher number of points. The IF signal at a receiver during +one chirp is modelled using Equation (1). Given a certain chirp + +Virtual Antenna Array +Receivers +Transmitters +Elevation +RX5 +RX6 +RX7 +RX8 +TX2 +Antennas +TX3 +TX1 +2 +RX2 RX3 RX4 +RX1 +X/2 +Azimuth +RX4 +RX1 +RX2 +RX3 +RX9 +RX11 +RX12 +RX10 +Antennas +V2 +Received Phase +(5Apa+ +340a+ +24pa+ +44g.+ +Elevation +(p+Ape +p+Ape +p+Ape +p+△pe +Antennas +C +07 +54ba+ +340a+ +24ga+ +6Apa+ +7Apa+ +(4△pa+ +Azimuth +Apa+p +Antennas +CIEVirtual Antenna Array +Received Phase +Transmitters +Receivers +-b) +p- +RX4 +-△pa +RX2 +RX6 +RX8 +24ba +3△ba +RX2 RX4 +TX2 +TX1 +RX1 RX3 +入/2 +入/2 +-d +-d) +p-pA +2△A +X3 +3△ΦA +RX1 +RX3 +RX5 +RX7 +-Ade +-Ape +-Ade +-Dde +N/2 +N/2 +V2 +入/2 +p-LpA +RX10 +RX12 +-2pe +-24e +N/2 +β-△A +R212O +RX9 +RX11 +-3△be +-34be +25 +configuration, the frequency and phase of the IF signal from +one point are determined by the distance d between the point +and the receiver. The amplitude of the IF signal is set to be +inversely proportional to d4, to simulate the power loss due +to distances according to the radar range equation [23]. The +final IF signal at a receiver is the accumulated IF signals from +all M points in the scene, with an additional white Gaussian +noise n, as shown in Equation (13). +IF(t) = +M +� +i=1 +1 +d4 +i +ej(2πSτi·t+2πf0τi) + n +(13) +where τi is the ToF of the signal from the transmitter to +the point i and then to the receiver, and S is the slope of +the chirp. The amplitude of the noise n is controlled by +the desired SNR during the experiment. The signal IF(t) +is sampled into a digital signal of length Ns, where Ns = +(duration of the chirp) × (ADC sampling rate). During one +chirp, the radar receives a signal that can be represented as +a 2D matrix of size Nrx × Ns, where Nrx is the number of +receivers in the array. One frame includes Nc chirps that form +a 3D matrix of size Nrx ×Nc ×Ns, which becomes the input +matrix of the point cloud construction algorithm, as shown as +the input block in Figure 4. +The design of the simulation system makes two assump- +tions. First, the multipath effect is not considered in this +system. While the multipath effect is a long-standing issue that +can cause power fading and ghost targets, it highly depends +on the scene and the reflectivity of the objects and is hard to +incorporate in the model, so it is left as future work. Second, +a practical radar often uses multiple transmitters and receivers +and an appropriate signal modulation scheme to separate the +signal from different transmitters, such as time demultiplexing +modulation and binary phase modulation [1], to achieve an +equivalent single-transmitter-multi-receiver system. The simu- +lation system assumes a perfect signal modulation scheme for +this purpose and ignores any error or SNR loss that may be +introduced during the modulation process. +V. POINT CLOUD CONSTRUCTION ALGORITHM +The construction of a point cloud takes an input matrix of +size Nrx × Nc × Ns and outputs a 2D matrix PCK of size +K × 3 (referred to as the output point cloud), where K is +the number of detected points and 3 is the x-y-z coordinates. +This section studies one of the most common DPCs used on +mmWave radars and its variant, which have shown success in +many HAR systems, like in [4], [6], [24]. +A. Data Processing Chains +Two DPCs are implemented that differ in using a Doppler- +FFT or not, as shown in Figure 4. Both DPCs require a +range-FFT over the raw data. The range-FFT identifies the +frequency components in the IF signal that correspond to the +distance of an object. It transforms the input matrix X of size +Nrx ×Nc ×Ns into a range matrix R of size Nrx ×Nc ×N ∗ +s , +where N ∗ +s is the length of the range-FFT. The first DPC applies +a Doppler-FFT on the data from all the chirps and generates +Fig. 4: Two possible DPCs for mmWave radar point cloud +construction. +a Range-Doppler heatmap of size Nrx × N ∗ +c × N ∗ +s , where +N ∗ +c is the length of the Doppler-FFT. Then, it searches for +peaks in the Range-Doppler heatmap (using the average of +all receivers), extracts the receivers’ data for each peak and +generates a 2D matrix of size K × Nrx, where K is the +number of detected peaks and, equivalently, the number of +detected points. A constant false alarm rate (CFAR) algorithm +is used for detecting peaks from the Range-Doppler heatmap. +The parameters of the CFAR control the sensitivity of the +peak detection and are considered the hyperparameters of the +system. Finally, a single-snapshot AoA estimation is applied +to each point in the matrix for a total of K times, to obtain the +x-y-z coordinates of all detected points. The AoA estimation +algorithm can be any of the angle-FFT, beamforming or +subspace methods. Although the beamforming and subspace +methods are multi-snapshot algorithms, the Doppler-FFT im- +plicitly uses the information from all chirps and allows a good +estimate of the covariance matrix at the AoA estimation stage. +The second DPC does not include a Doppler-FFT. Instead, it +considers the chirps as different snapshots and performs one +multi-snapshot estimation for each range bin for a total of +N ∗ +s times. More specifically, the input range matrix of size +Nrx ×Nc ×N ∗ +s is re-arranged into N ∗ +s instances of Nrx ×Nc +matrix, and the AoA estimation is applied to each Nrx × Nc +matrix using Nc snapshots. The AoA estimation algorithm +can be any of the beamforming or subspace methods. Finally, +the points detected at each range bin are concatenated into +one point cloud. In this research, the angle-FFT, conventional +beamforming, MVDR beamforming and MUSIC subspace +methods described in Section III-C are being studied. +B. Model Order Estimation +As described in Section III-C2 and Section III-C3, the +beamforming and subspace methods include an angle power +spectrum computation step, where each peak in the spectrum +corresponds to an incoming signal from a point. However, +in both DPCs, the expected number of incoming signals will +be unknown in practice. Therefore, this number needs to +be estimated from the signal data. This step is referred to +as model order estimation. For this purpose, the covariance +matrix of the signal data and its eigenvalues are computed. As + +Data Processing Chain 1 +口 +Nc +Average all rx + +Extract data for +口 +Input +peak detection +each peak +7 +Ns +Chirp 1 +Doppler-FFT at +Nc +each distance +. : +Re-arrange +K single- +Range-Doppler +K + snapshot AoA +Nc +Nc +Chirp Nc +Heatmap +Nx +estimations +Ns +NX +INX +N +Nx} +Ns ++ +Data Processing Chain 2 +Range-FFT +indno +Ns +on each chirp +用 +# +# +K +Nc +Range FFT 1 +Re-arrange +Re-arrange +Nrx +-Nrx +Nc +X-y-Z +Nc +Ns multi-snapshot AoA estimations +Range FFT Nc ++ peak detection +Nx +Ns +Ns +用 +用 +曲 +K1 +Ks +4 +Concatenate6 +(a) +(b) +(c) +Fig. 5: Three approaches when searching for the steering +vectors. (a) An azimuth search (red) followed by an elevation +search (black). (b) A full 2D azimuth-elevation search. (c) A +2D azimuth-elevation search using sub-grids. +described in Section III-C3, the covariance matrix should have +a size of Nrx × Nrx and has a full rank equal to Nrx. There +should be M large eigenvalues that correspond to the number +of incoming signals and Nrx − M zeros corresponding to +noise. In practice, due to the presence of noise, the difference +between these eigenvalues may not be significant. Therefore, +the minimum descriptive length (MDL) algorithm [25] is used +for estimating the value of M. It fits a statistical model using +the eigenvalues and searches for the optimal value of M that +minimizes a cost function. The MDL algorithm is used in both +DPCs to estimate the number of incoming signals in the AoA +estimation stage. Once the angle power spectrum is calculated, +all the local maxima will be found and the largest Mmdl peaks +will be taken as the output, where Mmdl is the value found +from the MDL algorithm. +C. Steering Vector Searching +The beamforming and subspace methods search for the +steering vectors that maximize a power function. This process +can be carried out using three approaches: an azimuth search +followed by an elevation search, a 2D azimuth-elevation search +or a 2D search using sub-grids. An example of the three +approaches is shown in Figure 5. In the example, the power +spectrum shows the incoming direction of the signal. The +space of the spectrum is sampled into a 17×17 grid and each +vertex on the grid represents a candidate AoA to be tested. +In the first approach, an azimuth AoA search is performed +using the data from azimuth receivers and steering vectors that +only consider the azimuth angle. Then, based on the azimuth +AoA output, a secondary search is performed in the elevation +direction using the data from all receivers. This approach has +the least computational cost (34 searches in the example), but +the performance can be suboptimal as the azimuth search may +not cover the actual AoA. The second approach performs a 2D +search that considers all possible combinations of the azimuth +and elevation directions and uses data from all receivers. It +is computationally expensive (289 searches in the example) +but provides the most accurate estimate. The third approach +defines several levels of grids and performs the AoA search +at different granularities. It starts the searching with a sparse +grid, finds the peaks, defines a denser grid around each peak +and performs the next search. The process can be performed +iteratively until the desired resolution is achieved. It reduces +Fig. 6: Some examples of the mesh models and point clouds +from the FAUST dataset. +the computational cost of the second approach significantly as +it skips certain regions in the spectrum (50 searches in the +example), at the cost of the potential possibility of missing +some peaks. +VI. EVALUATION +A. Dataset +The FAUST dataset [26] was used to serve as the ground +truth for the simulator, to evaluate the point cloud construction +algorithms described. The datasets contain human models in +the form of watertight triangulated meshes. The meshes were +generated from a high-resolution camera system containing +stereo cameras, RGB cameras and speckle projectors. The +FAUST dataset contains 10 subjects and 30 static postures +per subject, of which 10 postures are provided with aligned +watertight models, giving 100 models in total. +In the simulation, the models were placed at 2 m from the +radar and facing towards the radar. The height of the radar +was set to be in the middle of each model. A ground truth +point cloud was constructed from each model by randomly +sampling M points from the surface of the mesh model, +where each point was assumed to be a corner reflector. Some +examples of the mesh models and point clouds are shown in +Figure 6. The simulator computed a signal matrix for each +point cloud to simulate the IF signal that would be received +by the radar when placed towards a subject, as described by +Equation (13). The entire dataset containing the 100 models +was split into 80 training data and 20 test data, where the +training data was used for hyperparameters searching in the +point cloud construction algorithms, and the test data was used +for evaluating the algorithms. +When generating the IF signal matrix, there are two sources +of randomness: the noise term n introduced in Equation (13) +and the random sampling of the ground truth point cloud +from the mesh model. Therefore, all the evaluation processes +were repeated 10 times for each mesh model and the average +metrics were reported, to minimize any potential effect of the +randomness. +B. Evaluation Metrics +To evaluate the quality of the point cloud constructed by +an algorithm, it is necessary to define the evaluation metrics +for comparing the output point cloud against the ground truth +point cloud. Let PCM denote the ground truth point cloud and +PCK denote the point cloud generated by the radar, which are + ++ +C ++ ++ +DO +C +O +O +O +O +O +O +O7 +a M ×3 matrix and a K×3 matrix, respectively. It is important +to note that the point cloud construction algorithm can provide +an uncertain number of points that might be different to the +ground truth (M ̸= K), and PCK can have a non-uniform +distribution while PCM is distributed uniformly on the mesh +model. The evaluation metrics should take the two point clouds +PCM and PCK as input and measure the similarity between +them. First, two points are defined to be close to each other +if their Euclidean distance is less than a certain distance D. +In this research, D is set to 10 cm as an empirical estimation +of the error tolerance of a HAR system. Then, the following +terms and metrics are defined: +• Precision: Number of points in PCK that has at least one +close point from PCM, divided by K. It evaluates how +many points in PCK are considered to be accurate. +• Sensitivity/Recall: Number of points in PCM that has +at least one close point from PCK, divided by M. It +evaluates how well PCK can cover the space of PCM. +• Fowlkes–Mallows index (FMI): the geometric mean of +precision and sensitivity, i.e. √precision × sensitivity. +• Intersection over Union (IoU): Establish two regular 3D +voxel grids for PCK and PCM with the voxel size set to +10 cm × 10 cm × 10 cm, consider a voxel to be occupied +if there is at least one point present in the voxel, then the +IoU is calculated as the number of overlapping voxels +of the two voxel grid, divided by the union. The IoU +evaluates the similarity of the two point clouds at the +granularity of the voxel size. +An ideal system should have both high precision and high +sensitivity, whereas the relative importance of the two depends +on the application. In this section, the FMI, i.e. the geometric +mean of precision and sensitivity, is used to indicate the +performance of the system. The IoU also provides a good +indication of how the generated point cloud can represent +the scene. However, as the calculation of the IoU is highly +sensitive to the voxel size and outliers, it is used as a secondary +metric. +C. Data Processing Chain and Algorithms +In the first experiment, the two DPCs combined with +different AoA algorithms were evaluated and compared, in +terms of the quality of the estimated point cloud and the +computational cost. A baseline radar and scene configuration +were designed to approximate a typical setup in a common +indoor environment as follows: +• One transmitter and a 4 × 4 uniform receiver array. +• The chirp frequency is 77 GHz to 81 GHz, the slope +is 40 MHz/us, the chirp duration is 100 us, the ADC +sampling rate is 15 MHz, each frame is 50 ms with 50 +chirps, and each chirp has 1500 samples (as shown in +Figure 7). +• Each human mesh model is sampled into 512 points and +placed at 2 m away from the radar. +• SNR is 30 dB. +• The subject has a velocity of 0.05 m/s moving away from +the radar. +Fig. 7: Chirp configuration of one frame in the baseline setup. +TABLE I: FMI (standard deviation in parentheses) comparison +between the algorithms when using a 4 × 4 receiver array and +a subject velocity of 0.05 m/s. +FMI in % +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 +68.3 +(7.5) +68.2 +(7.9) +60.6 +(8.7) +67.2 +(7.6) +67.7 +(7.6) +74.5 +(6.7) +69.7 +(6.9) +77.0 +(6.2) +DPC2 +NA +43.7 +(7.8) +46.5 +(7.1) +50.2 +(7.6) +53.1 +(7.4) +52.7 +(7.4) +53.2 +(7.0) +• The AoA algorithm uses 512 bins to cover the ±90° AoV, +i.e. the angular resolution is 0.35°. +The velocity of the subject is introduced following the +assumption that a real person cannot stay absolutely stationary +during the measurement. At a velocity of 0.05 m/s and a frame +time of 50 ms, the total displacement will be 2.5 mm and is +considered negligible. The velocity provides a variation on +the signal received at different chirps, as otherwise the multi- +snapshot AoA estimation algorithms would receive an identi- +cal signal at all chirps and would yield a poor performance. +Combining the two DPCs with different AoA estimation +algorithms, there are 14 methods in total to be evaluated. +For each method, both the 1D search approach and the 2D +sub-grid approach described in Section V-C are included. For +the 2D angle-FFT method, the full-grid approach is used +instead of the sub-grid approach, since the benefit of the +lower computational cost is less significant for FFTs. The +algorithms will be referred to using the format “DPC-Method- +1D/2D” throughout the paper. For example, DPC1-Conv-2D +refers to the conventional beamforming method in DPC1 that +uses a 2D steering vector search. The angle-FFT method is +not applicable in DPC2 as it is not a multi-snapshot algorithm. +Algorithms in DPC1 include a CFAR peak detection step on +the Range-Doppler heatmap, where the optimal parameters for +the CFAR were searched on the training dataset. Then, the +performance of the algorithms on the test dataset was evaluated +and compared. The results are shown in Table I and Table II +as FMI and IoU (in % and with the standard deviation in +parentheses), respectively. +TABLE II: IoU (standard deviation in parentheses) comparison +between the algorithms when using a 4 × 4 receiver array and +a subject velocity of 0.05 m/s. +IoU in % +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 +21.2 +(4.3) +22.5 +(4.6) +14.6 +(3.9) +20.6 +(4.1) +18.0 +(4.4) +23.4 +(4.1) +19.0 +(4.1) +22.7 +(3.5) +DPC2 +NA +11.2 +(3.2) +12.2 +(3.0) +13.2 +(3.3) +14.7 +(3.4) +14.6 +(3.2) +14.6 +(3.3) + +Frequency +(GHz) +Chirp 0 +Chirp 1 +Chirp 2 +Chirp 49 +81 +77 +0 +0.1 +1 +1.1 +2 +2.1 +49 +49.1 +50 +< +Time (ms) +1500 ADC samples +50 x 1500 samples per receiver per frame8 +Fig. 8: Examples of the radar detection using the different +algorithms, when using a 4 × 4 receiver array and a subject +velocity of 0.05 m/s. +There are a few important observations from the experiment. +Even though the subject had a low velocity, the DPC1 with a +Doppler-FFT outperformed the other significantly. One main +reason is that, as the number of receivers is much lower than +the number of signals, the AoA estimation algorithm can fail to +distinguish points with a close angle. Instead, these points will +be identified as one strong signal source. On the contrary, the +CFAR peak detection step in DPC1 picks a set of points around +the peak that are above the CFAR threshold. As these points +also contribute to the point cloud, the output becomes denser +and the sensitivity is improved. This effect can be observed +from the example detection shown in Figure 8. +In terms of the different algorithms, the MVDR and MU- +SIC methods outperformed the angle-FFT and conventional +methods, at the expense of higher complexity. Meanwhile, all +the 2D methods outperformed the 1D methods due to a more +fine-grained resolution (as shown earlier in Figure 5). The +best performance was achieved with the DPC1-MVDR-2D +and DPC1-MUSIC-2D methods, with an FMI of 74.5% and +77.0%, respectively. However, the IoU metrics show that the +point clouds were still far from the objective of high-accuracy +scene reconstruction, as the highest IoU was only 23.4%. It +can be seen from Figure 8 that, while the distribution of the +point cloud mostly fitted the subject, the distribution was not +even and there were body parts (like the hands) that received +fewer points. Therefore, there is still a big gap before the radar +output can be directly used by applications that require high +quality data. +Table III compares the algorithms in terms of execution +time. The algorithms were run using the same dataset and +parameters multiple times. The algorithms were written in +Python without any processor-specific optimization and were +run on one Intel i7-9700K CPU core. The result is shown +as the relative execution time of each algorithm when com- +pared with the DPC1-FFT-1D method (the most lightweight +method) and normalized with the number of detected points, +to give an indication of their relative complexity. All the +2D methods have a higher complexity than the 1D methods. +For algorithms in DPC1, the 1D angle-FFT method has the +TABLE III: Normalized execution time comparison between +the algorithms using the baseline setup. +Normalized +Complexity +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 +1.00 +13.42 +4.38 +9.32 +3.51 +8.99 +4.02 +8.85 +DPC2 +NA +5.69 +12.38 +5.31 +10.89 +5.67 +10.61 +TABLE IV: Relative FMI difference of the algorithms when +using a 4 × 4 receiver array and a subject velocity of 0.5 m/s +in comparison to 0.05 m/s. +FMI in % +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 ++8.3 ++11.4 ++12.1 ++10.7 ++10.4 ++8.8 ++10.1 ++7.7 +DPC2 +NA ++4.6 ++2.6 ++5.3 ++4.6 ++8.4 ++5.6 +lowest computational cost. With the sub-grid optimization, the +complexity of the 2D beamforming and MUSIC methods can +be kept at around twice the 1D methods. The complexity +without the sub-grid optimization is expected to be much +higher, as can be estimated from the difference between the +2D and 1D angle-FFT methods. When considering both the +complexity and the performance, the DPC1-FFT-1D method +provides a good trade-off between them. The MVDR methods +and MUSIC methods in DPC1 give the best performance at +the cost of 9x execution time and require additional efforts +on the hardware and implementation. It is worth noting that +many mmWave radar systems, like [6], [7], [27], are built +based on the DPC1-FFT-1D method. Therefore, these systems +can potentially benefit from a more complex AoA estimation +algorithm. +D. Subject Velocity +The motion of the subject being sensed has a significant +impact on the detection output. In DPC1, a higher velocity +makes a subject easier to be identified in the Range-Doppler +heatmap. Due to the relative position difference between the +body parts of the subject, they will have a different radial +velocity with respect to the radar, making them distinguishable +in the Range-Doppler heatmap. In DPC2, a higher velocity +increases the variance of the signal between chirps and allows +a better estimate of the data covariance matrix. To verify +the theorem, an experiment was carried out using the same +configuration as the baseline setup, except that the velocity of +the subject was set to different values from 0.1 m/s to 1 m/s. +The ground truth point cloud was taken as the average position +of the subject during the motion. +Table IV and Table V show two examples of the experiment +where the subject velocity was set to 0.5 m/s and 1 m/s, +respectively. When compared with Table I, all algorithms +achieved a 2.6% to 14.5% improvement in terms of the FMI +when the subject had an increased velocity. Figure 9 shows the +FMI and IoU of the DPC1-MUSIC-2D method with different +subject velocities from 0.1 m/s to 1 m/s. An overall positive +correlation can be observed between the subject velocity and +the detection performance, and the impact is the most obvious +at lower velocities (around 0.5 m/s). Some examples of the +detection at 1 m/s are shown in Figure 10. + +Conventional +MVDR +MUSIC +FFT +Beamforming +Beamforming +1D +2D +1D +2D +1D +2D +1D +2D +Front View +DPC1 +Left View +Front View +DPC2 +Left View9 +TABLE V: Relative FMI difference of the algorithms when +using a 4 × 4 receiver array and a subject velocity of 1 m/s +in comparison to 0.05 m/s. +FMI in % +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 ++9.7 ++13.0 ++14.5 ++12.8 ++12.0 ++9.8 ++11.6 ++8.2 +DPC2 +NA ++5.3 ++2.6 ++4.3 ++3.4 ++9.3 ++5.8 +Fig. 9: FMI and IoU (with errors) of the DPC1-MUSIC-2D +algorithm with different subject velocities. +E. SNR +In a practical environment, a radar system can experience +noise from different sources, such as the thermal noise of the +radar chip. The SNR also depends on the distance between +the radar and the subject, as the signal power drops quickly +along with the distance. In the simulator, the SNR can be +controlled by the power of the noise term n in Equation (13). +In this section, the performance of the algorithms between a +high SNR environment (40 dB) and a lower SNR environment +(5 dB) is compared. Two experiments were carried with the +subject velocity set to 0.05 m/s and 0.5 m/s, respectively. The +results are shown in Table VI and Table VII. +In the low SNR environment, all the algorithms in DPC1 +experienced a similar drop in performance, as expected. How- +ever, the algorithms in the DPC2 showed a higher perfor- +mance. The reason is that the higher noise affected the model +order estimation step and the system tends to report a higher +number of points. Taking the DPC2-Conv-2D method as an +example, the average size of the detected point cloud was +Fig. 10: Examples of the radar detection using the different +algorithms, when using a 4 × 4 receiver array and a subject +velocity of 1 m/s. +TABLE VI: Performance difference when using a 4 × 4 +receiver array and a subject velocity of 0.05 m/s in a low +SNR environment (5 dB in comparison to 30 dB). +FMI in % +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 +-8.1 +-5.8 +-5.5 +-5.6 +-6.4 +-6.3 +-5.7 +-6.2 +DPC2 +NA ++2.2 ++2.8 ++1.7 ++2.7 ++1.6 ++2.4 +TABLE VII: Performance difference when using a 4 × 4 +receiver array and a subject velocity of 0.5 m/s in a low SNR +environment (5 dB in comparison to 30 dB). +FMI in % +Angle-FFT +Conv. BF +MVDR BF +MUSIC +1D +2D +1D +2D +1D +2D +1D +2D +DPC1 +-7.8 +-6.2 +-7.2 +-6.1 +-8.3 +-7.5 +-8.9 +-7.4 +DPC2 +NA ++2.5 ++2.8 ++1.0 ++0.8 +-0.7 ++0.9 +found to be 20.3% higher in a low SNR environment than in a +higher SNR environment. However, this was still insufficient +to reach a similar performance as DPC1. +F. Antenna Layout +Theoretically, the antenna layout determines the angular +resolution that an AoA estimation algorithm can achieve. The +more receivers in one direction, the higher resolution the radar +can measure [1]. However, this is questionable when the signal +sources are spatially close and continuous. Meanwhile, having +more antennas also increases the cost of the hardware, as more +circuit components, processing units and memory would be +required. Therefore, it is beneficial to study the relationship +between the antenna layout and the output quality and find +the optimal trade-off for an application. +Common commercial mmWave radars use up to three +transmitters and up to four receivers, giving up to twelve +virtual receivers as a receiving array. Some radar models are +designed for automotive applications and prioritize the azimuth +direction, while others are designed for general purpose appli- +cations and have a similar resolution in both the azimuth and +elevation directions. In this section, common antenna layouts +implemented on the TI radars are evaluated and compared, +as well as a few square-shape antenna layouts that are more +common in research projects, as listed in Figure 11. The same +radar configuration and scene setup in Section VI-C were used. +The experiment compares the antenna layouts using the DPC1- +MUSIC-2D algorithm (the best performing algorithm). The +result is shown in Table VIII. +Fig. 11: The list of receiver layouts being evaluated. (a)-(d) are +square antenna arrays. (e)-(f) are non-regular antenna arrays +implemented on TI radars. + +1.0 +FMI +0.8 +Performance +0.6 +0.4 +0.2 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +Subject velocity (m/s)Conventional +MVDR +MUSIC +FFT +Beamforming +Beamforming +1D +2D +1D +2D +1D +2D +1D +2D +Front View +DPC1 +Left View +Front View +DPC2 +Left View0 +0 +0 +0 +0 +0 +0 +0 +0 +0 +0 +0 +0 +C +(a) 3x3 +0 +0 +0 +0 +(b) 4x4 +0 +0 +0 +0 +0 +0 +0 +(c) 6x6 +O +O +(d) 8x8 +O +O +(e) IWR6843A0P +(f) AWR1843AOP +(g) IWR184310 +TABLE VIII: Performance comparison between different an- +tenna layouts using the baseline configuration and the DPC1- +MUSIC-2D algorithm (standard deviation in parentheses). +Antenna +Layouts +a +b +c +d +e +f +g +FMI +in % +76.7 +(6.4) +77.0 +(6.2) +76.8 +(4.8) +77.9 +(4.5) +72.4 +(6.3) +77.8 +(5.9) +65.0 +(6.0) +IoU +in % +23.4 +(4.1) +22.7 +(3.5) +20.5 +(2.8) +18.8 +(2.7) +20.8 +(4.0) +23.9 +(4.2) +17.0 +(3.5) +Fig. 12: Examples of the radar detection using the different +antenna layouts with the baseline setup. +It can be seen that most antenna layouts had similar perfor- +mance, except the layout (g) which had a worse performance +as it is designed for automotive applications. The layout (e) +has a non-uniform antenna distribution that slightly affected its +performance. All other layouts showed a similar performance +regardless of the antenna size. Therefore, considering the +increased hardware cost and computational cost of increasing +the number of antennas, a small antenna size can be preferable +for 3D sensing applications. Figure 12 shows some examples +of the detection using different antenna layouts. +G. Chirp Configuration +The chirp configuration can have various effects on the +distance detection and velocity detection. These factors can +indirectly affect the quality of the final point cloud. In this +section, three different chirp configurations were tested and +compared against the baseline configuration in Section VI-C. +The details of the three configurations (named A, B and C) and +the performance are shown in Table IX. Each configuration +has certain parameter cut to 80% to evaluate the effect on +the output. Configuration A had an 80% reduced chirp slope +and, hence, a reduced effective bandwidth from 4 GHz to +3.2 GHz. Configuration B had an 80% reduced ADC sampling +rate that reduced the samples per chirp from 1500 to 1200. +Configuration C had an 80% reduced number of chirps per +frame, from 50 to 40. All other parameters were kept the same +as the baseline with the DPC1-MUSIC-2D algorithm. +The result shows that the performance can be strongly +affected by the effective bandwidth and the number of chirps. +The former affects the distance resolution of the detection, +and the latter affects the Doppler resolution. Reducing either +of these parameters reduces the accuracy of the range-Doppler +heatmap and the estimation of the covariance matrix. On the +other hand, the effect of reducing the ADC sampling rate and +the number of samples per chirp is much less significant. +TABLE IX: FMI (standard deviation in parentheses) com- +parison between four chirp configurations using the DPC1- +MUSIC-2D algorithm. +Chirp Configuration +Baseline +A +B +C +Slope of the chirp (MHz/us) +40 +32 +40 +40 +ADC sampling rate (MHz) +15 +15 +12 +15 +Chirps per frame +50 +50 +50 +40 +FMI in % +77.0 +(6.2) +71.1 +(6.8) +76.5 +(6.0) +70.2 +(6.0) +(a) Points detected without SRPC. +(b) Points detected with SRPC. +Fig. 13: Using SRPC algorithm to improve the resolution and +distribution of the data. +VII. SUPER-RESOLUTION POINT CLOUD CONSTRUCTION +ALGORITHM +It can be seen from Figure 8 and Figure 10 that the +constructed point clouds can be noisy and the distribution of +the points can be imbalanced. One major reason is that the +point cloud construction relies on the peak detection result +over the range-Doppler-FFT spectrum, so the distribution of +the points will be limited by the resolution of the FFT, and the +points will have a discrete distribution in the range domain (as +the curve-like data from the left view). Although it is possible +to improve this resolution, such as zero padding the data before +applying the FFT, it would also increase the computational cost +and memory consumption. Meanwhile, there are false detected +points due to the outliers from the peak detection stage. To +address the mentioned issue and improve the quality of the +constructed point cloud, a novel super-resolution point cloud +construction (SRPC) algorithm is proposed. +The SRPC algorithm aims to improve the distribution of +the point cloud and make it span more naturally in the spatial +space. The rationale is shown in Figure 13. When detecting +peaks in a range-Doppler spectrum or an angle spectrum, +a common approach is taking all points above a static or +dynamic threshold, where the distribution of the points is +limited by the resolution of the original data. An example of +this effect is shown in Figure 13a, where the grid represents +the resolution of the data and all the detected points must +fall on the grid. The SRPC algorithm aims to return a set +of points that have a higher resolution than the original data +and fall more naturally on the distribution curve, as shown in +Figure 13b. +The algorithm can be broken down into the following +steps. First, the power spectrum is upsampled into the desired +resolution using linear interpolation. Then, for each of the +originally detected points i ∈ [1..K], the algorithm randomly +samples ni points around it with a probability distribution + +Front View +Left View +(a) +(b) +(c) +(d) +(e) +(f) +(g) +3x3 +4x4 +6x6 +8x8 +IWR6843AOP +AWR1843AOP +IWR1843Power spectrum +Threshold +Detected pointsPower spectrum +Threshold +Detected points11 +being the amplitude of the upsampled power spectrum. The +value of ni is calculated as: +ni = pi · αSRP C +th +(14) +where pi is the power of the point, th is the threshold of the +peak detection algorithm, and αSRP C is a global hyperpa- +rameter that controls the aggressiveness of the algorithm. The +term pi ensures that a point with higher power will be sampled +into more points, as the power indicates the confidence that a +point can represent a real signal source. The parameter αSRP C +amplifies the importance of pi, where a higher αSRP C pushes +the distribution of the points towards the peak of the spectrum +and gives a more dense distribution. The sampling process is +repeated for each point i to form a new point list. Finally, K +points (the population of the original detection) are randomly +selected from the new point list, so that the total number of +detected points is kept the same and the computational cost +of the rest of the system is not affected. Since the algorithm +tends to sample more points at higher power, the distribution +of the final points will also tend to be around higher powers, +and, hence, gives a more natural distribution regarding the +power spectrum and overcomes the limitation of the original +data resolution. The time complexity of the SRPC algorithm +is approximately O(K · ni), where a typical value of ni can +fall between 2 and 8. +When constructing the point cloud, the SRPC is applied +when detecting peaks from the range-FFT spectrum and de- +tecting peaks from the angle spectrum in the AoA estimation +step. The former improves the data distribution in the range +domain and eliminates the curve-like effect when looking at +the point cloud from the left view. The latter improves the +data distribution in the angle domain so that the points tend to +span into the space rather than appearing as a dense cluster. +Meanwhile, since the points will be distributed around higher +powers, the probability of outliers will be reduced. +To evaluate the proposed SRPC algorithm, it was inserted +into the DPC1-FFT-1D and DPC1-MUSIC-2D methods men- +tioned in Section VI-C when using the baseline setup. The two +methods were chosen as they represent the most lightweight +algorithm and the most accurate algorithm, respectively. Since +the SRPC is likely to produce point clouds with different +sizes and to ensure a fair comparison, a fixed number of 512 +points were randomly taken from the point cloud generated +by each algorithm for the evaluation. The result is shown in +Figure 14. After applying the SRPC algorithm, the distribution +of the point cloud appeared to be more natural and better +distributed around the ground truth, and the outliers in the +original detection were reduced. A quantitative evaluation is +shown in Table X. The performance without SRPC dropped +slightly when compared with Table I because the output +size was forced to be 512, but both metrics have improved +after applying SRPC. Therefore, it is shown that the SRPC +algorithm can successfully improve the data point distribution, +reduce the outliers and produce a more natural point cloud +that can be potentially preferable for higher-level applications. +Future work of this research includes an efficient hardware +implementation of this algorithm using the radar on-chip +Fig. 14: Examples of point clouds constructed with and +without the SRPC algorithm. +TABLE X: Performance comparison of two algorithms with +and without SRPC. +DPC1-FFT-1D +DPC1-MUSIC-2D +FMI +IoU +FMI +IoU +Without SRPC +64.9 +20.2 +72.1 +22.9 +With SRPC +69.5 +23.6 +72.9 +25.9 +processors so that it can be further verified in real-world +scenarios, as well as an evaluation of its effectiveness in +higher-level applications like posture estimation. +VIII. CONCLUSION +In this paper, a mmWave radar simulator is presented. The +system is used to evaluate the ability of the mmWave radar as +a 3D imaging sensor. A mmWave radar dataset is constructed +using the FAUST dataset as the ground truth to provide 3D +mesh models of human subjects, from which mmWave radar +IF signals are simulated and used to evaluate different point +cloud construction algorithms. The FMI and IoU metrics are +defined to evaluate the quality of the generated point cloud. +The evaluation is performed regarding a set of different factors, +including the DPCs, AoA estimation algorithms, subject veloc- +ity, SNR, antenna layout and chirp configuration. It was found +that the DPC combining a range-Doppler-FFT and a single- +snapshot AoA estimation algorithm gives better performance. +Among all the AoA estimation algorithms, the angle-FFT +method gives a good trade-off between high performance and +low computational cost, whereas the more advanced AoA +estimation algorithms, like MVDR and MUSIC, give the best +performance at up to 9x higher execution time. The velocity +of the subject helps significantly in the detection, as the +algorithms are better at detecting a moving subject than a +stationary object. When comparing common antenna layouts, +large square antenna arrays give the best performance, but the +advantage is not significant in a 3D imaging application when +the data sources are spatially close and continuous. It is shown +that the performance of the point cloud detection benefits from +higher effective bandwidth and a higher number of chirps +per frame. Finally, a novel SRPC algorithm is proposed for +improving the resolution and distribution of the point cloud +and reducing the probability of outliers. The algorithm applies + +DPC1-FFT-1D +DPC1-MUSIC-2D +Front View +Left View +Front View +Left View +Before SRPC +After SRPC12 +to the range-Doppler-FFT peak detection stage and the AoA +estimation stage and detects points at a higher resolution that +fits the power spectrum better. When evaluating the algorithm +using the simulation system, it has been shown that the +algorithm can successfully improve the data distribution and +produces a more natural point cloud. +REFERENCES +[1] S. Rao, “MIMO radar,” Texas Instruments, Tech. Rep., 2017. +[2] C. Iovescu and S. Rao, “The fundamentals of millimeter wave sensors,” +Texas Instruments, 2017. +[3] T. Liu, Y. Zhao, Y. Wei, Y. Zhao, and S. Wei, “Concealed object +detection for activate millimeter wave image,” IEEE Transactions on +Industrial Electronics, vol. 66, no. 12, pp. 9909–9917, 2019. +[4] P. Zhao, C. X. Lu, J. Wang, C. Chen, W. Wang, N. Trigoni, and +A. Markham, “mid: Tracking and identifying people with millimeter +wave radar,” in 2019 15th International Conference on Distributed +Computing in Sensor Systems (DCOSS). +IEEE, 2019, pp. 33–40. +[5] H. Cui and N. 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Srivastava, “Radhar: +Human activity recognition from point clouds generated through a +millimeter-wave radar,” in Proceedings of the 3rd ACM Workshop on +Millimeter-wave Networks and Sensing Systems, 2019, pp. 51–56. + +13 +APPENDIX A +IF SIGNAL +In a typical FMCW radar model, the transmitter sends a +chirp signal Stx (a signal with frequency increasing linearly +with time) to detect any object in front of the radar. When +Stx is reflected by the object, the signal is received as Srx. +Assuming the signal has an initial frequency f0 and a slope +of S, then the frequency of Stx is a function of t: +ftx(t) = f0 + S · t +(15) +The instantaneous phase of the signal is a function of t and is +the integral of ftx: +φtx(t) = +� t +τ=0 +2π · ftx(τ) dτ += +� t +τ=0 +2π · (f0 + S · τ) dτ += 2π · f0 · t + +� t +τ=0 +2π · S · τ dτ += 2π · f0 · t + 2π · 1 +2S · t2 += 2π · f0 · t + π · S · t2 +(16) +The transmitted signal Stx can be written as a sinusoid signal: +Stx(t) = A · cos(2πf0t + πSt2) +(17) +where A is the transmission power. The received signal is a +delayed and downscaled version of Stx: +Srx(t) = αA · cos +� +2πf0(t − τ) + πS(t − τ)2� +(18) +where τ is the ToF of the signal and indicates the distance +of the object, and α is the downscale factor that models the +transmission loss. The two signals, Stx and Srx, are combined +through a mixer (a multiplier) to generate one signal with both +the sum frequency and the difference frequency: +Stx(t)·Srx(t) += αA2 +2 +� +cos +� +(2πf0t + πSt2) + (2πf0(t − τ) + πS(t − τ)2) +� ++ +cos +� +(2πf0t + πSt2) − (2πf0(t − τ) + πS(t − τ)2) +�� += αA2 +2 +� +cos +� +2π(2f0 − Sτ)t + 2πSt2 + πSτ 2 − 2πf0τ +� ++ +cos +� +2π(Sτ)t + 2πf0τ − πSτ 2�� +(19) +There are two cos terms in the result. The first one has a +frequency of 2f0 and will be removed by a low pass filter. +The second one is called the IF signal or the beat frequency. +The IF signal has the equation: +IF(t) = B · cos +� +2π(Sτ)t + 2πf0τ − πSτ 2� +(20) +where B = αA2 +2 . The signal has a frequency Sτ, i.e. the slope +of the chirp multiplied by the ToF. Therefore, the frequency +of the IF signal is directly proportional to the ToF. Given that +the slope of the chirp S is known, the distance of the object +can be calculated from the frequency of the IF signal. The +phase of the IF signal, (2πf0τ − πSτ 2), can be simplified to +(2πf0τ), as the second term is negligible: S has an order of +1012, τ has an order of 10−8, so (πSτ 2) will have a negligible +order of 10−4. In summary, the IF signal can be written as: +IF(t) = B · cos(ωbt + φb) +(21) +where the angular frequency ωb and the phase of the signal +φb are: +ωb = 2π · Sτ, +φb = 2πf0τ +(22) +The above equations assume that the object is stationary. If +the object is moving, the ToF τ will be varying with respect +to t. However, considering that this variation is limited to a +single chirp time, it is unlikely to produce a big change in the +frequency. The change in phase can be more significant, but +will only affect certain applications where the phase informa- +tion is critical, such as vital sign monitoring. In such cases, +the phase can be written as a function of t as φb(t) = 4πd(t) +λ0 +, +where d(t) describes the displacement of the object during the +chirp time and λ0 is the signal wavelength. +Note that the TI mmWave radar uses a complex band +architecture. It uses a complex mixer (an IQ mixer) to multiply +the two signals Stx and Srx, which has several advantages like +a lower noise figure. When in complex form, the IF signal in +Equation (21) can be written as: +IF(t) = B · ej(ωbt+φb) +(23) +which has the same frequency and phase as in Equation (22). +APPENDIX B +STEERING VECTOR AND AOA ESTIMATION +Figure 15 shows the AoA of an object (point A) to the +radar (point O). The azimuth angle θa is defined to be the +angle between the object’s projection on the horizontal plane +and the front direction of the radar. The line of incidence of +the object OA is projected onto the horizontal plane as OB, +and the angle between OB and the y-axis is the azimuth angle +θa. The elevation angle θe is defined to be the angle between +the object and the horizontal plane (between line OA and the +x-y plane). +Fig. 15: The azimuth and elevation angle of an object. +The steering vector is a function of the receiver layout +and the incident angle. To introduce the concept of steering +vectors, it is easier to start with the one-dimensional situation. +Assuming there are two receivers separated by l, a signal will +travel an additional distance ∆d to reach the second receiver, + +Elevation +A +Z +B +0 +X +Azimuth14 +where the following approximation can be made (as shown in +Figure 1): +∆d = l · sin(θ) +(24) +Given that the phase of a sinusoid signal travelled over any +distance ∆d will have a phase +2π∆d +λ +, the phase difference +between the two neighbouring receivers will be: +∆φ = 2π · ∆d +λ = π · sin(θ) +(25) +When using a receiver array with N azimuth receivers, +each subsequent receiver beyond the first one will receive an +additional phase change of ∆φ, which can be written as a +steering vector: +s(θ, N) = [1, ejπ·sin(θ), e2jπ·sin(θ), ..., e(N−1)jπ·sin(θ)] (26) +(a) Elevation angle. +(b) Azimuth angle. +Fig. 16: The AoA can be estimated from the phase difference +between adjacent receivers. +When considering the AoA in both azimuth and elevation +directions, the situation is shown in Figure 16. Distances ∆da +and ∆de represent the extra distance travelled by the signal to +reach receiver RX0 when compared with the azimuth receiver +RX1 and the elevation receiver RX2 respectively. Similar to +Equation (25), the estimation of the elevation angle θe is given +by: +sin(θe) = ∆de +l += ∆φe +π +(27) +where ∆φe is the phase difference between RX0 and RX2. +The azimuth angle requires a projection from the object’s +3D location to the horizontal plane. As shown in Figure 16b, +the projection from ∆da to ∆da’ gives: +∆da = ∆da’ · cos(θe) +(28) +Then, the angle θa can be calculated as: +sin(θa) = ∆da’ +l += +∆da +l · cos(θe) += +∆φa +π · cos(θe) +(29) +where ∆φa is the phase difference between RX0 and RX1. +Extending Equation (27) and Equation (29) with multiple +receivers as a 2D array gives Equation (5). +Once the values of θa and θe are found, then according to +Figure 1, it can be shown that: +x = OB · sin(θa) = OA · cos(θe)sin(θa) = OA · ∆φa +π +z = OA · sin(θe) = OA · ∆φe +π +y = +� +OA2 − x2 − z2 +(30) +where OA is the distance of the object and can be found from +the range-FFT. + +Elevation +Z +RX2 +RXO +RX1 +-X- +AzimuthElevation +Z +RX2 +Ada +RXO +RX1 +-X- +Azimuth \ No newline at end of file diff --git a/l9FRT4oBgHgl3EQfZjdA/content/tmp_files/load_file.txt b/l9FRT4oBgHgl3EQfZjdA/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..eba2c03fc978350619fd855e8d6b7cd0b589b370 --- /dev/null +++ b/l9FRT4oBgHgl3EQfZjdA/content/tmp_files/load_file.txt @@ -0,0 +1,974 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf,len=973 +page_content='1 Millimetre-wave Radar for Low-Cost 3D Imaging: A Performance Study Han Cui, Jiacheng Wu and Naim Dahnoun Abstract—Millimetre-wave (mmWave) radars can generate 3D point clouds to represent objects in the scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, the accu- racy and density of the generated point cloud can be lower than a laser sensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Although researchers have used mmWave radars for various applications, there are few quantitative evaluations on the quality of the point cloud generated by the radar and there is a lack of a standard on how this quality can be assessed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This work aims to fill the gap in the literature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A radar simulator is built to evaluate the most common data processing chains of 3D point cloud construction and to examine the capability of the mmWave radar as a 3D imaging sensor under various factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It will be shown that the radar detection can be noisy and have an imbalance distribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' To address the problem, a novel super- resolution point cloud construction (SRPC) algorithm is proposed to improve the spatial resolution of the point cloud and is shown to be able to produce a more natural point cloud and reduce outliers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Index Terms—mmWave radar, 3D imaging, point cloud I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' INTRODUCTION Millimetre-wave (mmWave) radars have received increased popularity in many industries as an emerging type of sensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The high bandwidth allows them to estimate the distance of an object at centimetre-level resolution, and the short wavelength and antenna size allow multiple antennas to be integrated into a single chip and measure the angle-of-arrival (AoA) of the ob- ject using multiple-input multiple-output (MIMO) techniques [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Combining the distance and AoA measurement, mmWave radars are able to construct a point cloud to represent the spatial shape of an object [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, mmWave radars can be used as a low-cost 3D imaging sensor, as an alternative to the traditional depth cameras and laser sensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This allows many computer vision tasks, such as object detection [3], human tracking [4], [5], posture estimation [6], [7], and identification [4], to be addressed using mmWave radars as a non-intrusive solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, although many applications have been proposed that rely on the 3D imaging capability of mmWave radars, few researchers have attempted to evaluate the quality of mmWave radars’ detection quantitatively, and there is a lack of a standard on how this quality can be assessed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When detecting objects in a scene, the reflection signal can be seen as a time-delayed version of the transmitted signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Combining the two signals gives an intermediate frequency (IF) signal, whose frequency and phase are determined by the time-of-flight (ToF) of the signal, and, equivalently, the distance between the object and the radar [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The distance can be estimated directly from the IF signal of one pair of transmitter and receiver at high resolution, whereas the AoA needs to be estimated from the signal phase over a linearly spaced antenna array.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' There is rich literature on antenna array-based AoA estimation for traditional radars [8], and the same concept also applies to mmWave radars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This paper discusses the AoA estimation in the context of mmWave radar 3D imaging.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It reviews and discusses the 3D point cloud construction techniques that are commonly used with mmWave radars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This paper presents a purpose-built simulation system that simulates the data acquisition process of a mmWave radar when facing a scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Radar data simulation allows researchers to focus on algorithm design and verification, instead of investing too much time in the hardware and real-world data collection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Existing radar simulators are often not designed for 3D imaging and have certain constraints.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For example, the system in [9] generates range and Doppler information of the radar rather than the raw data, the system in [10] only supports single antenna data generation and cannot be used to estimate the AoA, and the system in [11] only supports up to four receivers in one direction and cannot be used for 3D imaging.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this research, a lightweight mmWave radar simulator is designed that supports raw data generation of a multi-antenna mmWave radar, configurable antenna parameters and layout, and customized scene construction using 3D human models with programmable motions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Using the simulation system, a quantitative evaluation of the radar’s capability of imaging a human subject is carried out, as well as an evaluation of the key factors that could affect the output quality, including the data processing chain (DPC), radar antenna configuration, chirp configuration, sub- ject velocity, and signal-to-noise ratio (SNR) in the scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It will be shown that, although the radar can capture the spatial information of the subject’s body shape, the detected point cloud can be noisy, sparse and imbalanced, and can require further processing before being used for higher-level applications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Finally, a novel super-resolution point cloud construction (SRPC) algorithm is proposed to improve the spatial resolution of the point cloud and is shown to be able to produce a more natural point cloud and reduce outliers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The contribution of this paper can be summarized as fol- lows: It presents a simulator of mmWave radar that can simulate the radar data as if it is placed in a real scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It supports customized 3D models to be imported as the ground truth and provides a framework for evaluating a 3D imaging algorithm quantitatively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It presents a systematical study of 3D imaging algorithms using mmWave radars and an evaluation of the key factors arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='13553v1 [eess.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='SP] 31 Jan 2023 2 that could affect the radar detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It highlights the challenges of the noisy and imbalanced point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It presents a novel SRPC algorithm that can be inserted into the traditional point cloud construction DPC and can improve the quality of the point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The rest of the paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section II discusses the background and related work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section III in- troduces the preliminaries of mmWave radars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section IV presents the details of the simulator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section V discusses the 3D imaging DPC using mmWave radars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section VI presents the experimental results based on the simulation system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section VII presents the novel SRPC algorithm and shows how it can improve the radar detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Section VIII concludes the work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BACKGROUND Traditionally, 3D imaging systems often use depth cameras (like stereo cameras or RGBD cameras) [12] or laser sensors [13], which are able to provide a dense and accurate 3D model of the object in front.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, camera-based systems can be intrusive and limited by the lighting conditions, and laser sensors are often constrained by their high cost (when compared with the cost of a mmWave radar which is only around £10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Radar-based 2D imaging has also been used widely in applications like security, but they provide limited depth information and often rely on a dense antenna array that has a fixed region-of-interest [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Radar-based 3D object detection uses radio frequency (RF) signals at certain fre- quencies to detect objects, and the resolution of the detection largely depends on the available bandwidth.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For example, WiFi devices operating at 5 GHz with a 40 MHz bandwidth can locate people with sub-meter level resolution [15], and ultra-wide band (UWB) devices at higher frequency bands can achieve centimetre level resolution [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' With mmWave radars operating at above 60 GHz, the range resolution can be below 5 cm [2] and even micrometre level when pointing to a corner reflector [17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, the high resolution has gained mmWave radars great popularity in automotive driving applications, and researchers are actively investigating their usage in computer vision tasks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Although mmWave radars can be used as 3D imaging sensors, the point cloud is often less accurate and noisier than the traditional systems [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Many methods have been proposed to improve the detection quality of a mmWave radar, such as [18], [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, as these methods often use different radar configurations and scene setup, it is hard to carry out a quan- titative comparison between them, and there lacks a standard on how to define the quality of the radar detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This work aims to address the problem by providing a simulation system and a framework for a systematic evaluation of a 3D imaging algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Radar-based 3D imaging requires measuring the distance and AoA of the object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The distance is often measured through the ToF of the signal, whereas the AoA measurement relies on the use of an antenna array.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Since the antennas in the array will have different physical locations, the ToF at each antenna will be different, and the AoA of the object can be estimated by investigating the signal difference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This process has been studied in depth for traditional long-range radars [8], and the same principle can be applied to mmWave radars on a smaller scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' There are many algorithms designed for estimating the AoA based on a linearly spaced antenna array, such as the FFT- based method, beamforming method and subspace method (more details in Section III-C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' These algorithms provide a trade-off between the computational complexity and the angular resolution [8], [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, in contrast to traditional radar systems where the signal sources are often well-defined and uncorrelated, signal sources in 3D imaging can be one object with a continuous surface, which can require a different DPC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This paper discusses the traditional AoA estimation algorithms in the context of 3D imaging using a mmWave radar and investigates the key factors that would affect the detection result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' MMWAVE RADAR PRELIMINARIES Commercial mmWave radars often implement the frequency modulated continuous wave (FMCW) model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The radar sends a modulated chirp signal, detects the signal reflection from any object, processes the signal and determines the range, velocity, and AoA of the object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The principle of the FMCW radar model has been documented in detail in the literature (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' [5]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This section will give a brief discussion of the fundamentals that are necessary for understanding this paper, with a particular focus on the AoA estimation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The radar sends an FMCW signal and receives its reflection from the object in the scene, where the reflection will be a time-delayed version of the transmitted signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The two signals are mixed to produce an IF signal, as shown in Equation (1) (more details in Appendix A): IF(t) = Aej(ωbt+φb) where ωb = 2πSτ, φb = 2πf0τ (1) where S is the slope of the chirp, τ is the ToF of the signal, f0 is the starting frequency of the chirp, and A represents the amplitude of the signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' After obtaining the IF signal, a DPC will be applied to determine the presence of any object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Distance and Velocity Estimation For a single object, the frequency ωb will be a constant value and the distance of the object can be calculated as d = τc 2 = ωbc 4πS (2) When there are multiple refection sources, the frequencies can be found by applying an FFT over the IF signal, which is referred to as the range-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The velocity can be measured by transmitting multiple chirps at a known interval and calculating the phase difference between the chirps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Assuming the radar transmits a chirp every Tc seconds and a phase difference ∆φ is observed between successive chirps, then the velocity v of the object can be estimated as: v = ∆φc 4πTcf0 (3) When there are multiple reflection sources moving at different velocities, they can be found by applying another FFT over the chirp phases, which is referred to as the Doppler-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 3 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 1: Phase difference between two receivers from one signal source.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' AoA Estimation Principle The AoA of the object can be estimated by having multiple antennas operating concurrently and by comparing the phase difference between neighbouring receivers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Due to the spatial location difference between the receivers, the signal received at each receiver will have a slight phase difference depending on the relative position of the receivers and the AoA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The AoA can be computed in both azimuth and elevation directions, given that there exists more than one antenna in each direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The azimuth and elevation angles will be denoted as θa and θe, respectively, or θ(a,e) when referring to both of them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Assuming there are Na×Ne linearly spaced receivers in the azimuth and elevation directions,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' and M objects in different directions θ(a,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e)m,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' then each object can be viewed as a signal source and the receiving antenna array will receive a signal (denoted as x) as a weighted sum of the M data source: x(Na×Ne) = M � m=1 αms(θ(a,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e)m) + n (4) where s(θ(a,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e)m) is the steering vector that represents the phase difference between receivers when a signal arrives with angle θ(a,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e)m,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' α is an unknown parameter that models the signal transmission from the data source to the receivers,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' and n is the noise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The AoA estimation can be modelled as estimating the values of θ(a,e) for each object m, given a set of receiver data (x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For linearly spaced arrays, the receivers are often separated by a small distance l that is equal to half of the signal wave- length, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' l = λ 2 , to maximize the angle-of-view (AoV) [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When using an array of Na azimuth receivers and Ne elevation receivers, each subsequent receiver beyond the first one will receive an additional phase change that can be expressed using a 2D steering vector (more details in Appendix B): s(θ(a,e), Na, Ne) = � ��� 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=', ej(Na−1)∆φa ej∆φe, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=', ej(∆φe+(Na−1)∆φa) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=', .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=', .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' ej(Ne−1)∆φe, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=', ej((Ne−1)∆φe+(Na−1)∆φa) � ��� (5) 3D point cloud construction requires the x-y-z coordinates of the object instead of the azimuth and elevation angles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, the calculation of the exact value of θa and θe is often not required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Let d denote the distance of the object, then the 3D coordinates of the object can be calculated as (more details in Appendix B): x = d∆φa π , z = d∆φe π , y = � d2 − x2 − z2 (6) Given that d can be obtained from the range-FFT as discussed in Section III-A, the x-y-z coordinates can be obtained if the phase differences ∆φa and ∆φe are known.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, the AoA estimation of an object can be considered equivalently as searching for the best matching steering vector s(θ(a,e)m) of the object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' AoA Estimation Algorithms In the following sections, some of the most widely-used AoA estimation algorithms will be discussed, including the FFT-based method, conventional beamforming (also known as the Bartlett beamforming or the delay-and-sum beamforming), the minimum variance distortionless response (MVDR) beam- forming (also known as the Capon beamforming) [21], and the multiple signal classification (MUSIC) subspace method [22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The angle-FFT method is a single-snapshot method that can make an estimate based on a single chirp, whereas the other methods are multi-snapshot methods that require a few chirps to make one estimate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The performance of the algorithms depends on several factors, including the antenna layout, number of antennas, chirp configuration, number of snapshots, SNR, environment, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 1) Angle-FFT Method: The simplest way of estimating s(θ(a,e)m) of an object m in Equation (4) is by using cor- relation between the receiver data x and the steering vector from the candidate angles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A set of candidate steering vectors s(¯θ(a,e)) is defined for θa ∈ [−π, π], θe ∈ [−π, π], and the correlation is calculated as s(¯θ(a,e)) · x, which will yield a peak output when ¯θ(a,e) equals to θ(a,e)m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This process is equivalent to applying an FFT over the receiver data x, since the steering vector can be considered the same as a set of FFT coefficients, which gives the frequency components in terms of ∆φa and ∆φe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This FFT is also referred to as the angle-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' As an example, Figure 2 shows the antenna layout of the TI IWR6843 radar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It has three transmitters and four receivers, which can form a 12-receiver array when using MIMO tech- niques [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The phase of each virtual receiver is also shown, where ϕ is the random initial phase of the first receiver.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The azimuth receivers will form a signal ej(∆φan+ϕ) and the elevation receivers will form a signal ej(∆φan+2∆φa+ϕ+∆φe), where n is the receiver index in each direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The value of ∆φa can be obtained by applying an azimuth-FFT over the azimuth receivers (RX1-RX4 and RX9-RX12), which will give the frequency ∆φa and phase ϕ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The value of ∆φa can be obtained by applying an FFT over the elevation receivers, which will give the frequency ∆φa and phase 2∆φa+ϕ+∆φe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Hence, the value of ∆φe can also be calculated given ∆φa and ϕ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' An alternative approach to calculate ∆φa is by applying an elevation-FFT over a set of receivers in the elevation direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For example, Figure 3 shows the layout of the TI overhead detection sensor (ODS) model, where the receivers form a near-square shape and allows a 2D angle-FFT to be performed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Object d Ad 0 0 ~/=入2 RXO RX1 RXO RX1 TX1 Approximation4 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 2: IWR6843 radar antenna layout, the virtual receiver array and the received phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The ODS models allow a higher elevation resolution at the cost of reduced azimuth resolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 3: IWR6843ODS radar antenna layout, the virtual receiver array and the received phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 2) Beamforming Method: Beamforming methods calculate a set of weights w(Nrx×Θ) for the Nrx virtual receivers in the array (both azimuth and elevation), and for all possible angles θ(a,e) ∈ Θ where θa ∈ [−π, π], θe ∈ [−π, π].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When applying a column of weights to the receiver data x, the signal from the direction θ will receive a constructive inference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' By searching all possible angles θ(a,e), a power spectrum p with size Θ can be obtained, where a high power in the spectrum indicates that there is a data source in that direction: p = wHx (7) where wH is the Hermitian transposition of w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The angles of the M objects can be obtained by taking the M highest peaks in p and finding the corresponding entries in w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In the data model shown in Equation (4), signals reflected from objects will be correlated when being received at each receiver, whereas the noise will be uncorrelated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, one way to extract signal information from x is by calculating a sensor covariance matrix Rx [8]: Rx = E{xHx} ≈ 1 N N � t=1 xH(t)x(t) (8) where E represents the statistical expectation and x(t) repre- sents one snapshot (or one frame) of the receiver data x.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When evaluating the beamforming power spectrum using multiple snapshots, the overall power spectrum becomes the statistical expectation of p in Equation (7) over the snapshots, which gives: P = E{|wHx|2} = 1 N N � t=1 wHx(t)xH(t)w = wHRxw (9) Once the beamforming power spectrum is computed, the peaks in the spectrum will correspond to the signal from the objects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' There are many algorithms designed for calculating the weights w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The conventional beamforming uses the steering vector directly as the weights, which is conceptually equivalent to the angle-FFT method (or correlation-based method) in Section III-C1: Pconventional = sHRxs (10) where s is the candidate steering vector in the format of Equation (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' There are also adaptive beamforming algorithms that calcu- late the weights using the signal information embedded in the covariance matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For example,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the MVDR algorithm aims at minimizing the variance from non-interested directions while keeping the signal from the candidate direction distortionless [21]: Pmvdr = 1 sHR−1 x s (11) 3) Subspace Method: The core of the subspace method is that,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' since the signal x should contain M correlated signals and uncorrelated noise,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the covariance matrix Rx should have M non-zero eigenvalues and N − M zero eigenvalues,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' where N is the rank of Rx that is equal to the number of receivers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The eigenvectors corresponding to the M eigenvalues form the signal subspace, and the eigenvectors corresponding to the zero eigenvalues form the noise subspace.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The signal subspace and the noise subspace are orthogonal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' One of the most widely- used subspace-based algorithms is the MUSIC algorithm [22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It searches for steering vectors that are orthogonal to the noise subspace.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The power spectrum of the MUSIC algorithm can be written as: Pmusic = 1 sHUU Hs (12) where U is the set of eigenvectors corresponding to the zero eigenvalues.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' MMWAVE RADAR SIMULATOR A simulator is designed to verify the discussed algorithms and evaluate the theoretical capability of using a mmWave radar as a 3D sensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The simulator simulates mmWave radars with one transmitter and one receiving antenna array, which is practically equivalent to a multi-transmitter multi-receiver radar using an appropriate modulation scheme [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Any two neighbouring receivers in the array are separated by λ0/2, where λ0 (approximately 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 mm) is the wavelength of the mmWave signal at its chirp starting frequency (77 GHz).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The simulator simulates the IF signal at each receiver of a mmWave radar when pointing toward a scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The scene is modelled to have M points, where each point has a unique x- y-z coordinate and represents the spatial location of the object in the scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Each point is modelled as a corner reflector and reflects the mmWave signal sent out by the radar with the same reflectivity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The reflection area of the object is modelled by the number of points, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' a large object would have a higher number of points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The IF signal at a receiver during one chirp is modelled using Equation (1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Given a certain chirp Virtual Antenna Array Receivers Transmitters Elevation RX5 RX6 RX7 RX8 TX2 Antennas TX3 TX1 2 RX2 RX3 RX4 RX1 X/2 Azimuth RX4 RX1 RX2 RX3 RX9 RX11 RX12 RX10 Antennas V2 Received Phase (5Apa+ 340a+ 24pa+ 44g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='+ Elevation (p+Ape p+Ape p+Ape p+△pe Antennas C 07 54ba+ 340a+ 24ga+ 6Apa+ 7Apa+ (4△pa+ Azimuth Apa+p Antennas CIEVirtual Antenna Array Received Phase Transmitters Receivers b) p- RX4 △pa RX2 RX6 RX8 24ba 3△ba RX2 RX4 TX2 TX1 RX1 RX3 入/2 入/2 d d) p-pA 2△A X3 3△ΦA RX1 RX3 RX5 RX7 Ade Ape Ade Dde N/2 N/2 V2 入/2 p-LpA RX10 RX12 2pe 24e N/2 β-△A R212O RX9 RX11 3△be 34be 25 configuration,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the frequency and phase of the IF signal from one point are determined by the distance d between the point and the receiver.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The amplitude of the IF signal is set to be inversely proportional to d4, to simulate the power loss due to distances according to the radar range equation [23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The final IF signal at a receiver is the accumulated IF signals from all M points in the scene, with an additional white Gaussian noise n, as shown in Equation (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' IF(t) = M � i=1 1 d4 i ej(2πSτi·t+2πf0τi) + n (13) where τi is the ToF of the signal from the transmitter to the point i and then to the receiver, and S is the slope of the chirp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The amplitude of the noise n is controlled by the desired SNR during the experiment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The signal IF(t) is sampled into a digital signal of length Ns, where Ns = (duration of the chirp) × (ADC sampling rate).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' During one chirp, the radar receives a signal that can be represented as a 2D matrix of size Nrx × Ns, where Nrx is the number of receivers in the array.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' One frame includes Nc chirps that form a 3D matrix of size Nrx ×Nc ×Ns, which becomes the input matrix of the point cloud construction algorithm, as shown as the input block in Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The design of the simulation system makes two assump- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' First, the multipath effect is not considered in this system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' While the multipath effect is a long-standing issue that can cause power fading and ghost targets, it highly depends on the scene and the reflectivity of the objects and is hard to incorporate in the model, so it is left as future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Second, a practical radar often uses multiple transmitters and receivers and an appropriate signal modulation scheme to separate the signal from different transmitters, such as time demultiplexing modulation and binary phase modulation [1], to achieve an equivalent single-transmitter-multi-receiver system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The simu- lation system assumes a perfect signal modulation scheme for this purpose and ignores any error or SNR loss that may be introduced during the modulation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' POINT CLOUD CONSTRUCTION ALGORITHM The construction of a point cloud takes an input matrix of size Nrx × Nc × Ns and outputs a 2D matrix PCK of size K × 3 (referred to as the output point cloud), where K is the number of detected points and 3 is the x-y-z coordinates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This section studies one of the most common DPCs used on mmWave radars and its variant, which have shown success in many HAR systems, like in [4], [6], [24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Data Processing Chains Two DPCs are implemented that differ in using a Doppler- FFT or not, as shown in Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Both DPCs require a range-FFT over the raw data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The range-FFT identifies the frequency components in the IF signal that correspond to the distance of an object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It transforms the input matrix X of size Nrx ×Nc ×Ns into a range matrix R of size Nrx ×Nc ×N ∗ s , where N ∗ s is the length of the range-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The first DPC applies a Doppler-FFT on the data from all the chirps and generates Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 4: Two possible DPCs for mmWave radar point cloud construction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' a Range-Doppler heatmap of size Nrx × N ∗ c × N ∗ s , where N ∗ c is the length of the Doppler-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Then, it searches for peaks in the Range-Doppler heatmap (using the average of all receivers), extracts the receivers’ data for each peak and generates a 2D matrix of size K × Nrx, where K is the number of detected peaks and, equivalently, the number of detected points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A constant false alarm rate (CFAR) algorithm is used for detecting peaks from the Range-Doppler heatmap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The parameters of the CFAR control the sensitivity of the peak detection and are considered the hyperparameters of the system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Finally, a single-snapshot AoA estimation is applied to each point in the matrix for a total of K times, to obtain the x-y-z coordinates of all detected points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The AoA estimation algorithm can be any of the angle-FFT, beamforming or subspace methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Although the beamforming and subspace methods are multi-snapshot algorithms, the Doppler-FFT im- plicitly uses the information from all chirps and allows a good estimate of the covariance matrix at the AoA estimation stage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The second DPC does not include a Doppler-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Instead, it considers the chirps as different snapshots and performs one multi-snapshot estimation for each range bin for a total of N ∗ s times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' More specifically, the input range matrix of size Nrx ×Nc ×N ∗ s is re-arranged into N ∗ s instances of Nrx ×Nc matrix, and the AoA estimation is applied to each Nrx × Nc matrix using Nc snapshots.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The AoA estimation algorithm can be any of the beamforming or subspace methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Finally, the points detected at each range bin are concatenated into one point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this research, the angle-FFT, conventional beamforming, MVDR beamforming and MUSIC subspace methods described in Section III-C are being studied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Model Order Estimation As described in Section III-C2 and Section III-C3, the beamforming and subspace methods include an angle power spectrum computation step, where each peak in the spectrum corresponds to an incoming signal from a point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, in both DPCs, the expected number of incoming signals will be unknown in practice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, this number needs to be estimated from the signal data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This step is referred to as model order estimation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For this purpose, the covariance matrix of the signal data and its eigenvalues are computed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' As Data Processing Chain 1 口 Nc Average all rx + Extract data for 口 Input peak detection each peak 7 Ns Chirp 1 Doppler-FFT at Nc each distance .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' : Re-arrange K single- Range-Doppler K snapshot AoA Nc Nc Chirp Nc Heatmap Nx estimations Ns NX INX N Nx} Ns + Data Processing Chain 2 Range-FFT indno Ns on each chirp 用 # # K Nc Range FFT 1 Re-arrange Re-arrange Nrx Nrx Nc X-y-Z Nc Ns multi-snapshot AoA estimations Range FFT Nc + peak detection Nx Ns Ns 用 用 曲 K1 Ks 4 Concatenate6 (a) (b) (c) Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 5: Three approaches when searching for the steering vectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (a) An azimuth search (red) followed by an elevation search (black).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (b) A full 2D azimuth-elevation search.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (c) A 2D azimuth-elevation search using sub-grids.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' described in Section III-C3, the covariance matrix should have a size of Nrx × Nrx and has a full rank equal to Nrx.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' There should be M large eigenvalues that correspond to the number of incoming signals and Nrx − M zeros corresponding to noise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In practice, due to the presence of noise, the difference between these eigenvalues may not be significant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, the minimum descriptive length (MDL) algorithm [25] is used for estimating the value of M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It fits a statistical model using the eigenvalues and searches for the optimal value of M that minimizes a cost function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The MDL algorithm is used in both DPCs to estimate the number of incoming signals in the AoA estimation stage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Once the angle power spectrum is calculated, all the local maxima will be found and the largest Mmdl peaks will be taken as the output, where Mmdl is the value found from the MDL algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Steering Vector Searching The beamforming and subspace methods search for the steering vectors that maximize a power function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This process can be carried out using three approaches: an azimuth search followed by an elevation search, a 2D azimuth-elevation search or a 2D search using sub-grids.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' An example of the three approaches is shown in Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In the example, the power spectrum shows the incoming direction of the signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The space of the spectrum is sampled into a 17×17 grid and each vertex on the grid represents a candidate AoA to be tested.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In the first approach, an azimuth AoA search is performed using the data from azimuth receivers and steering vectors that only consider the azimuth angle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Then, based on the azimuth AoA output, a secondary search is performed in the elevation direction using the data from all receivers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This approach has the least computational cost (34 searches in the example), but the performance can be suboptimal as the azimuth search may not cover the actual AoA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The second approach performs a 2D search that considers all possible combinations of the azimuth and elevation directions and uses data from all receivers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It is computationally expensive (289 searches in the example) but provides the most accurate estimate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The third approach defines several levels of grids and performs the AoA search at different granularities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It starts the searching with a sparse grid, finds the peaks, defines a denser grid around each peak and performs the next search.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The process can be performed iteratively until the desired resolution is achieved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It reduces Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 6: Some examples of the mesh models and point clouds from the FAUST dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the computational cost of the second approach significantly as it skips certain regions in the spectrum (50 searches in the example), at the cost of the potential possibility of missing some peaks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' EVALUATION A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Dataset The FAUST dataset [26] was used to serve as the ground truth for the simulator, to evaluate the point cloud construction algorithms described.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The datasets contain human models in the form of watertight triangulated meshes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The meshes were generated from a high-resolution camera system containing stereo cameras, RGB cameras and speckle projectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The FAUST dataset contains 10 subjects and 30 static postures per subject, of which 10 postures are provided with aligned watertight models, giving 100 models in total.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In the simulation, the models were placed at 2 m from the radar and facing towards the radar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The height of the radar was set to be in the middle of each model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A ground truth point cloud was constructed from each model by randomly sampling M points from the surface of the mesh model, where each point was assumed to be a corner reflector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Some examples of the mesh models and point clouds are shown in Figure 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The simulator computed a signal matrix for each point cloud to simulate the IF signal that would be received by the radar when placed towards a subject, as described by Equation (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The entire dataset containing the 100 models was split into 80 training data and 20 test data, where the training data was used for hyperparameters searching in the point cloud construction algorithms, and the test data was used for evaluating the algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When generating the IF signal matrix, there are two sources of randomness: the noise term n introduced in Equation (13) and the random sampling of the ground truth point cloud from the mesh model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, all the evaluation processes were repeated 10 times for each mesh model and the average metrics were reported, to minimize any potential effect of the randomness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Evaluation Metrics To evaluate the quality of the point cloud constructed by an algorithm, it is necessary to define the evaluation metrics for comparing the output point cloud against the ground truth point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Let PCM denote the ground truth point cloud and PCK denote the point cloud generated by the radar, which are + C + + DO C O O O O O O O7 a M ×3 matrix and a K×3 matrix, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It is important to note that the point cloud construction algorithm can provide an uncertain number of points that might be different to the ground truth (M ̸= K), and PCK can have a non-uniform distribution while PCM is distributed uniformly on the mesh model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The evaluation metrics should take the two point clouds PCM and PCK as input and measure the similarity between them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' First, two points are defined to be close to each other if their Euclidean distance is less than a certain distance D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this research, D is set to 10 cm as an empirical estimation of the error tolerance of a HAR system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Then, the following terms and metrics are defined: Precision: Number of points in PCK that has at least one close point from PCM, divided by K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It evaluates how many points in PCK are considered to be accurate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Sensitivity/Recall: Number of points in PCM that has at least one close point from PCK, divided by M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It evaluates how well PCK can cover the space of PCM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fowlkes–Mallows index (FMI): the geometric mean of precision and sensitivity, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' √precision × sensitivity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Intersection over Union (IoU): Establish two regular 3D voxel grids for PCK and PCM with the voxel size set to 10 cm × 10 cm × 10 cm, consider a voxel to be occupied if there is at least one point present in the voxel, then the IoU is calculated as the number of overlapping voxels of the two voxel grid, divided by the union.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The IoU evaluates the similarity of the two point clouds at the granularity of the voxel size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' An ideal system should have both high precision and high sensitivity, whereas the relative importance of the two depends on the application.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this section, the FMI, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the geometric mean of precision and sensitivity, is used to indicate the performance of the system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The IoU also provides a good indication of how the generated point cloud can represent the scene.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, as the calculation of the IoU is highly sensitive to the voxel size and outliers, it is used as a secondary metric.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Data Processing Chain and Algorithms In the first experiment, the two DPCs combined with different AoA algorithms were evaluated and compared, in terms of the quality of the estimated point cloud and the computational cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A baseline radar and scene configuration were designed to approximate a typical setup in a common indoor environment as follows: One transmitter and a 4 × 4 uniform receiver array.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The chirp frequency is 77 GHz to 81 GHz, the slope is 40 MHz/us, the chirp duration is 100 us, the ADC sampling rate is 15 MHz, each frame is 50 ms with 50 chirps, and each chirp has 1500 samples (as shown in Figure 7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Each human mesh model is sampled into 512 points and placed at 2 m away from the radar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' SNR is 30 dB.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The subject has a velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s moving away from the radar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 7: Chirp configuration of one frame in the baseline setup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' TABLE I: FMI (standard deviation in parentheses) comparison between the algorithms when using a 4 × 4 receiver array and a subject velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' FMI in % Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 68.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5) 68.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9) 60.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 (8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7) 67.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6) 67.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6) 74.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7) 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9) 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2) DPC2 NA 43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8) 46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1) 50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6) 53.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4) 52.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4) 53.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0) The AoA algorithm uses 512 bins to cover the ±90° AoV, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the angular resolution is 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='35°.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The velocity of the subject is introduced following the assumption that a real person cannot stay absolutely stationary during the measurement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' At a velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s and a frame time of 50 ms, the total displacement will be 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 mm and is considered negligible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The velocity provides a variation on the signal received at different chirps, as otherwise the multi- snapshot AoA estimation algorithms would receive an identi- cal signal at all chirps and would yield a poor performance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Combining the two DPCs with different AoA estimation algorithms, there are 14 methods in total to be evaluated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For each method, both the 1D search approach and the 2D sub-grid approach described in Section V-C are included.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For the 2D angle-FFT method, the full-grid approach is used instead of the sub-grid approach, since the benefit of the lower computational cost is less significant for FFTs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The algorithms will be referred to using the format “DPC-Method- 1D/2D” throughout the paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For example, DPC1-Conv-2D refers to the conventional beamforming method in DPC1 that uses a 2D steering vector search.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The angle-FFT method is not applicable in DPC2 as it is not a multi-snapshot algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Algorithms in DPC1 include a CFAR peak detection step on the Range-Doppler heatmap, where the optimal parameters for the CFAR were searched on the training dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Then, the performance of the algorithms on the test dataset was evaluated and compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The results are shown in Table I and Table II as FMI and IoU (in % and with the standard deviation in parentheses), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' TABLE II: IoU (standard deviation in parentheses) comparison between the algorithms when using a 4 × 4 receiver array and a subject velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' IoU in % Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3) 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6) 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9) 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1) 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4) 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1) 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1) 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5) DPC2 NA 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2) 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0) 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3) 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4) 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2) 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3) Frequency (GHz) Chirp 0 Chirp 1 Chirp 2 Chirp 49 81 77 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 49 49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 50 < Time (ms) 1500 ADC samples 50 x 1500 samples per receiver per frame8 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 8: Examples of the radar detection using the different algorithms, when using a 4 × 4 receiver array and a subject velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' There are a few important observations from the experiment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Even though the subject had a low velocity, the DPC1 with a Doppler-FFT outperformed the other significantly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' One main reason is that, as the number of receivers is much lower than the number of signals, the AoA estimation algorithm can fail to distinguish points with a close angle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Instead, these points will be identified as one strong signal source.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' On the contrary, the CFAR peak detection step in DPC1 picks a set of points around the peak that are above the CFAR threshold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' As these points also contribute to the point cloud, the output becomes denser and the sensitivity is improved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' This effect can be observed from the example detection shown in Figure 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In terms of the different algorithms, the MVDR and MU- SIC methods outperformed the angle-FFT and conventional methods, at the expense of higher complexity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Meanwhile, all the 2D methods outperformed the 1D methods due to a more fine-grained resolution (as shown earlier in Figure 5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The best performance was achieved with the DPC1-MVDR-2D and DPC1-MUSIC-2D methods, with an FMI of 74.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5% and 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0%, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, the IoU metrics show that the point clouds were still far from the objective of high-accuracy scene reconstruction, as the highest IoU was only 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4%.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It can be seen from Figure 8 that, while the distribution of the point cloud mostly fitted the subject, the distribution was not even and there were body parts (like the hands) that received fewer points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, there is still a big gap before the radar output can be directly used by applications that require high quality data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Table III compares the algorithms in terms of execution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The algorithms were run using the same dataset and parameters multiple times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The algorithms were written in Python without any processor-specific optimization and were run on one Intel i7-9700K CPU core.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The result is shown as the relative execution time of each algorithm when com- pared with the DPC1-FFT-1D method (the most lightweight method) and normalized with the number of detected points, to give an indication of their relative complexity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' All the 2D methods have a higher complexity than the 1D methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' For algorithms in DPC1, the 1D angle-FFT method has the TABLE III: Normalized execution time comparison between the algorithms using the baseline setup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Normalized Complexity Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='00 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='42 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='38 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='32 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='51 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='99 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='02 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='85 DPC2 NA 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='69 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='38 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='31 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='89 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='67 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='61 TABLE IV: Relative FMI difference of the algorithms when using a 4 × 4 receiver array and a subject velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 m/s in comparison to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' FMI in % Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 +8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 +11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 +12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 +10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 +10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 +8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 +10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 +7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 DPC2 NA +4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 +5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 +4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 +8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 +5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 lowest computational cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' With the sub-grid optimization, the complexity of the 2D beamforming and MUSIC methods can be kept at around twice the 1D methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The complexity without the sub-grid optimization is expected to be much higher, as can be estimated from the difference between the 2D and 1D angle-FFT methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When considering both the complexity and the performance, the DPC1-FFT-1D method provides a good trade-off between them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The MVDR methods and MUSIC methods in DPC1 give the best performance at the cost of 9x execution time and require additional efforts on the hardware and implementation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It is worth noting that many mmWave radar systems, like [6], [7], [27], are built based on the DPC1-FFT-1D method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, these systems can potentially benefit from a more complex AoA estimation algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Subject Velocity The motion of the subject being sensed has a significant impact on the detection output.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In DPC1, a higher velocity makes a subject easier to be identified in the Range-Doppler heatmap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Due to the relative position difference between the body parts of the subject, they will have a different radial velocity with respect to the radar, making them distinguishable in the Range-Doppler heatmap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In DPC2, a higher velocity increases the variance of the signal between chirps and allows a better estimate of the data covariance matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' To verify the theorem, an experiment was carried out using the same configuration as the baseline setup, except that the velocity of the subject was set to different values from 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 m/s to 1 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The ground truth point cloud was taken as the average position of the subject during the motion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Table IV and Table V show two examples of the experiment where the subject velocity was set to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 m/s and 1 m/s, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When compared with Table I, all algorithms achieved a 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6% to 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5% improvement in terms of the FMI when the subject had an increased velocity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Figure 9 shows the FMI and IoU of the DPC1-MUSIC-2D method with different subject velocities from 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 m/s to 1 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' An overall positive correlation can be observed between the subject velocity and the detection performance, and the impact is the most obvious at lower velocities (around 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 m/s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Some examples of the detection at 1 m/s are shown in Figure 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Conventional MVDR MUSIC FFT Beamforming Beamforming 1D 2D 1D 2D 1D 2D 1D 2D Front View DPC1 Left View Front View DPC2 Left View9 TABLE V: Relative FMI difference of the algorithms when using a 4 × 4 receiver array and a subject velocity of 1 m/s in comparison to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' FMI in % Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 +9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 +13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 +14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 +12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 +12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 +9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 +11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 +8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 DPC2 NA +5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 +4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 +3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 +9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 +5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 9: FMI and IoU (with errors) of the DPC1-MUSIC-2D algorithm with different subject velocities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' SNR In a practical environment, a radar system can experience noise from different sources, such as the thermal noise of the radar chip.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The SNR also depends on the distance between the radar and the subject, as the signal power drops quickly along with the distance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In the simulator, the SNR can be controlled by the power of the noise term n in Equation (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this section, the performance of the algorithms between a high SNR environment (40 dB) and a lower SNR environment (5 dB) is compared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Two experiments were carried with the subject velocity set to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 m/s, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The results are shown in Table VI and Table VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In the low SNR environment, all the algorithms in DPC1 experienced a similar drop in performance, as expected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' How- ever, the algorithms in the DPC2 showed a higher perfor- mance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The reason is that the higher noise affected the model order estimation step and the system tends to report a higher number of points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Taking the DPC2-Conv-2D method as an example, the average size of the detected point cloud was Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 10: Examples of the radar detection using the different algorithms, when using a 4 × 4 receiver array and a subject velocity of 1 m/s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' TABLE VI: Performance difference when using a 4 × 4 receiver array and a subject velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='05 m/s in a low SNR environment (5 dB in comparison to 30 dB).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' FMI in % Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 DPC2 NA +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 +1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 +1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 TABLE VII: Performance difference when using a 4 × 4 receiver array and a subject velocity of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 m/s in a low SNR environment (5 dB in comparison to 30 dB).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' FMI in % Angle-FFT Conv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' BF MVDR BF MUSIC 1D 2D 1D 2D 1D 2D 1D 2D DPC1 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 DPC2 NA +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 +2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 +1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 +0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 +0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 found to be 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3% higher in a low SNR environment than in a higher SNR environment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, this was still insufficient to reach a similar performance as DPC1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Antenna Layout Theoretically, the antenna layout determines the angular resolution that an AoA estimation algorithm can achieve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The more receivers in one direction, the higher resolution the radar can measure [1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, this is questionable when the signal sources are spatially close and continuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Meanwhile, having more antennas also increases the cost of the hardware, as more circuit components, processing units and memory would be required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, it is beneficial to study the relationship between the antenna layout and the output quality and find the optimal trade-off for an application.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Common commercial mmWave radars use up to three transmitters and up to four receivers, giving up to twelve virtual receivers as a receiving array.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Some radar models are designed for automotive applications and prioritize the azimuth direction, while others are designed for general purpose appli- cations and have a similar resolution in both the azimuth and elevation directions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this section, common antenna layouts implemented on the TI radars are evaluated and compared, as well as a few square-shape antenna layouts that are more common in research projects, as listed in Figure 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The same radar configuration and scene setup in Section VI-C were used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The experiment compares the antenna layouts using the DPC1- MUSIC-2D algorithm (the best performing algorithm).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The result is shown in Table VIII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 11: The list of receiver layouts being evaluated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (a)-(d) are square antenna arrays.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (e)-(f) are non-regular antenna arrays implemented on TI radars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 FMI 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 Performance 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='Subject velocity (m/s)Conventional ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='MVDR ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='MUSIC ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='FFT ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='Beamforming ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='Beamforming ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1D ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2D ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1D ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2D ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1D ' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='(c) 6x6 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='O ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='O ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='(d) 8x8 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='O ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='O ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='(e) IWR6843A0P ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='(f) AWR1843AOP ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='(g) IWR184310 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='TABLE VIII: Performance comparison between different an- ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='tenna layouts using the baseline configuration and the DPC1- ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='MUSIC-2D algorithm (standard deviation in parentheses).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Antenna Layouts a b c d e f g FMI in % 76.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4) 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2) 76.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8) 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5) 72.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='3) 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9) 65.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0) IoU in % 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='4 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1) 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5) 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8) 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='7) 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0) 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2) 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5) Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 12: Examples of the radar detection using the different antenna layouts with the baseline setup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It can be seen that most antenna layouts had similar perfor- mance, except the layout (g) which had a worse performance as it is designed for automotive applications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The layout (e) has a non-uniform antenna distribution that slightly affected its performance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' All other layouts showed a similar performance regardless of the antenna size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, considering the increased hardware cost and computational cost of increasing the number of antennas, a small antenna size can be preferable for 3D sensing applications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Figure 12 shows some examples of the detection using different antenna layouts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Chirp Configuration The chirp configuration can have various effects on the distance detection and velocity detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' These factors can indirectly affect the quality of the final point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In this section, three different chirp configurations were tested and compared against the baseline configuration in Section VI-C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The details of the three configurations (named A, B and C) and the performance are shown in Table IX.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Each configuration has certain parameter cut to 80% to evaluate the effect on the output.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Configuration A had an 80% reduced chirp slope and, hence, a reduced effective bandwidth from 4 GHz to 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 GHz.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Configuration B had an 80% reduced ADC sampling rate that reduced the samples per chirp from 1500 to 1200.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Configuration C had an 80% reduced number of chirps per frame, from 50 to 40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' All other parameters were kept the same as the baseline with the DPC1-MUSIC-2D algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The result shows that the performance can be strongly affected by the effective bandwidth and the number of chirps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The former affects the distance resolution of the detection, and the latter affects the Doppler resolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Reducing either of these parameters reduces the accuracy of the range-Doppler heatmap and the estimation of the covariance matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' On the other hand, the effect of reducing the ADC sampling rate and the number of samples per chirp is much less significant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' TABLE IX: FMI (standard deviation in parentheses) com- parison between four chirp configurations using the DPC1- MUSIC-2D algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Chirp Configuration Baseline A B C Slope of the chirp (MHz/us) 40 32 40 40 ADC sampling rate (MHz) 15 15 12 15 Chirps per frame 50 50 50 40 FMI in % 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2) 71.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='8) 76.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0) 70.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='0) (a) Points detected without SRPC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (b) Points detected with SRPC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 13: Using SRPC algorithm to improve the resolution and distribution of the data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' SUPER-RESOLUTION POINT CLOUD CONSTRUCTION ALGORITHM It can be seen from Figure 8 and Figure 10 that the constructed point clouds can be noisy and the distribution of the points can be imbalanced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' One major reason is that the point cloud construction relies on the peak detection result over the range-Doppler-FFT spectrum, so the distribution of the points will be limited by the resolution of the FFT, and the points will have a discrete distribution in the range domain (as the curve-like data from the left view).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Although it is possible to improve this resolution, such as zero padding the data before applying the FFT, it would also increase the computational cost and memory consumption.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Meanwhile, there are false detected points due to the outliers from the peak detection stage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' To address the mentioned issue and improve the quality of the constructed point cloud, a novel super-resolution point cloud construction (SRPC) algorithm is proposed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The SRPC algorithm aims to improve the distribution of the point cloud and make it span more naturally in the spatial space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The rationale is shown in Figure 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When detecting peaks in a range-Doppler spectrum or an angle spectrum, a common approach is taking all points above a static or dynamic threshold, where the distribution of the points is limited by the resolution of the original data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' An example of this effect is shown in Figure 13a, where the grid represents the resolution of the data and all the detected points must fall on the grid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The SRPC algorithm aims to return a set of points that have a higher resolution than the original data and fall more naturally on the distribution curve, as shown in Figure 13b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The algorithm can be broken down into the following steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' First, the power spectrum is upsampled into the desired resolution using linear interpolation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Then, for each of the originally detected points i ∈ [1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='.K], the algorithm randomly samples ni points around it with a probability distribution Front View Left View (a) (b) (c) (d) (e) (f) (g) 3x3 4x4 6x6 8x8 IWR6843AOP AWR1843AOP IWR1843Power spectrum Threshold Detected pointsPower spectrum Threshold Detected points11 being the amplitude of the upsampled power spectrum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The value of ni is calculated as: ni = pi · αSRP C th (14) where pi is the power of the point, th is the threshold of the peak detection algorithm, and αSRP C is a global hyperpa- rameter that controls the aggressiveness of the algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The term pi ensures that a point with higher power will be sampled into more points, as the power indicates the confidence that a point can represent a real signal source.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The parameter αSRP C amplifies the importance of pi, where a higher αSRP C pushes the distribution of the points towards the peak of the spectrum and gives a more dense distribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The sampling process is repeated for each point i to form a new point list.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Finally, K points (the population of the original detection) are randomly selected from the new point list, so that the total number of detected points is kept the same and the computational cost of the rest of the system is not affected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Since the algorithm tends to sample more points at higher power, the distribution of the final points will also tend to be around higher powers, and, hence, gives a more natural distribution regarding the power spectrum and overcomes the limitation of the original data resolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The time complexity of the SRPC algorithm is approximately O(K · ni), where a typical value of ni can fall between 2 and 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When constructing the point cloud, the SRPC is applied when detecting peaks from the range-FFT spectrum and de- tecting peaks from the angle spectrum in the AoA estimation step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The former improves the data distribution in the range domain and eliminates the curve-like effect when looking at the point cloud from the left view.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The latter improves the data distribution in the angle domain so that the points tend to span into the space rather than appearing as a dense cluster.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Meanwhile, since the points will be distributed around higher powers, the probability of outliers will be reduced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' To evaluate the proposed SRPC algorithm, it was inserted into the DPC1-FFT-1D and DPC1-MUSIC-2D methods men- tioned in Section VI-C when using the baseline setup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The two methods were chosen as they represent the most lightweight algorithm and the most accurate algorithm, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Since the SRPC is likely to produce point clouds with different sizes and to ensure a fair comparison, a fixed number of 512 points were randomly taken from the point cloud generated by each algorithm for the evaluation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The result is shown in Figure 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' After applying the SRPC algorithm, the distribution of the point cloud appeared to be more natural and better distributed around the ground truth, and the outliers in the original detection were reduced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A quantitative evaluation is shown in Table X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The performance without SRPC dropped slightly when compared with Table I because the output size was forced to be 512, but both metrics have improved after applying SRPC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, it is shown that the SRPC algorithm can successfully improve the data point distribution, reduce the outliers and produce a more natural point cloud that can be potentially preferable for higher-level applications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Future work of this research includes an efficient hardware implementation of this algorithm using the radar on-chip Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 14: Examples of point clouds constructed with and without the SRPC algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' TABLE X: Performance comparison of two algorithms with and without SRPC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' DPC1-FFT-1D DPC1-MUSIC-2D FMI IoU FMI IoU Without SRPC 64.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='2 72.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='1 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 With SRPC 69.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='5 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='6 72.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='9 processors so that it can be further verified in real-world scenarios, as well as an evaluation of its effectiveness in higher-level applications like posture estimation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' VIII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' CONCLUSION In this paper, a mmWave radar simulator is presented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The system is used to evaluate the ability of the mmWave radar as a 3D imaging sensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' A mmWave radar dataset is constructed using the FAUST dataset as the ground truth to provide 3D mesh models of human subjects, from which mmWave radar IF signals are simulated and used to evaluate different point cloud construction algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The FMI and IoU metrics are defined to evaluate the quality of the generated point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The evaluation is performed regarding a set of different factors, including the DPCs, AoA estimation algorithms, subject veloc- ity, SNR, antenna layout and chirp configuration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It was found that the DPC combining a range-Doppler-FFT and a single- snapshot AoA estimation algorithm gives better performance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Among all the AoA estimation algorithms, the angle-FFT method gives a good trade-off between high performance and low computational cost, whereas the more advanced AoA estimation algorithms, like MVDR and MUSIC, give the best performance at up to 9x higher execution time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The velocity of the subject helps significantly in the detection, as the algorithms are better at detecting a moving subject than a stationary object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When comparing common antenna layouts, large square antenna arrays give the best performance, but the advantage is not significant in a 3D imaging application when the data sources are spatially close and continuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It is shown that the performance of the point cloud detection benefits from higher effective bandwidth and a higher number of chirps per frame.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Finally, a novel SRPC algorithm is proposed for improving the resolution and distribution of the point cloud and reducing the probability of outliers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The algorithm applies DPC1-FFT-1D DPC1-MUSIC-2D Front View Left View Front View Left View Before SRPC After SRPC12 to the range-Doppler-FFT peak detection stage and the AoA estimation stage and detects points at a higher resolution that fits the power spectrum better.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When evaluating the algorithm using the simulation system, it has been shown that the algorithm can successfully improve the data distribution and produces a more natural point cloud.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' REFERENCES [1] S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 2014.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' [27] A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Singh, S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Sandha, L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Garcia, and M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Srivastava, “Radhar: Human activity recognition from point clouds generated through a millimeter-wave radar,” in Proceedings of the 3rd ACM Workshop on Millimeter-wave Networks and Sensing Systems, 2019, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 51–56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 13 APPENDIX A IF SIGNAL In a typical FMCW radar model, the transmitter sends a chirp signal Stx (a signal with frequency increasing linearly with time) to detect any object in front of the radar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When Stx is reflected by the object, the signal is received as Srx.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Assuming the signal has an initial frequency f0 and a slope of S,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' then the frequency of Stx is a function of t: ftx(t) = f0 + S · t (15) The instantaneous phase of the signal is a function of t and is the integral of ftx: φtx(t) = � t τ=0 2π · ftx(τ) dτ = � t τ=0 2π · (f0 + S · τ) dτ = 2π · f0 · t + � t τ=0 2π · S · τ dτ = 2π · f0 · t + 2π · 1 2S · t2 = 2π · f0 · t + π · S · t2 (16) The transmitted signal Stx can be written as a sinusoid signal: Stx(t) = A · cos(2πf0t + πSt2) (17) where A is the transmission power.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The received signal is a delayed and downscaled version of Stx: Srx(t) = αA · cos � 2πf0(t − τ) + πS(t − τ)2� (18) where τ is the ToF of the signal and indicates the distance of the object, and α is the downscale factor that models the transmission loss.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The two signals, Stx and Srx, are combined through a mixer (a multiplier) to generate one signal with both the sum frequency and the difference frequency: Stx(t)·Srx(t) = αA2 2 � cos � (2πf0t + πSt2) + (2πf0(t − τ) + πS(t − τ)2) � + cos � (2πf0t + πSt2) − (2πf0(t − τ) + πS(t − τ)2) �� = αA2 2 � cos � 2π(2f0 − Sτ)t + 2πSt2 + πSτ 2 − 2πf0τ � + cos � 2π(Sτ)t + 2πf0τ − πSτ 2�� (19) There are two cos terms in the result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The first one has a frequency of 2f0 and will be removed by a low pass filter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The second one is called the IF signal or the beat frequency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The IF signal has the equation: IF(t) = B · cos � 2π(Sτ)t + 2πf0τ − πSτ 2� (20) where B = αA2 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The signal has a frequency Sτ, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the slope of the chirp multiplied by the ToF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Therefore, the frequency of the IF signal is directly proportional to the ToF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Given that the slope of the chirp S is known, the distance of the object can be calculated from the frequency of the IF signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The phase of the IF signal, (2πf0τ − πSτ 2), can be simplified to (2πf0τ), as the second term is negligible: S has an order of 1012, τ has an order of 10−8, so (πSτ 2) will have a negligible order of 10−4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In summary, the IF signal can be written as: IF(t) = B · cos(ωbt + φb) (21) where the angular frequency ωb and the phase of the signal φb are: ωb = 2π · Sτ, φb = 2πf0τ (22) The above equations assume that the object is stationary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' If the object is moving, the ToF τ will be varying with respect to t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' However, considering that this variation is limited to a single chirp time, it is unlikely to produce a big change in the frequency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The change in phase can be more significant, but will only affect certain applications where the phase informa- tion is critical, such as vital sign monitoring.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' In such cases, the phase can be written as a function of t as φb(t) = 4πd(t) λ0 , where d(t) describes the displacement of the object during the chirp time and λ0 is the signal wavelength.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Note that the TI mmWave radar uses a complex band architecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' It uses a complex mixer (an IQ mixer) to multiply the two signals Stx and Srx, which has several advantages like a lower noise figure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When in complex form, the IF signal in Equation (21) can be written as: IF(t) = B · ej(ωbt+φb) (23) which has the same frequency and phase as in Equation (22).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' APPENDIX B STEERING VECTOR AND AOA ESTIMATION Figure 15 shows the AoA of an object (point A) to the radar (point O).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The azimuth angle θa is defined to be the angle between the object’s projection on the horizontal plane and the front direction of the radar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The line of incidence of the object OA is projected onto the horizontal plane as OB, and the angle between OB and the y-axis is the azimuth angle θa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The elevation angle θe is defined to be the angle between the object and the horizontal plane (between line OA and the x-y plane).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 15: The azimuth and elevation angle of an object.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The steering vector is a function of the receiver layout and the incident angle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' To introduce the concept of steering vectors, it is easier to start with the one-dimensional situation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Assuming there are two receivers separated by l,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' a signal will travel an additional distance ∆d to reach the second receiver,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Elevation A Z B 0 X Azimuth14 where the following approximation can be made (as shown in Figure 1): ∆d = l · sin(θ) (24) Given that the phase of a sinusoid signal travelled over any distance ∆d will have a phase 2π∆d λ ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' the phase difference between the two neighbouring receivers will be: ∆φ = 2π · ∆d λ = π · sin(θ) (25) When using a receiver array with N azimuth receivers,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' each subsequent receiver beyond the first one will receive an additional phase change of ∆φ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' which can be written as a steering vector: s(θ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' N) = [1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' ejπ·sin(θ),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' e2jπ·sin(θ),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=', e(N−1)jπ·sin(θ)] (26) (a) Elevation angle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' (b) Azimuth angle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' 16: The AoA can be estimated from the phase difference between adjacent receivers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' When considering the AoA in both azimuth and elevation directions, the situation is shown in Figure 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Distances ∆da and ∆de represent the extra distance travelled by the signal to reach receiver RX0 when compared with the azimuth receiver RX1 and the elevation receiver RX2 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Similar to Equation (25), the estimation of the elevation angle θe is given by: sin(θe) = ∆de l = ∆φe π (27) where ∆φe is the phase difference between RX0 and RX2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' The azimuth angle requires a projection from the object’s 3D location to the horizontal plane.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' As shown in Figure 16b, the projection from ∆da to ∆da’ gives: ∆da = ∆da’ · cos(θe) (28) Then, the angle θa can be calculated as: sin(θa) = ∆da’ l = ∆da l · cos(θe) = ∆φa π · cos(θe) (29) where ∆φa is the phase difference between RX0 and RX1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Extending Equation (27) and Equation (29) with multiple receivers as a 2D array gives Equation (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Once the values of θa and θe are found, then according to Figure 1, it can be shown that: x = OB · sin(θa) = OA · cos(θe)sin(θa) = OA · ∆φa π z = OA · sin(θe) = OA · ∆φe π y = � OA2 − x2 − z2 (30) where OA is the distance of the object and can be found from the range-FFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} +page_content=' Elevation Z RX2 RXO RX1 X- AzimuthElevation Z RX2 Ada RXO RX1 X- Azimuth' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/l9FRT4oBgHgl3EQfZjdA/content/2301.13553v1.pdf'} diff --git a/ldFKT4oBgHgl3EQfDS1x/content/tmp_files/2301.11711v1.pdf.txt b/ldFKT4oBgHgl3EQfDS1x/content/tmp_files/2301.11711v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..d969bf3999eab91ded719936e8f025121897a45c --- /dev/null +++ b/ldFKT4oBgHgl3EQfDS1x/content/tmp_files/2301.11711v1.pdf.txt @@ -0,0 +1,1521 @@ +AN ADAPTIVE-DISCARD-GRAPH FOR ONLINE ERROR CONTROL +Lasse Fischer +Competence Center for Clinical Trials Bremen +University of Bremen +fischer1@uni-bremen.de +Marta Bofill Roig +Center for Medical Data Science +Medical University of Vienna +marta.bofillroig@meduniwien.ac.at +Werner Brannath +Competence Center for Clinical Trials Bremen +University of Bremen +brannath@uni-bremen.de +January 30, 2023 +ABSTRACT +In recent years, graphical multiple testing procedures have gained popularity due to their generality +and ease of interpretation. In contemporary research, online error control is often required, where +an error criterion, such as familywise error rate (FWER) or false discovery rate (FDR), shall remain +under control while testing an a priori unbounded sequence of hypotheses. Although the classical +graphical procedure can be extended to the online setting, previous work has shown that it leads +to low power, and other approaches, such as Adaptive-Discard (ADDIS) procedures, are preferred +instead. In this paper, we introduce an ADDIS-Graph with FWER control and its extension for the +FDR setting. These graphical ADDIS procedures combine the good interpretability of graphical +procedures with the high online power of ADDIS procedures. Moreover, they can be adapted to a +local dependence structure and an asynchronous testing setup, leading to power improvements over +the current state-of-art methods. Consequently, the proposed methods are useful for a wide range of +applications, including innovative complex trial designs, such as platform trials, and large-scale test +designs, such as in the evaluation of A/B tests for marketing research. +Keywords graphical testing procedures · false discovery rate · familywise error rate · online multiple testing. +1 +Introduction +In online multiple testing, an infinite stream of hypotheses (Hi)i∈N is tested sequentially (Foster and Stine, 2008). +This means, at each step i ∈ N, a decision has to be made on the current hypothesis Hi while having access only +to the previous hypotheses and decisions. Since the number of hypotheses to be tested in the future is unknown, +an infinite number is usually assumed. Due to the testing of multiple hypotheses, the probability of making false +discoveries increases and a multiplicity correction is required. Usually, either the familywise error rate (FWER) +or the false discovery rate (FDR) are used as error criteria. While controlling the FWER refers to maintaining the +probability of rejecting at least one true null hypothesis below some pre-specified threshold, the FDR controls the +expected proportion of true hypotheses among the rejections, and thus allows making false discoveries (Benjamini +and Hochberg, 1995). The choice of error criterion depends on the study and the associated stringency towards false +rejections. In some online applications, the less conservative FDR is preferred, as the number of hypotheses is very +large. Examples can be found in the marketing of large internet companies, which conduct a sequence of so-called A/B +tests to improve websites (Kohavi et al., 2013). However, there are also applications where false discoveries need to +be avoided and control of the FWER is necessary. For instance, specific platform trials can be embedded in the online +multiple testing setting (Robertson et al., 2022a) and in such clinical trials FWER control may be required. In genetic +studies, an a priori unbounded sequence of hypotheses is tested (Muñoz-Fuentes et al., 2018), often with an interest in +arXiv:2301.11711v1 [stat.ME] 27 Jan 2023 + +A PREPRINT - JANUARY 30, 2023 +the FWER. Another example where online FWER is essential is the updating of a machine learning algorithm (Feng +et al., 2022). +In classical “offline” multiple testing, graphical approaches have been suggested to facilitate the visualization and +communication of multiple testing procedures. In the seminal paper, Bretz et al. (2009) proposed the representation +of multiple testing procedures by directed graphs, where the null hypotheses are represented by nodes accompanied +by their initial significance levels and connected by weighted vertices, illustrating error propagation if the hypotheses +are rejected. The graphical procedures provide FWER control, facilitate the illustration of the study objectives and +are very popular as many test procedures can be represented by this graphical structure (Bretz et al., 2009). The +graphical approaches were later extended to adaptive designs (Klinglmueller et al., 2014) and to other error measures +(Robertson et al., 2020), and more recently Tian and Ramdas (2021) extended the graphical approach to the online +case. Fischer et al. (2022) presented a new online closure principle which ensures that the resulting closed procedure +can be applied in the online setting and, in particular, showed how the online version of the graphical procedure can be +written as an online closed procedure based on the Alpha-Spending (Foster and Stine, 2008). Feng et al. (2022) also +used an online version of the graphical procedure for a specific online multiple testing problem, namely, the updating +of a machine learning algorithm. In addition, they included the correlation structure between the p-values in order +to improve the algorithm. However, one disadvantage the previously mentioned online graphical approaches have in +common is that the individual significance levels are typically rather low due to a large number of hypotheses in online +multiple testing. Since the significance level is only distributed to the future hypotheses when a p-value is below +an individual significance level, an update of the levels is unlikely, which results in low power. A more promising +approach to online FWER control is the Adaptive-Discard (ADDIS) principle by Tian and Ramdas (2021). It allows +to preserve the individual significance level of a hypothesis Hi for the future testing process if the p-value Pi lies +outside of an interval (λi, τi] with 0 ≤ λi < τi ≤ 1. Tian and Ramdas (2021) proposed the ADDIS-Spending as a +concrete ADDIS procedure. In the case of Pi ≤ λi or Pi > τi, the ADDIS-Spending ignores the hypothesis Hi in the +future testing process and adjusts the future significance levels accordingly. The price for this improvement is a testing +factor (τi − λi), which needs to be multiplied by the individual significance level before comparing it with the p- +value. In comparison to FWER, a variety of approaches have been proposed for FDR control (Foster and Stine, 2008; +Ramdas et al., 2017, 2018; Javanmard and Montanari, 2018; Tian and Ramdas, 2019). Also, in this case, the ADDIS∗ +procedure proposed by Tian and Ramdas (2019), which is based on an ADDIS principle for FDR control, seems to be +the most promising in terms of online power (Robertson et al., 2022b). However, ADDIS-Spending and ADDIS∗ lack +generality and interpretability, which also leads to power loss in certain frameworks, such as local dependency and an +asynchronous test structure. Our main contribution in this paper is the so-called ADDIS-Graph. The ADDIS-Graph +allows to distribute significance level to future hypotheses whenever a p-value Pi is less or equal than λi or greater +than τi. Consequently, the ADDIS-Graph combines the good interpretability of graphical procedures with the high +online power of ADDIS procedures. +In Section 2, we formally describe the setting and present the online version of the graphical procedure, the ADDIS +principle for FWER control and the ADDIS-Spending (Tian and Ramdas, 2021). Based on these concepts, we derive +the ADDIS-Graph for FWER control and show that it contains all other online procedures satisfying the ADDIS +principle (Section 3). The visual representation of the ADDIS-Graph clarifies the dependencies between an individual +significance level and the outcomes of previous tests. This allows the ADDIS-Graph to adapt to complex situations, +resulting in high efficiency. We illustrate this by showing that the ADDIS-Graph leads to an improvement over the +ADDIS-Spending under local dependence (Section 4). In Section 5, we transfer the ADDIS-Graph approach to the +FDR setting, resulting in the FDR-ADDIS-Graph. Here, we show superiority over ADDIS∗ with the example of an +asynchronous testing setup, where a test does not necessarily start and finish at the same step. In Sections 6 and 7, we +compare our proposals with the procedures proposed by Tian and Ramdas (2019, 2021) through a simulation study +and application to real data, respectively. All formal proofs of the theoretical assertions are in the Appendix. +2 +Preliminaries +2.1 +Setting and notation +Let I0 be the index set of true hypotheses, R(i) be the index set of rejected hypotheses up to step i ∈ N and V (i) = +I0 ∩ R(i) denote the index set of falsely rejected hypotheses up to step i. We aim to control the familywise error rate +FWER(i) := P(|V (i)| > 0) +(1) +at each step i ∈ N, where P denotes the probability under the true configuration of true and false hypotheses. Since +FWER(i) is nondecreasing, it is sufficient to control FWER := P(v > 0), where v := lim +i→∞ |V (i)|. The FWER is +controlled strongly at level α, if FWER ≤ α for any configuration of true and false null hypotheses. In contrast, weak +2 + +A PREPRINT - JANUARY 30, 2023 +control only provides that FWER ≤ α under the global null hypothesis, which assumes that all hypotheses are true +(I0 = N). In this paper, we focus on strong control. +Denoting by (Pi)i∈N the p-values corresponding to the hypotheses (Hi)i∈N. Each null p-value Pi, i ∈ I0, is assumed +to be valid, meaning P(Pi ≤ x) ≤ x for all x ∈ [0, 1]. A hypothesis Hi is rejected, if Pi ≤ αi, where αi ∈ +[0, 1) is the individual significance level of Hi. ADDIS algorithms also require additional parameters (τi)i∈N and +(λi)i∈N with values in (0, 1] and [0, τi), respectively. In order to apply a multiple testing procedure in the online +setting, these parameters are only allowed to depend on information about previous p-values. Mathematically, (αi)i∈N, +(τi)i∈N and (λi)i∈N are sequences of random variables such that αi, τi and λi are measurable with respect to Gi−1 := +σ({R1, S1, C1, . . . , Ri−1, Si−1, Ci−1}), where Rj = 1Pj≤αj, Sj = 1Pj≤τj and Cj = 1Pj≤λj. +2.2 +Online-Graph and ADDIS procedures +In the following, we present essential concepts for constructing an ADDIS-Graph. We start with the Online-Graph, +which was introduced by Tian and Ramdas (2021) (named Online-Fallback procedure in their paper) as the online +version of the graphical procedure by Bretz et al. (2009). Fischer et al. (2022) have shown how the Online-Graph can +be obtained by the online closure principle. Afterwards, we present the ADDIS principle and ADDIS-Spending by +Tian and Ramdas (2021). +The procedures considered in this paper involve a non-negative sequence (γi)i∈N with � +i∈N γi ≤ 1, which can be +interpreted as the initial allocation of the significance level α. The graphical procedures additionally require non- +negative weights (gj,i)∞ +i=j+1 for all j ∈ N with �∞ +i=j+1 gj,i ≤ 1, which determine the updating of the individual +significance levels during the testing process. With this, the Online-Graph is defined as +αi = αγi + +i−1 +� +j=1 +gj,iRjαj. +(2) +The Online-Graph is illustrated in Figure 1. The initial individual significance level is below each hypothesis. After +the rejection of a hypothesis Hj, j ∈ N, the individual significance level of Hj is distributed to the future hypotheses +according to the weights (gj,i)∞ +i=j+1. The rectangles below the nodes can be ignored for the Online-Graph and the +dots at the end refer to the fact that there is an infinite number of future hypotheses. +Due to the ease of interpretation, graphical multiple testing procedures are very popular. However, except for un- +realistic extreme cases (e.g. that each hypothesis can be rejected), the individual significance levels (αi)i∈N of the +Online-Graph tend to 0 for i to infinity. This means that the probability of distributing a significance level to the future +hypotheses becomes enormously unlikely at a late stage of the testing process, which results in low power. For this +reason, Tian and Ramdas (2021) have proposed an ADDIS principle that preserves the significance level of Hi for +the future testing process, if Pi ≤ λi or Pi > τi. In this way, the decrease of the significance levels can be slowed +down and thus the power increased. However, this improvement also has its cost. In order to control the FWER, it is +required that the null p-values are independent of each other and the non-nulls. In addition, it is assumed that the null +p-values are uniformly valid, which means P(Pi ≤ xy|Pi ≤ y) ≤ x for all x, y ∈ [0, 1] and i ∈ I0 (Zhao et al., 2019). +Furthermore, in case of λi < Pi ≤ τi, the level αi/(τi − λi) is lost instead of just αi. +Theorem 2.1 (ADDIS principle for FWER control (Tian and Ramdas, 2021)). Assume the null p-values are uniformly +valid and independent from each other and the non-nulls. Every multiple testing procedure controls the FWER in the +strong sense when the individual significance levels (αi)i∈N satisfy +i +� +j=1 +αj +τj − λj +(Sj − Cj) ≤ α +for all i ∈ N. +(3) +The ADDIS principle combines the two concepts of adaptivity and discarding. The idea of adaptivity is based on the +fact that false hypotheses cannot lead to a type I error and thus testing false hypotheses does not increase the FWER. +Hence, λi is used to estimate whether a hypothesis is true or false. The discarding approach uses the fact that null +p-values are often conservative, meaning P(Pi ≤ x) < x or equivalently P(Pi > x) > 1 − x for some x ∈ [0, 1] +and i ∈ I0. Discarding exploits this by accepting large p-values without testing, which leads to higher significance +levels for the remaining hypotheses. Note that one could also consider the adaptivity and discarding part separately by +setting τi = 1 or λi = 0 respectively for all i ∈ N. In case of τi = 1, the assumption about the null p-values being +uniformly valid can be dropped (Tian and Ramdas, 2021). +Online multiple testing procedures that follow Theorem 2.1 are called ADDIS procedures. As a concrete ADDIS +procedure, Tian and Ramdas (2021) proposed the ADDIS-Spending. The idea of ADDIS-Spending is to ignore a +3 + +A PREPRINT - JANUARY 30, 2023 +hypothesis Hi in case of Pi ≤ λi or Pi > τi in the future testing process and adjust the significance levels accordingly. +This results in the individual significance level +αi = α(τi − λi)γt(i), +where t(i) = 1 + +i−1 +� +j=1 +(Sj − Cj). +(4) +3 +ADDIS-Graph for FWER control +Tian and Ramdas (2021) showed by means of simulations that the ADDIS-Spending (in equation (4)) leads to a +substantially higher power than the one achieved when using the Online-Graph. However, the interpretation of the +Online-Graph is easier, which makes it simpler to use. To this end, we bring together the approaches of the Online- +Graph (in (2)) and the ADDIS principle (Theorem 2.1), resulting in what we call the ADDIS-Graph. +Definition 3.1 (ADDIS-Graph). Let (γi)i∈N and (gj,i)∞ +i=j+1, j ∈ N, be non-negative sequences that sum to at most +one. In addition, let τi ∈ (0, 1] and λi ∈ [0, τi) be measurable regarding Gi−1 for all i ∈ N. The ADDIS-Graph tests +each hypothesis Hi at significance level +αi = (τi − λi) +� +�αγi + +i−1 +� +j=1 +gj,i(Cj − Sj + 1) +αj +τj − λj +� +� . +(5) +Theorem 3.2. The ADDIS-Graph satisfies the ADDIS principle (Definition 2.1) and thus controls the FWER in the +strong sense when the the null p-values are uniformly valid and independent from each other and the non-nulls. +In order to represent this ADDIS-Graph as a graph, consider ˜αi = αi +1 +τi−λi for all i ∈ N, where αi is the significance +level obtained by the ADDIS-Graph. Equation (5) gives us ˜αi = αi +1 +τi−λi = αγi + �i−1 +j=1 gj,i(Cj − Sj + 1)˜αj. +Comparing this with the Online-Graph (2), the (˜αi)i∈N can be interpreted as the significance levels we would obtain +by a graph with initial levels (αγi)i∈N that updates the future levels whenever a p-value Pj, j ∈ N, is less or equal +than λj or greater than τj. Thus, one can first determine ˜αi using this graph and then compute the level of the ADDIS- +Graph as αi = ˜αi(τi −λi). This fact is used to illustrate the ADDIS-Graph in Figure 1. It can be interpreted just as the +Online-Graph, with two subtle differences. First, we can choose at each step j ∈ N limits τj ∈ [0, 1) and λj ∈ (0, τj] +for the p-value Pj that determine when the significance level of the j-th hypothesis is distributed among the future +hypotheses. Second, we need to include an additional testing factor based on these parameters, which is illustrated in +the rectangle below each hypothesis. This testing factor is only multiplied with the individual significance level when +the corresponding hypothesis is tested, but it is not involved in the updating process with the graph. +Figure 1: Illustration of the ADDIS-Graph. Ignoring the rectangles the figure can also be interpreted as the Online- +Graph. +4 + +A PREPRINT - JANUARY 30, 2023 +When defining the ADDIS-Graph, we considered the parameters (γi)i∈N and (gj,i)∞ +i=j+1, j ∈ N as fixed. However, +we do not need this assumption to satisfy the conditions of Theorem 2.1 and thus to control the FWER. Consequently, +γi and gj,i could also be random variables that are measurable regarding Gi−1. With this, the procedures become more +flexible. It can even be shown that, in this case, the ADDIS-Graph is the general ADDIS procedure, thus containing +all procedures satisfying the ADDIS principle (Theorem 2.1). +Theorem 3.3. Let γi (i ∈ N) and gj,i (j ∈ N, i > j) be measurable with respect to Gi−1. Then, any procedure +satisfying the ADDIS principle (Theorem 2.1) can be written as an ADDIS-Graph (Definition 3.1). +Note that the ADDIS-Graph is more general than the ADDIS-Spending, as Theorem 3.3 does not hold for ADDIS- +Spending. To see this, suppose we choose a fix λi = λ and τi = τ for all i ∈ N. Then Pi ≤ λ or Pi > τ directly +implies αi = αi+1 (see (4)) which does not need to hold for every other ADDIS procedure. +Remark. For a positive and nonincreasing (γi)i∈N, one could write the ADDIS-Spending as an ADDIS-Graph by +choosing gj,i = (γt(j)+i−j−1 − γt(j)+i−j)/γt(j), where t(j) = 1 + �j−1 +k=1(Sk − Ck). If (γi)i∈N is increasing, it +becomes more complex, as the (γi)i∈N used in the ADDIS-Graph would need an adjustment as well. +For the sake of simplicity, we consider (γi)i∈N and (gj,i)j∈N,i>j as fixed parameters in the remainder of this paper. +In the following section, we show that the ADDIS-Graph can handle local dependence structures and argue why it +provides a major improvement over the ADDIS-Spending under local dependence. +4 +ADDIS-Graph under local dependence +Procedures based on the ADDIS principle (Theorem 2.1) only control the FWER when the p-values are independent. +In practice, this assumption is often violated. For example, when the same control group is used to test experimental +groups in different hypotheses or the formulation of new hypotheses is based on the previous test outcomes. On the +other hand, it is unlikely that p-values from the distant past have any influence on the current testing, as the data +and context of the data might have changed. For this reason, Zrnic et al. (2021) have proposed a local dependence +structure. Assume that a fixed sequence of lags (Li)i∈N with Li ∈ {0, 1, . . . , i − 1} and Li+1 ≤ Li + 1 for all i ∈ N +is given. Then, the p-values (Pi)i∈N are called locally dependent, if ∀i ∈ N holds: +Pi ⊥ Pi−Li−1, Pi−Li−2, . . . , P1. +For every Pi, this local dependency structure specifies up to which point of time the previous p-values are independent +of Pi. Note that local dependence contains independence (Li = 0 ∀i ∈ N) and arbitrary dependence (Li = i − 1 +∀i ∈ N) as special cases. Although we consider the lags as fixed, they do not need to be known before the evaluation. +However, Li has to be determined at the beginning of step i ∈ N and must not depend on the data itself. For +example, the lags could be based on content-related information about the data. Tian and Ramdas (2021) showed +that local dependence can be incorporated into the ADDIS principle (Theorem 2.1) by ignoring the dependent p- +values and making pessimistic assumptions instead. Mathematically, αi, λi and τi need to be measurable regarding +Gi−Li−1 = σ({P1, . . . , Pi−Li−1}). Tian and Ramdas (2021) used this to adjust their ADDIS-Spending (4) to the local +dependence by requiring (γi)i∈N to be nonincreasing and setting +αi = α(τi − λi)γt(i), +where t(i) = 1 + Li + +i−Li−1 +� +j=1 +(Sj − Cj). +(6) +Note that this procedure, which we refer to as ADDIS-Spendinglocal, loses significance level due to local dependence. +To see that, suppose α∗ +i = α(τi−λi)γt∗(i), where t∗(i) = 1+�i−1 +j=1(Sj −Cj). Then, α∗ +i can be interpreted as the level +we would obtain under independence (Li = 0). It is easy to see that t∗(i) ≤ t(i), and often even strictly smaller. For +example, suppose P1 and P2 depend on each other (L2 = 1). If P1 ≤ λ1 or P1 > τ1, we have t∗(2) = 1 < 2 = t(2) +and if additionally γ1 > γ2, we also have α∗ +2 > α2. Since (γi)i∈N needs to be decreasing at some steps (unless it is +constant 0) and often is at every step, the power loss is inevitable and can get high when the lags (Li)i∈N are large. In +the following, we will see that this power loss can be avoided using the ADDIS-Graph. +First, we adjust the ADDIS-Graph to the local dependence structure such that FWER control is preserved. After that, +we show how the weights of the ADDIS-Graph can be used such that no significance level is lost. A simple way to +account for local dependence in the ADDIS-Graph (Figure 1) is to remove the arrows connecting dependent p-values +and adjust the individual significance levels of the ADDIS-Graph (Definition 3.1) to +αi = (τi − λi) +� +�αγi + +i−Li−1 +� +j=1 +gj,i(Cj − Sj + 1) +αj +τj − λj +� +� . +5 + +A PREPRINT - JANUARY 30, 2023 +In Figure 2, the ADDIS-Graph is illustrated for a specific local dependence structure. In this example, L2 = 1, +meaning P1 and P2 depend on each other. This is illustrated by the dotted line. Hence, the link g1,2 is removed +as no significance level of the first hypothesis can be allocated to the second. Furthermore, L3 was chosen equal to +zero, which is why no further adjustment of the graph was needed. Note that by removing the weight g1,2 potential +significance level is lost as well as in ADDIS-Spending. However, the ADDIS-Graph allows to adjust the weights to +the given local dependence structure. For example, by adding g1,2 to one of the other weights g1,i, i > 2. In that case, +it may be that not the same hypotheses benefit from the first hypothesis, but the same amount of significance level is +distributed as under independence. +Figure 2: Adjustment of the ADDIS-Graph (Figure 1) to a local dependence structure in which P1 and P2 depend on +each other. +In order to formalise such strategies, note that Li+1 ≤ Li + 1 for all i ∈ N implies that i − Li is nondecreasing in +i. Hence, if we define dj := min{i ∈ N : i − Li > j} (we set min(∅) = ∞) as the index of the first future p-value +that does not depend on Pj, all Pk with k > dj are independent from Pj as well. Thus, the idea is to distribute the +entire significance level of Hj in case of Pj ≤ λj or Pj > τj only to hypotheses Hk with k ≥ dj. For this, we +propose to remove the weights between dependent hypotheses and standardise the remaining weights, which leads to +the following ADDIS-Graph under local dependence. +Definition 4.1 (ADDIS-Graphlocal). Assume local dependence with the lags (Li)i∈N. Let (γi)i∈N be a non-negative +sequence that sums up to 1 and (gj,i)∞ +i=j+1 be a non-negative sequence for all j ∈ N such that �k +i=j+1 gj,i < 1 for all +k > j. In addition, let τi ∈ (0, 1] and λi ∈ [0, τi) be measurable regarding Gi−Li−1 = σ({P1, . . . , Pi−Li−1}). The +ADDIS-Graphlocal tests each hypothesis Hi at significance level +αi = (τi − λi) +� +�αγi + +i−Li−1 +� +j=1 +g∗ +j,i(Cj − Sj + 1) +αj +τj − λj +� +� , +where g∗ +j,i = gj,i +� � +1 − �dj−1 +k=j+1 gj,k +� +if i ≥ dj and g∗ +j,i = 0 otherwise. +The FWER control of the ADDIS-Graphlocal comes directly by Theorem 3.2 and the ADDIS principle under local +dependence (Tian and Ramdas, 2021). Importantly, note that, for all j ∈ N, it holds +dj < ∞ and +∞ +� +i=j+1 +gj,i = 1 +=⇒ +∞ +� +i=j+1 +g∗ +j,i = 1, +which implies that there are no uniformly larger weights than (g∗ +j,i)∞ +i=j+1, that are suitable for an ADDIS-Graph. Since +αi = α∗ +i := (τi − λi) +� +αγi + �i−1 +j=1 g∗ +j,i(Cj − Sj + 1)αj +1 +τj−λj +� +, we do not lose significance level compared to the +6 + +A PREPRINT - JANUARY 30, 2023 +independent case, indicating superiority over the ADDIS-Spending, where significance level is lost when the p-values +are locally dependent. +Remark. +• The ADDIS-Graphlocal does not lose significance due to local dependence, if dj < ∞ for all j ∈ N, which +is equivalent to lim +i→∞ i − Li = ∞. In particular, this is satisfied if (Li)i∈N has an upper bound, which indeed +covers many cases that occur in practice. For example, when the hypotheses are tested in finite batches. That +means, there are disjoint groups of p-values B1 = {P1, . . . , Pj} (j ∈ N), B2 = {Pj, . . . , Pk} (k > j), +B3 = {Pk, . . . , Pl} (l > k) and so on, such that p-values from the same batch may depend on each other, but +hypotheses from different batches are independent. +• There are many other possible ADDIS-Graphs for local dependence. +We decided to present +ADDIS-Graphlocal because g∗ +j,i/g∗ +j,k = gj,i/gj,k for all j ∈ N and i, k ≥ dj. Hence, compared to (gj,i)∞ +i=j+1, +the weights (g∗ +j,i)∞ +i=j+1 are increased by the same factor for each j ∈ N. Simulations showed that an ex- +tremely uneven allocation of the significance levels leads to low power. +In the same manner as for local dependence, the ADDIS-Graph can be adjusted to an asynchronous testing setup (Zrnic +et al., 2021). This is a generalisation of the online multiple testing framework in which the test for hypothesis Hi is not +finished at step i ∈ N but at a random time Ei ≥ i. It is assumed that Ei is independent of the p-values and thus can be +interpreted as fixed but unknown before time Ei. One has to determine a significance level for a hypothesis Hj at step +j ∈ N without using information about tests that are not finished before step j. Thus, we can adjust the ADDIS-Graph +to the asynchronous setting by removing arrows connecting hypotheses where the testing process overlaps in time. +By standardizing the remaining weights we do not lose any significance level which again leads to a superiority of +the ADDIS-Graph over the ADDIS-Spending. A more formal construction of an ADDIS-Graph for the asynchronous +setting can be found in the next section, where we derive an ADDIS-Graph with FDR control. +5 +ADDIS-Graph for FDR control +In this section, we focus on FDR control, where +FDR(i) := E +� +|V (i)| +|R(i)| ∨ 1 +� +. +(7) +In order to control FDR(i) at any time i ∈ N using ADDIS procedures, we need the additional assumptions that +λi ≥ αi for all i ∈ N and that αi, λi and 1 − τi are monotonic functions of the past. This means that they are coordi- +natewise nondecreasing functions in R1:(i−1) := (R1, . . . , Ri−1) and C1:(i−1) := (C1, . . . , Ci−1) and nonincreasing +in S1:(i−1) := (S1, . . . , Si−1). Under these assumptions, Tian and Ramdas (2019) showed that the FDR is controlled +if the condition of the ADDIS principle (3) for FWER control (Definition 2.1) is replaced with +�i +j=1 +αj +τj−λj (Sj − Cj) +|R(i)| ∨ 1 +≤ α +for all i ∈ N. +(8) +Remark. If τi = 1 for all i ∈ N, the ADDIS principle for FDR control reduces to the SAFFRON principle by Ramdas +et al. (2018). In this case, the uniformly validity assumption of the null p-values can be dropped. +The only difference between the conditions of the ADDIS principle for the FDR (in (8)) and for the FWER case (in +(3)) is the denominator |R(i)| ∨ 1. Bringing it on the other side, it can be interpreted as if an additional level α is +gained after each rejection except for the first one. This can be incorporated into the ADDIS-Graph by distributing +an additional α to future hypotheses in case of rejection according to non-negative weights (hj,i)∞ +i=j+1 such that +�∞ +i=j+1 hj,i ≤ 1 for all j ∈ N. For example, one could just choose hj,i = gj,i. +Since no significance level is gained for the first rejection, FDR procedures often assume that a lower overall signif- +icance level of W0 ≤ α is available at the beginning of the testing process such that (α − W0) can be gained after +the first rejection. To differentiate between the first and other rejections, we additionally define the indicator Ti with +Ti = 1, if the first rejection happened within the first i − 1 steps and Ti = 0, otherwise. We also set T c +i = 1 − Ti. +With this, the ADDIS-Graph for FDR control can be defined as follows. +Definition 5.1 (FDR-ADDIS-Graph). Let (γi)i∈N, (gj,i)j∈N,i>j, (τi)i∈N and (λi)i∈N be as in ADDIS-Graph (Defini- +tion 3.1) such that τi and λi are monotonic functions of the past. In addition, let W0 ≤ α and (hj,i)∞ +i=j+1, j ∈ N, be a +7 + +A PREPRINT - JANUARY 30, 2023 +non-negative sequence such that �∞ +i=j+1 hi,j ≤ 1. The FDR-ADDIS-Graph tests each hypothesis Hi at significance +level αi = min(ˆαi, λi), where +ˆαi = (τi − λi) +� +�W0γi + +i−1 +� +j=1 +gj,i(Cj − Sj + 1) +αj +τi − λj ++ +i−1 +� +j=1 +hj,iRj[αTj + (α − W0)T c +j ] +� +� . +(9) +Obviously, αi is a monotonic function of the past for all i ∈ N, which leads to the following conclusion. +Theorem 5.2. The FDR-ADDIS-Graph satisfies equation (8) and thus controls the FDR strongly, when the null p- +values are uniformly conservative and independent from each other and the non-nulls. +The FDR-ADDIS-Graph is illustrated in Figure 3. Note that the figure only contains (ˆαi)i∈N and one needs to set +αi = min(ˆαi, λi) after using the graph. The FDR-ADDIS-Graph can be interpreted just as the ADDIS-Graph for +FWER control (Figure 1). The additional grey arrows are activated if the corresponding hypothesis is rejected. In case +of the first rejection, the level α − W0 is distributed to the future hypotheses according to the weights (hj,i)∞ +i=j+1, +j ∈ N, and in case of any other rejection, the level α is distributed. +Figure 3: Illustration of the FDR-ADDIS-Graph. +The benefit of the FDR-ADDIS-Graph compared to the proposal of Tian and Ramdas (2019), the ADDIS∗ algorithm, +is similar as for the ADDIS-Graph for FWER control and the ADDIS-Spending. Due to its graphical structure, the +FDR-ADDIS-Graph is easier to interpret. In particular, the dependencies between the previous test outcomes and +individual significance levels become clearer. +The FDR-ADDIS-Graph can be easily adapted to an asynchronous setting by removing the arrows connecting timely +overlapping hypotheses. By standardizing the remaining weights, no significance level is lost, which leads to an +improvement over the ADDIS∗ +async by Tian and Ramdas (2019). In the same way, the FDR-ADDIS-Graph can be +adjusted to a local dependence structure. However, in case of local dependence, only control of the marginal false +discovery rate (mFDR) is provided (Zrnic et al., 2021), which is defined as +mFDR(i) := +E(|V (i)|) +E(|R(i)| ∨ 1). +(10) +8 + +A PREPRINT - JANUARY 30, 2023 +For this reason, we only present an extension of the FDR-ADDIS-Graph to the asynchronous setting. However, if +one is interested in mFDR control under local dependence, the same adjustments to the FDR-ADDIS-Graph can be +made as we presented in Section 4 for the FWER controlling ADDIS-Graph. To derive an FDR-ADDIS-Graph for the +asynchronous setting, we proceed as described at the end of Section 4. To this end, let Ei ≥ i, i ∈ N, be the stopping +times given from the asynchronous testing. The idea is to distribute the significance level of Hj in case of Pj ≤ λj or +Pj > τj only to hypotheses Hi with i > Ej, which leads to the following FDR-ADDIS-Graph for the asynchronous +setting. +Definition 5.3 (FDR-ADDIS-Graphasync). Let W0 ≤ α, (γi)i∈N be a non-negative sequence that sums up to 1 and +(gj,i)∞ +i=j+1 and (hj,i)∞ +i=j+1 be non-negative sequences for all j ∈ N such that �k +i=j+1 gj,i < 1 and �k +i=j+1 hj,i < 1 +for all k > j. In addition, let τi ∈ (0, 1] and λi ∈ [0, τi) be measurable regarding GE +i = σ({Pj : Ej < i}). We define +g∗ +j,i = gj,i +� � +1 − �Ej +k=j+1 gj,k +� +, h∗ +j,i = hj,i +� � +1 − �Ej +k=j+1 hj,k +� +if i > Ej and g∗ +j,i = 0, h∗ +j,i = 0, otherwise. The +FDR-ADDIS-Graphasync tests each hypothesis Hi at significance level αi = min(ˆαi, λi), where +ˆαi = (τi − λi) +� +�W0γi + +i−1 +� +j=1 +g∗ +j,i(Cj − Sj + 1) +αj +τi − λj ++ +i−1 +� +j=1 +h∗ +j,iRj[αTj + (α − W0)T c +j ] +� +� . +(11) +The FDR control of FDR-ADDIS-Graphasync is directly implied by Theorem 5.2. +6 +Simulations +We investigate the power and error control of the proposed ADDIS-Graphs by means of simulations. In Subsection +6.1, we compare the FWER controlling procedures ADDIS-Graph and ADDIS-Spending (Tian and Ramdas, 2021) +under local dependence and in Subsection 6.2, we compare the FDR-ADDIS-Graph with the ADDIS* algorithm (Tian +and Ramdas, 2019) in an asynchronous testing setup. +6.1 +Simulations for FWER control +We consider n += +1000 hypotheses to be tested, whose corresponding p-values (Pi)i∈{1,...,n} arrive in fi- +nite batches B1, . . . , Bn/b with the same batch-size b ∈ {1, 10, 25, 50} for every batch. +Let Xbj+1:b(j+1) = +(Xbj+1, . . . , Xb(j+1))T ∼Nb(µ, Σ), j ∈ {0, . . . , n/b − 1}, be b-dimensional i.i.d random vectors, where µ = +(0, . . . , 0)T ∈ Rb and Σ = (σij)i,j=1,...,b ∈ Rb×b with σii = 1 and σij = ρ ∈ (0, 1) for all i ∈ {1, . . . , b} and +j ̸= i. For each Hi, i ∈ {1, . . . , n}, we test the null hypothesis Hi : µi ≤ 0 with µi = E[Zi], where Zi = Xi + µA, +µA > 0, with probability πA ∈ (0, 1) and Zi = Xi + µN, µN < 0, otherwise. Since the test statistics follow a +standard gaussian distribution under the null hypothesis, a z-test can be used. The parameter µA can be interpreted +as the strength of the alternative, πA as probability of a hypothesis being false and µN as the conservativeness of null +p-values. +In this subsection, we use an overall level α = 0.2 and estimate the FWER and power of the ADDIS-Graphlocal and +ADDIS-Spendinglocal (Tian and Ramdas, 2021) by averaging over 2000 independent trials. Thereby, the proportion +of rejected hypotheses among the false hypotheses is used as empirical power. We set µA = 4, µN = −0.5 and +ρ = 0.8 in all simulations within this subsection, thus obtaining slightly conservative null p-values. Since both +procedures are based on the same ADDIS principle and therefore exploit the conservativeness of null p-values in the +same manner, no more parameter configurations are necessary. As recommended by Tian and Ramdas (2021), we +choose the τi = 0.8 and λi = ατi = 0.16 for all i ∈ N. In the first simulation (Figure 4), we also use the same +γi ∝ 1/ +� +(i + 1) log(i + 1)2� +as Tian and Ramdas (2021) in their simulations. However, in Figures 5 and 6, we use +γi ∝ 1/i1.6 and γi = 6/(π2i2), as the procedures are very sensitive to the choice of (γi)i∈N. For the weights of the +ADDIS-Graph, we always set gj,i = γi−j, j ∈ N and i > j. +The plots indicate that ADDIS-Spendinglocal and ADDIS-Graphlocal perform quite similar under independence of the +p-values. However, when the p-values become locally dependent the power of the ADDIS-Spendinglocal decreases +systematically in all cases, while the power of the ADDIS-Graphlocal either remains similar (Figure 4) or even increases +(Figures 5 and 6). To understand the power behavior of the ADDIS-Graphlocal note that the larger the batch-size, the +9 + +A PREPRINT - JANUARY 30, 2023 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FWER / Power +ADDIS−Spendinglocal +4 +4 +4 +4 +4 +4 +4 +4 +4 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FWER / Power +ADDIS−Graphlocal +Batch−size +1 +10 +25 +50 +Figure 4: Comparison of ADDIS-Spendinglocal and ADDIS-Graphlocal in terms of power and FWER for different +batch-sizes and proportions of false null hypotheses (πA). Lines above the overall level α = 0.2 correspond to power +and lines below to FWER. The p-values were generated as described in the text with parameters µN = −0.5, µA = 4 +and ρ = 0.8. Both procedures were applied with parameters τi = 0.8, λi = 0.16 and γi ∝ 1/ +� +(i + 1) log(i + 1)2� +, +In addition, gj,i = γi−j was used in ADDIS-Graphlocal. +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FWER / Power +ADDIS−Spendinglocal +4 +4 +4 +4 +4 +4 +4 +4 +4 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FWER / Power +ADDIS−Graphlocal +Batch−size +1 +10 +25 +50 +Figure 5: Comparison of ADDIS-Spendinglocal and ADDIS-Graphlocal in terms of power and FWER for different +batch-sizes and proportions of false null hypotheses (πA). Lines above the overall level α = 0.2 correspond to power +and lines below to FWER. The p-values were generated as described in the text with parameters µN = −0.5, µA = 4 +and ρ = 0.8. Both procedures were applied with parameters τi = 0.8, λi = 0.16 and γi ∝ 1/i1.6. In addition, +gj,i = γi−j was used in ADDIS-Graphlocal. +10 + +A PREPRINT - JANUARY 30, 2023 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FWER / Power +ADDIS−Spendinglocal +4 +4 +4 +4 +4 +4 +4 +4 +4 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FWER / Power +ADDIS−Graphlocal +Batch−size +1 +10 +25 +50 +Figure 6: Comparison of ADDIS-Spendinglocal and ADDIS-Graphlocal in terms of power and FWER for different +batch-sizes and proportions of false null hypotheses (πA). Lines above the overall level α = 0.2 correspond to power +and lines below to FWER. The p-values were generated as described in the text with parameters µN = −0.5, µA = 4 +and ρ = 0.8. Both procedures were applied with parameters τi = 0.8, λi = 0.16 and γi = 6/(π2i2). In addition, +gj,i = γi−j was used in ADDIS-Graphlocal. +further into the future the significance level is distributed by the weights (g∗ +j,i)∞ +i=j+1 (see Definition 4.1). In these +simulations γi ∝ 1/ +� +(i + 1) log(i + 1)2� +(Figure 4) decreases the slowest and γi = 6/(π2i2) (Figure 6) decreases +the fastest. If (γi)i∈N decreases slow and the batch-size is large, ADDIS-Graphlocal distributes a lot of significance +level to hypotheses in the far future. However, since the testing process is finite in this case, these hypotheses may +never be tested, which leads to a power loss. On the other hand, if (γi)i∈N decreases fast, ADDIS-Graphlocal allocates +the individual significance levels more evenly under a larger batch-size, which results in a higher power. Thus, in order +to obtain the optimal power for each batch-size, one could choose a faster decreasing (γi)i∈N the larger the batch-size. +6.2 +Simulations for FDR control +In this subsection we consider the same simulation setup as described in Subsection 6.1, but for independent p-values +(b = 1). However, applying the procedures, it is assumed that the hypotheses are tested in an asynchronous manner. +Thus, for each hypotheses Hi, i ∈ N, we have a stopping time Ei ≥ i. We assume that Ei = i + e for some constant +test duration e ∈ N0. In the following simulations we compare the FDR-ADDIS-Graphasync and ADDIS∗ +async (Tian +and Ramdas, 2019) in terms of power and FDR for e ∈ {0, 2, 5, 10}. Since FDR is less conservative than FWER, +we change the overall level to α = 0.05 and strength of the alternative to µA = 3. As recommended by Tian and +Ramdas (2019), we choose τi = 0.5 and λi = 0.25 for all i ∈ N, but use the same (γi)i∈N and (gj,i)∞ +j=i+1, j ∈ N, as +before. Furthermore, we set W0 = α. For the additional weights (hj,i)∞ +j=i+1 of the FDR-ADDIS-Graphasync, we fix +hj,i = gj,i for all j ∈ N and i > j. The results obtained by averaging over 200 independent trials can be found in the +Figures 7-9. +The results are similar as for the FWER controlling procedures (Subsection 6.1). The power of ADDIS∗ +async decreases +enormously for an increasing test duration. This decrease can be decelerated by the FDR-ADDIS-Graphasync (Figures +7 and 8) or even stopped (Figure 9), if a faster decreasing (γi)i∈N is chosen. +7 +Application to International Mouse Phenotyping Consortium data +We illustrate how the proposed ADDIS-Graphlocal could be used by using the International Mouse Phenotyping (IMPC) +data and compare the results obtained with those obtained using the ADDIS-Spendinglocal. The IMPC coordinates a +large study which aims to identify the function of every protein coding gene. To this regard, each of the 20000 +genes is systematically knocked out and the impact on the phenotype explored. In our evaluation, we use the first +5000 observations of the database at the Zenodo repository https://zenodo.org/record/2396572, organized by +Robertson et al. (2019). It contains p-values that resulted from the analysis by Karp et al. (2017). These p-values +11 + +A PREPRINT - JANUARY 30, 2023 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FDR / Power +ADDIS*async +4 +4 +4 +4 +4 +4 +4 +4 +4 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FDR / Power +FDR−ADDIS−Graphasync +Test duration +0 +2 +5 +10 +Figure 7: Comparison of ADDIS∗ +async and FDR-ADDIS-Graphasync in terms of power and FDR for different test dura- +tions and proportions of false null hypotheses (πA). Lines above the overall level α = 0.05 correspond to power and +lines below to FDR. The p-values were generated as described in the text with parameters µN = −0.5 and µA = 3. +Both procedures were applied with parameters τi = 0.5, λi = 0.25, γi ∝ 1/ +� +(i + 1) log(i + 1)2� +and W0 = α. In +addition, gj,i = γi−j and hj,i = gj,i were used in FDR-ADDIS-Graphasync. +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FDR / Power +ADDIS*async +4 +4 +4 +4 +4 +4 +4 +4 +4 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FDR / Power +FDR−ADDIS−Graphasync +Test duration +0 +2 +5 +10 +Figure 8: Comparison of ADDIS∗ +async and FDR-ADDIS-Graphasync in terms of power and FDR for different test dura- +tions and proportions of false null hypotheses (πA). Lines above the overall level α = 0.05 correspond to power and +lines below to FDR. The p-values were generated as described in the text with parameters µN = −0.5 and µA = 3. +Both procedures were applied with parameters τi = 0.5, λi = 0.25, γi ∝ 1/i1.6 and W0 = α. In addition, gj,i = γi−j +and hj,i = gj,i were used in FDR-ADDIS-Graphasync. +12 + +A PREPRINT - JANUARY 30, 2023 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FDR / Power +ADDIS*async +4 +4 +4 +4 +4 +4 +4 +4 +4 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.2 +0.4 +0.6 +0.8 +πA +FDR / Power +FDR−ADDIS−Graphasync +Test duration +0 +2 +5 +10 +Figure 9: Comparison of ADDIS∗ +async and FDR-ADDIS-Graphasync in terms of power and FDR for different test dura- +tions and proportions of false null hypotheses (πA). Lines above the overall level α = 0.05 correspond to power and +lines below to FDR. The p-values were generated as described in the text with parameters µN = −0.5 and µA = 3. +Both procedures were applied with parameters τi = 0.5, λi = 0.25, γi = 6/(π2i2) and W0 = α. In addition, +gj,i = γi−j and hj,i = gj,i were used in FDR-ADDIS-Graphasync. +follow a natural local dependence structure: the hypotheses are tested in batches and within each batch the same mice +are used for each hypothesis. Thus, the p-values within a batch depend on each other, but p-values from different +batches are independent. +We applied ADDIS-Spendinglocal and ADDIS-Graphlocal with the same parameters as in Subsection 6.1. The (γi)i∈N +was chosen such that γi ∝ 1/ +� +(i + 1) log(i + 1)2� +for all i ∈ N. The results can be found in figure 10. The left plot +shows the number of rejections achieved by the two procedures with respect to the FWER level α considered. Similar +to Subsection 6.1, we can see that the ADDIS-Graph allows a significantly larger number of hypotheses to be rejected +than the ADDIS-Spendinglocal. The right plot shows the individual significance levels obtained by the two procedures +for the FWER level α = 0.2. Note however that for ease of illustration, we omitted the first 100 levels that yielded +much higher individual significance levels. It can be seen that the ADDIS-Graphlocal tests each hypothesis using +higher significance levels than the ADDIS-Spendinglocal. In fact, for each FWER level and hypothesis, the individual +significance level obtained by the ADDIS-Graph is greater than or equal to the ADDIS-Spending level. That means, +the ADDIS-Graph rejects all hypotheses that are rejected by the ADDIS-Spending, but additionally some more. +8 +Conclusion +In this work, we presented a graphical approach to exploit the ADDIS principles for FWER (Tian and Ramdas, 2021) +and FDR (Tian and Ramdas, 2019) control. We started with the construction of an FWER controlling ADDIS-Graph. +This proposal enhances the interpretability of the ADDIS-Spending and also enlarges the family of procedures that it +includes, as we show that by means of the ADDIS-Graph all procedures that satisfy the ADDIS principle for FWER +control can be obtained. Furthermore, the ADDIS-Graph can easily be adapted to a local dependence structure and an +asynchronous testing setup without losing significance level. For both situation, in the considered simulation scenarios +we show that the ADDIS-Graph leads to a large power gain as compared to the ADDIS-Spending. Moreover, we +extend the ADDIS-Graph to the FDR control setting resulting in an FDR-ADDIS-Graph. It has the same advantages +as the ADDIS-Graph and is superior to the currently used ADDIS method with FDR control, the ADDIS∗ algorithm. +Robertson et al. (2022b) claimed that the individual significance levels assigned by asynchronous online procedures +are more conservative. We have illustrated with the ADDIS-Graph that this is not necessarily the case. Although the +significance level of a hypothesis depends on pessimistic assumptions about the outcomes of tests that are still running, +future hypotheses can take advantage of this conservatism and achieve higher significance levels such that no level is +lost overall. +We wonder whether the ADDIS-Graph can be extended to further multiple testing frameworks. For example, Zrnic +et al. (2020) considered online batched-testing, where at each step not only one, but a batch of several hypotheses +13 + +A PREPRINT - JANUARY 30, 2023 +150 +180 +210 +240 +270 +300 +0.10 +0.15 +0.20 +0.25 +0.30 +0.35 +FWER level +Number of rejections +0.00000 +0.00005 +0.00010 +0.00015 +0.00020 +0.00025 +0.00030 +0 +1000 +2000 +3000 +4000 +5000 +Index of hypothesis +Individual significance level +Procedure +ADDIS−Spendinglocal +ADDIS−Graphlocal +Figure 10: The left plot shows the number of rejections for different FWER levels α and the right plot the individual +significance levels (for α = 0.2) obtained by ADDIS-Spendinglocal and ADDIS-Graphlocal. Both procedures were +applied with parameters τi = 0.8, λi = 0.16 and γi ∝ 1/ +� +(i + 1) log(i + 1)2� +. In addition, gj,i = γi−j was used in +ADDIS-Graphlocal. +is tested at the same time. One could think of an ADDIS-Graph that distributes significance level to all hypotheses +within the considered batch, but outside the batch only to future hypotheses. +Another task for future work is the optimal choice of the parameters (γi)i∈N, (gj,i)j∈N,i>j and (hj,i)j∈N,i>j. In our +simulations (Section 6), we chose (γi)i∈N as in the literature for the comparison procedures and set (gj,i)∞ +i=j+1 and +(hj,i)∞ +i=j+1 related to (γi)i∈N for each j ∈ N. However, the large number of parameters allows for many further +possibilities that can strongly influence the performance of the ADDIS-Graphs. For instance, we saw that a faster +decreasing (γi)i∈N would be useful when the batch-size or test duration is large. Many more such recommendations +could be made through simulations and theoretical results. In addition, one could study time-varying choices of (τi)i∈N +and (λi)i∈N that may depend on the previous test outcomes. +14 + +A PREPRINT - JANUARY 30, 2023 +Appendix +Proof of Theorem 3.2. Let (αi)i∈N be given by the ADDIS-Graph. We need to show that for any i ∈ N, S1:i := +(S1, . . . , Si)T ∈ {0, 1}i−1 and C1:i := (C1, . . . , Ci)T ∈ {0, 1}i: +i +� +j=1 +αi +τi − λi +(Si − Ci) ≤ α. +(12) +We define Uj := Cj − Sj + 1 for all j ∈ N. Then 1 − Uj = Sj − Cj and since Cj ≤ Sj, it holds Uj ∈ {0, 1}. Now +let i ∈ N and U1:i = (U1, . . . , Ui)T ∈ {0, 1}i be arbitrary but fixed. With this, (12) is equivalent to +Fi(U1:i) := +i +� +j=1 +� +αγj + +j−1 +� +k=1 +gk,jUkαk(U1:(k−1)) +1 +τk − λk +� +(1 − Uj) ≤ α. +(13) +Note that we only wrote the dependence of αk on U1:(k−1) = (U1, . . . , Uk−1)T , although the parameters λk and +τk could depend on it as well. That is, because these parameters could also be fixed, meaning if we change the +U1:(k−1) they would still be valid parameters for an ADDIS-Graph. In contrast, the αk changes by definition. It is +difficult to show the validity of (13) directly. However, we will see that there exists ˜U1:i ∈ {0, 1}i that obviously fulfil +Fi( ˜U1:i) ≤ α. Therefore, the idea is to determine such a ˜U1:i that additionally satisfies Fi(U1:i) ≤ Fi( ˜U1:i). +Let l = max{j ∈ {1, . . . , i} : Uj = 1} (we set max(∅) = 0) and U l +1:i = (U l +1, . . . , U l +i)T , where U l +j = Uj for all j ̸= l +and U l +l = 0. We assume that l > 0 (if l = 0, we later see Fi(U1:i) ≤ α anyway). In the next step we want to show that +Fi(U1:i) ≤ Fi(U l +1:i). For shorter notation we write αj = αj(U1:(j−1)) and αl +j = αj(U l +1:(j−1)). Since for all j ≤ i: +U l +j = Uj (j ̸= l), U l +j = 0 (j ≥ l), Uj = 0 (j ≥ l + 1) and αl +j = αj (j ≤ l), we have: +Fi(U l +1:i) − Fi(U1:i) += +i +� +j=1 +αγj(1 − U l +j) − +i +� +j=1 +αγj(1 − Uj) + +i +� +j=1 +�j−1 +� +k=1 +gk,jU l +kαl +k +1 +τk − λk +� +(1 − U l +j) +− +i +� +j=1 +�j−1 +� +k=1 +gk,jUkαk +1 +τk − λk +� +(1 − Uj) += αγl + +i +� +j=1 +�j−1 +� +k=1 +gk,jU l +kαl +k +1 +τk − λk +� +(1 − U l +j) − +i +� +j=1 +�j−1 +� +k=1 +gk,jUkαk +1 +τk − λk +� +(1 − Uj) += αγl + +l−1 +� +k=1 +gk,lU l +kαl +k +1 +τk − λk ++ +i +� +j=l+1 +l−1 +� +k=1 +gk,jU l +kαl +k +1 +τk − λk +− +i +� +j=l+1 +l +� +k=1 +gk,jUkαk +1 +τk − λk += αγl + +l−1 +� +k=1 +gk,lUkαk +1 +τk − λk +− +i +� +j=l+1 +gl,jαl +1 +τl − λl +≥ αγl + +l−1 +� +k=1 +gk,lUkαk +1 +τk − λk +− αl +1 +τl − λl +Def.3.1 += +0, +where we used in the inequality that the sequence (gl,j)∞ +j=l+1 is non-negative and sums to at most 1 for all l ∈ N. +Since the U1:i ∈ {0, 1}i was arbitrary, this shows Fi(U1:i) ≤ Fi(U 0 +1:i) for all U1:i ∈ {0, 1}i, where U 0 +1:i = +(0, . . . , 0)T ∈ {0, 1}i. Next, we deduce that Fi(U 0 +1:i) ≤ α and conclude the proof. For this, just recognize that +U 0 +1:i means Uj = 0 for all j ≤ i. Hence, we obtain +Fi(U 0 +1:i) = +i +� +j=1 +αγj ≤ α. +15 + +A PREPRINT - JANUARY 30, 2023 +Proof of Theorem 3.3. Let G1:i = (R1, C1, S1, . . . , Ri, Ci, Si) ∈ {0, 1}3i, then every procedure satisfying the AD- +DIS principle (Theorem 2.1) is a sequence of non-negative functions (αi(G1:(i−1)))i∈N such that +� +j≤i +αj(G1:(j−1)) +τj − λj +(Sj − Cj) ≤ α +for all i ∈ N. +(14) +Note that the function αi(G1:(i−1)) is fully determined through the information until step i − 1, hence pessimistic +assumptions about Si and Ci need to be made in order to satisfy equation (14). Consequently, the condition of the +ADDIS principle is equivalent to +0 ≤ αi(G1:(i−1)) ≤ (τi − λi) +� +�α − +� +j≤i−1 +αj(G1:(j−1)) +τj − λj +(Sj − Cj) +� +� +for all i ∈ N. +(15) +Let i ∈ N and G1:(i−1) ∈ {0, 1}3(i−1) be arbitrary but fixed. In addition, let (αj)j 0 for all 푛. +The interest in Jacobi operators comes from their close relation to the classical moment problem as +well as the theory of orthogonal polynomials on the real line, see e.g. [54]. As every self-adjoint operator +having a “non-degenerate” cyclic vector is unitary equivalent to a Jacobi operator, the Jacobi operators +are basic building blocks of self-adjoint operators. Some types of Jacobi operators are related to random +walks and birth–death processes, see e.g. [31,32]. Finally, Jacobi matrices are very useful in numerical +analysis in the construction of Gaussian quadratures, see e.g. [18]. +A method of spectral analysis, the theory of subordinacy, due to Gilbert–Pearson [16] and later, due +to Khan–Pearson, in its Jacobi variant (see [33]) started to be more and more prominent during the last +three decades. Given 휆 ∈ C a sequence 푢 = (푢푛)푛∈N0 is called generalized eigenvector (associated with +휆), 푢 ∈ GEV(휆), if it satisfies the recurrence relation +(1.3) +휆푢푛 = 푎푛−1푢푛−1 + 푏푛푢푛 + 푎푛푢푛+1, +푛 ≥ 1 +with some initial conditions (푢0, 푢1). A non-zero sequence 푢 ∈ GEV(휆) is subordinate if for any linearly +independent 푣 ∈ GEV(휆) +(1.4) +lim +푛→∞ +∥푢∥ [0,푛] +∥푣∥ [0,푛] += 0, +where for a sequence 푥 ∈ ℓ(N0, C) and each 푛 ≥ 0 the seminorm ∥·∥ [0,푛] is given by +(1.5) +∥푥∥ [0,푛] := +� +� 푛 +� +푘=0 +|푥푘|2. +Let us decompose the measure 휇 as +휇 = 휇ac + 휇sing, +where 휇ac and 휇sing denote the absolutely +continuous and the singular part of 휇 with respect to the Lebesgue measure, respectively. The main +result, [33, Theorem 3], defines two sets +푆ac = {휆 ∈ R : no 푢 ∈ GEV(휆) is subordinate} +푆sing = {휆 ∈ R : a non-zero 푢 ∈ GEV(휆) such that 푎0푢1 = (휆 − 푏0)푢0 is subordinate} +and states that: + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +3 +• 푆ac is an essential support of 휇ac with respect to the Lebesgue measure, +• 푆sing is a support of 휇sing and its Lebesgue measure is zero. +The above measure theory assertions on 퐽 leads to purely spectral consequences of nonsubordinacy. +Namely, it can be proved that for any 퐺 ∈ Bor(R) +(i) If 퐺 ⊂ R \ 푆sing, then 퐽 is absolutely continuous in 퐺. +(ii) If 퐺 ⊂ 푆ac, then 퐽 is absolutely continuous in 퐺 (see Definition 2.1) and clLe(퐺) ⊂ 휎ac(퐽). +clLe(퐺) denotes here the Lebesgue closure of 퐺 — see (2.3). So, e.g., if moreover 퐺 is open, then its +closure cl(퐺) ⊂ 휎ac(퐽). +Since we often have some idea about asymptotic behaviour of generalized eigenvectors, this theory +turned out to be very successful in spectral analysis of various classes of Jacobi matrices, see e.g. [37]. +Because of this similar theories exist for several classes of operators: continuous one-dimensional +Schödinger operators on the real half-line (see [16]) and on the whole real line (see [15]), CMV matrices +one-sided (see [17]) and two-sided (see [19]), one-dimensional Dirac operators (see [1]), Sturm–Liouville +operators (see [4, 52]), canonical systems (see [20]), and Jacobi matrices on some types of graphs +(see [38]). More detailed information on generalized eigenvectors allowed to obtain even more subtle +spectral information on 퐽, e.g. uniform bounds on the density of 휇ac (see [4]) and absolute continuity +with respect to Hausdorff measures (see [30]). An excellent survey containing more information on this +subject is [14]. +In this article we extend some parts of Gilbert–Peason–Khan subordinacy theory to the setup of block +Jacobi matrices. Thus, we consider block semi-infinite tridiagonal Hermitian matrices of the form (cf. +(1.1)) +(1.6) +J = +������ +� +퐵0 +퐴0 +퐴∗ +0 +퐵1 +퐴1 +퐴∗ +1 +퐵2 +... +... +... +������ +� +, +where 퐴푛 and 퐵푛 are “blocks”, i.e., 푑 × 푑 complex matrices with all the 퐴푛 invertible and Hermitian 퐵푛. +As before, the action of J is well-defined on the linear space ℓ(N0, C푑) of all C푑-valued sequences, and +similarly to the scalar case block Jacobi operator 퐽 is simply the restriction of J to the Hilbert space +ℓ2(N0, C푑), where +ℓ2(N0, C푑) = +� +푥 ∈ ℓ(N0, C푑) : ++∞ +� +푛=0 +∥푥푛∥2 < ∞ +� +. +If 퐽 is self-adjoint then there exists a non-negative matrix measure 푀 defined on the Borel subsets of +the real line such that 퐽 is unitary equivalent to the operator acting by the multiplication by the identity +function on the space 퐿2(푀) of C푑-valued functions, see Section 3.2 for details. Also the block variant +of Carleman condition for self-adjointness of 퐽 looks similarly: +(1.7) ++∞ +� +푛=0 +1 +∥퐴푛∥ = ∞, +see e.g. [2, Theorem VII-2.9]. +The interest in block Jacobi operators comes from their close relation to the matrix moment problem +(see e.g. [3,10]) as well as from the theory of matrix orthogonal polynomials on the real line, see e.g. [6]. +They are useful for analysis of difference equations of finite order, see [11]. Some types of block Jacobi +operators are related to random walks and level dependent quasi–birth–death processes, see e.g. [7]. For +further applications we refer to [58]. +Spectral analysis of block Jacobi operators is not well-developed yet. In [51] the Mourre’s commutator +method was applied to study compact perturbations of constant sequences 퐴푛, 퐵푛. Under some regularity +hypotheses it was shown there that the singular continuous spectrum is empty. The commutator method +was also applied in [27, 28] for obtaining a bound on the entries of the resolvent. In [61], by analysing +Turán determinants, the continuous spectrum of bounded and unbounded Jacobi operators was studied. +Finally, in [36] the problem of localisation of the essential spectrum of unbounded block Jacobi operators +was studied by estimating the quadratic form associated to 퐽. + +4 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +It seems that the switch from the scalar to the 푑 > 1 case is especially problematic for the subordinacy +theory. As far as we know, there is still a lack of any good understanding of how a “full analog” of this +theory for the block Jacobi matrices might look like. In this article we concentrate ourselves only on “a +second half” of this difficult question. – On the “negative” one. +The general remark is, however, that – by several reasons of the algebraic character (see, e.g., Propo- +sition 3.12) – it is a good idea to deal rather with some 푑 × 푑-matrix analogs of scalar objects from +푑 = 1 theory, instead of their C푑-vector analogs, despite the fact that the Hilbert space for 퐽 consists of +sequences of C푑-vectors (and not of 푑 × 푑-matrices). +So, a sequence 푈 = (푈푛)푛∈N0 of 푀푑(C) matrices is called (matrix) generalized eigenvector for 퐽 and +휆, i.e., 푈 ∈ MGEV(휆), if it satisfies the recurrence relation +(1.8) +휆푈푛 = 퐴∗ +푛−1푈푛−1 + 퐵푛푈푛 + 퐴푛푈푛+1, +푛 ≥ 1 +with some initial conditions (푈0,푈1). +A natural condition, being a kind of “nonsubordinacy” (which in the 푑 = 1 case means exactly +non-existence of subordinate solutions for 휆) is: for any non-zero 푈,푉 ∈ MGEV(휆) +(1.9) +lim inf +푛→∞ +∥푈∥[0,푛] +∥푉∥[0,푛] +< ∞ +(cf. (1.4)), where for any sequence 푋 ∈ ℓ(N0, 푀푑(C)) and any 푛 ∈ N0 we define +(1.10) +∥푋∥[0,푛] = +� +� 푛 +� +푘=0 +∥푋푘 ∥2, +and we use the operator norm for matrices. +In fact, motivated by the approach of Jitomirskaya–Last in [30], we use a slight reformulated version +of (1.9). We define1 퐴−1 := − I and “extrapolating (1.8) to 푛 = 0” we “formally compute” 푈−1. Hence +now we consider N−1 = {−1, 0, 1, . . .} as the index-set for extended generalized eigenvectors. +If +푈 ∈ MGEV(휆), then we say that such extended sequence (푈푛)푛∈N−1 belongs to MGEV−1 (휆). Next, for +any 푋 ∈ ℓ(N−1, 푀푑(C)) +(1.11) +∥푋∥ [0,푡] = +� +� +� ⌊푡⌋ +� +푘=0 +∥푋푘 ∥2 + {푡} +��푋⌊푡⌋+1 +��2, +where ⌊푡⌋ and {푡} are the integer and the fractional part of 푡, respectively. Then we say that 퐽 satisfies +(matrix) nonsubordinacy condition (at 휆 ∈ R) if for any non-zero 푈,푉 ∈ MGEV−1 (휆) +(1.12) +lim inf +푡→+∞ +∥푈∥[0,푡] +∥푉∥ [0,푡] +< +∞.2 +Let us mention that in Section 5.1 we also define the notion of vector nonsubordinacy, but it turns out to +be equivalent to the matrix one. As we show in Theorem 5.3 the condition (1.12) implies that 휆 belongs +to the continuous spectrum of 퐽. +We shall be interested in a more quantitative version of (1.12). Namely, let 퐺 ⊂ R be non-empty. We +say that a function 픟 : 퐺 × [1, +∞) → R is a barrier if for any 휆 ∈ 퐺 and any 푈,푉 ∈ MGEV−1 (휆) +normalized by ∥푈−1∥2 + ∥푈0∥2 = ∥푉−1∥2 + ∥푉0∥2 = 1 we have +� ∥푈∥ [0,푡] +∥푉∥ [0,푡] +�2 +≤ 픟(휆, 푡), +푡 ≥ 1. +In Proposition 5.7 we show that there is always an optimal barrier but it might not be the easiest one to +deal with. Given a barrier 픟 we say that 퐽 is 픟-nonsubordinate on 퐺 if +(1.13) +lim inf +푡→∞ 픟(휆, 푡) < +∞, +휆 ∈ 퐺. +1By I we denote the identity matrix of the appropriate dimension. +2By symmetry we can define this equivalently, by requiring +0 < lim sup푡→+∞ +∥푈 ∥ [0,푡] +∥푉 ∥[0,푡] +for any non-zero +푈, 푉 ∈ +MGEV−1 (휆). + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +5 +If this condition holds uniformly on 퐺, namely +(1.14) +sup +휆∈퐺 +lim inf +푡→∞ 픟(휆, 푡) < +∞, +then we say that 퐽 is uniformly 픟-nonsubordinate on 퐺. +Our main abstract spectral result can be summarized as follows. +Theorem 1.1. (see Theorem 5.13) +Assume that 퐽 is self-adjoint, 퐺 ⊂ Bor(R) and 픟 is a barrier for 퐽 +on 퐺. If 퐽 is 픟-nonsubordinate on 퐺, then +(a) 푀 is absolutely continuous on 퐺. +(b) there exists a density 퐷 of 푀 on 퐺 which is an invertible matrix a.e. on 퐺. +(c) 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽). +If, moreover, 퐽 is uniformly 픟-nonsubordinate on 퐺, then there exist 푐1, 푐2 > 0 such that the above density +퐷 satisfies +푐1 I ≤ 퐷(휆) ≤ 푐2 I +for a.e. 휆 ∈ 퐺. +The above density of 푀 and “a.e.” are both with respect to the Lebesgue measure. +We have to emphasize that Theorem 1.1, unlike Khan–Pearson theory for the 푑 = 1 case, gives only a +sufficient condition for the absolute continuity of 푀. As we constructively show in Example 7.1, there +exist such block Jacobi matrices, that 푀 is absolutely continuous on R, 푀(퐵) is invertible for all non- +empty open 퐵 ⊂ R but 퐽 does not satisfy (1.12) for any 휆 ∈ R. Nevertheless, as we show in Section 7.3, +Theorem 1.1 is applicable to some explicit Jacobi matrices considered in the literature. +In Section 6 we adapt to our setup some of the sufficient conditions implying non-existence of +subordinate solutions, which were useful in the case 푑 = 1. In particular, the one introduced by Last– +Simon in [37]. This conditions are formulated in terms of transfer matrices. Recall: if 푈 ∈ MGEV−1 (휆), +then +� +푈푛 +푈푛+1 +� += 푇푛(휆) +� +푈푛−1 +푈푛 +� +, +푛 ≥ 0, +where 푇푛(휆) is the (1-step) transfer matrix and +푇푛(휆) = +� +0 +I +−퐴−1 +푛 퐴∗ +푛−1 +퐴−1 +푛 (휆 I−퐵푛) +� +, +푛 ≥ 0, +where we have set 퐴−1 = − I. Then the 푛-step transfer matrix 푅푛(휆) := 푇푛−1(휆) . . .푇0(휆) satisfies +� +푈푛−1 +푈푛 +� += 푅푛(휆) +� +푈−1 +푈0 +� +, +푛 ≥ 1. +Assume that the Carleman condition (1.7) holds and set +휌푛 := +푛−1 +� +푘=0 +1 +∥퐴푘 ∥, +푛 ≥ 1. +Thus 휌푛 → ∞. We shall say that 퐽 satisfies Generalized Last–Simon condition (GLS in short) on some +Borel 퐺 ⊂ R if +(1.15) +lim inf +푛→∞ +1 +휌푛 +푛 +� +푘=1 +∥푅푘 (휆)∥2 < +∞, +휆 ∈ 퐺. +This condition was introduced in [37] for 푑 = 1 and 퐴푛 ≡ 1. It was proved there, that the maximal set +퐺 ⊂ R, where (1.15) is satisfied is a minimal support of 휇ac. Recently, an analogous conclusion for 푑 ≥ 1 +was established in [48, Theorem 1.2] under the assumption that 퐴푛 = 퐴∗ +푛 and +(1.16) +sup +푛≥0 +� ∥퐴푛∥ + +��퐴−1 +푛 +�� � < ∞. +We show in Example 7.2 that the Jacobi matrix corresponding to the Laguerre polynomials satisfies +휎ac(퐽) = [0, ∞), yet, the condition (1.15) is violated for any non-empty 퐺 ⊂ (0, ∞). So, even for 푑 = 1, +one cannot hope to obtain the part concerning the minimal support when (1.16) is not satisfied. However, +we show in Theorem 1.1 that GLS condition implies the hypotheses of Theorem 1.1 for a suitably chosen +barrier 픟 (see (5.20)). Let us recall that in [48, Theorem 1.2], under the assumption (1.16) and 퐴푛 = 퐴∗ +푛, + +6 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +a characterisation of multiplicities of the a.c. spectrum of 퐽 is provided in terms of asymptotic properties +of singular values of the sequences 푃(휆), 푄(휆) ∈ MGEV−1 (휆) corresponding to the initial values +(1.17) +� +푄−1(휆) = I +푄0(휆) = 0, +� +푃−1(휆) = 0 +푃0(휆) = I, +respectively. The approach used there is different than in the present work. +Our approach to prove Theorem 1.1 is based on linking the asymptotic properties of MGEV−1 (푧) to +the boundary values of the Cauchy transform of the matrix measure 푀. It is defined by +푊(푧) = +∫ +R +d푀(휆) +휆 − 푧 , +푧 ∈ C \ R +and it turns out to be the matrix analogue of the well-known Weyl function. Since3 Im푊(푧) ≥ 0 for +Im 푧 > 0, it is a matrix Herglotz function and its boundary values are closely related to properties of 푀, +see Section 4.3 for details. +Inspired by [30] we prove in Proposition 5.11 that if 퐽 is self-adjoint, then given 휆 ∈ R there exists a +unique function ℓ휆 : R+ → R+ satisfying +∥푃(휆)∥[0,ℓ휆 (휖 )] ∥푄(휆)∥[0,ℓ휆 (휖 )] = 1 +2휖 . +Moreover, lim휖 →0+ ℓ휆(휖) = +∞. +Adapting the approach of [30] and utilizing our novel object, namely the barrier function 픟, we prove +our main result “on controlling the boundary limits of the matrix Weyl function”, being probably the most +important result of this work. +Theorem 1.2. (see Theorem 5.12) +Assume that 퐽 is self-adjoint and 퐺 ⊂ R. If 픟 is a barrier for 퐽 on +퐺, then for any 휆 ∈ 퐺 and any 휖 > 0 with ℓ휆(휖) ≥ 1 +(1.18) +�8픟�휆, ℓ휆(휖)��−1 I ≤ Im푊(휆 + 푖휖) +and +(1.19) +푠−(휆, 휖) ≤ ∥푊(휆 + 푖휖)∥ ≤ 푠+(휆, 휖), +where +(1.20) +푠±(휆, 휖) := 4푑픟�휆, ℓ휆(휖)� ± +�� +4푑픟�휆, ℓ휆(휖)��2 +− 1. +Let us recall that Jitomirskaya–Last in [30] established a variant of the inequality (1.19) for 푑 = 1 with +푠′ +± instead of 푠±, where +푠′ +±(휆, 휖) := �5 ± +√ +24� ∥푄(휆)∥ [0,ℓ휆(휖 )] +∥푃(휆)∥[0,ℓ휆 (휖 )] +. +Then Khan–Pearson theory can be obtained by the rank-one perturbation theory applied to the corre- +sponding Jacobi operator, see e.g. [52, Section 2] for details in the case of Sturm–Liouville operators. +Let us point out that, under the hypotheses of Theorem 1.2, the last argument can be avoided once one +uses our new inequality (1.18). Recently, an analogue of Jitomirskaya–Last inequality, expressed as a +quotient of partial norms of 푄(휆) and 푃(휆) (and its singular values), has been obtained in [48] for 푑 ≥ 1. +However, we were not able to use it to prove that GLS condition implies absolute continuity of 퐽. In +contrast, our Theorem 1.2 allows us to prove Theorem 1.1, which as we have mentioned already, leads us +to the proof of absolute continuity under GLS condition. +The article is organized as follows. In Section 2 we fix our notation and prove basic results concerning +the family of semi-norms (1.11). Next, in Section 3, we show that 퐽 is finitely cyclic, and as a consequence, +it is unitary equivalent to the multiplication operator on the space 퐿2(푀) of C푑-valued functions for some +matrix measure 푀. We also show an approach to Jacobi operators based on generalized eigenvectors and +transfer matrices. In Section 4 we study the matrix Weyl function 푊 and its relation to properties of 푀. +Section 5 is devoted to the proof of our main results: Theorem 1.2 — the main result of the paper and +its spectral consequence: Theorem 1.1. In Section 6 we extend some well-known conditions implying +3For any square matrix 푋 we define Im 푋 := 1 +2푖 (푋 − 푋∗). + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +7 +nonsubordinacy from 푑 = 1 to the general case. In particular, we cover: GLS (Generalized Last–Simon) +condition, GBS (Generalized Behncke–Stolz) condition and 퐻 (homogenous) class condition. Finally, +in Section 7, we show some examples and counterexamples illustrating the applicability of our results. +For the sake of self-containment in Appendix A we collected basic notions concerning vector and matrix +measures. +Acknowledgment. The author Grzegorz Świderski was supported by long term structural funding – +Methusalem grant of the Flemish Government. Part of this work was done while he was a postdoctoral +fellow at KU Leuven. The author Marcin Moszyński wishes to thank: +• Anna Moszyńska (IPEVP, Warsaw) – his wife – for extraordinary patience and for valuable +linguistic help, +• Nadia V. Zaleska (EIMI, St. Petersburg) – his friend – for some wise hints and for invaluable +moral support, +• Grzegorz Świderski – the co-author – for several years of confidence in success and for the +barriers. +2. Preliminaries +We collect and fix here some general notation for in the paper, and we also introduce here several +convenient tools, which will be important in the main sections. +2.1. Introductory notation and notions. We use here the following symbols for some sets of scalars: +C+ := {푧 ∈ C : Im(푧) > 0}, +R+ := {푡 ∈ R : 푡 > 0}, +N푘 := {푛 ∈ Z : 푛 ≥ 푘} +for 푘 ∈ Z, +so, e.g., +N = N1, +N0 = N ∪ {0}, +N−1 = N ∪ {−1, 0}. +Let us fix here some 푑 ∈ N. The vectors of the standard base in C푑 are denoted by 푒1, . . . , 푒푑. +By 푀푑(C) we denote the space of all 푑 × 푑 complex matrices, with the usual matrix/operator norm. +We identify any 퐴 ∈ 푀푑(C) with the appropriate linear transformation of C푑 induced by matrix 퐴. +In particular, we shall use alternatively both the operator and the matrix notation for the action of 퐴 +on vectors from C푑, namely, for 푣 ∈ C푑 we typically use 퐴푣, but sometimes we also write 퐴푣T. For +푖, 푗 ∈ {1, . . . , 푑} the term of 퐴 from its 푖-th row and 푗-th column is denoted as usual by 퐴푖, 푗 and 푣 푗 +is the 푗-th term of 푣. The symbol 퐴{ 푗} denotes the 푗-th column of 퐴 (usually we treat columns as +C푑-vectors and not as one-column matrices). Similarly for 퐴{푖} — the 푖-th row of 퐴. Moreover, for +vectors 푣(1), . . . , 푣(푑) ∈ C푑 the matrix 퐴 with 퐴{ 푗} = 푣( 푗) for any 푗 is denoted by [푣(1), . . . , 푣(푑)]. +If 푋 is a linear space, then by ℓ(N푘, 푋) we denote the linear space of all the sequences 푥 = (푥푛)푛∈N푘 +with terms in 푋 and ℓfin(N푘, 푋) is the subspace of ℓ(N푘, 푋) consisting of all the “finite” sequences, i.e., +of such 푥 that 푥푛 = 0 for 푛 sufficiently large. +For sequences of vectors: if 푢(1), . . . , 푢(푑) ∈ ℓ(N푘, C푑) with 푢( 푗) = (푢( 푗) +푛 )푛∈N푘 for 푗 = 1, . . . , 푑, then +the symbol [푢(1), . . . , 푢(푑)], used already above for vectors and not for sequences of vectors, denotes the +matrix sequence 푈 ∈ ℓ(N푘, 푀푑(C)) with 푈푛 := [푢(1) +푛 , . . . , 푢(푑) +푛 ] for any 푛 ≥ 푘. +The symbols ∥·∥푋 and ⟨·, ·⟩푋 denote here the norm in a normed space 푋 and the scalar product in a +Hilbert space 푋, respectively, but we often omit the subscript ‘푋’. This applies also to operator norms +which we use by default for the bounded operators (mainly matrices from 푀푑(C), here), if no other choice +is made. Our general rule here is: “to possibly omit the subscript ‘푋’ in almost all cases except the case +of norm or the scalar product for C푑: +∥·∥C푑, ⟨·, ·⟩C푑”. +For a linear operator 퐴 : 푋 −→ 푋 in a normed space 푋 ≠ {0} we define its minimum modulus by +(2.1) +⇃|퐴|⇂:= inf +∥푥 ∥=1 ∥퐴푥∥. +Obviously, if dim 푋 = 1, then ⇃|퐴|⇂= ∥퐴∥. Recall that if 퐴 is invertible, then +(2.2) +⇃|퐴|⇂= +1 +∥퐴−1∥, +and for 0 < dim 푋 < +∞ 퐴 is invertible iff ⇃|퐴|⇂> 0. + +8 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +We use the symbols +cl(퐺), +clLe(퐺) +for the “usual” (topological) closure and the “Lebesgue” closure of the set 퐺 ⊂ R, respectively (휆 +is +used here for the complex conjugation of 휆 ∈ C). Recall, that +(2.3) +clLe(퐺) := {푡 ∈ R : ∀휀>0 |퐺 ∩ (푡 − 휀; 푡 + 휀)| > 0} +for 퐺 ∈ Bor(R) and | · | is here the standard 1-dimensional Lebesgue measure on Bor(R) but, as usual, +it will denote also the absolute value. +If 휇 is a measure4 on 픐 – a 휎-algebra of subsets of some Ω, and 푝 ∈ [1, +∞), then 퐿 푝(휇) (without +the “universum” Ω and the 휎-algebra for the measure, for short) denotes the standard 퐿 푝 Banach space +of the classes of the appropriate complex functions on the “universum” for the measure 휇. We need +sometimes to distinguish here 퐿 푝(휇) from the appropriate space of functions (and not classes) denoted +here by L 푝(휇). For 푝 = 1 and 푋 := R푑 we also use L1 +푋 (휇) to denote the space of integrable functions +from Ω into 푋 in the standard coordinatewise sense of the integral and the integrability. +Moreover, for a matrix measure 푀 by 퐿2(푀) we denote the appropriate 퐿2-Hilbert space induced by +this matrix measure (see Section 3.2 and, e.g., [44] for more details). +If 푋 is a norm space, then +ℓ2(N0, 푋) := +� +푥 ∈ ℓ(N0, 푋) : ++∞ +� +푛=0 +∥푥푛∥2 +푋 < ∞ +� +, +is a normed space with the norm defined for 푥 ∈ ℓ2(N0, 푋) by +∥푥∥ := +� +� +∞ +� +푛=0 +∥푥푛∥2 +푋. +If, moreover, 푋 is a Hilbert space, then ℓ2(N0, 푋) is a Hilbert space with the scalar product given for +푥, 푦 ∈ ℓ2(N0, 푋) by +(2.4) +⟨푥, 푦⟩ := ++∞ +� +푛=0 +⟨푥푛, 푦푛⟩푋. +Here, the most important case for us is the Hilbert space space ℓ2(N0, C푑). As the standard orthonormal +basis of ℓ2(N0, C푑) we consider +� +훿푛(푒푖) +� +(푖,푛)∈{1,...,푑}×N0, +where for any vector 푣 ∈ C푑 and 푛 ∈ N0 we define the sequence 훿푛(푣) ∈ ℓfin(N0, C푑) by +(훿푛(푣)) 푗 := +� +푣 +if 푗 = 푛, +0 +otherwise. +Moreover we have +(2.5) +ℓfin(N0, C푑) = lin{훿푛(푣) : 푣 ∈ C푑, 푛 ∈ N0}, +and +cl(ℓfin(N0, C푑)) = ℓ2(N0, C푑). +If H is a Hilbert space and 퐴 — a self-adjoint operator (possibly unbounded) in H, then the projection- +valued spectral measure (“the resolution of identity”) for 퐴 is denoted by 퐸퐴. +In particular 퐸퐴 : +Bor(R) −→ B(H), where Bor(R) is the Borel 휎-algebra of R and B(H) denotes, as usual, the space of +bounded operators on H. If 푥, 푦 ∈ H, then 퐸퐴,푥,푦 denotes the spectral measure for 퐴, 푥 and 푦, i.e. the +complex measure given by +(2.6) +퐸퐴,푥,푦 (휔) := ⟨퐸퐴(휔)푥, 푦⟩ , +휔 ∈ Bor(R), +4Here the name “measure” without some extra adjectives / names of the type vector, matrix, complex, real, spectral etc., +denotes always a classical Lebesgue-type measure with values in [0, +∞], without necessity of adding “non-negative”. The +remaining ones, all “adjective (of the above type) + measures”, belongs to a wide class of vector measures (— see the definition +on page 41) for an appropriate measure vector space; e.g, equal to R for real measure. So, measure can be, but also can be not +(e.g. the Bor(R) Lebesgue measure), a vector measure. It simply depends on it finiteness. And “unfortunately”, from the point +of view of the abuse of terminology, a vector measure is “usually” not a measure, here. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +9 +and 퐸퐴,푥 := 퐸퐴,푥,푥 (the spectral measure for 퐴 and 푥). Denote also +Hac(퐴) := {푥 ∈ H : 퐸퐴,푥 is a.c. with respect to the Lebesgue measure on Bor(R)}. +If and 퐺 ∈ Bor(R), then the symbol (퐴)퐺 denotes the part of 퐴 in the (invariant reducing) subspace +H퐺(퐴) := Ran 퐸퐴(퐺). +Recall the key notion for this paper, of the absolute continuity of 퐴: +Definition 2.1. 퐴 is absolutely continuous (a.c.) in 퐺 +iff H퐺(퐴) ⊂ Hac(퐴). +퐴 is absolutely continuous iff 퐴 is absolutely continuous in R. +We apply here also some other “more or less, but not totally” common abbreviations and symbols: +• +iff +for: +if and only if +• +TFCAE +for: +the following conditions are (mutually) equivalent +• +w.r.t. +for: +with respect to +• +s.a. +for: +self-adjoint (for operators) +• +a.c. +for: +absolutely continuous (for operators, measures etc.) +• +sing. +for: +singular (as above) +• +a.e. +for: +almost everywhere +• +JM, BJM +for: +Jacobi matrix, block Jacobi matrix, respectively +• +JO, BJO +for: +Jacobi operator, block Jacobi operator, respectively +• +lin푌 +for: +the linear subspace generated by a subset 푌 of a linear space +• +퐹↾푌 +for: +the restriction of function 퐹 to the subset 푌 of the domain +• +퐹(푌) +for: +the image of subset 푌 with respect to function 퐹 +• +Dom(퐴) +for: +the domain of linear operator 퐴 +• +Dom(퐴∞) +for: +the intersection of all Dom(퐴푛) for 푛 ∈ N. +Some further notation is introduced successively in next subsections. +2.2. Some asymptotic symbols and the affine interpolation. Let 푆 be an arbitrary set and 푓 , 푔 : 푆 −→ +C. We define the symbol ≍ of “asymptotic similarity” of functions: +(2.7) +푓 ≍ 푔 +⇐⇒ +∃푐,퐶∈R+∀푠∈푆 푐|푔(푠)| ≤ | 푓 (푠)| ≤ 퐶|푔(푠)| +(note the presence of the absolute value in this definition). +We shall use also alternative notation: +푓 (푠) ≍푠 푔(푠). +If 푆 = N푘 for some 푘 ∈ Z, then 푓 is just a sequence from ℓ(N푘, C), i.e. 푓 = ( 푓 (푛))푛∈N푘 = ( 푓푛)푛∈N푘, +and we shall consider its affine interpolation aff ( 푓 ) : [푘, +∞) −→ C, uniquely defined by the conditions: +(a) aff ( 푓 )↾N푘= 푓 , +(b) for each 푛 ∈ N푘 +aff ( 푓 )↾[푛,푛+1] is an affine function, i.e. a function of the form +[푛, 푛 + 1] ∋ 푡 ↦→ 푎푡 + 푐 ∈ C for some 푎, 푐 ∈ C (depending here also on 푛). +In particular aff ( 푓 ) is a continuous interpolation of 푓 , and one can easily check that it can be also +given by the explicit formula: +(2.8) +aff ( 푓 ) (푡) = 푓⌊푡⌋ + {푡} � 푓⌊푡⌋+1 − 푓⌊푡⌋ +� , +푡 ∈ [0, ∞) +where {푡} = 푡 − ⌊푡⌋ is the fractional part of 푡. +The following result joining the asymptotic similarity of sequences and of their affine interpolations, +will be convenient in the proof of our main result. +Let us prove first the following “slightly unexpected” result on quotients of two affine functions. +Lemma 2.2. Suppose that 훼, 훽, 푎1, 푐1, 푎2, 푐2 ∈ R, 훼 < 훽 and 푎2푡 + 푐2 ≠ 0 for any 푡 ∈ [훼, 훽]. Let +휑 : [훼, 훽] −→ R be given by +휑(푡) := 푎1푡 + 푐1 +푎2푡 + 푐2 +, +푡 ∈ [훼, 훽]. +Then 휑 is monotonic and, in particular, its maximal and minimal value is attained on the set {훼, 훽}. +Proof. We have: +휑′(푡) := 푎1푐2 − 푎2푐1 +(푎2푡 + 푐2)2 +and thus, we have only two cases: + +10 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +• 푎1푐2 − 푎2푐1 = 0, hence 휑 is constant; +• 푎1푐2 − 푎2푐1 ≠ 0, so 휑′ has no zeros. +In both cases our assertion holds. +□ +2.3. Some analogs of “J–L continuous interpolation” of a discrete family of semi-norms. The main +idea of the Jitomirskaya–Last’s new approachin [30] was “technically” based on a continuous interpolation +of the discrete family of semi-norms {∥·∥푛}푛∈N0 in ℓ(N0, C) to the family {∥·∥푡}푡 ∈[0,+∞). +For our purposes we shall extend this notion in two ways. Namely, let 푉 be a normed space, 푛0 ∈ Z +and assume that 푋 ∈ ℓ(N푛0,푉). +For any (푛1, 푡) ∈ Z × R such that 푛0 ≤ 푛1 ≤ 푡, we define +(2.9) +∥푋∥ [푛1,푡] := +� +⌊푡⌋ +� +푘=푛1 +∥푋푘 ∥2 + {푡} +��푋⌊푡⌋+1 +��2 +�1/2 +, +and for 푡 = ∞ +(2.10) +∥푋∥[푛1,∞] := +� +∞ +� +푘=푛1 +∥푋푘 ∥2 +�1/2 +(which can possibly be +∞). +Moreover, if 푉 = 푀푑(C)) for some 푑 ≥ 1, then similarly to (2.9) we define a continuous family based +on minimum modulus (see (2.1)) instead of matrix norm. So, for any (푛1, 푡) ∈ Z×R such that 푛0 ≤ 푛1 ≤ 푡 +we consider +(2.11) +⇃|푋|⇂[푛1,푡]= +� +⌊푡⌋ +� +푘=푛1 +⇃|푋푘|⇂2 +{푡}⇃|푋⌊푡⌋+1|⇂2 +�1/2 +. +By (2.8) we can relate the above constructions with the notion of affine extension introduced in the +previous subsection. The squares of the “new objects” are just the affine extensions of their discrete +counterparts (see (2.12) and (2.13) below), which are somewhat more natural and simpler for the context +of operators “acting on sequences” considered in this paper. +Observation 2.3. The notions defined by (2.9) and (2.11) (i.e, for 푡 < +∞) satisfy respectively +∥푋∥2 +[푛1,푡] = aff �푆푋,푛1 +� (푡) +and +⇃|푋|⇂2 +[푛1,푡]= aff �ˇ푆푋,푛1 +� (푡) +for 푡 ≥ 푛1, where 푆푋,푛1, ˇ푆푋,푛1 : N푛1 −→ R are given for 푛 ≥ 푛1 by +(2.12) +푆푋,푛1 (푛) := ∥푋∥2 +[푛1,푛] = +푛 +� +푘=푛1 +∥푋푘∥2 , +(2.13) +ˇ푆푋,푛1 (푛) :=⇃|푋|⇂2 +[푛1,푛]= +푛 +� +푘=푛1 +⇃|푋푘|⇂2 . +Note also that in the scalar case 푑 = 1 for 푋 ∈ ℓ(N푛0, 푀푑(C)) we simply have ∥푋∥[푛1,푡] =⇃|푋|⇂[푛1,푡] +and 푆푋,푛1 = ˇ푆푋,푛1. +Consider a second sequence 푌 ∈ ℓ(N푛0,푉). Using the above Observation and Lemma 2.2 we get: +Corollary 2.4. Suppose that 푛1 ∈ Z, 푡 ∈ R, 푛0 ≤ 푛1 ≤ 푡. Let 푛 := ⌊푡⌋ be such that ∥푌 ∥[푛1,푛] ≠ 0. Then +there exist such 푛, 푛 ∈ {푛, 푛 + 1} that +∥푋∥[푛1,푛] +∥푌 ∥[푛1,푛] +≤ +∥푋∥[푛1,푡] +∥푌 ∥[푛1,푡] +≤ +∥푋∥ [푛1,푛] +∥푌 ∥[푛1,푛] +. +If 푉 = 푀푑(C) then the analogous result with all the “∥·∥” replaced by “⇃|·|⇂” is also true. +Proof. It suffices to use Observation 2.3 and then Lemma 2.2 to the function 휑 given on [푛, 푛 + 1] by the +formula 휑(푡) := +� ∥푋 ∥ [푛1,푡] +∥푌 ∥ [푛1,푡] +�2 +. +□ + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +11 +2.4. Some matrix norm inequalities. Let us recall some notions related in particular to 푑 × 푑 matrices. +For 푋 ∈ 푀푑(C): +• its Hilbert–Schmidt norm is defined by +(2.14) +∥푋∥HS = +� +푑 +� +푖=1 +∥푋푒푖∥2 +C푑 +�1/2 +. +• its real and imaginary parts Re(푋) and Im(푋) (in the adjoint, and not the complex conjugation +sense) are given by +Re(푋) := 1 +2 (푋 + 푋∗), +Im(푋) := 1 +2푖 (푋 − 푋∗). +For 푣 ∈ C푑 we shall use the symbol 퐸 푣 to denote the matrix / operator [푣, 0, . . . , 0] ∈ 푀푑(C) , i.e, +(2.15) +퐸 푣(푒 푗) = +� 푣 +for 푗 = 1 +0 +for 푗 > 1, +푗 = 1, . . . , 푑. +Proposition 2.5. Let 푋 ∈ 푀푑(C) and 푣 ∈ C푑. Then: +(i) ∥푋∥ ≤ ∥푋∥HS. +(ii) ∥Im(푋)∥ ≤ ∥푋∥ , ∥Re(푋)∥ ≤ ∥푋∥. +(iii) ∥푋퐸 푣∥ = ∥푋푣∥. +(iv) If 푋 ≥ 0, then +∥푋∥ ≤ tr 푋 ≤ 푑 ∥푋∥. +Proof. Part (i) is a classical result (easy to get by the Schwarz inequality), and (ii) follows directly from +the definitions of Re, Im. +To get (iii) observe first that 푋퐸 푣 = 퐸푋 푣 by (2.15), so it suffices to consider 푋 = 퐼. But using (i) we +get ∥퐸 푣∥ ≤ ∥푣∥ and ∥퐸 푣∥ ≥ ∥퐸 푣푒1∥ = ∥푣∥, so the equality holds. +Suppose that 푋 ≥ 0 and let 휆1 . . . , 휆푑 be all the eigenvalues of 푋 repeated according to their multi- +plicities. We thus get (iv) by +∥푋∥ = max +1≤푖≤푑 휆푖 ≤ +푑 +� +푖=1 +휆푖 = tr 푋 ≤ 푑 max +1≤푖≤푑 휆푖 = 푑 ∥푋∥ +□. +3. Block Jacobi matrix and operator(s). A spectral representation and the associated +difference equations +We denote “the size of the block” for BJM by 푑 ∈ N, and for the whole paper we assume that (퐴푛)푛∈N0 +and (퐵푛)푛∈N0 are sequences of matrices from 푀푑(C) such that +(3.1) +det 퐴푛 ≠ 0, +퐵푛 = 퐵∗ +푛, +푛 ∈ N0. +Now we define a block Jacobi matrix +J = +������ +� +퐵0 +퐴0 +퐴∗ +0 +퐵1 +퐴1 +퐴∗ +1 +퐵2 +... +... +... +������ +� +, +and the pair of the sequences 퐴 = (퐴푛)푛∈N0 and 퐵 = (퐵푛)푛∈N0 will be called Jacobi parameters of J. +In fact, we mean that J is the linear operator (“the formal block Jacobi operator”) acting on the space +ℓ(N0, C푑) of all the C푑 sequences, whose action is well-defined via formal matrix multiplication: +J : ℓ(N0, C푑) −→ ℓ(N0, C푑), +i.e., for any 푢 ∈ ℓ(N0, C푑) +(3.2) +(J푢)푛 := +� 퐵0푢0 + 퐴0푢1 +for 푛 = 0 +퐴∗ +푛−1푢푛−1 + 퐵푛푢푛 + 퐴푛푢푛+1 +for 푛 ∈ N. +Recall now two important operators related to J and acting in the Hilbert space ℓ2(N0, C푑): +퐽min +and 퐽 (which will coincide in most of our further considerations). The operator 퐽min (the minimal block +Jacobi operator) is simply the closure in ℓ2(N0, C푑) of the operator in ℓ2(N0, C푑) being the restriction: + +12 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +J↾ℓfin(N0,C푑). And to define 퐽 (the maximal block Jacobi operator) we first choose its domain in a usual +way for “maximal-type” operators: +(3.3) +Dom(퐽) := +� +푢 ∈ ℓ2(N0, C푑) : J푢 ∈ ℓ2(N0, C푑) +� +, +and then we define 퐽 := J↾Dom(퐽). +When both (퐴푛)푛∈N0 and (퐵푛)푛∈N0 are bounded sequences, then obviously we have only one operator +퐽min = 퐽 ∈ B(ℓ2(N0, C푑)), which is symmetric, so self-adjoint. But here we consider also unbounded +cases, so let us recall the following result +Fact 3.1. (퐽min)∗ = 퐽. Moreover, TFCAE: +(i) 퐽min is s.a., +(ii) 퐽 is s.a.; +and if one of the above conditions holds, then 퐽min = 퐽. +See [2, Chapter VII.§2.5] for5 퐽∗ +min = 퐽, and the remaining part follows from this by [56, formula +(7.1.22)]. +For the main results of the theory presented here the maximality of the domain is crucial. Moreover, +we study mainly “the self-adjoint case”, so (by Fact 3.1) the best choice here is to use just only the operator +퐽, later on. +By (3.3) and (3.2) we get +(3.4) +ℓfin(N0, C푑) ⊂ Dom(퐽), +퐽 +� +ℓfin(N0, C푑) +� +⊂ ℓfin(N0, C푑), +so in particular 퐽 is densely defined by (2.5). Moreover, by (3.2) we compute +(3.5) +퐽 (훿푛(푣)) = 훿푛−1(퐴푛−1푣) + 훿푛(퐵푛푣) + 훿푛+1(퐴∗ +푛푣), +푣 ∈ C푑, 푛 ∈ N0, +where we additionally denote +훿−1(푣) := 0, +푣 ∈ C푑. +3.1. The finite-cyclicity. In the scalar 푑 = 1 case Jacobi operator 퐽 is cyclic with a cyclic vector +휑 := 훿0(푒1) (the canonical cyclic vector for 퐽), which means that the space +(3.6) +lin{퐽푛휑 : 푛 ∈ N0} +is dense in ℓ2(N0, C) (here, for 푑 = 1, we simply have 푒1 = 1 ∈ C). — Indeed, this is known that the +above space is just equal to ℓfin(N0, C) for such 휑. Cyclicity plus self-adjointness provides a very simple +spectral representation of the operator. +So, suppose now, that “the scalar” 퐽 is s.a. and consider: +x — the identity function on R, +x(푡) = 푡 +for 푡 ∈ R, and 휇 — “the scalar” spectral measure for 퐽 and 휑, i.e. +휇 = 퐸퐽,휑 (see, Section 2.1 for the +spectral notation). +By the well-known spectral result, 퐽, as a cyclic s.a. operator, is unitary equivalent to the operator of +the multiplication by +x in the space 퐿2(휇). +This one-dimensional result has also its analog for the block-Jacobi case with arbitrary 푑. First of +all, instead of cyclicity, we consider here the so-called finite-cyclicity notion (see [44]). It means that +for some 푘 ∈ N there exists a cyclic system �휑 = (휑1, . . . , 휑푘) for 퐽, i.e., a system of such vectors from +Dom(퐽∞), that +(3.7) +lin{퐽푛휑 푗 : 푛 ∈ N0, 푗 = 1, . . . , 푘} +is dense in ℓ2(N0, C푑). In our general 푑-dimensional case the choice of �휑 can be done in an analogical +way, as it was for 푑 = 1, namely define +(3.8) +�휑 := (휑1, . . . , 휑푑), +휑 푗 := 훿0(푒 푗), +푗 = 1, . . . , 푑. +The following result is true. +Proposition 3.2. The system �휑 is a cyclic system for 퐽. +5Actually, in [2, Chapter VII.§2.5] only the case 퐴푛 = 퐴∗푛 for all 푛 ≥ 0 was considered, but the proof in the general case is +similar. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +13 +Proof. For each 푛 ∈ N0 denote6 +(3.9) +푋푛 := +� +푥 ∈ ℓ2(N0, C푑) : ∀푗≠푛 푥 푗 = 0 +� +, +푌푛 := +푛 +� +푘=0 +푋푘. +So 푋푛,푌푛 ⊂ ℓfin(N0, C푑) and +(3.10) +푋푛 = +� +훿푛(푤) : 푤 ∈ C푑� += lin {훿푛(푒푠) : +푠 = 1, . . . , 푑} , +푛 ∈ N0. +In particular +(3.11) +푋0 = lin {휑푠 : +푠 = 1, . . . , 푑} . +Using (3.10) and (3.5) we get +퐽(푋푛) ⊂ 푌푛+1, +푛 ∈ N0, +so also +(3.12) +퐽(푌푛) ⊂ 푌푛+1, +푛 ∈ N0. +Using this by the obvious induction we obtain +(3.13) +퐽푛(푋0) ⊂ 푌푛, +푛 ∈ N0. +Denote 푌−1 := {0} and for 푘 ∈ N0 denote also +(3.14) +퐶푘 := +� +(퐴0 · · · · · 퐴푘−1)∗ +for 푘 > 0 +퐼 +for 푘 = 0, +so in particular 퐶푘 is invertible. To continue the proof, we shall first prove the following two results. +Lemma 3.3. For any 푘 ∈ N0 +(3.15) +∀푤 ∈C푑 ∃푢∈푌푘−1 퐽푘훿0(푤) = 푢 + 훿푘 (퐶푘푤). +Proof of Lemma 3.3. For 푘 = 0 and 푤 ∈ C푑 we have 퐽푘훿0(푤) = 훿0(푤) = 0 + 훿0(퐶0푤), so (3.15) holds +for 푘 = 0. Suppose now that it holds for some 푘 ∈ N0. Then by (3.15) for 푘 and by (3.5), for 푤 ∈ C푑 +퐽푘+1훿0(푤) = 퐽(퐽푘훿0(푤)) = 퐽(푢) + 퐽 (훿푘 (퐶푘푤)) = 퐽(푢) + 푢′ + 훿푘+1(퐴∗ +푘퐶푘푤), +with some 푢 ∈ 푌푘−1, 푢′ ∈ 푌푘. Finally, by (3.12) and (3.14) +퐽푘+1훿0(푤) = 푢′′ + 훿푘+1(퐴∗ +푘퐶푘푤) = 푢′′ + 훿푘+1(퐶푘+1푤), +with some 푢′′ ∈ 푌푘. So (3.15) holds for 푘 + 1, and we obtain our assertion by the induction. +□ +We shall use this lemma to prove the result below. +Fact 3.4. For any 푛 ∈ N0 +(3.16) +푌푛 = +푛 +� +푗=0 +퐽 푗 (푋0). +Proof of Fact 3.4. We get “⊃” from (3.13). Let us prove “⊂” by induction. For 푛 = 0 the assertion is +obvious. Now consider 푛 ∈ N0 and suppose that 푌푛 ⊂ �푛 +푗=0 퐽 푗 (푋0). Then +lin +� +푌푛 ∪ 퐽푛+1(푋0) +� +⊂ +푛+1 +� +푗=0 +퐽 푗 (푋0), +by the linearity of the RHS. Thus, by (3.9), to get 푌푛+1 ⊂ �푛+1 +푗=0 퐽 푗 (푋0), it suffices to prove +(3.17) +푋푛+1 ⊂ lin +� +푌푛 ∪ 퐽푛+1(푋0) +� +. +Indeed, if 푤 ∈ C푑, then by Lemma 3.3 +훿푛+1(푤) = 푣 + 퐽푛+1훿0(퐶−1 +푛+1푤), +6Hereweusethestandardoperationof thesum ofsubsets ofa linear space, i.e., �푛 +푘=0 퐷푘 := {�푛 +푘=0 푥푘 : 푥푘 ∈ 퐷푘 for any 푘 = +0, . . . 푛} for subsets 퐷0, . . . 퐷푛. + +14 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +with some 푣 ∈ 푌푛. Therefore, by (3.10) we get (3.17). +□ +Let us continue the proof of Proposition 3.2. Using again the standard argumentation concerning the +linear spaces generated by a subset, we see by (3.11) that +(3.18) +lin{퐽 푗휑푠 : 푗 = 0, . . . , 푛, 푠 = 1, . . . , 푑} = +푛 +� +푗=0 +퐽 푗 (푋0), +푛 ∈ N0. +So, by Fact 3.4 and (3.18) +lin{퐽푛휑푠 : 푛 ∈ N0, 푠 = 1, . . . , 푑} = ++∞ +� +푛=0 +lin{퐽 푗휑푠 : 푗 = 0, . . . , 푛, 푠 = 1, . . . , 푑} = ++∞ +� +푛=0 +푌푛 = ℓfin(N0, C푑), +and the density of ℓfin(N0, C푑) in ℓ2(N0, C푑) finishes the proof. +□ +Surely, this choice of a cyclic system for 퐽 is not unique, but this particular �휑 defined by (3.8) is called +canonical for 퐽. +3.2. The spectral matrix measure 퐸퐽, �휑 and the representation of 퐽 as the multiplication operator. +The next notion which should be generalized, when we are moving from the scalar to the block case, +is the classical 퐿2- type Hilbert space with “the scalar non-negative” spectral measure 휇 for 퐽 (and for +the canonical cyclic vector 휑). It should be replaced by the less-known 퐿2-type Hilbert space with the +so-called spectral matrix measure for the operator 퐽 and for its canonical cyclic system �휑, described in +Section 3.1. The spectral matrix measure for 퐽 is a particular example of the general notion of matrix +measure (see Appendix A). Similarly to the “scalar” spectral measure for the Jacobi (the scalar one) case, +is defined on Bor(R) and is tightly related to 퐽. E.g., 퐽 can be recovered from its spectral matrix measure +up to a unitary equivalence, as follows from Theorem 3.6 below. +Recall (see [44]): +Definition 3.5. The spectral matrix measure 퐸퐽, �휑 for 퐽 is given by +(3.19) +퐸퐽, �휑 : Bor(R) → 푀푑(C), +퐸퐽, �휑(휔) := +� +퐸퐽,휑 푗,휑푖 (휔) +� +푖, 푗=1,...,푑 ∈ 푀푑(C), +휔 ∈ Bor(R) +(see (2.6) for the symbol 퐸퐽,휑 푗,휑푖), where �휑 = (휑1, . . . , 휑푘) is canonical cyclic system for 퐽. +The analog of the scalar-Jacobi unitary representation result, mentioned above, can be formulated for +our block-Jacobi case in a short way, as follows. +Theorem 3.6. 퐽 is unitary equivalent to the operator of the multiplication by +x in the space 퐿2(푀). +For the full formulation and the proof in the general finitely cyclic case see [44, +xMUE Theorem]7. +In particular, the above result means that the spectral matrix measure of 퐽 “contains” all the important +spectral information about 퐽, similarly to the spectral measure 휇 in the scalar Jacobi case. For instance, +such typically studied information, as: the absolute continuity or the singularity in some subset of R, the +location of the spectrum and of some particular kinds of spectra of 퐽, etc. +On the other hand, “the nice properties” of the trace measure tr푀 (see A.4) for matrix measure 푀 +suggest that instead of dealing with spectral matrix measure, somewhat sophisticated at times, it could +be more useful to deal with its trace measure. Especially, when we try to “control” the above mentioned +spectral properties of 퐽 related, e.g., to the absolute continuity or singularity. In Fact A.5, Fact A.6, +and Lemma A.7 from Appendix A we discussed this problem in more details for its abstract (vector) +measure theory aspect. Their main “spectral operator theory” consequences for 퐽 are Proposition 4.8 and +Proposition 4.7 in Section 4. +7Also the detailed definition of the multiplication by a function operator in 퐿2-matrix measure spaces is presented there. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +15 +3.3. The two associated difference equations and “the solution extensions to -1”. For any 푧 ∈ C let +us consider two difference equations tightly related to J. The first — “the vector” one — is the infinite +system of equations for a sequence 푢 = (푢푛)푛∈N0 ∈ ℓ(N0, C푑): +(3.20) +(J푢)푛 = 푧푢푛, +푛 ≥ 1. +Each such a vector sequence 푢 is called generalized eigenvector (for 퐽 and 푧)8 — “gev” for short. By +(3.2) equivalently its explicit form can be written +(3.21) +퐴∗ +푛−1푢푛−1 + 퐵푛푢푛 + 퐴푛푢푛+1 = 푧푢푛, +푛 ≥ 1. +The second difference equation — “the matricial” one — is the analog equation (with the right-side +multiplication choice9) for a matrix sequence 푈 = (푈푛)푛∈N0 ∈ ℓ(N0, 푀푑(C)): +(3.22) +퐴∗ +푛−1푈푛−1 + 퐵푛푈푛 + 퐴푛푈푛+1 = 푧푈푛, +푛 ≥ 1, +and each such a matrix sequence 푈 is called matrix generalized eigenvector (for 퐽 and 푧) — “mgev” for +short. +Having our BJM J fixed, for 푧 ∈ C we denote +GEV(푧) := {푢 ∈ ℓ(N0, C푑) : 푢 is a gev for 퐽 and 푧} +and parallelly +MGEV(푧) := {푈 ∈ ℓ(N0, 푀푑(C)) : 푈 is a mgev for 퐽 and 푧}, +being obviously liner subspaces of ℓ(N0, C푑) and ℓ(N0, 푀푑(C)), respectively. By (3.1), both recurrence +relations are of degree 2, in the sense that for any initial condition �퐶0, 퐶1 +� ∈ (푀푑(C))2 there is a unique +sequence 푈 satisfying (3.22) with 푈0 = 퐶0, 푈1 = 퐶1, and analogously for (3.21). More precisely, one +easily check the following. +Fact 3.7. For any 푧 ∈ C the map Ini푧;0,1 : GEV(푧) −→ �C푑�2, given by +Ini푧;0,1(푢) = (푢0, 푢1), +푢 ∈ GEV(푧) , +is a linear isomorphism. The analogous result is true for MGEV (푧) and (푀푑(C))2. In particular +dim GEV(푧) = 2푑 and dim MGEV(푧) = 2푑2. +However, it is often more convenient to use another kind of “initial conditions”, namely “at −1 and +0” instead of 0 and 1. To formulate this properly, we shall define first the appropriate extension of each +solution (in both, vector and matrix cases), which is tightly related to the “a priori choice” of 퐴−1: +(3.23) +퐴−1 := − I . +The informal idea of the extension is simply to “extend to 푛 = 0” the system (3.22) (and (3.21) analogously) +and to “compute the “value at −1”, using our choice made in (3.23), i.e., we get “푈−1 := (퐵0 − 푧 I)푈0 + +퐴0푈1” for the matrix case. Unfortunately, as one can see, such a definition seems to depend explicitly on +the parameter 푧, and not only on 푈. So, at the first sight it seems that the notation for the extension “to −1” +of a solution 푈 has to contain always this parameter, which would be not very convenient. And YES — it is +true, that we have really this problem, extending in such a way any sequence 푈 ∈ ℓ(N0, 푀푑(C)) (similarly +for the vector version). So we define first the following family {푧•}푧∈C of “extending transformations” +푧• : ℓ(N0, 푀푑(C)) −→ ℓ(N−1, 푀푑(C)) given for 푈 ∈ ℓ(N0, 푀푑(C)) and 푧 ∈ C simply by +(3.24) +(푧•푈)푛 := +� +(퐵0 − 푧 I)푈0 + 퐴0푈1 +for 푛 = −1 +푈푛 +for 푛 ∈ N0 +We shall use here the same notation for the vector sequences without any risk of confusion, i.e., we shall +also write 푧•푢 for 푢 ∈ ℓ(N0, C푑) and 푧 ∈ C with the analogous meaning +(3.25) +(푧•푢)푛 := +� +(퐵0 − 푧 I)푢0 + 퐴0푢1 +for 푛 = −1 +푢푛 +for 푛 ∈ N0. +8Note here, that it is “generalized” for two reasons; the first, because 푢 may not belong to Dom(퐽), not even ℓ2(N0, C푑), +and the second, since we do not require the equality for 푛 = 0 above. +9The left-side one is also possible and used for several reasons, but we shall not consider it here. + +16 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Therefore, for any 푧 ∈ C both kinds of transformations are linear, and moreover: +(3.26) +푧•(푈퐶) = (푧•푈)퐶, +for any 푈 ∈ ℓ(N0, 푀푑(C)), 퐶 ∈ 푀푑(C). +Fortunately, the situation is much simpler if we restrict ourselves to the subspace of all the (M)GEV-s. +Namely, we have: +Fact 3.8. If 푧, 푤 ∈ C, 푧 ≠ 푤, then10 +GEV(푧) ∩ GEV(푤) = {0}, +MGEV(푧) ∩ MGEV (푤) = {0}. +Proof. For the matrix case, consider 푈 satisfying both (3.22), and its analog for 푤. Then, subtracting, +we get +0 = (푧 − 푤)푈푛, +푛 ≥ 1, +hence 푈푛 = 0 for any 푛 ∈ N, but now again by (3.22) used only for 푛 = 1 we get also 푈0 = 0, i.e, +푈 = 0. +□ +This means, that for any non-zero vector or matrix solution of our equations, the parameter ’푧’ is in +fact “coded in the solution”. On the other hand, the value of the extension •푧 for the zero sequence is +obviously also the zero sequence (indexed from −1 already) by the linearity, independently of 푧. Hence +denote +GEV := +� +푧∈C +GEV(푧) , +MGEV := +� +푧∈C +MGEV(푧) , +and, thank to Fact 3.8, for any 푈 ∈ MGEV \ {0} (푢 ∈ GEV \ {0}) we can define Par(푈) (Par(푢)) as +the unique number 푧 ∈ C satisfying +푈 ∈ MGEV(푧) (푢 ∈ GEV(푧)). +Finally, we can simplify our notation and omit the parameter ’푧’, defining +• : MGEV −→ ℓ(N−1, 푀푑(C)) +given for 푈 ∈ MGEV simply by the formula +(3.27) +•푈 := +� +Par(푈)•푈 +for 푈 ≠ 0 +0 +for 푈 = 0 +and analogically for 푢 ∈ GEV. +Now, taking into account (3.23), let us consider “extensions” of the systems (3.21) and (3.22): +(3.28) +퐴∗ +푛−1푢푛−1 + 퐵푛푢푛 + 퐴푛푢푛+1 = 푧푢푛, +푛 ≥ 000 +for sequences 푢 = (푢푛)푛∈N−1 ∈ ℓ(N−1, C푑) and +(3.29) +퐴∗ +푛−1푈푛−1 + 퐵푛푈푛 + 퐴푛푈푛+1 = 푧푈푛, +푛 ≥ 000 +for sequences 푈 = (푈푛)푛∈N−1 ∈ ℓ(N−1, 푀푑(C)). Their solutions will be called extended generalized +eigenvectors and extended matrix generalized eigenvectors, respectively, (for 퐽 and 푧) — “egev” and +“emgev” for short. +We denote also +GEV−1 (푧) := +� +푢 ∈ ℓ(N−1, C푑) : 푢 is an egev for 퐽 and 푧 +� +and +MGEV−1 (푧) := +� +푈 ∈ ℓ(N−1, 푀푑(C)) : 푈 is an emgev for 퐽 and 푧 +� +. +Let us formulate explicitly some simple relations between all the above “extended” and “non-extended” +notions and the • transformation. +Fact 3.9. For any 푧 ∈ C the following assertions hold: +(i) +•↾GEV(푧) = 푧•↾GEV(푧), +(ii) +•↾GEV(푧): GEV(푧) −→ GEV−1 (푧) is a linear isomorphism between GEV(푧) and GEV−1 (푧), +(iii) � +•↾GEV(푧) +�−1 푢 = 푢↾N0 +for any 푢 ∈ GEV−1 (푧), +(iv) for any (푐−1, 푐0) ∈ (C푑)2 there is a unique 푢 ∈ GEV−1 (푧) with 푢−1 = 푐−1, 푢0 = 푐0, +10Below 0 denotes the zero sequence both for the C푑-vector and for the matrix case. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +17 +and their obvious reformulations for the matrix sequences variants are also true. +Proof. Let’s check, e.g., the C푑 vector version. Observe that (i) is in fact the definition of •. Using +this and taking 푢 ∈ GEV(푧), 푣 ∈ GEV−1 (푧), we get obviously (•푢)↾N0= 푢 by (3.25), but we get also +•(푣↾N0) = 푣, because 푣 satisfies (3.28) — in particular for 푛 = 0. Linearity is clear by the definition, so +(ii) and (iii) hold. Part (iv) follows directly from (3.28) and (3.1). +□ +It can be easily checked that (e)mgev-s and (e)gev-s are mutually related in the following simple ways. +Fact 3.10. If 푈 ∈ ℓ(N−1, 푀푑(C)), 푧 ∈ C, then +(i) 푈 is an emgev for 퐽 and 푧 iff for any 푗 = 1, . . . , 푑 the vector sequence 푈 { 푗} := �푈 { 푗} +푛 +� +푛∈N−1 ∈ +ℓ(N−1, C푑) is an egev for 퐽 and 푧; +(ii) If 푈 is an emgev for 퐽 and 푧 then for any 푣 ∈ C푑 the vector sequence 푈푣 := (푈푛푣)푛∈N−1 ∈ +ℓ(N−1, C푑) is an egev for 퐽 and 푧. +The analog result holds for sequences 푈 ∈ ℓ(N0, 푀푑(C)) and mgev-s and gev-s. +According to Fact 3.9(iv) for the matrix case, for any 푧 ∈ C choose 푄(푧), 푃(푧) ∈ MGEV−1 (푧) +corresponding to +(3.30) +� +푄−1(푧) = I +푄0(푧) = 0, +� +푃−1(푧) = 0 +푃0(푧) = I, +with the following general notation: for any sequence 푈(푝) = ((푈(푝))푛)푛∈N푘 depending on an extra +“function variable type parameter” 푝: +(3.31) +푈푛(푝) := (푈(푝))푛, +푛 ∈ N푘 +for any 푝. The two sequences of functions 푄, 푃 are the so-called the second and the first kind matrix +orthogonal polynomials11. +We can also use “the conditions in 0, 1” instead of those “in −1, 0”: +(3.32) +� +푄0(푧) = 0 +푄1(푧) = 퐴−1 +0 , +� +푃0(푧) = I +푃1(푧) = 퐴−1 +0 (푧 I −퐵0). +The linear space of matrix solutions MGEV−1 (푧) and the special solutions 푄(푧) and 푃(푧) have some +important algebraic properties. +Fact 3.11. Let 푧 ∈ C. +(i) If 푈 ∈ MGEV−1 (푧), then for any 푉 ∈ 푀푑(C) also 푈푉 = (푈푛푉)푛∈N0 ∈ MGEV−1 (푧). +(ii) Each 푈 ∈ MGEV−1 (푧) has the form +(3.33) +푈 = 푃(푧)푆 + 푄(푧)푇, +for a unique pair (푆,푇) of matrices from 푀푑(C). This pair is given by +(3.34) +� +푆 := 푈0 +푇 := 푈−1 = (퐵0 − 푧 I)푈0 + 퐴0푈1. +(iii) For any 푆 ∈ 푀푑(C) the matrix sequence 퐻 := (푃(푧)푆)↾N0 satisfies “the formal matrix eigenequa- +tion for J and 푧”, namely: 퐻 ∈ MGEV(푧) and +(3.35) +퐵0퐻0 + 퐴0퐻1 = 푧퐻0. +So, for any 푣 ∈ C푑 \ {0} the C푑-sequence ℎ := (푃(푧)푣)↾N0 is an eigenvector of the formal +operator J for 푧: +(3.36) +Jℎ = 푧ℎ, +ℎ ≠ 0. +11More precisely, this name and the orthogonality property belong to the appropriate two sequences (푄푛)푛∈N, (푃푛)푛∈N0 of +matrix valued polynomial functions 푄푛, 푃푛 on R or on C with the values at each 푧 given by above defined 푄푛(푧), 푃푛(푧). + +18 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Proof. Part (i) is obvious. Hence, using it, by linearity, by (3.30) and by the unicity from Fact 3.9(iv), +we get (3.33) with 푆 and 푇 given by (3.34). — I.e., we can simply assume that some 푆 and 푇 are given +by (3.34) and then we see that the initial conditions of the solution on the RHS of (3.33) are just the pair +(푈−1,푈0), which proves (3.33) by the unicity. So, to finish (ii) we should check that the choice of the pair +(푆,푇) is also unique. By the linearity, it suffices to check only that if 푃(푧)푆 + 푄(푧)푇 is the zero solution, +then 푆 = 푇 = 0. Indeed, in this case we have 0 = 푃0(푧)푆 + 푄0(푧)푇 = 푆 and 0 = 푃−1(푧)푆 + 푄−1(푧)푇 = 푇. +Now, to get (iii), we can first use (i) with (ii) for 푈 of the form (3.33) with 푇 = 0, so, using also Fact 3.9 +(the matrix version), we get 퐻 ∈ MGEV(푧) with (3.35) obtained by (3.34) for 푇 = 0. Now we obtain +(Jℎ)푛 = 푧ℎ푛 by (3.22) for 푛 ≥ 1 and separately for 푛 = 0 from (3.35) with 푆 = I. Finally ℎ ≠ 0, because +by (3.30) ℎ0 = (푃(푧)푣)0 = 푃0푣 = 푣 ≠ 0. +□ +3.4. Transfer matrices and the Liouville–Ostrogradsky formulae. In the scalar case 푑 = 1 the transfer +matrix sequences turned out to be a very useful tool for describing spectral properties of the operator 퐽. +As we shall see, this is the case of general dimension 푑. +Let us fix here 푧 ∈ C. Our basic difference equations: the generalized eigenequation (3.20), its matrix +analog (3.22), as well as their extended variants, can be written in equivalent forms with the use of the +so-called (one step) transfer matrices (for 퐽 and 푧). The 푛-th transfer matrix 푇푛(푧) ∈ 푀2푑(C) has the +block form, with blocks in 푀푑(C): +(3.37) +푇푛(푧) := +� +0 +I +−퐴−1 +푛 퐴∗ +푛−1 +퐴−1 +푛 (푧 I −퐵푛) +� +, +푛 ≥ 0 +(for 푛 = 0 recall that 퐴−1 = − I by (3.23)). Hence, obviously, (3.21) ((3.28)) is equivalent to +(3.38) +� 푢푛 +푢푛+1 +� += 푇푛(푧) +�푢푛−1 +푢푛 +� +, +푛 ≥ 1 (≥ 0). +Similarly, (3.22) ((3.29)) is equivalent to +(3.39) +� +푈푛 +푈푛+1 +� += 푇푛(푧) +� +푈푛−1 +푈푛 +� +, +푛 ≥ 1 (≥ 0). +Let us observe that 푇푛(푧) is invertible and +(3.40) +�푇푛(푧)�−1 = +��퐴∗ +푛−1 +�−1(푧 I −퐵푛) +−�퐴∗ +푛−1 +�−1퐴푛 +I +0 +� +, +푛 ≥ 0, +which is clear by direct multiplying (or by expressing 푢푛−1 by 푢푛 and 푢푛−1 from (3.28)). +Moreover we define the 푛-step transfer matrix by +(3.41) +푅푛(푧) = 푇푛−1(푧) . . . 푇0(푧), +푛 ≥ 1. +This name is justified, e.g., by the property +(3.42) +� +푈푛−1 +푈푛 +� += 푅푛(푧) +� +푈−1 +푈0 +� +, +푛 ≥ 1, +which we obtain from (3.39). Hence, by (3.42) and (3.30) we get +(3.43) +푅푛(푧) = +� +푄푛−1(푧) +푃푛−1(푧) +푄푛(푧) +푃푛(푧) +� +, +푛 ≥ 1, +being simply a direct consequence of 푅푛(푧) = 푅푛(푧) +� +I +0 +0 +I +� +. +Presently we shall derive a formula for the inverse of 푅푛(푧) expressing it explicitly in terms of 푅푛(푧). +Let us set +(3.44) +퐾푛 := +� +퐴∗ +푛 +0 +0 +I +� +, +푛 ≥ −1 +and +(3.45) +˜푇푛(푧) := 퐾푛푇푛(푧)퐾−1 +푛−1, +푛 ≥ 0. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +19 +So by (3.37) +˜푇푛(푧) = +� +0 +퐴∗ +푛 +−퐴−1 +푛 +퐴−1 +푛 (푧 I −퐵푛) +� +, +푛 ≥ 0 +Therefore, defining +Ω := +� +0 +I +− I +0 +� +, +we verify by direct computations that +(3.46) +Ω = � ˜푇푛(푧)�∗Ω˜푇푛(푧), +푛 ≥ 0. +By using (3.45) we get +(3.47) +푅푛(푧) = (퐾−1 +푛−1 ˜푇푛−1(푧)퐾푛−2)(퐾−1 +푛−2 ˜푇푛−2(푧)퐾푛−3) . . . (퐾−1 +0 ˜푇0(푧)퐾−1) = 퐾−1 +푛−1 ˜푅푛(푧)퐾−1, +where +(3.48) +˜푅푛(푧) := ˜푇푛−1(푧) ˜푇푛−2(푧) . . . ˜푇0(푧), +푛 ≥ 1. +We claim that +(3.49) +Ω = � ˜푅푛(푧)�∗Ω ˜푅푛(푧), +푛 ≥ 1. +We shall prove it inductively. By (3.48) we have ˜푅1(푧) = ˜푇0(푧) for any 푧 ∈ C. Thus, in view of (3.46) +the formula (3.49) holds true for 푛 = 1. Next, if (3.49) holds for some 푛 ≥ 1, then by (3.46) we have +Ω = � ˜푅푛(푧)�∗Ω ˜푅푛(푧) += � ˜푅푛(푧)�∗��˜푇푛(푧)�∗Ω˜푇푛(푧) +� +˜푅푛(푧) += � ˜푅푛+1(푧)�∗Ω ˜푅푛+1(푧), +where in the last equality we have used (3.48). It ends the inductive step in the proof of (3.49). Thus, by +multiplying both sides of (3.49) by Ω−1 on the left and then by � ˜푅푛(푧)�−1 on the right we arrive at +� ˜푅푛(푧)�−1 = Ω−1� ˜푅푛(푧)�∗Ω. +Consequently, using twice (3.47) we can derive +�푅푛(푧)�−1 = 퐾−1 +−1Ω−1�퐾−1 +−1 +�∗�푅푛(푧)�∗퐾∗ +푛−1Ω퐾푛−1, +so, by (3.44), finally +(3.50) +�푅푛(푧)�−1 = +� +0 +I +− I +0 +� �푅푛(푧)�∗ +� +0 +퐴푛−1 +−퐴∗ +푛−1 +0 +� +, +푧 ∈ C. +The following result is well-known, see e.g. [3, Theorem 5.2] and [46, Lemma 2.4]. Our proof seems +to be new. +Proposition 3.12 (Liouville–Ostrogradsky). For any 푤 ∈ C one has +푄푘 (푤)�푃푘(푤)�∗ = 푃푘(푤)�푄푘 (푤)�∗, +푘 ≥ 0 +(3.51) +푄푘 (푤)�푃푘−1(푤)�∗ − 푃푘(푤)�푄푘−1(푤)�∗ = 퐴−1 +푘−1, +푘 ≥ 1. +(3.52) +Proof. By (3.50) and (3.43) we have +�I +0 +0 +I +� += 푅푘(푤)푅−1 +푘 (푤) = +�−푃푘−1(푤) +푄푘−1(푤) +−푃푘(푤) +푄푘 (푤) +� �−�푄푘 (푤)�∗퐴∗ +푘−1 +�푄푘−1(푤)�∗퐴푘−1 +−�푃푘(푤)�∗퐴∗ +푘−1 +�푃푘−1(푤)�∗퐴푘−1 +� +. +Thus, the formulas (3.51) and (3.52) follows from computing the last row. +□ +4. The Weyl function +Similarly to the scalar Jacobi case, Weyl coefficient (being a matrix for the block case), is the main +object in the method of subordinacy, which gives the link between generalized eigenvectors and the +absolute continuous and the singular part of the spectral measure. And consequently – the absolutely +continuous and the singular spectrum of 퐽. + +20 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +4.1. ℓ2 matrix solutions and the matrix Weyl function 푊. In the scalar Jacobi case “the scalar +orthogonal polynomials” are used, with the common notation 푝(푧) := 푃(푧), 푞(푧) := 푄(푧) for 푧 ∈ C. +That is, since 푑 = 1, we treat complex numbers as elements of 푀푑(C) and also as C푑-vectors, and +푝(푧), 푞(푧) are solutions of both (3.28) and (3.29), being now just the same equation. +It is also well-known for this case that if 퐽 is s.a. and 푧 ∈ C \ R, then neither 푝(푧)↾N0, nor 푞(푧)↾N0 +belong to the Hilbert space ℓ2(N0, C) in which Jacobi operator 퐽 acts, and there exists exactly one +푤(푧) ∈ C such that (푤(푧)푝(푧) + 푞(푧))↾N0∈ ℓ2(N0, C). Surely, instead of making the restriction to N0, +we can equivalently just claim here that 푝(푧), 푞(푧) ∉ ℓ2(N−1, C), and 푤(푧)푝(푧) + 푞(푧) ∈ ℓ2(N−1, C), +respectively. +The above unique 푤(푧) is called the Weyl coefficient (for 퐽 and 푧), and the appropriate function +푤 : C \ R −→ C is called the Weyl function for 퐽. +Let us recall here some less known generalisations of the above results and definitions for block Jacobi +case. +Observe first, that if 퐽 is s.a., and 푧 ∈ C \ R, then 푧 ∉ 휎(퐽), so denote: +(4.1) +푢( 푗) (푧) := (퐽 − 푧 I)−1훿0(푒 푗), +푗 = 1, . . . , 푑. +In particular, for any 푗 we have 푢( 푗) (푧) ∈ Dom(퐽) ⊂ ℓ2(N0, C푑) and +J푢( 푗) (푧) = 푧푢( 푗) (푧) + 훿0(푒 푗), +푗 = 1, . . . , 푑. +Considering the terms 푛 ≥ 1 of the above equality of sequences we see that each 푢( 푗) (푧) is a gev for 퐽 +and 푧. Moreover, taking the term 푛 = 0 we get +(4.2) +푒 푗 = +� +(J − 푧 I)푢( 푗) (푧) +� +0 = (퐵0 − 푧 I)푢( 푗) +0 (푧) + 퐴0푢( 푗) +1 (푧). +So, defining the matrix sequences +(4.3) +˜푈(푧) := [푢(1) (푧), . . . , 푢(푑) (푧)] ∈ ℓ(N0, 푀푑(C)) and 푈(푧) := •( ˜푈(푧)) ∈ ℓ(N−1, 푀푑(C)) +we have 푈(푧) ∈ ℓ2(N−1, 푀푑(C)), and by Fact 3.10 (the version for gev-s and mgev-s) and by Fact 3.9 we +see that 푈(푧) is an emgev for 퐽 and 푧. We call it Weyl matrix solution for 퐽 and 푧. By (3.24) and (4.2) we +obtain +(4.4) +I = (퐵0 − 푧 I)푈0(푧) + 퐴0푈1(푧) = 푈−1(푧). +We can now formulate the expected result on “matrix ℓ2 solutions” (see [2, Theorem VII.2.8] for similar +result with a sketch of the proof; we give here a full and simple proof for the sake of self-sufficiency). +Proposition 4.1. Suppose that 퐽 is s.a. and 푧 ∈ C \ R. Then there exists exactly one 푊(푧) ∈ 푀푑(C) such +that +(4.5) +푃(푧)푊(푧) + 푄(푧) ∈ ℓ2(N−1, 푀푑(C)). +Moreover, with the above unique 푊(푧) +(i) 푃(푧)푊(푧) + 푄(푧) is the Weyl matrix solution for 퐽 and 푧: +(4.6) +푃(푧)푊(푧) + 푄(푧) = 푈(푧); +(ii) 푊(푧) = 푈0(푧), +(iii) det푊(푧) ≠ 0. +Proof. Fix 푧 ∉ R and consider the Weyl matrix solution 푈(푧) for 퐽 and 푧. By Fact 3.11(ii) 푈(푧) has +the form (3.33), where 푆 = 푈0(푧) and 푇 = 푈−1(푧) = I, by (4.4). This proves the “exists”– part of the +assertion and (ii). +Let us prove the uniqueness, now. Suppose that for some 푧 ∉ R there exist two different matrices “푊(푧)” +satisfying (4.5). Then, subtracting, we get a non-zero 퐶 ∈ 푀푑(C) such that 푃(푧)퐶 ∈ ℓ2(N−1, 푀푑(C)). +Now, choosing 푤 ∈ C푑 such that 푣 := 퐶푤 ≠ 0 we get 푃(푧)푣 ∈ ℓ2(N−1, C푑). Thus, using Fact 3.11(iii), +for ℎ := (푃(푧)푣)↾N0 we get J ℎ = 푧ℎ ∈ ℓ2(N0, C푑), which means that ℎ ∈ Dom(퐽). Moreover ℎ ≠ 0, +because ℎ0 = 푃0(푧)푣 = I 푣 = 푣 ≠ 0. Thus ℎ is an eigenvector of 퐽 with the eigenvalue 푧 ∉ R — a +contradiction with the assumption, that 퐽 is s.a. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +21 +To prove that 푊(푧) = 푈0(푧) is invertible, consider 푣 ∈ Ker푈0(푧) and the sequence 푤 := (푈(푧)푣)↾N0∈ +ℓ(N0, C푑). Then by Fact 3.10, by (3.2) and by (4.4) we see that 푤 is such a gev that +((J − 푧 I)푤)0 = (퐵0 − 푧 I)푤0 + 퐴0푤1 = (퐵0 − 푧 I)푈0(푧)푣 + 퐴0푈1(푧)푣 = I 푣 = 푣 = (훿0(푣))0. +Hence we have +(a) (J − 푧 I)푤 = 훿0(푣), +(b) 푤0 = 푈0(푧)푣 = 0, +(c) 푤 ∈ ℓ2(N0, C푑). +Now (a) gives J푤 = 푧푤 + 훿0(푣), so by (c) both 푤 and J푤 are in ℓ2(N0, C푑), i.e. 푤 ∈ Dom(퐽) and +(4.7) +(퐽 − 푧 I)푤 = (J − 푧 I)푤 = 훿0(푣). +But (b) means in particular that 푤0 ⊥ 푣, which allows us to get the expected assertion 푣 = 0. — Indeed, +by (4.7) we obtain ⟨훿0(푣), 푤⟩ = ⟨퐽푤, 푤⟩ − 푧 ∥푤∥2 and on the other hand ⟨훿0(푣), 푤⟩ = ⟨푣, 푤0⟩C푑 = 0. +Hence, using the s.a. of 퐽, we get 푧 ∥푤∥2 = ⟨퐽푤, 푤⟩ ∈ R, but since 푧 ∉ R, 푤 has to be 0. +□ +Corollary 4.2. Suppose that 퐽 is s.a. and 푧 ∈ C \ R. Then +푃(푧), 푄(푧) ∉ ℓ2(N−1, 푀푑(C)). +Proof. We have 푄(푧) = 푃(푧)0 + 푄(푧), so if 푄(푧) ∈ ℓ2(N−1, 푀푑(C)) then 푊(푧) = 0 by the uniqueness +from Proposition 4.1. But it contradicts the condition det 푊(푧) ≠ 0 from (iii). +If 푄(푧) ∈ ℓ2(N−1, 푀푑(C)) then using (4.5) and (iii) we get 푃(푧)+푄(푧)(푊(푧))−1 ∈ ℓ2(N−1, 푀푑(C)), so +also 푄(푧)(푊(푧))−1 ∈ ℓ2(N−1, 푀푑(C)). But then also 푄(푧) = �푄(푧)(푊(푧))−1� 푊(푧) ∈ ℓ2(N−1, 푀푑(C)), +which contradicts the part just proved. +□ +Definition 4.3. Let 퐽 be s.a. For fixed 푧 ∈ C \ R such 푊(푧), that (4.5) holds is called the matrix Weyl +coefficient (for 퐽 and 푧), and the appropriate function 푊 : C \ R −→ 푀푑(C) is called the matrix Weyl +function (for 퐽).12 +We omit here the dependence on 퐽 in the notation, assuming that we consider a fixed 퐽. +Here we present also a result being a stronger version of [61, Proposition 3]. Let us stress that we do +not assume the self-adjointness of 퐽 at this moment. +For 푧 ∈ C denote +(4.8) +GEVℓ2(푧) := GEV(푧) ∩ ℓ2(N0, C푑). +Recall that by Fact 3.7 we have +dim (GEV(푧)) = 2푑, +and let us think about the dimension of its subspace GEVℓ2(푧). To find it in some cases, consider also +EV(푧) — the eigenspace for 퐽 and 푧, which in the case of arbitrary 푧 ∈ C is defined by +EV(푧) := {푢 ∈ Dom(퐽) : 퐽푢 = 푧푢} +(and so, it is just the trivial zero space if 푧 is not an eigenvalue of 퐽). Since 퐽 is the maximal block Jacobi +operator (see (3.3)), we have +(4.9) +EV(푧) = {푢 ∈ GEVℓ2(푧) : ((퐽 − 푧)푢)0 = 0}. +Indeed, the above equality follows directly from +GEVℓ2(푧) ⊂ Dom(퐽), +which holds, because for 푢 ∈ GEVℓ2(푧) we have 푢 ∈ ℓ2(N0, C푑), so also 푧푢 ∈ ℓ2(N0, C푑), but J푢 and +푧푢 differ at most at the zero term, hence J푢 ∈ ℓ2(N0, C푑). +Proposition 4.4. If 푧 ∈ C \ 휎푝(퐽), then dim(GEVℓ2(푧)) ≤ 푑. +If, moreover, 푧 ∈ C \ 휎(퐽), then +dim(GEVℓ2(푧)) = 푑. +12Using the argumentation from the proof of Proposition 4.1 and from the beginning of this subsection one can easily see +that in fact it suffices here to assume that 푧 ∈ C \ 휎(퐽) to properly define the matrix Weyl coefficient for 퐽 and 푧. But note also +that the invertibility of 푊(푧) from property (iii) is guaranteed only for 푧 ∈ C \ R. + +22 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Proof. Consider first an arbitrary 푧 ∈ C. and define Ψ : GEVℓ2(푧) −→ C푑 by +Ψ(푢) := ((퐽 − 푧 I)푢)0 , +푢 ∈ GEVℓ2(푧) . +It is a linear transformation and by (4.9) Ker Ψ = EV(푧). So, by the standard linear algebra result, +dim (GEVℓ2(푧)) = dim (EV(푧)) + dim (Ran Ψ) . +Hence, if 푧 ∈ C \ 휎푝(퐽), then dim(GEVℓ2(푧)) = dim(Ran Ψ) ≤ 푑. But, if moreover 푧 ∈ C \ 휎(퐽), then +Ran(퐽 − 푧 I) = ℓ2(N0, C푑), so in particular, for any 푣 ∈ C푑 we have 훿0(푣) ∈ Ran(퐽 − 푧 I). Therefore, for +some 푢 ∈ Dom(퐽) +퐽푢 − 푧푢 = 훿0(푣), +thus 푢 ∈ GEVℓ2(푧) and Ψ(푢) = 푣 for such 푢. So, Ran Ψ = C푑 and dim(GEVℓ2(푧)) = dim(Ran Ψ) = +푑. +□ +This result gives in particular dim(GEVℓ2(푧)) = 푑, when 퐽 is s.a. and 푧 ∈ C \ R. On the other hand, +one can easily see that for such 푧 +GEVℓ2(푧) = lin{푢( 푗) (푧) : 푗 = 1, . . . , 푑}, +where 푢( 푗) (푧) are defined by (4.1), and they are just the successive 푗-th column sequences (푗 = 1, . . . , 푑) +of the matrix sequence ˜푈(푧), being the restriction to N0 of the Weyl matrix solution 푈(푧) for 퐽 and 푧 (see +(4.3)). +4.2. The Cauchy transform of the spectral matrix measure and the matrix Weyl function. Let us +assume also here that 퐽 is s.a. The Cauchy transform of the spectral matrix measure 푀 := 퐸퐽, �휑 from +(3.19) of 퐽 is defined as C퐽 : C \ R −→ 푀푑(C), with +(4.10) +C퐽 (푧) := +∫ +R +1 +휆 − 푧 d푀(휆), +푧 ∈ C \ R, +where the above integral is understood in the sense of (A.11). Consequently, (4.10) means just +(4.11) +C퐽 (푧) := +�∫ +R +1 +휆 − 푧 d푀푖, 푗 (휆) +� +푖, 푗=1,...,푑 , +with +푀푖, 푗 = 퐸퐽,휑 푗,휑푖, +푖, 푗 = 1, . . . , 푑, +and 휑 푗 given by (3.8). +Hence, by spectral calculus for s.a. operators, for 푧 ∈ C \ R we get +(4.12) +C퐽 (푧) := +�∫ +R +1 +휆 − 푧 d퐸퐽,휑 푗,휑푖 (휆) +� +푖, 푗=1,...,푑 += +�� +(퐽 − 푧 I)−1훿0(푒 푗), 훿0(푒푖) +�� +푖, 푗=1,...,푑 . +Now, by (4.1), (2.4) and (4.3) for any 푖, 푗 = 1, . . . , 푑 +(C퐽 (푧))푖, 푗 = +� +푢( 푗) (푧), 훿0(푒푖) +� += +� +(푢( 푗) (푧))0, 푒푖 +� +C푑 = (푈0(푧))푖, 푗 +for 푧 ∈ C \ R, where 푢( 푗) (푧) is given by (4.1) and 푈(푧) is Weyl matrix solution for 퐽 and 푧. Finally, by +Proposition 4.1, we get +Fact 4.5. If 퐽 is s.a., then the Cauchy transform of the spectral matrix measure of 퐽 is equal to the matrix +Weyl function for 퐽 and moreover, for any 푧 ∈ C \ R +C퐽 (푧) = 푊(푧) = 푈0(푧) = +�� +(퐽 − 푧 I)−1훿0(푒 푗), 훿0(푒푖) +�� +푖, 푗=1,...,푑. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +23 +4.3. The boundary limits of the matrix Weyl function and the properties of the spectral trace +measure. Assume here the self-adjointness of 퐽, as before, and let us use the notation from the previous +subsection, including 푀 := 퐸퐽, �휑. +Fact 4.5 implies that 푊 is a holomorphic matrix-valued function. Also by Fact 4.5, by (4.10) and +(A.3) for any 푧 ∈ C \ R +(4.13) +Im푊(푧) = Im �C퐽 (푧)� = 1 +2푖 +∫ +R +� +1 +푡 − 푧 − +1 +푡 − 푧 +� +d푀(푡) = Im(푧) +∫ +R +1 +|푡 − 푧|2 d푀(푡), +which is a non-negative matrix on C+. Hence the restriction of 푊 to C+ is a matrix Herglotz function. +Denote +퐿(푊) := +� +휆 ∈ R : lim +휖 →0+ 푊(휆 + 푖휖) exists13 +� +, +and +푊(휆 + 푖0) := lim +휖 →0+ 푊(휆 + 푖휖), +휆 ∈ 퐿(푊), +and define the following sets: +푆ac,r := +� +휆 ∈ 퐿(푊) : rank� Im푊(휆 + 푖0)� = 푟 +� +, +1 ≤ 푟 ≤ 푑, +(4.14) +푆ac := +푑 +� +푟=1 +푆ac,r , +(4.15) +푆sing := +� +휆 ∈ R : lim +휖 →0+ Im � tr푊(휆 + 푖휖)� = +∞ +� +. +(4.16) +In particular it follows that +(4.17) +푆sing ⊂ R \ 퐿(푊). +Referring to (4.16), observe that for any 퐴 ∈ 푀푑(C) +tr(Im 퐴) = Im(tr 퐴). +It is important that (4.15) means simply +(4.18) +푆ac = +� +휆 ∈ 퐿(푊) : Im푊(휆 + 푖0) ≠ 0 +� +. +Let us recall now the crucial result, joining the above defined sets with properties of 푀ac and 푀sing +— the a.c. and the sing. parts w.r.t. the Lebesgue measure | · | on Bor(R) (see Fact A.6) of the spectral +matrix measure 푀 of 퐽. This theorem is obtained just as the direct use of the abstract result [13, Theorem +6.1] to the spectral matrix measure 푀. +Define 퐷 : 퐿(푊) −→ 푀푑(C) by +(4.19) +퐷(휆) := 1 +휋 Im푊(휆 + 푖0), +휆 ∈ 퐿(푊). +Theorem 4.6. +(i) 푆sing is a support of 푀sing; +(ii) |R \ 퐿(푊)| = 0; +(iii) 퐷 is a density of 푀ac on 퐿(푊) w.r.t. | · |. +So, this theorem shows that controlling of the boundary limits of the matrix Weyl function allows to +get a lot of detailed information about the spectral matrix measure of 퐽 and of its sing. and a.c. parts. +Combining the theorem with Lemma A.7 we get: +Proposition 4.7. 푆ac is a minimal support of (tr푀)ac with respect to | · |. Moreover 푆sing is a support of +(tr푀)sing and |푆sing| = 0. Moreover, 푆ac ∪ 훿 is also a minimal support of (tr푀)ac with respect to | · | +for any Borel 훿 ⊂ R with |훿| = 0. +13As the limit in 푀푑(C), i.e., in particular the limit must belong to 푀푑(C). + +24 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Proof. We use Lemma A.7 taking: +휈 := | · | so, also Ω := R and 픐 := Bor(R), +푆푎 := 푆ac , +푆푠 := 푆sing , +퐹 := 퐷↾푆ac +and by (4.17) with (4.18) we see that 푆푎 ∩ 푆푠 = ∅, that is, the assumption (ii) of the lemma holds. Now, +(ii) of Theorem 4.6 shows that 퐿(푊) is a support of 푀ac, since this matrix measure, by definition, is +a.c. w.r.t. | · |. But (iii) of this theorem with (4.18) and (4.19) mean, that the restriction of 푀ac to +퐿(푊) \ 푆ac is the zero matrix measure. Therefore 푆ac is also a support of 푀ac. This together with (i) of +Theorem 4.6 prove that the assumption (i) of the lemma holds. The assumption (iii) also holds, by the +fact that 푆ac ⊂ 퐿(푊) and by (iii) of Theorem 4.6, again. And (iv) of the lemma is obvious by (4.18). +Therefore Lemma A.7 yields the first two assertions and |푆sing| = 0 by (4.17) with (iii) of the theorem. +The last assertion is obvious just by the definition of minimal support. +□ +4.4. The boundary limits and spectral consequences for 퐽. Assume the self-adjointness of 퐽, and let +us hold the notation as above. +Here we “translate” Theorem 4.6 into the spectral operator language via Proposition 4.7. Namely, we +show: +Proposition 4.8. Suppose that 퐽 is self-adjoint and 퐺 ∈ Bor(R). +(i) If 퐺 ⊂ R \ 푆sing, then 퐽 is absolutely continuous in 퐺. +(ii) If 퐺 ⊂ 푆ac ∪ (R \ (퐿(푊) ∪ 푆sing)), then 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽). +So, if moreover 퐺 is open, or if 퐺 is a sum of an arbitrary family of connected non-singletons in +R, then cl(퐺) ⊂ 휎ac(퐽). +Proof. First of all, by Proposition 3.2, 퐽 is s.a. finitely-cyclic operator, with �휑 being a cyclic system +for 퐽 and with 푀 being the spectral matrix measure of 퐽 and �휑. Hence the initial assumptions of [44, +Theorem C.2] hold for 퐽. So, using its assertion (2), we obtain our (i), because, by Proposition 4.7, +(tr푀)sing(퐺) = 0 for 퐺 ⊂ R \ 푆sing. +By Theorem 4.6(iii) we get |R \ (퐿(푊) ∪ 푆sing)| = 0. Hence, 푆ac ∪ �R \ (퐿(푊) ∪ 푆sing)� is a minimal +support of (tr푀)ac with respect to | · | by Proposition 4.7. Moreover (tr푀)sing(퐺) = 0, again because +푆ac ∪ �R \ (퐿(푊) ∪ 푆sing)� ⊂ R \ 푆sing and 푆sing is a support of (tr푀)sing by By Theorem 4.6(i). +Now, using the assertion (3) of [44, Theorem C.2] The assertion for the special kinds of 퐺 follows +form the property clLe(퐺) = cl(퐺), which holds for those 퐺 (see, e.g., [44, Fact C.3]). +□ +5. An analog of the Jitomirskaya–Last’s approach +This is the most important part of the article. — It contains the main new ideas allowing to get +some analogies of the 1-dimensional subordinacy results also in the 푑-block case. However, one of key +technical tools used in our proof of Theorem 5.12 is a generalisation of the Jitomirskaya–Last’s idea +from [30]. +5.1. The vector and matrix nonsubordinacy. We start with a new notion, which seems natural from +the context of the crucial notion of subordinated solutions in the 푑 = 1 case from Gilbert–Pearson–Khan +subordination theory (see [16, 33]). Recall that the “interpolated” semi-norms ∥·∥[0,푡] were introduced +here in Section 2.3. +Definition 5.1. We say that 퐽 satisfies vector nonsubordinacy (condition) for 휆 ∈ R iff14 for each pair of +non-zero 푢, 푣 ∈ GEV−1 (휆) +(5.1) +lim inf +푡→+∞ +∥푢∥ [0,푡] +∥푣∥[0,푡] +< +∞. +Nevertheless, the followingmatrixgev termsformulation seems to be more convenient for our purposes: +퐽 satisfies matrix nonsubordinacy condition for 휆 ∈ R iff for each pair of non-zero 푈,푉 ∈ MGEV−1 (휆) +(5.2) +lim inf +푡→+∞ +∥푈∥[0,푡] +∥푉∥ [0,푡] +< +∞. +14Note that we consider here the function given by the fraction +∥푢 ∥2 +[0,푡] +∥푣 ∥2 +[0,푡] +for 푡 > 0 only, and the denominator is positive since +here sequences are not the zero sequence and they belong to GEV; Similarly for the definition below. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +25 +Note here that the choice of “liminf-s over 푡 > 0”, instead of more original Khan and Pearson’s like +“liminf-s over 푛 ∈ N”, does not matter, e.a., is equivalent to this original. One direction of the implication +follows directly from the definition of lim inf, and the other can be immediately obtained by Corollary 2.4. +As we shall see soon, also the distinction “vector” / “matrix” is not very important here. +We can use the symmetry w.r.t. 푢 and 푣 or 푈 and 푉, respectively, and we get: +Fact 5.2. 퐽 satisfies vector nonsubordinacy for 휆 ∈ R iff for each pair of non-zero 푢, 푣 ∈ GEV−1 (휆) +(5.3) +lim sup +푡→+∞ +∥푢∥ [0,푡] +∥푣∥[0,푡] +> 0. +And analogically in the matrix nonsubordinacy case. +Let us formulate now an important spectral consequence of vector nonsubordinacy. +Recall that +GEVℓ2(휆) was defined in (4.8). +Theorem 5.3. Suppose that 퐽 is self-adjoint and it satisfies vector nonsubordinacy for some 휆 ∈ R. Then +dim(GEVℓ2(휆)) = 0 and 휆 ∈ 휎(퐽) \ 휎p(퐽). +Proof. Let 푢, 푣 ∈ GEV−1 (휆) be non-zero. By Fact 5.2 there exists a constant 푐 > 0 and a sequence +(푡푘)푘 ∈N tending to +∞ such that +∥푢∥[0,푡푘 ] ≥ 푐 ∥푣∥ [0,푡푘 ] . +Consequently, taking the limit we get +(5.4) +1 +푐 ∥푢∥ [0,+∞] ≥ ∥푣∥ [0,+∞] . +Thus, if it existed a non-trivial 푢 ∈ ℓ2(N0, C푑), then all 푣 would be also in ℓ2(N0, C푑). But then the +operator 퐽 would not be self-adjoint, by [12, Theorem 1.3]. Thus each non-zero 푢 ∈ GEV−1 (휆) is not +square-summable. Therefore Proposition 4.4 yields the last assertion. +□ +As we already announced, vector and matrix nonsubordinacy are equivalent. +Proposition 5.4. Let 휆 ∈ R. 퐽 satisfies matrix nonsubordinacy for 휆 iff it satisfies vector nonsubordinacy +for 휆. +Proof. (⇒) Take any non-zero 푢, 푣 ∈ GEV−1 (휆) and view them as a sequence of column vectors. Let +us define +푈푛 := 퐸푢푛, +푉푛 := 퐸 푣푛, +푛 ≥ −1, +cf. (2.15), i.e. the first column of 푈푛 is equal to the column vector 푢푛 and the rest is zero, analogously for +푉푛. By Fact 3.10 both 푈,푉 ∈ MGEV−1 (휆). By Proposition 2.5 for any 푛 ≥ −1 we have ∥푈푛∥ = ∥푢푛∥ +and ∥푉푛∥ = ∥푣푛∥. Consequently, ∥푈∥[0,푡] = ∥푢∥ [0,푡] and ∥푉∥ [0,푡] = ∥푣∥[0,푡] for any 푡 ≥ 0. Thus, the +condition (5.2) implies (5.1). +(⇐) Let us observe that for any 푋 ∈ MGEV−1 (휆) and any 푤 ∈ C푑 such that ∥푤∥ = 1 we have +(5.5) +∥푋푤∥2 +[0,푡] ≤ ∥푋∥2 +[0,푡] ≤ +푑 +� +푖=1 +∥푋푒푖∥2 +[0,푡] , +푡 > 0. +Let 푈,푉 ∈ MGEV−1 (휆) be non-zero. Then there exists 푤 ∈ C푑 such that ∥푤∥ = 1 and 푉푤 is non-zero. +Then by (5.5) we have +(5.6) +∥푈∥2 +[0,푡] +∥푉∥2 +[0,푡] +≤ +푑 +� +푖=1 +∥푈푒푖∥2 +[0,푡] +∥푉푤∥2 +[0,푡] +, +푡 > 0. +Now, by Fact 3.10, 푈푒푖 ∈ GEV−1 (휆) for 푖 = 1, . . . , 푑 and 푉푤 ∈ GEV−1 (휆). Thus, by (5.1) we get +lim inf +푡→+∞ +∥푈푒푖∥2 +[0,푡] +∥푉푤∥2 +[0,푡] +< +∞, +푖 = 1, . . . , 푑, +which together with (5.6) implies (5.2). +□ + +26 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +5.2. Barriers and barrier nonsubordinacy. In what follows, we need to make the concept of matrix +nonsubordinacy more controllable. The goal is to control two things: +• a bound on the ratio +∥푈 ∥ [0,푡] +∥푉 ∥ [0,푡] +for any fixed “large” 푡 and 휆 ∈ 퐺, but joint for all such +푈,푉 ∈ MGEV−1 (휆) which are “normalized” in a proper sense — the key one! +• the size of the above bound as a function of 푡. +So, we define: +Definition 5.5. Let 퐺 ⊂ R be non-empty. A function 픟 : 퐺 × [1, ∞) −→ R is a barrier (on 퐺, for 퐽) iff +for each 휆 ∈ 퐺 and each pair 푈,푉 ∈ MGEV−1 (휆) normalized by +(5.7) +∥푈−1∥2 + ∥푈0∥2 = ∥푉−1∥2 + ∥푉0∥2 = 1 +the estimate +(5.8) +� ∥푈∥[0,푡] +∥푉∥ [0,푡] +�2 +≤ 픟(휆, 푡) +holds for all 푡 ≥ 1. +To shorten the notation related to our normalisation let us denote +S := +� +(푋, 푋 ′) ∈ 푀푑(C) × 푀푑(C) : ∥푋∥2 + ∥푋 ′∥2 = 1 +� +and, for 휆 ∈ C, +MGEVnor (휆) := {푈 ∈ MGEV−1 (휆) : (푈−1,푈0) ∈ S}, +MGEV★ (휆) := MGEV−1 (휆) \ {0}. +Moreover, for (푋, 푋 ′) ∈ 푀푑(C) × 푀푑(C) denote +[(푋, 푋 ′)]퐼 := 푋, +[(푋, 푋 ′)]퐼 퐼 := 푋 ′. +By the homogeneity of all the norms and semi-norms, and by the use of the “symmetrization w.r.t. 푈 +and 푉” we easily obtain: +Remark 5.6. Let ∅ ≠ 퐺 ⊂ R and 픟 : 퐺 × [1, ∞) −→ R. +(i) If 픟 is a barrier, then 픟(휆, 푡) ≥ 1 for any 휆 ∈ 퐺, 푡 ≥ 1. +(ii) If 픟 is strictly positive, then TFCAE: +(a) 픟 is a barrier, +(b) ∀휆∈퐺∀푈,푉 ∈MGEVnor(휆)∀푡 ≥1 +1 +픟(휆, 푡) ≤ +∥푈∥2 +[0,푡] +∥푉∥2 +[0,푡] +, +(c) ∀휆∈퐺∀푈,푉 ∈MGEV★(휆)∀푡 ≥1 +1 +픟(휆, 푡) +∥푈−1∥2 + ∥푈0∥2 +∥푉−1∥2 + ∥푉0∥2 ≤ +∥푈∥2 +[0,푡] +∥푉∥2 +[0,푡] +≤ 픟(휆, 푡) ∥푈−1∥2 + ∥푈0∥2 +∥푉−1∥2 + ∥푉0∥2 . +Recall now (Section 3.4) that each 푈 ∈ MGEV−1 (휆) can be expressed in a convenient form by its +initial values (푈−1,푈0) and 푛-step transfer 2푑 × 2푑 matrices 푅푛(휆) (see (3.41)), defined for 푛 ∈ N. +Defining also +푅0(휆) := I, +we get in particular15 +(5.9) +푈(푛) = [푅푛+1(휆)(푈−1,푈0)]퐼, +푛 ∈ N−1; +푈(푛) = [푅푛(휆)(푈−1,푈0)]퐼 퐼, +푛 ∈ N0 +for any 푈 ∈ MGEV−1 (휆). +The following investigations show that for any 퐽 there exists its smallest “universal” barrier (on each +퐺). Consider the function 픟min : R × [1, +∞) → [1, +∞] +given by the formula +(5.10) +픟min(휆, 푡) := +sup +푈,푉 ∈MGEVnor(휆) +� ∥푈∥[0,푡] +∥푉∥ [0,푡] +�2 +, +휆 ∈ R, 푡 ≥ 1. +15We simplify here the notation, and we use the row-block form instead of the “column-block” one. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +27 +Proposition 5.7. The function 픟min has only finite values and it is a barrier for 퐽 on R. Moreover it is +the smallest barrier for 퐽 on any 퐺 ⊂ R, in the sense that for any barrier 픟 for 퐽 on 퐺 +픟min(휆, 푡) ≤ 픟(휆, 푡), +휆 ∈ 퐺, 푡 ≥ 1. +Proof. Fix 푡 ≥ 1 and 휆 ∈ R. Let 푈 ∈ MGEV−1 (휆). Observe that by (3.42) and (3.41) for any 푛 ∈ N−1 the +value of the matrix 푈푛 is a continuous (even linear) function of its initial conditions (푈−1,푈0). Namely, +by (5.9) we have 푈(푛) = [푅푛+1(휆)(푈−1,푈0)]퐼 . So, denoting by 푌 (훼) the sequence +(5.11) +푌 (훼) := ([푅푛+1(휆)훼]퐼)푛∈N−1 +for any 훼 ∈ 푀푑(C) × 푀푑(C), we get +(5.12) +푈 = 푌 (푈−1,푈0). +By (2.9), also the function +S ∋ 훼 ↦→ ∥푌 (훼)∥ [0,푡] +is continuous and, moreover, it is strictly positive. Now, define a function 푓 : S × S → R by +푓 (훼, 훼′) := +� ∥푌 (훼)∥ [0,푡] +∥푌 (훼′)∥ [0,푡] +�2 +. +Obviously, 푓 is also continuous and S × S is compact, hence 푓 attains supremum of its values, and by +(5.12) and (5.10) +픟min(휆, 푡) = sup +훼,훼′∈S +푓 (훼, 훼′) = max +훼,훼′∈S 푓 (훼, 훼′) ∈ R+. +On the other hand, it is obvious that 픟min is a barrier, as well as that that it is the smallest one, directly +from its definition (5.10), . +□ +For any 퐺 ⊂ R we call 픟min↾퐺 +the minimal barrier for 퐽 on 퐺. +Our next goal is now the construction of an another barrier for 퐺 = R in terms of the sequence of +transfer matrices. It will be much more convenient in practice than the minimal one, because of its more +explicit form. To do this, we need first: +Proposition 5.8. Let 휆 ∈ R. If 푢 ∈ GEV−1 (휆), then for any 푡 ≥ 1 +(5.13) +1 +2 +� ∥푢−1∥2 + ∥푢0∥2 � ⇃|푅(휆)|⇂2 +[1,푡]≤ ∥푢∥2 +[0,푡] ≤ � ∥푢−1∥2 + ∥푢0∥2 � ∥푅(휆)∥2 +[1,푡] . +If 푈 ∈ MGEV−1 (휆), then for any 푡 ≥ 1 +(5.14) +1 +4 +� ∥푈−1∥2 + ∥푈0∥2 � ⇃|푅(휆)|⇂2 +[1,푡]≤ ∥푈∥2 +[0,푡] ≤ 2� ∥푈−1∥2 + ∥푈0∥2 � ∥푅(휆)∥2 +[1,푡] . +In particular, for any 푈,푉 ∈ MGEVnor (휆) +(5.15) +� ∥푈∥[0,푡] +∥푉∥ [0,푡] +�2 +≤ 8 +� ∥푅(휆)∥[1,푡] +⇃|푅(휆)|⇂[1,푡] +�2 +, +푡 ≥ 1. +Proof. If 푢−1 = 푢0 = 0, then 푢 = 0, and the first assertion holds, so assume that ∥푢−1∥2 + ∥푢0∥2 > 0. Set +�푢푘 := +� +푢푘−1 +푢푘 +� +, +푘 ≥ 0. +Then +�푢푘 = 푅푘 (휆) �푢0, +푘 ≥ 1. +Thus +(5.16) +∥�푢0∥2 ⇃|푅푘(휆)|⇂2≤ ∥�푢푘 ∥2 ≤ ∥�푢0∥2 ∥푅푘(휆)∥2 , +푘 ≥ 1. +Then by Proposition 2.3 we get +∥�푢0∥2 ⇃|푅(휆)|⇂2 +[1,푡]≤ ∥�푢∥2 +[1,푡] ≤ ∥�푢0∥2 ∥푅(휆)∥2 +[1,푡] , +푡 ≥ 1. +Thus (5.13) follows, since we have +∥푢∥2 +[0,푡] ≤ ∥�푢∥2 +[1,푡] ≤ 2 ∥푢∥2 +[0,푡] + +28 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +by direct computations. Now, consider 푈 ∈ MGEV−1 (휆). Then by Fact 3.10 for any 푣 ∈ C푑 the +sequence 푈푣 is a vector generalized eigenvector. Thus (5.16) implies +(5.17) +� ∥푈−1푣∥2 + ∥푈0푣∥2 � ⇃|푅푘(휆)|⇂2≤ +���� +�푈푘−1푣 +푈푘푣 +����� +2 +≤ � ∥푈−1푣∥2 + ∥푈0푣∥2 � ∥푅푘 (휆)∥2 . +In particular, +� ∥푈−1푣∥2 + ∥푈0푣∥2 � ⇃|푅푘(휆)|⇂2≤ � ∥푈푘−1∥2 + ∥푈푘∥2 � ∥푣∥2 . +Thus +(5.18) +1 +2 +� ∥푈−1∥2 + ∥푈0∥2 � ⇃|푅푘(휆)|⇂2≤ ∥푈푘−1∥2 + ∥푈푘∥2 . +On the other hand, by (5.17) +∥푈푘−1푣∥2 + ∥푈푘푣∥2 ≤ � ∥푈−1∥2 + ∥푈0∥2 � ∥푣∥2 ∥푅푘(휆)∥2 , +and consequently, +(5.19) +∥푈푘−1∥2 + ∥푈푘 ∥2 ≤ 2� ∥푈−1∥2 + ∥푈0∥2 � ∥푅푘 (휆)∥2 . +For any 푘 ≥ 0 let us define +�푥푘 := +� +∥푈푘−1∥ +∥푈푘 ∥ +� +∈ C2. +Therefore, by combining (5.18) and (5.19) we obtain +1 +2 ∥�푥0∥2 ⇃|푅푘(휆)|⇂2≤ ∥�푥푘 ∥2 ≤ 2 ∥�푥0∥2 ∥푅푘 (휆)∥2 , +푘 ≥ 1, +which is an analogue of (5.16). Now we get (5.14) by a similar manner. +□ +In view of this result let us consider now 픟TR : R × [1, +∞) → R given by the formula16 +(5.20) +픟TR(휆, 푡) := 8 +� ∥푅(휆)∥[1,푡] +⇃|푅(휆)|⇂[1,푡] +�2 +, +휆 ∈ R, 푡 ≥ 1. +The last assertion of the proposition yields exactly: +Corollary 5.9. 픟TR is a barrier for 퐽 on R. +For any 퐺 ⊂ R we call 픟TR↾퐺 +the transfer matrix barrier for 퐽 on 퐺. +At the end of the subsection we introduce the most important notion of the paper. +Definition 5.10. Suppose that 퐽 is self-adjoint, Let 퐺 ⊂ R be non-empty and let 픟 be a barrier on 퐺. We +say that 퐽 is 픟-nonsubordinate on 퐺 if +(5.21) +lim inf +푡→+∞ 픟(휆, 푡) < +∞, +휆 ∈ 퐺. +If in fact, this condition holds uniformly on 퐺, namely +(5.22) +sup +휆∈퐺 +lim inf +푡→+∞ 픟휆(푡) < +∞, +then we say that 퐽 is uniformly 픟-nonsubordinate on 퐺. +The convenience and the importance of constructing just such definitions (of the barrier and of the +barrier-nonsubordinacy) as here, will be clearly visible in proofs in the next subsections. +16Note that ⇃|푅(휆)|⇂[1,푡 ]> 0 for any 푡 ≥ 1, since 푅1(휆) = 푇0(휆) is invertible (see also (2.11) and (2.1). + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +29 +5.3. The main result and its consequences. Assume, as before, that 퐽 is s.a. and consider the matrix +Weyl function 푊 for 퐽 (see Definition 4.3). Before we start to “control” in a sense its boundary limits we +need to make use of the choice of Jitomirskaya–Last type semi-norms, and prove a result being a block +case analog of the appropriate scalar case one result from [30]. +Proposition 5.11. Suppose that 퐽 is self-adjoint. For any 휆 ∈ R there exists a unique function +ℓ휆 : +R+ → R+ satisfying +(5.23) +∥푃(휆)∥[0,ℓ휆(휖 )] ∥푄(휆)∥[0,ℓ휆 (휖 )] = 1 +2휖 , +휖 > 0. +Moreover, ℓ휆 is a strictly decreasing continuous function and satisfies +(5.24) +lim +휖 →0+ ℓ휆(휖) = +∞, +lim +휖 →+∞ ℓ휆(휖) = 0. +Consequently, its inverse ℓ−1 +휆 is also strictly decreasing continuous function and satisfies +(5.25) +lim +푡→0+ ℓ−1 +휆 (푡) = +∞, +lim +푡→+∞ ℓ−1 +휆 (푡) = 0. +Proof. Define a function 푓 : R+ → R+ by the formula +푓 (푡) = ∥푃(휆)∥[0,푡] ∥푄(휆)∥[0,푡] . +By (2.9) this function is continuous, non-negative and weakly increasing. Moreover, by (3.30) it is in +fact positive. Let us observe that it is strictly increasing. Indeed, because if not, then there would exist +푛 ∈ N0 such that both ∥푃(휆)∥ [0,푡] and ∥푄(휆)∥[0,푡] were constant for 푡 ∈ (푛, 푛 + 1). It would mean that +∥푃푛+1(휆)∥ = ∥푄푛+1(휆)∥ = 0. Which by (3.43) would imply that 푅푛(휆) was singular. This contradicts +(3.50). Next, observe that +lim +푡→0+ 푓 (푡) = 0, +lim +푡→+∞ 푓 (푡) = +∞. +Indeed, the first limit follows from ∥푄0(휆)∥ = 0. The second follows from the fact that if ∥푃(휆)∥[0,+∞] < ++∞ and ∥푄(휆)∥[0,+∞] < +∞, then the operator 퐽 is not self-adjoint, see [12, Theorem 1.3]. Thus, we +have shown that 푓 is continuous, strictly increasing and surjective. Thus its inverse 푓 −1 : R+ → R+ has +the same properties. Consider the function 푔 : R+ → R+ defined by 푔(휖) = 1/(2휖). This function is +strictly decreasing and surjective. Thus, if ℓ휆 function exists it is a solution of the equation +푓 �ℓ휆(휖)� = 푔(휖). +This equation has a unique solution given by +ℓ휆(휖) = 푓 −1�푔(휖)�. +It is immediate that this defines a function satisfying (5.23). From this representation it is immediate that +ℓ휆 : R+ → R+ is a continuous strictly decreasing surjective function. It implies (5.24). Since again ℓ−1 +휆 +has analogous properties, we also obtain (5.25). +□ +The unique function ℓ휆 described above will be called J-L function (for 퐽 and 휆). +We are ready to formulate our main result “on controlling the boundary limits of the matrix Weyl +function”, being probably the most important result of this work. +Theorem 5.12. Assume that 퐽 is self-adjoint and 퐺 ⊂ R. If 픟 is a barrier for 퐽 on 퐺, then for any 휆 ∈ 퐺 +and any 휖 > 0 with ℓ휆(휖) ≥ 1 +(5.26) +�8픟�휆, ℓ휆(휖)��−1 I ≤ Im푊(휆 + 푖휖) +and +(5.27) +푠−(휆, 휖) ≤ ∥푊(휆 + 푖휖)∥ ≤ 푠+(휆, 휖), +where +(5.28) +푠±(휆, 휖) := 4푑픟�휆, ℓ휆(휖)� ± +�� +4푑픟�휆, ℓ휆(휖)��2 +− 1. + +30 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +We present the proof in the next subsection. But now let us remark only that the square root in (5.28) +is at least 15, since 푑 ≥ 1 and 픟(휆, 푡) ≥ 1 for any 푡 ≥ 1. Consequently, both 푠−(휆, 휖) and 푠+(휆, 휖) are +positive for the considered 휆 and 휖, hence both estimates in (5.27) could be of significant importance. +Having Theorem 5.12 and all the delicate relations between various objects connected somehow to 퐽 +and described in the previous sections, we can finally formulate and prove the most important abstract +spectral result of this article. +Denote for short the spectral matrix measure for 퐽 by 푀, i.e., +푀 := 퐸퐽, �휑, +where �휑 = (휑1, . . . , 휑푘) is canonical cyclic system (3.8) for 퐽. Recall that some important results and +some notation related to the absolutely continuous and the singular part of 푀, such as Theorem 4.6, +the set 퐿(푊) “with boundary limits for 푊” and the density 퐷 (see (4.19)) of 푀ac on 퐿(푊) w.r.t. the +Lebesgue measure | · | are presented in Section 4.3. And some measure theory notions (including matrix +measures) are collected in Appendix A. +Theorem 5.13. Assume that 퐽 is self-adjoint, 퐺 ⊂ Bor(R) and 픟 is a barrier for 퐽 on 퐺. If 퐽 is +픟-nonsubordinate on 퐺, then +(a) 푀 is absolutely continuous on 퐺. +(b) the density 퐷 of 푀ac is an invertible matrix at any 휆 ∈ 퐺 ∩ 퐿(푊). +(c) 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽). +If, moreover, 퐽 is uniformly 픟-nonsubordinate on 퐺, then there exist 푐1, 푐2 > 0 such that +(5.29) +푐1 I ≤ 퐷(휆) ≤ 푐2 I, +휆 ∈ 퐺 ∩ 퐿(푊). +Proof. Suppose that 퐽 is 픟-nonsubordinate on 퐺. By Theorem 5.12 +(5.30) +lim inf +휖 →0+ ∥푊(휆 + 푖휖)∥ ≤ 8푑 lim inf +휖 →0+ 픟�휆, ℓ휆(휖)�, +휆 ∈ 퐺. +By the definition of “lim inf” there exists a sequence (푡푘)푘 ∈N in [1, +∞) with lim푘→+∞ 푡푘 = +∞, such +that +lim inf +푡→+∞ 픟(휆, 푡) = lim +푘→+∞ 픟(휆, 푡푘). +By Proposition 5.11 for each 푘 we define +휖푘 := ℓ−1 +휆 (푡푘) +and by (5.25) we get +lim +푘→+∞ 휖푘 = 0. +Hence, by (5.21) +(5.31) +lim inf +휖 →0+ 픟�휆, ℓ휆(휖)� ≤ lim +푘→+∞ 픟�휆, ℓ휆(휖푘)� = lim +푘→+∞ 픟(휆, 푡푘) = lim inf +푡→+∞ 픟(휆, 푡) < +∞, +which by (5.30) implies +(5.32) +lim inf +휖 →0+ ∥푊(휆 + 푖휖)∥ < +∞, +휆 ∈ 퐺, +and by (4.16) this, in particular, yields17 퐺 ⊂ R\푆sing. Now, using Theorem 4.6(i), we obtain assertion (a): +푀 is a.c. on 퐺. +Observe now that (5.26) implies +1 +8 lim inf 휖 →0+ 픟�휆, ℓ휆(휖)� ∥푣∥2 ≤ lim sup +휖 →0+ +�� Im푊(휆 + 푖휖)�푣, 푣 +� +, +푣 ∈ C푑, +which by (5.31) and 픟-nonsubordinacy yields +(5.33) +푐(휆) ∥푣∥2 ≤ lim sup +휖 →0+ +�� Im푊(휆 + 푖휖)�푣, 푣 +� +, +푣 ∈ C푑, +where +(5.34) +푐(휆) = +� +8 lim inf +푡→+∞ 픟(휆, 푡) +�−1 +> 0, +휆 ∈ 퐺. +17One can use here, e.g., Proposition 2.5(iv) to estimate: +tr � Im푊(휆 + 푖휖)� ≤ 푑 +��Im푊(휆 + 푖휖)��� ≤ 푑 ∥푊(휆 + 푖휖)∥, but it +follows also directly from the continuity of the norm, of the trace, and of the imaginary part. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +31 +Assume now that 휆 ∈ 퐺 ∩ 퐿(푊). To get assertion (b) in view of (4.19) it is enough to prove that the +matrix Im �푊(휆 + 푖0)� is invertible. But now +lim sup +휖 →0+ Im푊(휆 + 푖휖) = lim +휖 →0+ Im푊(휆 + 푖휖) = 푊(휆 + 푖0), +so, by (5.33), +(5.35) +푐(휆) ≤ Im푊(휆 + 푖0) +Therefore Im푊(휆 + 푖0) is invertible, by 5.34, and 퐺 ∩ 퐿(푊) ⊂ 푆ac,d ⊂ 푆ac. +Now Proposition 4.8(ii) gives +clLe(퐺 ∩ 퐿(푊)) ⊂ 휎ac(퐽). +But clLe(퐺 ∩ 퐿(푊)) = clLe(퐺), and the conclusion (c) follows. +In the uniform case, the LHS bound on 퐷(휆) follows directly from (5.35) and (5.34). And to get the +RHS estimate, it suffices to use the fact that the norm of a matrix gives the upper bound for the quadratic +form, and so it suffices to use (5.30). +□ +5.4. The proof of the main result. Before we turn to the proof of Theorem 5.12 we need some +preparations. For fixed 휆 ∈ R and 휖 > 0 let us define +푈휖 := 푄(휆 + 푖휖) + 푃(휆 + 푖휖)푊(휆 + 푖휖) +(5.36) +푉휖 := 푄(휆) + 푃(휆)푊(휆 + 푖휖). +(5.37) +The following lemma is not new, see e.g. [35, Section 2]. For the sake of completeness we include its +proof. +Lemma 5.14. Let 퐹 ∈ ℓ(N0, 푀푑(C)). The unique solution of the recurrence relation +(5.38) +퐴푛푆푛+1 + 퐵푛푆푛 + 퐴∗ +푛−1푆푛−1 = 푧푆푛 + 퐹푛, +푛 ≥ 0. +with the initial conditions 푆−1 = 푆0 = 0 is equal to +(5.39) +푆푛 := +푛−1 +� +푘=0 +� +푄푛(푧)�푃푘(푧)�∗ − 푃푛(푧)�푄푘 (푧)�∗� +퐹푘, +푛 ≥ −1. +Proof. Since all 퐴푘 are invertible it is clear that the solution of (5.38) with given initial conditions 푆−1 +and 푆0 is unique. It remains to prove that the sequence given by (5.39) satisfies it. +It is immediate from (5.39) that 푆−1 = 푆0 = 0. Moreover, we get +푆1 = +� +푄1(푧)�푃0(푧)�∗ − 푃1(푧)�푄0(푧)�∗� +퐹0 = 퐴−1 +0 퐹0 +which is in agreement with (5.38) for 푛 = 0. So let us assume that 푛 ≥ 1. Since both 푃(푧) and 푄(푧) +satisfy (3.22) we get +퐴푛푆푛+1 = 퐴푛 +푛 +� +푘=0 +� +푄푛+1(푧)�푃푘(푧)�∗ − 푃푛+1(푧)�푄푘 (푧)�∗� +퐹푘 += (푧 I −퐵푛) +푛 +� +푘=0 +� +푄푛(푧)�푃푘(푧)�∗ − 푃푛(푧)�푄푘 (푧)�∗� +퐹푘 +− 퐴∗ +푛−1 +푛 +� +푘=0 +� +푄푛−1(푧)�푃푘(푧)�∗ − 푃푛−1(푧)�푄푘 (푧)�∗� +퐹푘. +Thus, +퐴푛푆푛+1 = (푧 I −퐵푛)푆푛 − 퐴∗ +푛−1푆푛−1 + ˜퐹푛, +where +˜퐹푛 = (푧 I −퐵푛) +� +푄푛(푧)�푃푛(푧)�∗ − 푃푛(푧)�푄푛(푧)�∗� +퐹푛 +(5.40) +− 퐴∗ +푛−1 +� +푄푛−1(푧)�푃푛(푧)�∗ − 푃푛−1(푧)�푄푛(푧)�∗� +퐹푛 +− 퐴∗ +푛−1 +� +푄푛−1(푧)�푃푛−1(푧)�∗ − 푃푛−1(푧)�푄푛−1(푧)�∗� +퐹푛−1. + +32 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +It remains to prove that ˜퐹푛 = 퐹푛. To do so, let us apply (3.51) for 푤 = 푧 with 푘 = 푛 and 푘 = 푛 − 1. Then +we get that on the right-hand side of (5.40) the first and the third lines are equal to 0. By considering +(3.52) for 푤 = 푧 with 푘 = 푛 and taking the adjoint of both sides we get +�퐴−1 +푛−1 +�∗ = +� +푄푛(푧)�푃푛−1(푧)�∗ − 푃푛(푧)�푄푛−1(푧)�∗�∗ += 푃푛−1(푧)�푄푛(푧)�∗ − 푄푛−1(푧)�푃푛(푧)�∗, +which gives that the second line on the right-hand side of (5.40) is equal to 퐹푛, and consequently, ˜퐹푛 = 퐹푛. +It ends the proof. +□ +Corollary 5.15. For 휆 ∈ R define an operator 퐿 : ℓ(N0, 푀푑(C)) → ℓ(N0, 푀푑(C)) by the formula +(5.41) +(퐿퐹)푚 = +푚−1 +� +푘=0 +� +푄푚(휆)�푃푘(휆)�∗ − 푃푚(휆)�푄푘 (휆)�∗� +퐹푘, +푚 ≥ 0. +Then the sequences 푈휖 and 푉휖 defined in (5.36) and (5.37) satisfy for any 푋 ∈ 푀푑(C) +(5.42) +(I −푖휖퐿)(푈휖 푋) = 푉휖 푋. +Proof. Take 푋 ∈ 푀푑(C). Observe that 푈휖 푋 satisfies (5.38) with 푧 = 휆 and 퐹푛 = 푖휖(푈휖 )푛푋. Similarly, +푉휖 푋 satisfies (5.38) with 푧 = 휆 and 퐹푛 ≡ 0. Since the initial conditions of 푉휖 푋 and 푈휖 푋 are the same +we get that the sequence 푆 := 푈휖 푋 − 푉휖 푋 can be expressed in the form (5.39). Thus, according to the +definition (5.41) we can write +푈휖 푋 − 푉휖 푋 = 푖휖퐿(푈휖 푋), +which is equivalent to (5.42). +□ +Lemma 5.16. Let the operator 퐿 : ℓ(N0, 푀푑(C)) → ℓ(N0, 푀푑(C)) be defined in (5.41). Then for any +푡 ∈ [0, +∞) +(5.43) +∥퐿퐹∥[0,푡] ≤ 2 ∥푃(휆)∥ [0,푡] ∥푄(휆)∥[0,푡] ∥퐹∥[0,푡] . +Proof. Observe that by (5.41) for any 푚 ∈ N0 we have +∥(퐿퐹)푚∥ ≤ ∥푄푚(휆)∥ +푚−1 +� +푘=0 +∥푃푘(휆)∥ ∥퐹푘 ∥ ++ ∥푃푚(휆)∥ +푚−1 +� +푘=0 +∥푄푘 (휆)∥ ∥퐹푘∥ . +Hence, by Cauchy–Schwarz inequality +(5.44) +∥(퐿퐹)푚∥ ≤ +� +∥푄푚(휆)∥ ∥푃(휆)∥[0,푚−1] + ∥푃푚(휆)∥ ∥푄(휆)∥ [0,푚−1] +� +∥퐹∥[0,푚−1] . +Let 푡 ∈ [0, +∞). Then 푡 ∈ [푛, 푛 + 1) for some 푛 ∈ N0. Therefore, by (5.44) +∥(퐿퐹)푚∥ ≤ 푣푚 ∥퐹∥[0,푡] , +푚 = 0, 1, . . . , 푛 + 1, +where +(5.45) +푣푚 := ∥푄푚(휆)∥ ∥푃(휆)∥ [0,푡] + ∥푃푚(휆)∥ ∥푄(휆)∥ [0,푡] , +푚 = 0, 1, . . . , 푛 + 1. +Consequently, +∥퐿퐹∥[0,푡] = +� +푛 +� +푚=0 +∥(퐿퐹)푚∥2 + {푡} ∥(퐿퐹)푛+1∥2 +�1/2 +≤ +� +푛 +� +푚=0 +푣2 +푚 + {푡}푣2 +푛+1 +�1/2 +∥퐹∥[0,푡] . +(5.46) + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +33 +Now, by triangle inequality in C푛+2 with Euclidean norm and (5.45) we get +� +푛 +� +푚=0 +푣2 +푚 + {푡}푣2 +푛+1 +�1/2 +≤ ∥푃(휆)∥[0,푡] +� +푛 +� +푚=0 +∥푄푚(휆)∥2 + {푡} ∥푄푛+1(휆)∥2 +�1/2 ++ ∥푄(휆)∥ [0,푡] +� +푛 +� +푚=0 +∥푃푚(휆)∥2 + {푡} ∥푃푛+1(휆)∥2 +�1/2 += 2 ∥푃(휆)∥[0,푡] ∥푄(휆)∥[0,푡] +which combined with (5.46) gives (5.43). +□ +Proposition 5.17. For any 푋 ∈ 푀푑(C) and 푡 ∈ [0, +∞) one has +(5.47) +∥푈휖 푋∥[0,푡] ≥ ∥푉휖 푋∥ [0,푡] − 2휖 ∥푃(휆)∥ [0,푡] ∥푄(휆)∥[0,푡] ∥푈휖 푋∥ [0,푡] . +Consequently, if ℓ휆 is J-L function, then +(5.48) +2 ∥푈휖 푋∥[0,ℓ휆 (휖 )] ≥ ∥푉휖 푋∥[0,ℓ휆 (휖 )] . +Proof. By (5.42) +(I −푖휖퐿)(푈휖 푋) = 푉휖 푋. +Thus, by (5.43) we get +∥푉휖 푋∥ [0,푡] ≤ �1 + 2휖 ∥푃(휆)∥[0,푡] ∥푄(휆)∥[0,푡] +� ∥푈휖 푋∥[0,푡] +which implies (5.47). Then the inequality (5.48) follows from (5.23). +□ +Proposition 5.18. For any 푣 ∈ C푑, 휆 ∈ R and any 휖 > 0 one has +(5.49) +1 +휖 +�� Im푊(휆 + 푖휖)�푣, 푣 +� += ∥푈휖 푣∥2 +[0,+∞] . +Moreover, +(5.50) +∥푈휖 ∥2 +[0,+∞] ≤ tr � Im푊(휆 + 푖휖)� +휖 +. +Proof. Let 푧 = 휆 + 푖휖 for some 휖 > 0 and 푣 ∈ C푑. By Proposition 4.1 and Fact 4.5 we have +(5.51) +푈(푧)푣 := 푄(푧)푣 + 푃(푧)푊(푧)푣 = (퐽 − 푧 I)−1훿0(푣). +Thus, +(퐽 − 푧 I)�푈(푧)푣� = 훿0(푣). +By taking the scalar product of both sides with 푈(푧)푣 we get +� +푈(푧)푣, 훿0(푣) +� += +� +푈(푧)푣, (퐽 − 푧 I)�푈(푧)푣�� += +� +푈(푧)푣, 퐽�푈(푧)푣�� +− 푧 ∥푈(푧)푣∥2 +[0,+∞] +Since 퐽 is self-adjoint by taking imaginary parts of both sides and using (5.51) we get +Im⟨푊(푧)푣, 푣⟩ = Im 푧 ∥푈(푧)푣∥2 . +Consequently, +�� Im푊(푧)�푣, 푣 +� += Im 푧 ∥푈(푧)푣∥2 . +In view of (5.36) and (5.51) we have 푈휖 = 푈(푧) and (5.49) follows. +Now, apply (5.49) for 푣 ∈ {푒1, 푒2, . . . , 푒푑} and sum them up. Then, since Im푊(푧) ≥ 0 for 푧 ∈ C+, +푑 +� +푖=1 +∥푈휖 푒푖∥2 = 1 +휖 +푑 +� +푖=1 +�� Im푊(휆 + 푖휖)�푒푖, 푒푖 +� += 1 +휖 tr � Im푊(휆 + 푖휖)�. +By Proposition 2.5(i) and (2.14) we get +푑 +� +푖=1 +∥푈휖 푒푖∥2 = ++∞ +� +푘=0 +푑 +� +푖=1 +∥(푈휖 푒푖)푘 ∥2 = ++∞ +� +푘=0 +∥(푈휖 )푘 ∥2 +HS ≥ +++∞ +� +푘=0 +∥(푈휖 )푘 ∥2 = ∥푈휖 ∥2 +[0,+∞] . +Hence +∥푈휖 ∥2 +[0,+∞] ≤ 1 +휖 tr � Im푊(휆 + 푖휖)�. + +34 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +from which the result follows. +□ +We are ready to prove our main result. +Proof of Theorem 5.12. By Proposition 5.17 applied to 푋 = I and by (5.50) we have +∥푉휖 ∥[0,ℓ휆 (휖 )] ≤ 2 ∥푈휖 ∥ [0,ℓ휆(휖 )] +≤ 2 ∥푈휖 ∥ [0,+∞] +≤ 2 +√휖 +� +tr � Im푊(휆 + 푖휖)�. +(5.52) +Now, by Proposition 2.5 (iv) +tr � Im푊(휆 + 푖휖)� ≤ 푑 ∥Im푊(휆 + 푖휖)∥ ≤ 푑 ∥푊(휆 + 푖휖)∥ . +Thus, +(5.53) +∥푉휖 ∥2 +[0,ℓ휆 (휖 )] ≤ 4푑 +휖 ∥푊(휆 + 푖휖)∥ . +On the other hand, by (5.6) and (5.23) +∥푉휖 ∥2 +[0,ℓ휆 (휖 )] = +∥푉휖 ∥[0,ℓ휆 (휖 )] +∥푃(휆)∥[0,ℓ휆 (휖 )] +∥푉휖 ∥ [0,ℓ휆(휖 )] +∥푄(휆)∥ [0,ℓ휆(휖 )] +∥푃(휆)∥ [0,ℓ휆(휖 )] ∥푄(휆)∥ [0,ℓ휆(휖 )] +≥ +1 +픟(휆, ℓ휆(휖)) +�1 + ∥푊(휆 + 푖휖)∥2 � 1 +2휖 . +Thus, by combining it with (5.53) we obtain +(5.54) +1 + ∥푊(휆 + 푖휖)∥2 ≤ 8푑픟(휆, ℓ휆(휖)) ∥푊(휆 + 푖휖)∥ . +This inequality is equivalent to +푠2 − 8푑픟�휆, ℓ휆(휖)�푠 + 1 ≤ 0, +where 푠 = ∥푊(휆 + 푖휖)∥ ≥ 0. Its discriminant is equal to +(5.55) +Δ = +� +8푑픟�휆, ℓ휆(휖)��2 +− 4. +Since 푑 ≥ 1 and 픟�휆, ℓ휆(휖)� ≥ 1, we have +(5.56) +Δ ≥ 82 − 4 = 60 > 0. +Thus +푠2 − 8푑픟�휆, ℓ휆(휖)�푠 + 1 = (푠 − 푠−)(푠 − 푠+) ≤ 0, +where +푠− = 8푑픟�휆, ℓ휆(휖)� − +√ +Δ +2 +and +푠+ = 8푑픟�휆, ℓ휆(휖)� + +√ +Δ +2 +. +By (5.56) we see that 푠−, 푠+ ∈ R. Consequently, by (5.55) we have 푠−, 푠+ > 0. Thus, +푠− ≤ ∥푊(휆 + 푖휖)∥ ≤ 푠+ +and (5.27) follows. +The proof of (5.26) is even simpler. Namely, let 푣 ∈ C푑. Then by Proposition 5.17 applied to 푋 = 퐸 푣 +(see (2.15)), Proposition 2.5 and (5.49) +∥푉휖 푣∥2 +[0,ℓ휆 (휖 )] ≤ 4 ∥푈휖 푣∥2 +[0,ℓ휆(휖 )] = 4 +휖 +�� Im푊(휆 + 푖휖)�푣, 푣 +� +. +Now by Proposition 2.5, (5.6) and (5.23) +∥푉휖 푣∥2 +[0,ℓ휆(휖 )] = ∥푉휖 (퐸 푣)∥2 +[0,ℓ휆(휖 )] += +∥푉휖 (퐸 푣)∥ [0,ℓ휆(휖 )] +∥푃(휆)∥[0,ℓ휆 (휖 )] +∥푉휖 (퐸 푣)∥ [0,ℓ휆(휖 )] +∥푄(휆)∥[0,ℓ휆 (휖 )] +∥푃(휆)∥[0,ℓ휆 (휖 )] ∥푄(휆)∥ [0,ℓ휆(휖 )] +≥ +1 +픟�휆, ℓ휆(휖)� ∥푣∥2 1 +2휖 . + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +35 +Therefore, +1 +픟�휆, ℓ휆(휖)� ∥푣∥2 ≤ 8 +�� Im푊(휆 + 푖휖)�푣, 푣 +� +from which (5.26) follows. The proof is complete. +□ +6. Sufficient conditions for absolute continuity +In this section we extend some well-known conditions implying nonsubordinacy from 푑 = 1 to the +general case. In particular, in Section 6.1 we cover Generalized Last–Simon condition, in Section 6.2 +Generalized Behncke–Stolz condition and in Section 6.3 the homogenous class condition. +6.1. GLS condition. Suppose that Carleman’s condition is satisfied. Then the sequence +(6.1) +휌푛 := +푛−1 +� +푘=0 +1 +∥퐴푘 ∥ +is divergent and 퐽 is self-adjoint. +Let 퐺 ⊂ R be non-empty. We say that Jacobi matrix 퐽 satisfies Generalized Last–Simon (GLS in +short) condition on 퐺 if +(6.2) +lim inf +푛→+∞ +1 +휌푛 +푛 +� +푘=1 +∥푅푘 (휆)∥2 < +∞, +휆 ∈ 퐺. +Moreover, if (6.2) is finite even after taking the supremum over 휆 ∈ 퐺, we say that 퐽 satisfies uniform +GLS condition on 퐺. +GLS condition has been introduced in [37] for scalar Jacobi matrices with 퐴푛 ≡ 1. It was shown +in [37, Theorem 1.1] that the set of 휆 ∈ R where (6.2) is fulfilled is a minimal support of the a.c. part of the +spectral measure of 퐽. Similarly, a variant of it has been studied for bounded block Jacobi matrices in [48] +with a similar conclusion. Thus this condition seems to be the right extension to possibly unbounded +Jacobi matrices. However, we would like to stress that in the unbounded case the set where (6.2) is +satisfied might no longer be a support of the a.c. part of the spectral measure of 퐽 even for 푑 = 1, see +Example 7.2. +Below, inTheorem 6.2, we will show that (uniform) GLS conditionimplies(uniform) 픟TR-nonsubordinacy +on 퐺 for the barrier (5.20). +We need the following observation, whose proof is an adaptation of the reasoning from [47, Lemma +4.8]. +Proposition 6.1. For any 휆 ∈ R and any 푛 ∈ N we have +∥푅(휆)∥2 +[1,푛] +⇃|푅(휆)|⇂2 +[1,푛] +≤ +� +1 +휌푛 +푛 +� +푘=1 +∥푅푘(휆)∥2 +�2 +. +Proof. From the formula (3.50) we get +��푅−1 +푘 (휆) +�� ≤ ∥퐴푘−1∥ ∥푅푘 (휆)∥ . +Thus, by (2.2), +⇃|푅푘(휆)|⇂2= +1 +��푅−1 +푘 (휆) +��2 ≥ +1 +∥퐴푘−1∥2 ∥푅푘 (휆)∥2 . +Thus, +(6.3) +휌푛 +�푛 +푘=1 ⇃|푅푘(푥)|⇂2 ≤ +휌푛 +�푛 +푘=1 +1 +∥ 퐴푘−1 ∥ +1 +∥퐴푘−1 ∥ ∥푅푘 (휆) ∥2 +. +Since the weighted harmonic mean is always not greater than weighed arithmetic mean (see e.g. [39, +Theorem 1, p.76]) we get +휌푛 +�푛 +푘=1 +1 +∥퐴푘 ∥ +1 +∥퐴푘−1 ∥ ∥푅푘 (휆) ∥2 +≤ 1 +휌푛 +푛 +� +푘=1 +1 +∥퐴푘−1∥ ∥퐴푘−1∥ ∥푅푘(휆)∥2 = 1 +휌푛 +푛 +� +푘=1 +∥푅푘(휆)∥2, +which combined with (6.3) ends the proof. +□ + +36 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Theorem 6.2. Let 퐺 ∈ Bor(R) be non-empty. Suppose that 퐽 satisfies (uniform) GLS condition on 퐺. +Then 퐽 satisfies (uniform) 픟TR-nonsubordinacy condition on 퐺. Consequently, 퐽 is absolutely continuous +in 퐺 and clLe(퐺) ⊂ 휎ac(퐽). +Proof. By Corollary 5.9 the function (5.20) is a barrier. Since by Proposition 6.1 we have +lim inf +푡→+∞ 픟(휆, 푡) < +∞ +the operator 퐽 satisfies (uniform) 픟TR-nonsubordinacy condition on 퐺. Thus, the result follows from +Theorem 5.13. +□ +6.2. GBS condition. Suppose that Carleman’s condition is satisfied and let 퐺 ⊂ R be non-empty. We +say that 퐽 satisfies Generalized Behncke—Stolz (GBS in short) on 퐺 if +(6.4) +lim sup +푛→+∞ +1 +휌푛 +푛 +� +푘=1 +∥푅푘(휆)∥2 < +∞, +휆 ∈ 퐺, +where 휌푛 is defined in (6.1). Similarly, as in GLS condition, if (6.4) is finite even after taking the +supremum over 휆 ∈ 퐺, we say that 퐽 satisfies uniform GBS condition on 퐺. +GBS condition (6.4) has been introduced in [23, Remark 2.3] to study spectral properties of scalar +unbounded Jacobi matrices. This condition turned out to be very convenient in the study of various +classes of unbounded Jacobi matrices, see e.g. [21,23,24,29,40]. +We obviously have that (uniform) GBS condition implies (uniform) GLS condition. So the following +result follows from Theorem 6.2 +Theorem 6.3. Let 퐺 ∈ Bor(R) be non-empty. Suppose that 퐽 satisfies (uniform) GBS condition on 퐺. +Then 퐽 satisfies (uniform) 픟TR-nonsubordinacy condition on 퐺. Consequently, 퐽 is absolutely continuous +in 퐺 and clLe(퐺) ⊂ 휎ac(퐽). +6.3. H class. For the arbitrary size 푚×푚 of matrices this class is given as follows (see, e.g., [43, Definition +2.3]). +Definition 6.4. Let (퐶푛)푛≥푛0 be a sequence of complex 푚 × 푚 matrices. We say that (퐶푛)푛≥푛0 ∈ 퐻 if +there is a constant 푐 > 0 such that for any 푛 ≥ 푛0 +(6.5) +∥퐶푛 · 퐶푛−1 · . . . · 퐶푛0∥ ≤ 푐 +푛 +� +푘=푛0 +| det 퐶푘|1/푚. +The following result, being “the sum” of [43, Corollary 2.4 and Theorem 1.7 (see also Definition 1.1)] +explains the importance of this notion. +Proposition 6.5. Let (퐶푛)푛≥푛0 be a sequence of complex invertible 푚 × 푚 matrices. For any 푛 ≥ 푛0 +define +푅푛 := 퐶푛 · . . . · 퐶푛0. +Then TFCAE: +(퐶푛)푛≥푛0 ∈ 퐻, +(6.6) +∥푅푛∥ ≍푛 | det 푅푛|1/푚, +(6.7) +∥푅푛∥ ≍푛 ⇃|푅푛|⇂, +(6.8) +∀푣,푤 ∈C푚\{0} +∥푅푛푣∥ ≍푛 ∥푅푛푤∥ . +(6.9) +The concept of 퐻 class has been introduced in [40] (see also [21, Lemma 1.8]) as a sufficient condition +for GBS for scalar Jacobi matrices. It turned out that sometimes this stronger condition is somewhat +easier to show than GBS, see [22, 40–42]. Later, in [43] this notion has been extended to block Jacobi +matrices. +Let us begin with an observation than under a condition, which is automatically satisfied for 푑 = 1, +indeed 퐻 class implies GBS. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +37 +Proposition 6.6. Suppose that Carleman’s condition is satisfied. If �푇푛(휆)� +푛∈N0 ∈ 퐻 for some 휆 ∈ R and +(6.10) +lim inf +푛→+∞ +���� det +� 퐴푛 +∥퐴푛∥ +����� > 0, +then 퐽 satisfies GBS condition on {휆}. +Proof. If �푅푛(휆)� +푛∈N ∈ 퐻, then by (3.37) and (6.5) there exists a constant 푐 > 0 such that for any 푘 ≥ 1 +(6.11) +∥푅푘(휆)∥2 ≤ 푐 +�� det 푅푘(휆) +��1/푑. +Now, by (3.41), (3.37) and (3.23) we have +�� det 푅푘(휆) +�� = +1 +| det 퐴0| +푘−1 +� +푗=1 +| det 퐴∗ +푗−1| +| det 퐴 푗| += +1 +| det 퐴푘−1| . +Using this we can rewrite (6.11) in the form +∥푅푘(휆)∥2 ≤ 푐 +1 +∥퐴푘−1∥ +���� det +� 퐴푘−1 +∥퐴푘−1∥ +����� +−1/푑 +. +Thus, if (6.10) is satisfied, then there exists a constant 푐′ > 0 such that for any 푘 ≥ 1 +∥푅푘(휆)∥2 ≤ 푐′ +1 +∥퐴푘−1∥ . +Now by summing it for 푘 = 1, 2, . . . , 푛 it simply implies (6.4), what we needed to show. +□ +In the following we show that in general 퐻 class implies 픟TR-nonsubordinacy condition, i.e., with the +transfer matrix barrier (5.20). +Theorem 6.7. Suppose that 퐽 is self-adjoint. Let 퐺 ∈ Bor(R) be non-empty. Suppose that �푇푛(휆)� +푛∈N0 ∈ +퐻 for any 휆 ∈ 퐺. Then 퐽 satisfies 픟TR-nonsubordinacy condition on 퐺. Consequently, 퐽 is absolutely +continuous in 퐺 and clLe(퐺) ⊂ 휎(퐽). +Proof. Observe that by (6.8) there exists a constant 푐(휆) > 0 such that for any 푘 ≥ 1 we have +푐(휆) ∥푅푘(휆)∥2 ≤⇃|푅푘(휆)|⇂2. Thus, for any 푡 ≥ 1 we get +푐(휆) ∥푅(휆)∥2 +[1,푡] ≤⇃|푅(휆)|⇂2 +[1,푡] . +In other words, +∥푅(휆)∥2 +[1,푡] +⇃|푅(휆)|⇂2 +[1,푡] +≤ +1 +푐(휆) +Thus +lim sup +푡→+∞ 픟TR(휆, 푡) ≤ +8 +푐(휆) < +∞. +Consequently, the operator 퐽 satisfies 픟TR-nonsubordinacy condition on 퐺. Thus, the result follows from +Theorem 5.13. +□ +7. Examples and applications +In this section we show some examples and counterexamples illustrating the applicability of our results. +7.1. Vector nonsubordinacy does not characterise invertibility of 푀. The following example demon- +strates that one cannot hope for the full characterisation of the a.c. spectrum of block Jacobi matrices in +terms of vector nonsubordinacy condition. Let us recall that by Proposition 5.4 vector nonsubordinacy +is equivalent to matrix nonsubordinacy. This shows that inevitably Theorem 1.1 provides only sufficient +conditions for the absolute continuity of 푀. + +38 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Example 7.1. Let 푑 = 2. Define +퐴푛 = +� +푎(1) +푛 +0 +0 +푎(2) +푛 +� +, +퐵푛 = +� +푏(1) +푛 +0 +0 +푏(2) +푛 +� +, +where 푎(푖) = �푎(푖) +푛 +� +푛∈N0, 푏(푖) = �푎(푖) +푛 +� +푛∈N0 are Jacobi parameters for 푖 = 1, 2. Let 퐽 (푖) be the Jacobi +operator associated to 푎(푖), 푏(푖) for 푖 = 1, 2. Observe that +(7.1) +퐽 � 퐽 (1) ⊕ 퐽 (2). +Let us take +푎(푖) +푛 += (푛 + 1) 훼푖, +푏(푖) +푛 += 0, +푛 ≥ 0, 푖 = 1, 2, +where 훼1, 훼2 ∈ (0, 1] and 훼1 > 훼2. Then by [59, Theorem 1] the corresponding measures 휇(1), 휇(2) are +absolutely continuous on R with continuous positive densities. By (7.1) +푀(·) � +� +휇(1) (·) +0 +0 +휇(2) (·) +� +, +and consequently, 푀(퐵) is invertible for any non-empty open 퐵 ⊂ R. We are going to show that 퐽 +does not satisfy vector nonsubordinacy condition for any 휆 ∈ R. Fix 휆 ∈ R. Let 푢(푖) ∈ GEV−1 +�퐽 (푖), 휆� +for 푖 = 1, 2 be non-zero. Set 푢 := �푢(1) +푛 푒1 +� +푛∈N−1 and 푣 := �푢(2) +푛 푒2 +� +푛∈N−1. Then 푢, 푣 ∈ GEV−1 (퐽, 휆). +According to [62, Theorem A] +∥푢∥2 +[0,푛] +�푛 +푘=0 +1 +푎(1) +푛 +≍푛 1, +∥푣∥2 +[0,푛] +�푛 +푘=0 +1 +푎(2) +푛 +≍푛 1. +Thus, +∥푢∥2 +[0,푛] +∥푣∥2 +[0,푛] +≍푛 +�푛 +푘=0 +1 +푎(2) +푛 +�푛 +푘=0 +1 +푎(1) +푛 +. +By Stolz–Cesàro lemma +lim +푛→+∞ +�푛 +푘=0 +1 +푎(2) +푛 +�푛 +푘=0 +1 +푎(1) +푛 += lim +푛→+∞ +푎(1) +푛 +푎(2) +푛 += +∞. +Therefore, +lim +푛→+∞ +∥푢∥2 +[0,푛] +∥푣∥2 +[0,푛] += +∞. +In view of Corollary 2.4 it implies +lim +푡→+∞ +∥푢∥2 +[0,푡] +∥푣∥2 +[0,푡] += +∞. +Hence, 퐽 does not satisfy vector nonsubordinacy condition for 휆. +7.2. GLS does not characterise the a.c. spectrum. In the following example we show that even for +푑 = 1 the set where (6.2) is satisfied might not be a support of the a.c. part of 푀. +Example 7.2. Let 푑 = 1 and 훼 > −1. Consider Jacobi parameters +퐴푛 = +� +(푛 + 1)(푛 + 1 + 훼), +퐵푛 = 2푛 + 1 + 훼. +Then according to (3.43) we have +푅푛(휆) = +� +1 +퐴0 ℓ(훼+1) +푛−2 +(휆) +ℓ(훼) +푛−1(휆) +1 +퐴0 ℓ(훼+1) +푛−1 +(휆) +ℓ(훼) +푛 +(휆) +� +, + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +39 +where �ℓ(훼) +푛 +� +푛∈N0 is the sequence of orthonormal Laguerre polynomials of the order 훼, see e.g. [34, +formula (9.12.4)]. +Consequently, we have 휎ac(퐽) = [0, +∞) and we are going to show that GLS +condition is not satisfied for any 휆 ∈ (0, +∞). Obviously we have +∥푅푛(휆)∥ ≥ +����푅푛(휆) +�0 +1 +����� = +����� +� +ℓ(훼) +푛−1(휆) +ℓ(훼) +푛 +(휆) +������ . +Hence, +푛 +� +푘=1 +∥푅푘(휆)∥2 ≥ +푛 +� +푘=1 +����� +� +ℓ(훼) +푘−1(휆) +ℓ(훼) +푘 +(휆) +������ +2 +. +Let us set +퐾푛(푥, 푦) = +푛 +� +푘=0 +ℓ(훼) +푘 +(푥)ℓ(훼) +푘 +(푦), +˜휌푛 = +푛 +� +푘=0 +1 +√퐴푘 +. +Then +1 +˜휌푛 +푛 +� +푘=1 +∥푅푘(휆)∥2 ≥ 1 +˜휌푛 +퐾푛(푥, 푥). +Hence according to [64, Theorem B] the right-hand side of this inequality is bounded and positive for +any 휆 ∈ (0, +∞). Hence, for some 푐 > 0 +1 +˜휌푛 +푛 +� +푘=1 +∥푅푘 (휆)∥2 ≥ 푐, +but by Stolz–Cesàro lemma +lim +푛→+∞ +˜휌푛 +휌푛 += lim +푛→+∞ +1 +√퐴푛 +1 +퐴푛 += +∞. +It implies that for any 휆 ∈ (0, +∞) +lim +푛→+∞ +1 +휌푛 +푛 +� +푘=1 +∥푅푘 (휆)∥2 = +∞, +and consequently, the condition (6.2) is not satisfied. +7.3. Application to some classes of block Jacobi operators. In this section we would like to illustrate +our results by showing that Jacobi matrices considered in [61, Theorem 2] are in fact absolutely continuous +in some explicit region of the real line. +Let us introduce a necessary notion. Let 푋 = (푋푛)푛∈N be a sequence from a normed space 푉. Let +푁 ≥ 1 be a positive integer. We say that 푋 ∈ D푁 +1 if ++∞ +� +푛=1 +∥푋푛+푁 − 푋푛∥ < +∞. +Observe that if 푋 ∈ D푁 +1 , then for any 푖 ∈ {0, 1, . . . , 푁 − 1} the sequence (푋푘 푁 +푖)푘 ∈N satisfies Cauchy +condition. +Theorem 7.3. Let 퐽 be a block Jacobi matrix. Suppose that Jacobi parameters of 퐽 satisfy for some +integer 푁 ≥ 1 +(7.2) +�퐴−1 +푛 +� +푛∈N, �퐴−1 +푛 퐵푛 +� +푛∈N, �퐴−1 +푛 퐴∗ +푛−1 +� +푛∈N ∈ D푁 +1 . +Then for any 푖 ∈ {0, 1, . . . , 푁 − 1} and any 푧 ∈ C the limit +(7.3) +X푖(푧) := +lim +푛→+∞ +푛≡푖 mod 푁 +푇푛+푁 −1(푧) . . . 푇푛+1(푧)푇푛(푧) +exists, where 푇푛 is defined in (3.37). Suppose further that for some 푁-periodic sequence of invertible +matrices (C푛)푛∈N0 +lim +푛→+∞ +���� +푎푛 +∥푎푛∥ − C푛 +���� = 0. + +40 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +Define +Λ = +� +휆 ∈ R : Re +� � +0 +−C푁 −1 +C∗ +푁 −1 +0 +� +X0(휆) +� +is strictly positive or strictly negative on C2푑 +� +. +Then �푅푛(휆)� +푛∈N ∈ 퐻 for any 휆 ∈ Λ. Consequently, if Carleman’s condition is satisfied, then 퐽 is +absolutely continuous in Λ and cl(Λ) ⊂ 휎ac(퐽). +Proof. First of all, let us observe that (7.2) implies that for any 푗 ∈ {0, 1, . . . , 푁 − 1} the sequence +(푇푘 푁 +푗)푘 ∈N is convergent. Thus the limit (7.3) exists. +We are going to show that the condition (6.8) is satisfied. Let us recall that according to [61, Theorem +2] for any compact interval 퐾 ⊂ Λ there are constants 푐1 > 0, 푐2 > 0 such that for any normalized +푢 ∈ GEV−1 (휆), where 휆 ∈ 퐾, and any 푛 ≥ 1 we have +(7.4) +푐1 +∥퐴푛∥ ≤ +���� +� +푢푛−1 +푢푛 +����� +2 +≤ +푐2 +∥퐴푛∥ . +Since, for any 푢 ∈ GEV−1 (휆) +� +푢푛−1 +푢푛 +� += 푅푛(휆) +� +푢−1 +푢0 +� +. +Hence, having the notation above in mind we have +⇃|푅푛(휆)|⇂2= +inf +∥푢−1 ∥2+∥푢0 ∥2=1 +푢∈GEV−1(휆) +���� +� +푢푛−1 +푢푛 +����� +2 +, +∥푅푛(휆)∥2 = +sup +∥푢−1 ∥2+∥푢0 ∥2=1 +푢∈GEV−1(휆) +���� +� +푢푛−1 +푢푛 +����� +2 +. +Thus, (7.4) implies +(7.5) +푐1 +∥퐴푛∥ ≤⇃|푅푛(휆)|⇂2≤ ∥푅푛(휆)∥2 ≤ +푐2 +∥퐴푛∥, +which shows that (6.8) is satisfied. Therefore, by Proposition 6.5, �푅푛(휆)� +푛∈N ∈ 퐻 for any 휆 ∈ Λ. Finally, +if Carleman’s condition is satisfied, then the remaining conclusion follows from Theorem 6.7. +□ +Remark 7.4. Let us observe that (7.5) immediately implies that 퐽 satisfies uniform GBS condition for +any compact interval 퐾 ⊂ Λ. +7.3.1. Asymptotically periodic Jacobi parameters. Let 푁 be a positive integer andlet (A푛)푛∈N0, (B푛)푛∈N0 +be 푁-periodic Jacobi parameters. For any 푖 ∈ {1, . . . , 푁} let us define +(7.6) +픛푖(푧) = +푁 +푖−1 +� +푗=푖 +픗푖(푥) +where +픗푖(푧) = +� +0 +I +−A−1 +푗 A∗ +푗−1 +A−1 +푗 (푧 I −B푗) +� +. +Let 퐽per be the Jacobi operator associated with the sequences (A푛)푛∈N0, (B푛)푛∈N0. +Spectral properties of the operator 퐽per are well-known in the case 푑 = 1, see e.g. [55, Chapter +5], [67, Chapter 2.1]. For 푑 > 1 we have a good understanding of 퐽per when its Jacobi parameters are all +self-adjoint and 푁 = 1, see e.g. [69,70]. Then we have +휎(퐽per) = +� +푡 ∈[−2,2] +휎(A0푡 + B) +and the spectrum is absolutely continuous, see [70, Corollary 1.1]. When the Jacobi parameters are not +self-adjoint or 푁 > 1 a point spectrum is possible, see [26] for more details. Some results concerning +absolute continuity might be extracted from [51, Section 2]. +It is natural to consider compact perturbations of 퐽per. Namely, we say that 퐽 has asymptotically +푁-periodic Jacobi parameters if +lim +푛→+∞ ∥퐴푛 − A푛∥ = 0 +and +lim +푛→+∞ ∥퐵푛 − B푛∥ = 0. +By Weyl’s perturbation theorem we have +휎ess(퐽) = 휎ess(퐽per). +Our Theorem 7.3 leads to + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +41 +Corollary 7.5. Let 푁 be a positive integer. +Suppose that 퐽 has asymptotically 푁-periodic Jacobi +parameters satisfying +(퐴푛)푛∈N0, (퐵푛)푛∈N0 ∈ D푁 +1 . +Define +(7.7) +Λ = +� +푥 ∈ R : Re +� � +0 +−A푁 −1 +A∗ +푁 −1 +0 +� +픛푁 (푥) +� +is strictly positive or strictly negative on C푑 +� +. +Then 퐽 is absolutely continuous in Λ and cl(Λ) ⊂ 휎ac(퐽). +7.3.2. Periodic modulations. Let 퐽 be a block Jacobi matrix and let 푁 ≥ 1 be an integer. We shall call 퐽 +a block Jacobi matrix with 푁-periodically modulated entries if there exists 푁-periodic Jacobi parameters +(A푛)푛∈N0, (B푛)푛∈N0 such that the Jacobi parameters of 퐽 satisfy +(7.8) +lim +푛→+∞ +��퐴−1 +푛 +�� = 0, +lim +푛→+∞ +��퐴−1 +푛 퐴∗ +푛−1 − A−1 +푛 A∗ +푛−1 +�� = 0 +and +lim +푛→+∞ +��퐴−1 +푛 퐵푛 − A−1 +푛 B푛 +�� = 0. +In the scalar case, this class has been introduced in [25] and it is actively studied ever since, see +e.g. [5, 9, 45, 49, 57, 60, 63, 65, 66]. Let us observe that given any positive scalar sequence (푐푛)푛∈N0 +satisfying +(7.9) +lim +푛→+∞ 푐푛 = +∞ +and +lim +푛→+∞ +푐푛−1 +푐푛 += 1 +leads to (7.8) for Jacobi parameters +(7.10) +퐴푛 = 푐푛A푛, +퐵푛 = 푐푛B푛. +Therefore, the class of block Jacobi matrices with periodically modulated entries might be thought of as +a certain perturbation of the model example (7.9)–(7.10). +Observe that due to (7.8), (3.37) and (7.6) we have for any 푖 ∈ {1, . . . , 푁} and 푧 ∈ C +lim +푘→+∞푇푘 푁 +푖(푧) = 픗푖(0), +thus in view of (7.3) and (7.6), +X0(푧) = lim +푘→+∞푇푗푁 +푁 −1(푧) . . .푇푗푁 (푧) = 픛푁 (0). +Therefore, our Theorem 7.3 leads to +Corollary 7.6. Suppose that 퐽 is a block Jacobi matrix with 푁-periodically modulated entries for some +푁 ≥ 1. Assume the Carleman’s condition (1.7) and +�퐴−1 +푛 퐴∗ +푛−1 +� +푛∈N, �퐴−1 +푛 퐵푛 +� +푛∈N, �퐴−1 +푛 +� +푛∈N ∈ D푁 +1 . +If 0 ∈ Λ, where Λ is defined in (7.7), then 퐽 is absolutely continuous in R and 휎ac(퐽) = R. +Appendix A. Vector and matrix measures — selected basic notions +For self-consistency and some self-sufficiency of the paper we collect here selected definitions of some +basic notions and some properties related to matrix measures and — more generally — vector measures. +We omit here the more sophisticated construction of the appropriate 퐿2-type space for the matrix measure, +referring the reader to the literature (see, e.g., [68, Section 8] or [44]18) +We start from the general definition of vector measure. +Consider a set Ω with 픐 — a 휎-algebra of subsets of Ω and a certain norm space 푋. Let 푉 : 픐 −→ 푋 +Definition A.1. 푉 is a vector measure (in 푋) iff 푉 is countably additive in the norm sense in 푋. +Now, let us consider a special case 푋 := 푀푑(C) for some 푑 ∈ N (with a standard norm, say). And let +푀 : 픐 −→ 푀푑(C). +Definition A.2. 푀 is a (푑 × 푑) matrix measure iff +(a) 푀 is a vector measure; +(b) 푀(휔) ≥ 0 for any 휔 ∈ 픐.19 +18The second position contains the detailed definition of the Hilbert space 퐿2(푀) for matrix measures and the details of the +abstract spectral theory for finitely cyclic s.a. operators, based on the matrix measure approach and multiplication by a function +operators in 퐿2(푀) spaces. +19So, in particular 푀(휔) is s.a.. + +42 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +So, in particular, each matrix measure is a vector measure, but despite its name and due to the extra +non-negativity property (b), matrix measure is “much more” than a vector measure in 푀푑(C). +The above Ω, 픐 and 푑 are “fixed” below. +We have to precise here some terminology (choosing it from various versions in literature) and to recall +several basic facts related to vector measures, matrix measures and measures. +Suppose that 휈 is a measure on 픐 and 푉 : 픐 −→ 푋 is a vector measure, where 푋 is a norm space. +In several cases below we will also need to assume additionally that 푋 = C푘 for some 푘, including +possible obvious identifications, as, e.g., 푀푑(C) ≡ C(푑2), to provide the clear and standard sense of the +integral and of L1 +푋 (휈) functions (see the appropriate part of Section 2.1). +For any 퐺 ∈ 픐 denote 픐퐺 := {휔 ∈ 픐 : 휔 ⊂ 퐺}. Surely 픐퐺 is a 휎-algebra of subsets of 퐺 and +푉↾픐퐺 is a vector measure on 픐퐺 ("on 퐺"). We denote it by 푉퐺, i.e. +푉퐺 := 푉↾픐퐺, +but we also call it the restriction of 푉 to 퐺. Analogous situation (and notation, and terminology) is well +known and valid here for measures. +Suppose that 퐻 : Ω −→ 푋 = C푘 is a measurable function w.r.t. 픐. If, moreover, 퐻 ∈ L1 +푋 (휈), then +we define a new function from 픐 into 푋 by the formula: +(A.1) +∫ +휔 +퐻 d휈, +휔 ∈ 픐. +It is obviously a vector measure, and we denote it by +퐻 d휈, +analogously as in the case of measures (when 퐻 should be a scalar non-negative measurable function, +instead of 퐻 ∈ L1 +푋 (휈)). But in our main case 푋 = 푀푑(C) +(identified with C(푑2)) the situation is +somewhat similar and one easily checks the following result. +Fact A.3. If 퐻 ∈ L1 +푋 (휈) and 퐻(푡) ≥ 0 for 휈-a.e. 푡 ∈ Ω, then the vector measure 퐻 d휈 is a matrix +measure. +Definition A.4. If a vector measure 푉 is such, that 푉 = 퐻 d휈 with some 퐻 ∈ L1 +푋 (휈), then we call 퐻 the +density20 of 푉 with respect to 휈. +Let 퐺 ∈ 픐. +the density on 퐺 w.r.t.: The density of 푉 on 퐺 w.r.t. 휈 means: any density of 푉퐺 w.r.t. 휈퐺; +a support: 퐺 is a support of 푉 iff 푉Ω\퐺 is the zero vector measure (on 픐Ω\퐺)21; +a minimal support w.r.t.: 퐺 is a minimal support of 푉 w.r.t. 휈 iff 퐺 is a support of 푉 and for any +support 퐺′ of 푉 included in 퐺 +휈(퐺 \ 퐺′) = 0; +a.c. w.r.t.: 푉 is absolutely continuous (abbrev.: a.c.) w.r.t. 휈 iff for any 휔 ∈ 픐 if 휈(휔) = 0, then +푉(휔) = 0 ; +sing. w.r.t.: 푉 is singular (abbrev.: sing.) w.r.t. 휈 iff there exists such a support 푆 ∈ 픐 of 푉 that +휈(푆) = 0; +the a.c./sing. part w.r.t.: If 푉1,푉2 : 픐 −→ 푋 are two vector measures, such that +(i) 푉1 is a.c. w.r.t. 휈 and 푉1 is sing. w.r.t. 휈, +(ii) 푉 = 푉1 + 푉2, +then we call 푉1 the a.c. part of 푉 w.r.t. 휈 and we denote it by +푉ac,휈, +and we call 푉2 the sing. part of 푉 w.r.t. 휈, and we denote it by +푉sing,휈. +20However, it can be not unique, as a function from L1 +푋 (휈). +21 Generally, it is not sufficient here (contrary to measures) that 푉 (Ω \ 퐺) = 0 because the property of having zero measure +is not inheritable into measurable subsets. However, for matrix measures it is sufficient by non-negativity. + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +43 +Note here, that above two notions are well(uniquely)-defined, since the above decomposition, if +exists, is unique22; +a.c. on 퐺 w.r.t.: 푉 is a.c. on 퐺 w.r.t. 휈 iff 푉퐺 is a.c. w.r.t. 휈퐺; +sing. on 퐺 w.r.t.: 푉 is sing. on 퐺 w.r.t. 휈 iff 푉퐺 is sing. w.r.t. 휈퐺. +All adopt all the above definitions and names also for any measure 휇 instead of a vector measure 푉 +(recall that measure can be not a vector measure) just by interchanging the symbols 휇 and 푉, including +the notation +휇ac,휈, +휇sing,휈, +however they are mostly commonly known in the case of measures. +We adopt here also the convention, that the part “w.r.t. 휈”, as well as “, 휈” in the appropriate symbols, +as e.g., 푉ac,휈, 푉sing,휈, can be omitted to shorten the notation to, e.g., +푉ac, 푉sing, 휇ac, 휇sing +etc, in the case when Ω = R, 픐 = Bor(R) and 휈 is the Lebesgue measure | · |. +For a 푑 × 푑 matrix measure 푀 and 푖, 푗 = 1, . . . , 푑 let us define 푀푖 푗 : 픐 → C by +(A.2) +푀푖 푗(휔) := �푀(휔)� +푖 푗 , +휔 ∈ 픐. +By the point (a) of Definition A.2, each of the 푀푖 푗 is a complex measure on 픐. Moreover, non-negativity +from (b) of a matrix means also its self-adjointness, so we have +(A.3) +푀 푗,푖 = 푀푖, 푗 +푖, 푗 = 1, . . . , 푑. +By non-negativity, defining tr푀 : 픐 → C by the formula +(A.4) +tr푀 (휔) := tr(푀(휔)), +휔 ∈ 픐, +we get in fact a finite measure tr푀, called trace measure of 푀. This “classical” measure is much simpler +mathematical object than the matrix measure 푀, but it contains a lot of important information on 푀. +The results below are proved in [44, Section III.1]. +Fact A.5. For 푀 being a matrix measure as above: +(i) 푀, as well as each 푀푖 푗 for 푖, 푗 = 1, . . . , 푑, are absolutely continuous with respect to tr푀; +(ii) +(A.5) +푀(휔) = 0 ⇐⇒ tr푀 (휔) = 0, +휔 ∈ 픐; +(iii) +(A.6) +0 ≤ 푀(휔) ≤ tr푀 (휔) I +휔 ∈ 픐; +(iv) There exists a density 퐷 : Ω −→ 푀푑(C) of 푀 w.r.t. tr푀, such that for any 푡 ∈ Ω +0 ≤ 퐷(푡) ≤ I , 23 +푡 ∈ Ω. +Note that each density 퐷 of 푀 w.r.t. tr푀 is determined only up to tr푀-a.e. equality, and each one is +called the trace density of 푀. The set of all the densities of 푀 w.r.t. tr푀 is denoted here by D푀, and by +D• +푀 we denote the set of those 퐷, which satisfy conditions from the point (iv) above. +By the definition of density we have +(A.7) +푀(휔) = +∫ +휔 +퐷 d tr푀, +휔 ∈ 픐, 퐷 ∈ D푀. +We assume here, to the end if this section, that 푀 : 픐 −→ 푀푑(C) is a matrix measure and +휈 : 픐 −→ [0, +∞] is a 휎-finite measure. +There exist several ways to get a decomposition of some vector measures 푉 into its a.c. and sing. +parts w.r.t. a measure 휈. All they are based somehow on the Lebesgue–Radon–Nikodym Theorem (see, +e.g. [50]) for a complex measure “w.r.t. a 휎-finite measure” version. We need it only for our matrix +measure 푀 and it will be convenient to make it via the appropriate decomposition of tr푀 onto parts +22Because any linear combination of vector measures being a.c. (sing.) w.r.t. 휈 is also a.c. (sing.) w.r.t. 휈; and a vector +measure which is both a.c. and sing. w.r.t. 휈 is the zero measure. +23In particular, 퐷(푡) is self-adjoint. + +44 +MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI +(tr푀)ac,휈 and (tr푀)sing,휈, which exist by the Lebesgue–Radon–Nikodym Theorem. So, we just consider +any 퐷 ∈ D푀 and two matrix measures: +퐷 d(tr푀)ac,휈, +퐷 d(tr푀)sing,휈 +(see notation (A.1)) +Fact A.6. The a.c. and the sing. parts of 푀 w.r.t. 휈 exist, and they satisfy +(A.8) +푀ac,휈 = 퐷 d(tr푀)ac,휈 , +푀sing,휈 = 퐷 d(tr푀)sing,휈 , +where 퐷 is an arbitrary density from D푀. Moreover, both 푀ac,휈, 푀sing,휈 are matrix measures24, and +(A.9) +tr푀ac,휈 = (tr푀)ac,휈, +tr푀sing,휈 = (tr푀)sing,휈. +In particular, if 푆 ∈ 픐, then TFCAE: +• 푆 is a support (version 2.: minimal support w.r.t. 휈) of 푀ac,휈 ; +• 푆 is a support (version 2.: minimal support w.r.t. 휈) of tr푀ac,휈 ; +• 푆 is a support (version 2.: minimal support w.r.t. 휈) of (tr푀)ac,휈 ; +and analogically for 푀sing,휈, tr푀sing,휈, (tr푀)sing,휈. +Proof. Using “the short theory” presented above, one immediately checks that the pair of vector measures +퐷푑(tr푀)ac,휈, 퐷푑(tr푀)sing,휈 satisfies the conditions from Definition A.4 of the parts 푀ac,휈 푀sing,휈. So, +by the uniqueness of the decomposition, we get (A.8). Now, by the non-negativity of 퐷 and by Fact A.3 +we see that 푀ac,휈, 푀sing,휈 are matrix measures. +To get the assertion (A.9), observe that the equality +푀 = 푀ac,휈 + 푀sing,휈 +yields +tr푀 = +tr푀ac,휈 + tr푀sing,휈 +by the definition of the trace maesure. +But 푀ac,휈, 푀sing,휈 are a.c. +or, respec- +tively, sing. w.r.t. 휈, hence also tr푀ac,휈, tr푀sing,휈 are a.c. or, respectively, sing. w.r.t. 휈, just by the use of +the property (A.5) for both those matrix measures. So, we get the result just by the definitions of a.c. and +sing. parts. And the last part follows directly from (A.9), (A.5) and by the observation that both notions: +of support, as well as of minimal support w.r.t. a measure, are determined by zero vector measure sets, +only. +□ +Now we turn to a “technical” result concerning the notion of the minimal support. +Lemma A.7. Consider a matrix measure 푀 : 픐 −→ 푀푑(C), a measure 휈 : 픐 −→ [0, +∞], sets +푆푎, 푆푠 ∈ 픐 and a non-negative function 퐹 : 푆푎 −→ 푀푑(C). If +(i) +푆푎 is a support of 푀ac,휈 and 푆푠 is a support of 푀sing,휈, +(ii) +푆푎 ∩ 푆푠 = ∅, +(iii) 퐹 is a density of 푀ac,휈 on 푆푎 w.r.t. 휈, +(iv) +휈 ({푡 ∈ 푆푎 : 퐹(푡) = 0}) = 0, +then 푆푠 is a support of (푡푟푀)sing,휈 and 푆푎 is a minimal support of (푡푟푀)ac,휈 w.r.t. 휈. +Proof. From Fact A.6 we immediately see that 푆푠 is a support of (tr푀)sing,휈 and 푆푎 is support of +(tr푀)ac,휈. To prove the minimality, consider any 푆′ ⊂ 푆푎 which is also a support of (tr푀)ac,휈. Hence, +again by Fact A.6 +(A.10) +0 = (tr푀)ac,휈(푆푎 \ 푆′) = tr푀ac,휈 (푆푎 \ 푆′). +On the other hand, by the assumption (iii), using (푆푎 \ 푆′) ⊂ 푆푎 and the non-negativity of tr 퐹(푡) for any +푡 ∈ 푆푎, we have +tr푀ac,휈 (푆푎 \ 푆′) = tr �푀ac,휈(푆푎 \ 푆′)� = tr +�∫ +(푆푎\푆′) +퐹 d휈 +� += +∫ +(푆푎\푆′) +tr 퐹(푡) d휈(푡). +Thus, by (A.10) we have tr 퐹(푡) = 0 for 휈-a.e. +푡 ∈ (푆푎 \ 푆′). Moreover, by Proposition 2.5(iv), +tr 퐹(푡) = 0 ⇐⇒ 퐹(푡) = 0. So, by the assumption (iv), we get tr 퐹(푡) ≠ 0 also for 휈-a.e. 푡 ∈ (푆푎 \ 푆′). +Thus 휈(푆푎 \ 푆′) = 0. +□ +24By the definition, they are “only” vector measures in 푀푑(C). + +NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES +45 +At the end of this section let us recall the definition of the integral of the scalar function w.r.t. a vector +measure for some simplest case, but sufficient for our goals. Consider a vector measure 푉 : 픐 −→ 푋, +where 푋 = C푘 (e.g. — a matrix measure, with 푘 = 푑2) and 푓 : Ω −→ C — a bounded 픐-measurable +function. 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Stefana +Banacha 2, 02-097 Warsaw, Poland +Email address: mmoszyns@mimuw.edu.pl +Grzegorz Świderski, Institute of Mathematics, Polish Academy of Sciences, ul. Śniadeckich 8, 00-696 Warsaw, +Poland +Email address: gswiderski@impan.pl + diff --git a/ltAyT4oBgHgl3EQfYfdr/content/tmp_files/load_file.txt b/ltAyT4oBgHgl3EQfYfdr/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..b7694cb21c1f81a70c6aaced7384cb1938a7540c --- /dev/null +++ b/ltAyT4oBgHgl3EQfYfdr/content/tmp_files/load_file.txt @@ -0,0 +1,2903 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf,len=2902 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='00204v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='SP] 31 Dec 2022 NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Abstract.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is well-known for self-adjoint scalar Jacobi operators that their absolute continuity and the absolute continuous spectrum in a subset of the real line can be characterized by non-existence of subordinate generalized eigenvectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In our work we explore to what extent a similar relation is true for block Jacobi operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In this setup, under some uniformity conditions, we show that nonsubordinacy in the sense of matrix generalized eigenvectors also implies the absolute continuity, similarly as in the case of the scalar Jacobi operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, we get the absolute continuity of the matrix spectral measure with the invertibility of its density almost everywhere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We also present an example showing that the reverse implication in general does not hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We extend some sufficient conditions for nonsubordinacy from the scalar to the block case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, we give applications of our results to some classes of block Jacobi matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Contents 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Introduction 2 Acknowledgment 7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Preliminaries 7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Introductory notation and notions 7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some asymptotic symbols and the affine interpolation 9 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some analogs of “J–L continuous interpolation” of a discrete family of semi-norms 10 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some matrix norm inequalities 11 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Block Jacobi matrix and operator(s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' A spectral representation and the associated difference equations 11 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The finite-cyclicity 12 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The spectral matrix measure 퐸퐽, �휑 and the representation of 퐽 as the multiplication operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 14 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The two associated difference equations and “the solution extensions to -1” 15 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Transfer matrices and the Liouville–Ostrogradsky formulae 18 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The Weyl function 19 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' ℓ2 matrix solutions and the matrix Weyl function 푊 20 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The Cauchy transform of the spectral matrix measure and the matrix Weyl function 22 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The boundary limits of the matrix Weyl function and the properties of the spectral trace measure 23 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The boundary limits and spectral consequences for 퐽 24 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' An analog of the Jitomirskaya–Last’s approach 24 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The vector and matrix nonsubordinacy 24 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Barriers and barrier nonsubordinacy 26 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The main result and its consequences 29 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The proof of the main result 31 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Sufficient conditions for absolute continuity 35 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GLS condition 35 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GBS condition 36 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' H class 36 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Examples and applications 37 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Vector nonsubordinacy does not characterise invertibility of 푀 37 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GLS does not characterise the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' spectrum 38 2020 Mathematics Subject Classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Primary 47B36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Key words and phrases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Block Jacobi matrix, absolutely continuous spectrum, matrix measures, Weyl function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 1 2 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Application to some classes of block Jacobi operators 39 Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Vector and matrix measures — selected basic notions 41 References 45 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Introduction A Jacobi matrix is a complex semi-infinite Hermitian matrix of the form (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) J = ������ � 푏0 푎0 푎0 푏1 푎1 푎1 푏2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' ������ � with 푎푛 ≠ 0 and 푏푛 ∈ R for all 푛 ∈ N0 = {0, 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' }.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The action of J is well-defined on the linear space ℓ(N0, C) of all complex-valued sequences, and it is natural to define the operator 퐽 as the restriction of J to the standard Hilbert space ℓ2(N0, C) of square summable sequences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, we define 퐽푥 = J푥 for any 푥 ∈ ℓ2(N0, C) such that also J푥 ∈ ℓ2(N0, C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The operator 퐽 is called the (maximal) Jacobi operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It does not have to be self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If it is, then there exists a probability Borel measure 휇 on the real line, such that 퐽 is unitary equivalent to the operator acting by multiplication by the identity function on 퐿2(휇), see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [53, Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14 and Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The well-known sufficient condition for the self-adjointness of 퐽 is the Carleman condition (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) +∞ � 푛=0 1 |푎푛| = ∞, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [53, Corollary 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19] in the case of 푎푛 > 0 for all 푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The interest in Jacobi operators comes from their close relation to the classical moment problem as well as the theory of orthogonal polynomials on the real line, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [54].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As every self-adjoint operator having a “non-degenerate” cyclic vector is unitary equivalent to a Jacobi operator, the Jacobi operators are basic building blocks of self-adjoint operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some types of Jacobi operators are related to random walks and birth–death processes, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [31,32].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, Jacobi matrices are very useful in numerical analysis in the construction of Gaussian quadratures, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [18].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' A method of spectral analysis, the theory of subordinacy, due to Gilbert–Pearson [16] and later, due to Khan–Pearson, in its Jacobi variant (see [33]) started to be more and more prominent during the last three decades.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Given 휆 ∈ C a sequence 푢 = (푢푛)푛∈N0 is called generalized eigenvector (associated with 휆), 푢 ∈ GEV(휆), if it satisfies the recurrence relation (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) 휆푢푛 = 푎푛−1푢푛−1 + 푏푛푢푛 + 푎푛푢푛+1, 푛 ≥ 1 with some initial conditions (푢0, 푢1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' A non-zero sequence 푢 ∈ GEV(휆) is subordinate if for any linearly independent 푣 ∈ GEV(휆) (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) lim 푛→∞ ∥푢∥ [0,푛] ∥푣∥ [0,푛] = 0, where for a sequence 푥 ∈ ℓ(N0, C) and each 푛 ≥ 0 the seminorm ∥·∥ [0,푛] is given by (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) ∥푥∥ [0,푛] := � � 푛 � 푘=0 |푥푘|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us decompose the measure 휇 as 휇 = 휇ac + 휇sing, where 휇ac and 휇sing denote the absolutely continuous and the singular part of 휇 with respect to the Lebesgue measure, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The main result, [33, Theorem 3], defines two sets 푆ac = {휆 ∈ R : no 푢 ∈ GEV(휆) is subordinate} 푆sing = {휆 ∈ R : a non-zero 푢 ∈ GEV(휆) such that 푎0푢1 = (휆 − 푏0)푢0 is subordinate} and states that: NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 3 푆ac is an essential support of 휇ac with respect to the Lebesgue measure, 푆sing is a support of 휇sing and its Lebesgue measure is zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The above measure theory assertions on 퐽 leads to purely spectral consequences of nonsubordinacy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, it can be proved that for any 퐺 ∈ Bor(R) (i) If 퐺 ⊂ R \\ 푆sing, then 퐽 is absolutely continuous in 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) If 퐺 ⊂ 푆ac, then 퐽 is absolutely continuous in 퐺 (see Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) and clLe(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' clLe(퐺) denotes here the Lebesgue closure of 퐺 — see (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', if moreover 퐺 is open, then its closure cl(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since we often have some idea about asymptotic behaviour of generalized eigenvectors, this theory turned out to be very successful in spectral analysis of various classes of Jacobi matrices, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Because of this similar theories exist for several classes of operators: continuous one-dimensional Schödinger operators on the real half-line (see [16]) and on the whole real line (see [15]), CMV matrices one-sided (see [17]) and two-sided (see [19]), one-dimensional Dirac operators (see [1]), Sturm–Liouville operators (see [4, 52]), canonical systems (see [20]), and Jacobi matrices on some types of graphs (see [38]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' More detailed information on generalized eigenvectors allowed to obtain even more subtle spectral information on 퐽, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' uniform bounds on the density of 휇ac (see [4]) and absolute continuity with respect to Hausdorff measures (see [30]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' An excellent survey containing more information on this subject is [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In this article we extend some parts of Gilbert–Peason–Khan subordinacy theory to the setup of block Jacobi matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, we consider block semi-infinite tridiagonal Hermitian matrices of the form (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1)) (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) J = ������ � 퐵0 퐴0 퐴∗ 0 퐵1 퐴1 퐴∗ 1 퐵2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' ������ � , where 퐴푛 and 퐵푛 are “blocks”, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 푑 × 푑 complex matrices with all the 퐴푛 invertible and Hermitian 퐵푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As before, the action of J is well-defined on the linear space ℓ(N0, C푑) of all C푑-valued sequences, and similarly to the scalar case block Jacobi operator 퐽 is simply the restriction of J to the Hilbert space ℓ2(N0, C푑), where ℓ2(N0, C푑) = � 푥 ∈ ℓ(N0, C푑) : +∞ � 푛=0 ∥푥푛∥2 < ∞ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 퐽 is self-adjoint then there exists a non-negative matrix measure 푀 defined on the Borel subsets of the real line such that 퐽 is unitary equivalent to the operator acting by the multiplication by the identity function on the space 퐿2(푀) of C푑-valued functions, see Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 for details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Also the block variant of Carleman condition for self-adjointness of 퐽 looks similarly: (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) +∞ � 푛=0 1 ∥퐴푛∥ = ∞, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [2, Theorem VII-2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The interest in block Jacobi operators comes from their close relation to the matrix moment problem (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [3,10]) as well as from the theory of matrix orthogonal polynomials on the real line, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' They are useful for analysis of difference equations of finite order, see [11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some types of block Jacobi operators are related to random walks and level dependent quasi–birth–death processes, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For further applications we refer to [58].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Spectral analysis of block Jacobi operators is not well-developed yet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In [51] the Mourre’s commutator method was applied to study compact perturbations of constant sequences 퐴푛, 퐵푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Under some regularity hypotheses it was shown there that the singular continuous spectrum is empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The commutator method was also applied in [27, 28] for obtaining a bound on the entries of the resolvent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In [61], by analysing Turán determinants, the continuous spectrum of bounded and unbounded Jacobi operators was studied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, in [36] the problem of localisation of the essential spectrum of unbounded block Jacobi operators was studied by estimating the quadratic form associated to 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 4 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI It seems that the switch from the scalar to the 푑 > 1 case is especially problematic for the subordinacy theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As far as we know, there is still a lack of any good understanding of how a “full analog” of this theory for the block Jacobi matrices might look like.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In this article we concentrate ourselves only on “a second half” of this difficult question.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' – On the “negative” one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The general remark is, however, that – by several reasons of the algebraic character (see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', Propo- sition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) – it is a good idea to deal rather with some 푑 × 푑-matrix analogs of scalar objects from 푑 = 1 theory, instead of their C푑-vector analogs, despite the fact that the Hilbert space for 퐽 consists of sequences of C푑-vectors (and not of 푑 × 푑-matrices).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, a sequence 푈 = (푈푛)푛∈N0 of 푀푑(C) matrices is called (matrix) generalized eigenvector for 퐽 and 휆, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 푈 ∈ MGEV(휆), if it satisfies the recurrence relation (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) 휆푈푛 = 퐴∗ 푛−1푈푛−1 + 퐵푛푈푛 + 퐴푛푈푛+1, 푛 ≥ 1 with some initial conditions (푈0,푈1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' A natural condition, being a kind of “nonsubordinacy” (which in the 푑 = 1 case means exactly non-existence of subordinate solutions for 휆) is: for any non-zero 푈,푉 ∈ MGEV(휆) (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) lim inf 푛→∞ ∥푈∥[0,푛] ∥푉∥[0,푛] < ∞ (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4)), where for any sequence 푋 ∈ ℓ(N0, 푀푑(C)) and any 푛 ∈ N0 we define (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) ∥푋∥[0,푛] = � � 푛 � 푘=0 ∥푋푘 ∥2, and we use the operator norm for matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In fact, motivated by the approach of Jitomirskaya–Last in [30], we use a slight reformulated version of (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We define1 퐴−1 := − I and “extrapolating (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) to 푛 = 0” we “formally compute” 푈−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence now we consider N−1 = {−1, 0, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='} as the index-set for extended generalized eigenvectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푈 ∈ MGEV(휆), then we say that such extended sequence (푈푛)푛∈N−1 belongs to MGEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Next, for any 푋 ∈ ℓ(N−1, 푀푑(C)) (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) ∥푋∥ [0,푡] = � � � ⌊푡⌋ � 푘=0 ∥푋푘 ∥2 + {푡} ��푋⌊푡⌋+1 ��2, where ⌊푡⌋ and {푡} are the integer and the fractional part of 푡, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then we say that 퐽 satisfies (matrix) nonsubordinacy condition (at 휆 ∈ R) if for any non-zero 푈,푉 ∈ MGEV−1 (휆) (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) lim inf 푡→+∞ ∥푈∥[0,푡] ∥푉∥ [0,푡] < +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 Let us mention that in Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 we also define the notion of vector nonsubordinacy, but it turns out to be equivalent to the matrix one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As we show in Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 the condition (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) implies that 휆 belongs to the continuous spectrum of 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We shall be interested in a more quantitative version of (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, let 퐺 ⊂ R be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that a function 픟 : 퐺 × [1, +∞) → R is a barrier if for any 휆 ∈ 퐺 and any 푈,푉 ∈ MGEV−1 (휆) normalized by ∥푈−1∥2 + ∥푈0∥2 = ∥푉−1∥2 + ∥푉0∥2 = 1 we have � ∥푈∥ [0,푡] ∥푉∥ [0,푡] �2 ≤ 픟(휆, 푡), 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 we show that there is always an optimal barrier but it might not be the easiest one to deal with.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Given a barrier 픟 we say that 퐽 is 픟-nonsubordinate on 퐺 if (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) lim inf 푡→∞ 픟(휆, 푡) < +∞, 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 1By I we denote the identity matrix of the appropriate dimension.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 2By symmetry we can define this equivalently, by requiring 0 < lim sup푡→+∞ ∥푈 ∥ [0,푡] ∥푉 ∥[0,푡] for any non-zero 푈, 푉 ∈ MGEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 5 If this condition holds uniformly on 퐺, namely (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) sup 휆∈퐺 lim inf 푡→∞ 픟(휆, 푡) < +∞, then we say that 퐽 is uniformly 픟-nonsubordinate on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our main abstract spectral result can be summarized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (see Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) Assume that 퐽 is self-adjoint, 퐺 ⊂ Bor(R) and 픟 is a barrier for 퐽 on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 퐽 is 픟-nonsubordinate on 퐺, then (a) 푀 is absolutely continuous on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (b) there exists a density 퐷 of 푀 on 퐺 which is an invertible matrix a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (c) 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If, moreover, 퐽 is uniformly 픟-nonsubordinate on 퐺, then there exist 푐1, 푐2 > 0 such that the above density 퐷 satisfies 푐1 I ≤ 퐷(휆) ≤ 푐2 I for a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The above density of 푀 and “a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.” are both with respect to the Lebesgue measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We have to emphasize that Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1, unlike Khan–Pearson theory for the 푑 = 1 case, gives only a sufficient condition for the absolute continuity of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As we constructively show in Example 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1, there exist such block Jacobi matrices, that 푀 is absolutely continuous on R, 푀(퐵) is invertible for all non- empty open 퐵 ⊂ R but 퐽 does not satisfy (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) for any 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Nevertheless, as we show in Section 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 is applicable to some explicit Jacobi matrices considered in the literature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In Section 6 we adapt to our setup some of the sufficient conditions implying non-existence of subordinate solutions, which were useful in the case 푑 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, the one introduced by Last– Simon in [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This conditions are formulated in terms of transfer matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall: if 푈 ∈ MGEV−1 (휆), then � 푈푛 푈푛+1 � = 푇푛(휆) � 푈푛−1 푈푛 � , 푛 ≥ 0, where 푇푛(휆) is the (1-step) transfer matrix and 푇푛(휆) = � 0 I −퐴−1 푛 퐴∗ 푛−1 퐴−1 푛 (휆 I−퐵푛) � , 푛 ≥ 0, where we have set 퐴−1 = − I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then the 푛-step transfer matrix 푅푛(휆) := 푇푛−1(휆) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='푇0(휆) satisfies � 푈푛−1 푈푛 � = 푅푛(휆) � 푈−1 푈0 � , 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume that the Carleman condition (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) holds and set 휌푛 := 푛−1 � 푘=0 1 ∥퐴푘 ∥, 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus 휌푛 → ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We shall say that 퐽 satisfies Generalized Last–Simon condition (GLS in short) on some Borel 퐺 ⊂ R if (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) lim inf 푛→∞ 1 휌푛 푛 � 푘=1 ∥푅푘 (휆)∥2 < +∞, 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This condition was introduced in [37] for 푑 = 1 and 퐴푛 ≡ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It was proved there, that the maximal set 퐺 ⊂ R, where (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) is satisfied is a minimal support of 휇ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recently, an analogous conclusion for 푑 ≥ 1 was established in [48, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2] under the assumption that 퐴푛 = 퐴∗ 푛 and (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) sup 푛≥0 � ∥퐴푛∥ + ��퐴−1 푛 �� � < ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We show in Example 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 that the Jacobi matrix corresponding to the Laguerre polynomials satisfies 휎ac(퐽) = [0, ∞), yet, the condition (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) is violated for any non-empty 퐺 ⊂ (0, ∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, even for 푑 = 1, one cannot hope to obtain the part concerning the minimal support when (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) is not satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' However, we show in Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 that GLS condition implies the hypotheses of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 for a suitably chosen barrier 픟 (see (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall that in [48, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2], under the assumption (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) and 퐴푛 = 퐴∗ 푛, 6 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI a characterisation of multiplicities of the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' spectrum of 퐽 is provided in terms of asymptotic properties of singular values of the sequences 푃(휆), 푄(휆) ∈ MGEV−1 (휆) corresponding to the initial values (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) � 푄−1(휆) = I 푄0(휆) = 0, � 푃−1(휆) = 0 푃0(휆) = I, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The approach used there is different than in the present work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our approach to prove Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 is based on linking the asymptotic properties of MGEV−1 (푧) to the boundary values of the Cauchy transform of the matrix measure 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is defined by 푊(푧) = ∫ R d푀(휆) 휆 − 푧 , 푧 ∈ C \\ R and it turns out to be the matrix analogue of the well-known Weyl function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since3 Im푊(푧) ≥ 0 for Im 푧 > 0, it is a matrix Herglotz function and its boundary values are closely related to properties of 푀, see Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 for details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Inspired by [30] we prove in Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11 that if 퐽 is self-adjoint, then given 휆 ∈ R there exists a unique function ℓ휆 : R+ → R+ satisfying ∥푃(휆)∥[0,ℓ휆 (휖 )] ∥푄(휆)∥[0,ℓ휆 (휖 )] = 1 2휖 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, lim휖 →0+ ℓ휆(휖) = +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Adapting the approach of [30] and utilizing our novel object, namely the barrier function 픟, we prove our main result “on controlling the boundary limits of the matrix Weyl function”, being probably the most important result of this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (see Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) Assume that 퐽 is self-adjoint and 퐺 ⊂ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 픟 is a barrier for 퐽 on 퐺, then for any 휆 ∈ 퐺 and any 휖 > 0 with ℓ휆(휖) ≥ 1 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) �8픟�휆, ℓ휆(휖)��−1 I ≤ Im푊(휆 + 푖휖) and (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) 푠−(휆, 휖) ≤ ∥푊(휆 + 푖휖)∥ ≤ 푠+(휆, 휖), where (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20) 푠±(휆, 휖) := 4푑픟�휆, ℓ휆(휖)� ± �� 4푑픟�휆, ℓ휆(휖)��2 − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall that Jitomirskaya–Last in [30] established a variant of the inequality (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) for 푑 = 1 with 푠′ ± instead of 푠±, where 푠′ ±(휆, 휖) := �5 ± √ 24� ∥푄(휆)∥ [0,ℓ휆(휖 )] ∥푃(휆)∥[0,ℓ휆 (휖 )] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then Khan–Pearson theory can be obtained by the rank-one perturbation theory applied to the corre- sponding Jacobi operator, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [52, Section 2] for details in the case of Sturm–Liouville operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us point out that, under the hypotheses of Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2, the last argument can be avoided once one uses our new inequality (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recently, an analogue of Jitomirskaya–Last inequality, expressed as a quotient of partial norms of 푄(휆) and 푃(휆) (and its singular values), has been obtained in [48] for 푑 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' However, we were not able to use it to prove that GLS condition implies absolute continuity of 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In contrast, our Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 allows us to prove Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1, which as we have mentioned already, leads us to the proof of absolute continuity under GLS condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The article is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In Section 2 we fix our notation and prove basic results concerning the family of semi-norms (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Next, in Section 3, we show that 퐽 is finitely cyclic, and as a consequence, it is unitary equivalent to the multiplication operator on the space 퐿2(푀) of C푑-valued functions for some matrix measure 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We also show an approach to Jacobi operators based on generalized eigenvectors and transfer matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In Section 4 we study the matrix Weyl function 푊 and its relation to properties of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Section 5 is devoted to the proof of our main results: Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 — the main result of the paper and its spectral consequence: Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In Section 6 we extend some well-known conditions implying 3For any square matrix 푋 we define Im 푋 := 1 2푖 (푋 − 푋∗).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 7 nonsubordinacy from 푑 = 1 to the general case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, we cover: GLS (Generalized Last–Simon) condition, GBS (Generalized Behncke–Stolz) condition and 퐻 (homogenous) class condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, in Section 7, we show some examples and counterexamples illustrating the applicability of our results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For the sake of self-containment in Appendix A we collected basic notions concerning vector and matrix measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Acknowledgment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The author Grzegorz Świderski was supported by long term structural funding – Methusalem grant of the Flemish Government.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Part of this work was done while he was a postdoctoral fellow at KU Leuven.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The author Marcin Moszyński wishes to thank: Anna Moszyńska (IPEVP, Warsaw) – his wife – for extraordinary patience and for valuable linguistic help, Nadia V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Zaleska (EIMI, St.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Petersburg) – his friend – for some wise hints and for invaluable moral support, Grzegorz Świderski – the co-author – for several years of confidence in success and for the barriers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Preliminaries We collect and fix here some general notation for in the paper, and we also introduce here several convenient tools, which will be important in the main sections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Introductory notation and notions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We use here the following symbols for some sets of scalars: C+ := {푧 ∈ C : Im(푧) > 0}, R+ := {푡 ∈ R : 푡 > 0}, N푘 := {푛 ∈ Z : 푛 ≥ 푘} for 푘 ∈ Z, so, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', N = N1, N0 = N ∪ {0}, N−1 = N ∪ {−1, 0}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us fix here some 푑 ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The vectors of the standard base in C푑 are denoted by 푒1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푒푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By 푀푑(C) we denote the space of all 푑 × 푑 complex matrices, with the usual matrix/operator norm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We identify any 퐴 ∈ 푀푑(C) with the appropriate linear transformation of C푑 induced by matrix 퐴.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, we shall use alternatively both the operator and the matrix notation for the action of 퐴 on vectors from C푑, namely, for 푣 ∈ C푑 we typically use 퐴푣, but sometimes we also write 퐴푣T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푖, 푗 ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑} the term of 퐴 from its 푖-th row and 푗-th column is denoted as usual by 퐴푖, 푗 and 푣 푗 is the 푗-th term of 푣.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The symbol 퐴{ 푗} denotes the 푗-th column of 퐴 (usually we treat columns as C푑-vectors and not as one-column matrices).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly for 퐴{푖} — the 푖-th row of 퐴.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, for vectors 푣(1), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푣(푑) ∈ C푑 the matrix 퐴 with 퐴{ 푗} = 푣( 푗) for any 푗 is denoted by [푣(1), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푣(푑)].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푋 is a linear space, then by ℓ(N푘, 푋) we denote the linear space of all the sequences 푥 = (푥푛)푛∈N푘 with terms in 푋 and ℓfin(N푘, 푋) is the subspace of ℓ(N푘, 푋) consisting of all the “finite” sequences, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', of such 푥 that 푥푛 = 0 for 푛 sufficiently large.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For sequences of vectors: if 푢(1), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푢(푑) ∈ ℓ(N푘, C푑) with 푢( 푗) = (푢( 푗) 푛 )푛∈N푘 for 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑, then the symbol [푢(1), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푢(푑)], used already above for vectors and not for sequences of vectors, denotes the matrix sequence 푈 ∈ ℓ(N푘, 푀푑(C)) with 푈푛 := [푢(1) 푛 , .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푢(푑) 푛 ] for any 푛 ≥ 푘.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The symbols ∥·∥푋 and ⟨·, ·⟩푋 denote here the norm in a normed space 푋 and the scalar product in a Hilbert space 푋, respectively, but we often omit the subscript ‘푋’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This applies also to operator norms which we use by default for the bounded operators (mainly matrices from 푀푑(C), here), if no other choice is made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our general rule here is: “to possibly omit the subscript ‘푋’ in almost all cases except the case of norm or the scalar product for C푑: ∥·∥C푑, ⟨·, ·⟩C푑”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For a linear operator 퐴 : 푋 −→ 푋 in a normed space 푋 ≠ {0} we define its minimum modulus by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) ⇃|퐴|⇂:= inf ∥푥 ∥=1 ∥퐴푥∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Obviously, if dim 푋 = 1, then ⇃|퐴|⇂= ∥퐴∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall that if 퐴 is invertible, then (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) ⇃|퐴|⇂= 1 ∥퐴−1∥, and for 0 < dim 푋 < +∞ 퐴 is invertible iff ⇃|퐴|⇂> 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 8 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI We use the symbols cl(퐺), clLe(퐺) for the “usual” (topological) closure and the “Lebesgue” closure of the set 퐺 ⊂ R, respectively (휆 is used here for the complex conjugation of 휆 ∈ C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall, that (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) clLe(퐺) := {푡 ∈ R : ∀휀>0 |퐺 ∩ (푡 − 휀;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푡 + 휀)| > 0} for 퐺 ∈ Bor(R) and | · | is here the standard 1-dimensional Lebesgue measure on Bor(R) but, as usual, it will denote also the absolute value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 휇 is a measure4 on 픐 – a 휎-algebra of subsets of some Ω, and 푝 ∈ [1, +∞), then 퐿 푝(휇) (without the “universum” Ω and the 휎-algebra for the measure, for short) denotes the standard 퐿 푝 Banach space of the classes of the appropriate complex functions on the “universum” for the measure 휇.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We need sometimes to distinguish here 퐿 푝(휇) from the appropriate space of functions (and not classes) denoted here by L 푝(휇).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푝 = 1 and 푋 := R푑 we also use L1 푋 (휇) to denote the space of integrable functions from Ω into 푋 in the standard coordinatewise sense of the integral and the integrability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, for a matrix measure 푀 by 퐿2(푀) we denote the appropriate 퐿2-Hilbert space induced by this matrix measure (see Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 and, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', [44] for more details).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푋 is a norm space, then ℓ2(N0, 푋) := � 푥 ∈ ℓ(N0, 푋) : +∞ � 푛=0 ∥푥푛∥2 푋 < ∞ � , is a normed space with the norm defined for 푥 ∈ ℓ2(N0, 푋) by ∥푥∥ := � � +∞ � 푛=0 ∥푥푛∥2 푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If, moreover, 푋 is a Hilbert space, then ℓ2(N0, 푋) is a Hilbert space with the scalar product given for 푥, 푦 ∈ ℓ2(N0, 푋) by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) ⟨푥, 푦⟩ := +∞ � 푛=0 ⟨푥푛, 푦푛⟩푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Here, the most important case for us is the Hilbert space space ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As the standard orthonormal basis of ℓ2(N0, C푑) we consider � 훿푛(푒푖) � (푖,푛)∈{1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=',푑}×N0, where for any vector 푣 ∈ C푑 and 푛 ∈ N0 we define the sequence 훿푛(푣) ∈ ℓfin(N0, C푑) by (훿푛(푣)) 푗 := � 푣 if 푗 = 푛, 0 otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover we have (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) ℓfin(N0, C푑) = lin{훿푛(푣) : 푣 ∈ C푑, 푛 ∈ N0}, and cl(ℓfin(N0, C푑)) = ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If H is a Hilbert space and 퐴 — a self-adjoint operator (possibly unbounded) in H, then the projection- valued spectral measure (“the resolution of identity”) for 퐴 is denoted by 퐸퐴.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular 퐸퐴 : Bor(R) −→ B(H), where Bor(R) is the Borel 휎-algebra of R and B(H) denotes, as usual, the space of bounded operators on H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푥, 푦 ∈ H, then 퐸퐴,푥,푦 denotes the spectral measure for 퐴, 푥 and 푦, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the complex measure given by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) 퐸퐴,푥,푦 (휔) := ⟨퐸퐴(휔)푥, 푦⟩ , 휔 ∈ Bor(R), 4Here the name “measure” without some extra adjectives / names of the type vector, matrix, complex, real, spectral etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', denotes always a classical Lebesgue-type measure with values in [0, +∞], without necessity of adding “non-negative”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The remaining ones, all “adjective (of the above type) + measures”, belongs to a wide class of vector measures (— see the definition on page 41) for an appropriate measure vector space;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g, equal to R for real measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, measure can be, but also can be not (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the Bor(R) Lebesgue measure), a vector measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It simply depends on it finiteness.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And “unfortunately”, from the point of view of the abuse of terminology, a vector measure is “usually” not a measure, here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 9 and 퐸퐴,푥 := 퐸퐴,푥,푥 (the spectral measure for 퐴 and 푥).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Denote also Hac(퐴) := {푥 ∈ H : 퐸퐴,푥 is a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' with respect to the Lebesgue measure on Bor(R)}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If and 퐺 ∈ Bor(R), then the symbol (퐴)퐺 denotes the part of 퐴 in the (invariant reducing) subspace H퐺(퐴) := Ran 퐸퐴(퐺).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall the key notion for this paper, of the absolute continuity of 퐴: Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 퐴 is absolutely continuous (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=') in 퐺 iff H퐺(퐴) ⊂ Hac(퐴).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 퐴 is absolutely continuous iff 퐴 is absolutely continuous in R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We apply here also some other “more or less, but not totally” common abbreviations and symbols: iff for: if and only if TFCAE for: the following conditions are (mutually) equivalent w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' for: with respect to s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' for: self-adjoint (for operators) a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' for: absolutely continuous (for operators, measures etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=') sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' for: singular (as above) a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' for: almost everywhere JM, BJM for: Jacobi matrix, block Jacobi matrix, respectively JO, BJO for: Jacobi operator, block Jacobi operator, respectively lin푌 for: the linear subspace generated by a subset 푌 of a linear space 퐹↾푌 for: the restriction of function 퐹 to the subset 푌 of the domain 퐹(푌) for: the image of subset 푌 with respect to function 퐹 Dom(퐴) for: the domain of linear operator 퐴 Dom(퐴∞) for: the intersection of all Dom(퐴푛) for 푛 ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some further notation is introduced successively in next subsections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some asymptotic symbols and the affine interpolation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푆 be an arbitrary set and 푓 , 푔 : 푆 −→ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We define the symbol ≍ of “asymptotic similarity” of functions: (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) 푓 ≍ 푔 ⇐⇒ ∃푐,퐶∈R+∀푠∈푆 푐|푔(푠)| ≤ | 푓 (푠)| ≤ 퐶|푔(푠)| (note the presence of the absolute value in this definition).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We shall use also alternative notation: 푓 (푠) ≍푠 푔(푠).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푆 = N푘 for some 푘 ∈ Z, then 푓 is just a sequence from ℓ(N푘, C), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푓 = ( 푓 (푛))푛∈N푘 = ( 푓푛)푛∈N푘, and we shall consider its affine interpolation aff ( 푓 ) : [푘, +∞) −→ C, uniquely defined by the conditions: (a) aff ( 푓 )↾N푘= 푓 , (b) for each 푛 ∈ N푘 aff ( 푓 )↾[푛,푛+1] is an affine function, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a function of the form [푛, 푛 + 1] ∋ 푡 ↦→ 푎푡 + 푐 ∈ C for some 푎, 푐 ∈ C (depending here also on 푛).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular aff ( 푓 ) is a continuous interpolation of 푓 , and one can easily check that it can be also given by the explicit formula: (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) aff ( 푓 ) (푡) = 푓⌊푡⌋ + {푡} � 푓⌊푡⌋+1 − 푓⌊푡⌋ � , 푡 ∈ [0, ∞) where {푡} = 푡 − ⌊푡⌋ is the fractional part of 푡.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The following result joining the asymptotic similarity of sequences and of their affine interpolations, will be convenient in the proof of our main result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us prove first the following “slightly unexpected” result on quotients of two affine functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 훼, 훽, 푎1, 푐1, 푎2, 푐2 ∈ R, 훼 < 훽 and 푎2푡 + 푐2 ≠ 0 for any 푡 ∈ [훼, 훽].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 휑 : [훼, 훽] −→ R be given by 휑(푡) := 푎1푡 + 푐1 푎2푡 + 푐2 , 푡 ∈ [훼, 훽].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 휑 is monotonic and, in particular, its maximal and minimal value is attained on the set {훼, 훽}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We have: 휑′(푡) := 푎1푐2 − 푎2푐1 (푎2푡 + 푐2)2 and thus, we have only two cases: 10 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI 푎1푐2 − 푎2푐1 = 0, hence 휑 is constant;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푎1푐2 − 푎2푐1 ≠ 0, so 휑′ has no zeros.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In both cases our assertion holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some analogs of “J–L continuous interpolation” of a discrete family of semi-norms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The main idea of the Jitomirskaya–Last’s new approachin [30] was “technically” based on a continuous interpolation of the discrete family of semi-norms {∥·∥푛}푛∈N0 in ℓ(N0, C) to the family {∥·∥푡}푡 ∈[0,+∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For our purposes we shall extend this notion in two ways.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, let 푉 be a normed space, 푛0 ∈ Z and assume that 푋 ∈ ℓ(N푛0,푉).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any (푛1, 푡) ∈ Z × R such that 푛0 ≤ 푛1 ≤ 푡, we define (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) ∥푋∥ [푛1,푡] := � ⌊푡⌋ � 푘=푛1 ∥푋푘 ∥2 + {푡} ��푋⌊푡⌋+1 ��2 �1/2 , and for 푡 = ∞ (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) ∥푋∥[푛1,∞] := � +∞ � 푘=푛1 ∥푋푘 ∥2 �1/2 (which can possibly be +∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, if 푉 = 푀푑(C)) for some 푑 ≥ 1, then similarly to (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) we define a continuous family based on minimum modulus (see (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1)) instead of matrix norm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, for any (푛1, 푡) ∈ Z×R such that 푛0 ≤ 푛1 ≤ 푡 we consider (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) ⇃|푋|⇂[푛1,푡]= � ⌊푡⌋ � 푘=푛1 ⇃|푋푘|⇂2 +{푡}⇃|푋⌊푡⌋+1|⇂2 �1/2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) we can relate the above constructions with the notion of affine extension introduced in the previous subsection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The squares of the “new objects” are just the affine extensions of their discrete counterparts (see (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) and (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) below), which are somewhat more natural and simpler for the context of operators “acting on sequences” considered in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observation 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The notions defined by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) and (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e, for 푡 < +∞) satisfy respectively ∥푋∥2 [푛1,푡] = aff �푆푋,푛1 � (푡) and ⇃|푋|⇂2 [푛1,푡]= aff �ˇ푆푋,푛1 � (푡) for 푡 ≥ 푛1, where 푆푋,푛1, ˇ푆푋,푛1 : N푛1 −→ R are given for 푛 ≥ 푛1 by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) 푆푋,푛1 (푛) := ∥푋∥2 [푛1,푛] = 푛 � 푘=푛1 ∥푋푘∥2 , (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) ˇ푆푋,푛1 (푛) :=⇃|푋|⇂2 [푛1,푛]= 푛 � 푘=푛1 ⇃|푋푘|⇂2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Note also that in the scalar case 푑 = 1 for 푋 ∈ ℓ(N푛0, 푀푑(C)) we simply have ∥푋∥[푛1,푡] =⇃|푋|⇂[푛1,푡] and 푆푋,푛1 = ˇ푆푋,푛1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider a second sequence 푌 ∈ ℓ(N푛0,푉).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using the above Observation and Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 we get: Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 푛1 ∈ Z, 푡 ∈ R, 푛0 ≤ 푛1 ≤ 푡.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푛 := ⌊푡⌋ be such that ∥푌 ∥[푛1,푛] ≠ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then there exist such 푛, 푛 ∈ {푛, 푛 + 1} that ∥푋∥[푛1,푛] ∥푌 ∥[푛1,푛] ≤ ∥푋∥[푛1,푡] ∥푌 ∥[푛1,푡] ≤ ∥푋∥ [푛1,푛] ∥푌 ∥[푛1,푛] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푉 = 푀푑(C) then the analogous result with all the “∥·∥” replaced by “⇃|·|⇂” is also true.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It suffices to use Observation 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 and then Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 to the function 휑 given on [푛, 푛 + 1] by the formula 휑(푡) := � ∥푋 ∥ [푛1,푡] ∥푌 ∥ [푛1,푡] �2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 11 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some matrix norm inequalities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall some notions related in particular to 푑 × 푑 matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푋 ∈ 푀푑(C): its Hilbert–Schmidt norm is defined by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) ∥푋∥HS = � 푑 � 푖=1 ∥푋푒푖∥2 C푑 �1/2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' its real and imaginary parts Re(푋) and Im(푋) (in the adjoint, and not the complex conjugation sense) are given by Re(푋) := 1 2 (푋 + 푋∗), Im(푋) := 1 2푖 (푋 − 푋∗).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푣 ∈ C푑 we shall use the symbol 퐸 푣 to denote the matrix / operator [푣, 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 0] ∈ 푀푑(C) , i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e, (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) 퐸 푣(푒 푗) = � 푣 for 푗 = 1 0 for 푗 > 1, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푋 ∈ 푀푑(C) and 푣 ∈ C푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then: (i) ∥푋∥ ≤ ∥푋∥HS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) ∥Im(푋)∥ ≤ ∥푋∥ , ∥Re(푋)∥ ≤ ∥푋∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (iii) ∥푋퐸 푣∥ = ∥푋푣∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (iv) If 푋 ≥ 0, then ∥푋∥ ≤ tr 푋 ≤ 푑 ∥푋∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Part (i) is a classical result (easy to get by the Schwarz inequality), and (ii) follows directly from the definitions of Re, Im.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To get (iii) observe first that 푋퐸 푣 = 퐸푋 푣 by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15), so it suffices to consider 푋 = 퐼.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But using (i) we get ∥퐸 푣∥ ≤ ∥푣∥ and ∥퐸 푣∥ ≥ ∥퐸 푣푒1∥ = ∥푣∥, so the equality holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 푋 ≥ 0 and let 휆1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 휆푑 be all the eigenvalues of 푋 repeated according to their multi- plicities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We thus get (iv) by ∥푋∥ = max 1≤푖≤푑 휆푖 ≤ 푑 � 푖=1 휆푖 = tr 푋 ≤ 푑 max 1≤푖≤푑 휆푖 = 푑 ∥푋∥ □.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Block Jacobi matrix and operator(s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' A spectral representation and the associated difference equations We denote “the size of the block” for BJM by 푑 ∈ N, and for the whole paper we assume that (퐴푛)푛∈N0 and (퐵푛)푛∈N0 are sequences of matrices from 푀푑(C) such that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) det 퐴푛 ≠ 0, 퐵푛 = 퐵∗ 푛, 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now we define a block Jacobi matrix J = ������ � 퐵0 퐴0 퐴∗ 0 퐵1 퐴1 퐴∗ 1 퐵2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' ������ � , and the pair of the sequences 퐴 = (퐴푛)푛∈N0 and 퐵 = (퐵푛)푛∈N0 will be called Jacobi parameters of J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In fact, we mean that J is the linear operator (“the formal block Jacobi operator”) acting on the space ℓ(N0, C푑) of all the C푑 sequences, whose action is well-defined via formal matrix multiplication: J : ℓ(N0, C푑) −→ ℓ(N0, C푑), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', for any 푢 ∈ ℓ(N0, C푑) (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) (J푢)푛 := � 퐵0푢0 + 퐴0푢1 for 푛 = 0 퐴∗ 푛−1푢푛−1 + 퐵푛푢푛 + 퐴푛푢푛+1 for 푛 ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall now two important operators related to J and acting in the Hilbert space ℓ2(N0, C푑): 퐽min and 퐽 (which will coincide in most of our further considerations).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The operator 퐽min (the minimal block Jacobi operator) is simply the closure in ℓ2(N0, C푑) of the operator in ℓ2(N0, C푑) being the restriction: 12 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI J↾ℓfin(N0,C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And to define 퐽 (the maximal block Jacobi operator) we first choose its domain in a usual way for “maximal-type” operators: (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) Dom(퐽) := � 푢 ∈ ℓ2(N0, C푑) : J푢 ∈ ℓ2(N0, C푑) � , and then we define 퐽 := J↾Dom(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' When both (퐴푛)푛∈N0 and (퐵푛)푛∈N0 are bounded sequences, then obviously we have only one operator 퐽min = 퐽 ∈ B(ℓ2(N0, C푑)), which is symmetric, so self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But here we consider also unbounded cases, so let us recall the following result Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (퐽min)∗ = 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, TFCAE: (i) 퐽min is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', (ii) 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=';' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and if one of the above conditions holds, then 퐽min = 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' See [2, Chapter VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='§2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5] for5 퐽∗ min = 퐽, and the remaining part follows from this by [56, formula (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22)].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For the main results of the theory presented here the maximality of the domain is crucial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, we study mainly “the self-adjoint case”, so (by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) the best choice here is to use just only the operator 퐽, later on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) we get (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) ℓfin(N0, C푑) ⊂ Dom(퐽), 퐽 � ℓfin(N0, C푑) � ⊂ ℓfin(N0, C푑), so in particular 퐽 is densely defined by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) we compute (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) 퐽 (훿푛(푣)) = 훿푛−1(퐴푛−1푣) + 훿푛(퐵푛푣) + 훿푛+1(퐴∗ 푛푣), 푣 ∈ C푑, 푛 ∈ N0, where we additionally denote 훿−1(푣) := 0, 푣 ∈ C푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The finite-cyclicity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In the scalar 푑 = 1 case Jacobi operator 퐽 is cyclic with a cyclic vector 휑 := 훿0(푒1) (the canonical cyclic vector for 퐽), which means that the space (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) lin{퐽푛휑 : 푛 ∈ N0} is dense in ℓ2(N0, C) (here, for 푑 = 1, we simply have 푒1 = 1 ∈ C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' — Indeed, this is known that the above space is just equal to ℓfin(N0, C) for such 휑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Cyclicity plus self-adjointness provides a very simple spectral representation of the operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, suppose now, that “the scalar” 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and consider: x — the identity function on R, x(푡) = 푡 for 푡 ∈ R, and 휇 — “the scalar” spectral measure for 퐽 and 휑, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휇 = 퐸퐽,휑 (see, Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 for the spectral notation).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By the well-known spectral result, 퐽, as a cyclic s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' operator, is unitary equivalent to the operator of the multiplication by x in the space 퐿2(휇).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This one-dimensional result has also its analog for the block-Jacobi case with arbitrary 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' First of all, instead of cyclicity, we consider here the so-called finite-cyclicity notion (see [44]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It means that for some 푘 ∈ N there exists a cyclic system �휑 = (휑1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 휑푘) for 퐽, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', a system of such vectors from Dom(퐽∞), that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) lin{퐽푛휑 푗 : 푛 ∈ N0, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푘} is dense in ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In our general 푑-dimensional case the choice of �휑 can be done in an analogical way, as it was for 푑 = 1, namely define (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) �휑 := (휑1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 휑푑), 휑 푗 := 훿0(푒 푗), 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The following result is true.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The system �휑 is a cyclic system for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 5Actually, in [2, Chapter VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='§2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5] only the case 퐴푛 = 퐴∗푛 for all 푛 ≥ 0 was considered, but the proof in the general case is similar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 13 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For each 푛 ∈ N0 denote6 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) 푋푛 := � 푥 ∈ ℓ2(N0, C푑) : ∀푗≠푛 푥 푗 = 0 � , 푌푛 := 푛 � 푘=0 푋푘.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So 푋푛,푌푛 ⊂ ℓfin(N0, C푑) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) 푋푛 = � 훿푛(푤) : 푤 ∈ C푑� = lin {훿푛(푒푠) : 푠 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑} , 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) 푋0 = lin {휑푠 : 푠 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑} .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) we get 퐽(푋푛) ⊂ 푌푛+1, 푛 ∈ N0, so also (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) 퐽(푌푛) ⊂ 푌푛+1, 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using this by the obvious induction we obtain (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) 퐽푛(푋0) ⊂ 푌푛, 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Denote 푌−1 := {0} and for 푘 ∈ N0 denote also (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) 퐶푘 := � (퐴0 · · · · · 퐴푘−1)∗ for 푘 > 0 퐼 for 푘 = 0, so in particular 퐶푘 is invertible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To continue the proof, we shall first prove the following two results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푘 ∈ N0 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) ∀푤 ∈C푑 ∃푢∈푌푘−1 퐽푘훿0(푤) = 푢 + 훿푘 (퐶푘푤).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof of Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푘 = 0 and 푤 ∈ C푑 we have 퐽푘훿0(푤) = 훿0(푤) = 0 + 훿0(퐶0푤), so (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) holds for 푘 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose now that it holds for some 푘 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) for 푘 and by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5), for 푤 ∈ C푑 퐽푘+1훿0(푤) = 퐽(퐽푘훿0(푤)) = 퐽(푢) + 퐽 (훿푘 (퐶푘푤)) = 퐽(푢) + 푢′ + 훿푘+1(퐴∗ 푘퐶푘푤), with some 푢 ∈ 푌푘−1, 푢′ ∈ 푌푘.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) 퐽푘+1훿0(푤) = 푢′′ + 훿푘+1(퐴∗ 푘퐶푘푤) = 푢′′ + 훿푘+1(퐶푘+1푤), with some 푢′′ ∈ 푌푘.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) holds for 푘 + 1, and we obtain our assertion by the induction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ We shall use this lemma to prove the result below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푛 ∈ N0 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) 푌푛 = 푛 � 푗=0 퐽 푗 (푋0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof of Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We get “⊃” from (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us prove “⊂” by induction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푛 = 0 the assertion is obvious.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now consider 푛 ∈ N0 and suppose that 푌푛 ⊂ �푛 푗=0 퐽 푗 (푋0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then lin � 푌푛 ∪ 퐽푛+1(푋0) � ⊂ 푛+1 � 푗=0 퐽 푗 (푋0), by the linearity of the RHS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9), to get 푌푛+1 ⊂ �푛+1 푗=0 퐽 푗 (푋0), it suffices to prove (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) 푋푛+1 ⊂ lin � 푌푛 ∪ 퐽푛+1(푋0) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Indeed, if 푤 ∈ C푑, then by Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 훿푛+1(푤) = 푣 + 퐽푛+1훿0(퐶−1 푛+1푤), 6Hereweusethestandardoperationof thesum ofsubsets ofa linear space, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', �푛 푘=0 퐷푘 := {�푛 푘=0 푥푘 : 푥푘 ∈ 퐷푘 for any 푘 = 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푛} for subsets 퐷0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 퐷푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 14 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI with some 푣 ∈ 푌푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) we get (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Let us continue the proof of Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using again the standard argumentation concerning the linear spaces generated by a subset, we see by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) lin{퐽 푗휑푠 : 푗 = 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푛, 푠 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑} = 푛 � 푗=0 퐽 푗 (푋0), 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4 and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) lin{퐽푛휑푠 : 푛 ∈ N0, 푠 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑} = +∞ � 푛=0 lin{퐽 푗휑푠 : 푗 = 0, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푛, 푠 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑} = +∞ � 푛=0 푌푛 = ℓfin(N0, C푑), and the density of ℓfin(N0, C푑) in ℓ2(N0, C푑) finishes the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Surely, this choice of a cyclic system for 퐽 is not unique, but this particular �휑 defined by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) is called canonical for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The spectral matrix measure 퐸퐽, �휑 and the representation of 퐽 as the multiplication operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The next notion which should be generalized, when we are moving from the scalar to the block case, is the classical 퐿2- type Hilbert space with “the scalar non-negative” spectral measure 휇 for 퐽 (and for the canonical cyclic vector 휑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It should be replaced by the less-known 퐿2-type Hilbert space with the so-called spectral matrix measure for the operator 퐽 and for its canonical cyclic system �휑, described in Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The spectral matrix measure for 퐽 is a particular example of the general notion of matrix measure (see Appendix A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly to the “scalar” spectral measure for the Jacobi (the scalar one) case, is defined on Bor(R) and is tightly related to 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 퐽 can be recovered from its spectral matrix measure up to a unitary equivalence, as follows from Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6 below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall (see [44]): Definition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The spectral matrix measure 퐸퐽, �휑 for 퐽 is given by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) 퐸퐽, �휑 : Bor(R) → 푀푑(C), 퐸퐽, �휑(휔) := � 퐸퐽,휑 푗,휑푖 (휔) � 푖, 푗=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=',푑 ∈ 푀푑(C), 휔 ∈ Bor(R) (see (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) for the symbol 퐸퐽,휑 푗,휑푖), where �휑 = (휑1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 휑푘) is canonical cyclic system for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The analog of the scalar-Jacobi unitary representation result, mentioned above, can be formulated for our block-Jacobi case in a short way, as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 퐽 is unitary equivalent to the operator of the multiplication by x in the space 퐿2(푀).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For the full formulation and the proof in the general finitely cyclic case see [44, xMUE Theorem]7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, the above result means that the spectral matrix measure of 퐽 “contains” all the important spectral information about 퐽, similarly to the spectral measure 휇 in the scalar Jacobi case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For instance, such typically studied information, as: the absolute continuity or the singularity in some subset of R, the location of the spectrum and of some particular kinds of spectra of 퐽, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, “the nice properties” of the trace measure tr푀 (see A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) for matrix measure 푀 suggest that instead of dealing with spectral matrix measure, somewhat sophisticated at times, it could be more useful to deal with its trace measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Especially, when we try to “control” the above mentioned spectral properties of 퐽 related, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', to the absolute continuity or singularity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5, Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6, and Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 from Appendix A we discussed this problem in more details for its abstract (vector) measure theory aspect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Their main “spectral operator theory” consequences for 퐽 are Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8 and Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 7Also the detailed definition of the multiplication by a function operator in 퐿2-matrix measure spaces is presented there.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 15 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The two associated difference equations and “the solution extensions to -1”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푧 ∈ C let us consider two difference equations tightly related to J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The first — “the vector” one — is the infinite system of equations for a sequence 푢 = (푢푛)푛∈N0 ∈ ℓ(N0, C푑): (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20) (J푢)푛 = 푧푢푛, 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Each such a vector sequence 푢 is called generalized eigenvector (for 퐽 and 푧)8 — “gev” for short.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) equivalently its explicit form can be written (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21) 퐴∗ 푛−1푢푛−1 + 퐵푛푢푛 + 퐴푛푢푛+1 = 푧푢푛, 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The second difference equation — “the matricial” one — is the analog equation (with the right-side multiplication choice9) for a matrix sequence 푈 = (푈푛)푛∈N0 ∈ ℓ(N0, 푀푑(C)): (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) 퐴∗ 푛−1푈푛−1 + 퐵푛푈푛 + 퐴푛푈푛+1 = 푧푈푛, 푛 ≥ 1, and each such a matrix sequence 푈 is called matrix generalized eigenvector (for 퐽 and 푧) — “mgev” for short.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Having our BJM J fixed, for 푧 ∈ C we denote GEV(푧) := {푢 ∈ ℓ(N0, C푑) : 푢 is a gev for 퐽 and 푧} and parallelly MGEV(푧) := {푈 ∈ ℓ(N0, 푀푑(C)) : 푈 is a mgev for 퐽 and 푧}, being obviously liner subspaces of ℓ(N0, C푑) and ℓ(N0, 푀푑(C)), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1), both recurrence relations are of degree 2, in the sense that for any initial condition �퐶0, 퐶1 � ∈ (푀푑(C))2 there is a unique sequence 푈 satisfying (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) with 푈0 = 퐶0, 푈1 = 퐶1, and analogously for (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' More precisely, one easily check the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푧 ∈ C the map Ini푧;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='0,1 : GEV(푧) −→ �C푑�2, given by Ini푧;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='0,1(푢) = (푢0, 푢1), 푢 ∈ GEV(푧) , is a linear isomorphism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The analogous result is true for MGEV (푧) and (푀푑(C))2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular dim GEV(푧) = 2푑 and dim MGEV(푧) = 2푑2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' However, it is often more convenient to use another kind of “initial conditions”, namely “at −1 and 0” instead of 0 and 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To formulate this properly, we shall define first the appropriate extension of each solution (in both, vector and matrix cases), which is tightly related to the “a priori choice” of 퐴−1: (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23) 퐴−1 := − I .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The informal idea of the extension is simply to “extend to 푛 = 0” the system (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) (and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21) analogously) and to “compute the “value at −1”, using our choice made in (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', we get “푈−1 := (퐵0 − 푧 I)푈0 + 퐴0푈1” for the matrix case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Unfortunately, as one can see, such a definition seems to depend explicitly on the parameter 푧, and not only on 푈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, at the first sight it seems that the notation for the extension “to −1” of a solution 푈 has to contain always this parameter, which would be not very convenient.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And YES — it is true, that we have really this problem, extending in such a way any sequence 푈 ∈ ℓ(N0, 푀푑(C)) (similarly for the vector version).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So we define first the following family {푧•}푧∈C of “extending transformations” 푧• : ℓ(N0, 푀푑(C)) −→ ℓ(N−1, 푀푑(C)) given for 푈 ∈ ℓ(N0, 푀푑(C)) and 푧 ∈ C simply by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='24) (푧•푈)푛 := � (퐵0 − 푧 I)푈0 + 퐴0푈1 for 푛 = −1 푈푛 for 푛 ∈ N0 We shall use here the same notation for the vector sequences without any risk of confusion, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', we shall also write 푧•푢 for 푢 ∈ ℓ(N0, C푑) and 푧 ∈ C with the analogous meaning (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='25) (푧•푢)푛 := � (퐵0 − 푧 I)푢0 + 퐴0푢1 for 푛 = −1 푢푛 for 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 8Note here, that it is “generalized” for two reasons;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the first, because 푢 may not belong to Dom(퐽), not even ℓ2(N0, C푑), and the second, since we do not require the equality for 푛 = 0 above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 9The left-side one is also possible and used for several reasons, but we shall not consider it here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 16 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Therefore, for any 푧 ∈ C both kinds of transformations are linear, and moreover: (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='26) 푧•(푈퐶) = (푧•푈)퐶, for any 푈 ∈ ℓ(N0, 푀푑(C)), 퐶 ∈ 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fortunately, the situation is much simpler if we restrict ourselves to the subspace of all the (M)GEV-s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, we have: Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푧, 푤 ∈ C, 푧 ≠ 푤, then10 GEV(푧) ∩ GEV(푤) = {0}, MGEV(푧) ∩ MGEV (푤) = {0}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For the matrix case, consider 푈 satisfying both (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22), and its analog for 푤.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then, subtracting, we get 0 = (푧 − 푤)푈푛, 푛 ≥ 1, hence 푈푛 = 0 for any 푛 ∈ N, but now again by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) used only for 푛 = 1 we get also 푈0 = 0, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e, 푈 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ This means, that for any non-zero vector or matrix solution of our equations, the parameter ’푧’ is in fact “coded in the solution”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, the value of the extension •푧 for the zero sequence is obviously also the zero sequence (indexed from −1 already) by the linearity, independently of 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence denote GEV := � 푧∈C GEV(푧) , MGEV := � 푧∈C MGEV(푧) , and, thank to Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8, for any 푈 ∈ MGEV \\ {0} (푢 ∈ GEV \\ {0}) we can define Par(푈) (Par(푢)) as the unique number 푧 ∈ C satisfying 푈 ∈ MGEV(푧) (푢 ∈ GEV(푧)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, we can simplify our notation and omit the parameter ’푧’, defining : MGEV −→ ℓ(N−1, 푀푑(C)) given for 푈 ∈ MGEV simply by the formula (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='27) 푈 := � Par(푈)•푈 for 푈 ≠ 0 0 for 푈 = 0 and analogically for 푢 ∈ GEV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, taking into account (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23), let us consider “extensions” of the systems (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22): (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28) 퐴∗ 푛−1푢푛−1 + 퐵푛푢푛 + 퐴푛푢푛+1 = 푧푢푛, 푛 ≥ 000 for sequences 푢 = (푢푛)푛∈N−1 ∈ ℓ(N−1, C푑) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='29) 퐴∗ 푛−1푈푛−1 + 퐵푛푈푛 + 퐴푛푈푛+1 = 푧푈푛, 푛 ≥ 000 for sequences 푈 = (푈푛)푛∈N−1 ∈ ℓ(N−1, 푀푑(C)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Their solutions will be called extended generalized eigenvectors and extended matrix generalized eigenvectors, respectively, (for 퐽 and 푧) — “egev” and “emgev” for short.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We denote also GEV−1 (푧) := � 푢 ∈ ℓ(N−1, C푑) : 푢 is an egev for 퐽 and 푧 � and MGEV−1 (푧) := � 푈 ∈ ℓ(N−1, 푀푑(C)) : 푈 is an emgev for 퐽 and 푧 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us formulate explicitly some simple relations between all the above “extended” and “non-extended” notions and the • transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푧 ∈ C the following assertions hold: (i) ↾GEV(푧) = 푧•↾GEV(푧), (ii) ↾GEV(푧): GEV(푧) −→ GEV−1 (푧) is a linear isomorphism between GEV(푧) and GEV−1 (푧), (iii) � ↾GEV(푧) �−1 푢 = 푢↾N0 for any 푢 ∈ GEV−1 (푧), (iv) for any (푐−1, 푐0) ∈ (C푑)2 there is a unique 푢 ∈ GEV−1 (푧) with 푢−1 = 푐−1, 푢0 = 푐0, 10Below 0 denotes the zero sequence both for the C푑-vector and for the matrix case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 17 and their obvious reformulations for the matrix sequences variants are also true.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let’s check, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', the C푑 vector version.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that (i) is in fact the definition of •.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using this and taking 푢 ∈ GEV(푧), 푣 ∈ GEV−1 (푧), we get obviously (•푢)↾N0= 푢 by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='25), but we get also (푣↾N0) = 푣, because 푣 satisfies (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28) — in particular for 푛 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Linearity is clear by the definition, so (ii) and (iii) hold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Part (iv) follows directly from (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ It can be easily checked that (e)mgev-s and (e)gev-s are mutually related in the following simple ways.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푈 ∈ ℓ(N−1, 푀푑(C)), 푧 ∈ C, then (i) 푈 is an emgev for 퐽 and 푧 iff for any 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑 the vector sequence 푈 { 푗} := �푈 { 푗} 푛 � 푛∈N−1 ∈ ℓ(N−1, C푑) is an egev for 퐽 and 푧;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) If 푈 is an emgev for 퐽 and 푧 then for any 푣 ∈ C푑 the vector sequence 푈푣 := (푈푛푣)푛∈N−1 ∈ ℓ(N−1, C푑) is an egev for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The analog result holds for sequences 푈 ∈ ℓ(N0, 푀푑(C)) and mgev-s and gev-s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' According to Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9(iv) for the matrix case, for any 푧 ∈ C choose 푄(푧), 푃(푧) ∈ MGEV−1 (푧) corresponding to (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) � 푄−1(푧) = I 푄0(푧) = 0, � 푃−1(푧) = 0 푃0(푧) = I, with the following general notation: for any sequence 푈(푝) = ((푈(푝))푛)푛∈N푘 depending on an extra “function variable type parameter” 푝: (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='31) 푈푛(푝) := (푈(푝))푛, 푛 ∈ N푘 for any 푝.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The two sequences of functions 푄, 푃 are the so-called the second and the first kind matrix orthogonal polynomials11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We can also use “the conditions in 0, 1” instead of those “in −1, 0”: (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='32) � 푄0(푧) = 0 푄1(푧) = 퐴−1 0 , � 푃0(푧) = I 푃1(푧) = 퐴−1 0 (푧 I −퐵0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The linear space of matrix solutions MGEV−1 (푧) and the special solutions 푄(푧) and 푃(푧) have some important algebraic properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푧 ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (i) If 푈 ∈ MGEV−1 (푧), then for any 푉 ∈ 푀푑(C) also 푈푉 = (푈푛푉)푛∈N0 ∈ MGEV−1 (푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) Each 푈 ∈ MGEV−1 (푧) has the form (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33) 푈 = 푃(푧)푆 + 푄(푧)푇, for a unique pair (푆,푇) of matrices from 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This pair is given by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34) � 푆 := 푈0 푇 := 푈−1 = (퐵0 − 푧 I)푈0 + 퐴0푈1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (iii) For any 푆 ∈ 푀푑(C) the matrix sequence 퐻 := (푃(푧)푆)↾N0 satisfies “the formal matrix eigenequa- tion for J and 푧”, namely: 퐻 ∈ MGEV(푧) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='35) 퐵0퐻0 + 퐴0퐻1 = 푧퐻0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, for any 푣 ∈ C푑 \\ {0} the C푑-sequence ℎ := (푃(푧)푣)↾N0 is an eigenvector of the formal operator J for 푧: (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='36) Jℎ = 푧ℎ, ℎ ≠ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 11More precisely, this name and the orthogonality property belong to the appropriate two sequences (푄푛)푛∈N, (푃푛)푛∈N0 of matrix valued polynomial functions 푄푛, 푃푛 on R or on C with the values at each 푧 given by above defined 푄푛(푧), 푃푛(푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 18 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Part (i) is obvious.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, using it, by linearity, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) and by the unicity from Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9(iv), we get (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33) with 푆 and 푇 given by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' — I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', we can simply assume that some 푆 and 푇 are given by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34) and then we see that the initial conditions of the solution on the RHS of (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33) are just the pair (푈−1,푈0), which proves (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33) by the unicity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, to finish (ii) we should check that the choice of the pair (푆,푇) is also unique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By the linearity, it suffices to check only that if 푃(푧)푆 + 푄(푧)푇 is the zero solution, then 푆 = 푇 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Indeed, in this case we have 0 = 푃0(푧)푆 + 푄0(푧)푇 = 푆 and 0 = 푃−1(푧)푆 + 푄−1(푧)푇 = 푇.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, to get (iii), we can first use (i) with (ii) for 푈 of the form (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33) with 푇 = 0, so, using also Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9 (the matrix version), we get 퐻 ∈ MGEV(푧) with (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='35) obtained by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34) for 푇 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now we obtain (Jℎ)푛 = 푧ℎ푛 by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) for 푛 ≥ 1 and separately for 푛 = 0 from (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='35) with 푆 = I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally ℎ ≠ 0, because by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) ℎ0 = (푃(푧)푣)0 = 푃0푣 = 푣 ≠ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Transfer matrices and the Liouville–Ostrogradsky formulae.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In the scalar case 푑 = 1 the transfer matrix sequences turned out to be a very useful tool for describing spectral properties of the operator 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As we shall see, this is the case of general dimension 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us fix here 푧 ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our basic difference equations: the generalized eigenequation (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20), its matrix analog (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22), as well as their extended variants, can be written in equivalent forms with the use of the so-called (one step) transfer matrices (for 퐽 and 푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The 푛-th transfer matrix 푇푛(푧) ∈ 푀2푑(C) has the block form, with blocks in 푀푑(C): (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) 푇푛(푧) := � 0 I −퐴−1 푛 퐴∗ 푛−1 퐴−1 푛 (푧 I −퐵푛) � , 푛 ≥ 0 (for 푛 = 0 recall that 퐴−1 = − I by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, obviously, (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21) ((3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28)) is equivalent to (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='38) � 푢푛 푢푛+1 � = 푇푛(푧) �푢푛−1 푢푛 � , 푛 ≥ 1 (≥ 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly, (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) ((3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='29)) is equivalent to (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='39) � 푈푛 푈푛+1 � = 푇푛(푧) � 푈푛−1 푈푛 � , 푛 ≥ 1 (≥ 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us observe that 푇푛(푧) is invertible and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='40) �푇푛(푧)�−1 = ��퐴∗ 푛−1 �−1(푧 I −퐵푛) −�퐴∗ 푛−1 �−1퐴푛 I 0 � , 푛 ≥ 0, which is clear by direct multiplying (or by expressing 푢푛−1 by 푢푛 and 푢푛−1 from (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover we define the 푛-step transfer matrix by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41) 푅푛(푧) = 푇푛−1(푧) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푇0(푧), 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This name is justified, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', by the property (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='42) � 푈푛−1 푈푛 � = 푅푛(푧) � 푈−1 푈0 � , 푛 ≥ 1, which we obtain from (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='39).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='42) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) we get (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43) 푅푛(푧) = � 푄푛−1(푧) 푃푛−1(푧) 푄푛(푧) 푃푛(푧) � , 푛 ≥ 1, being simply a direct consequence of 푅푛(푧) = 푅푛(푧) � I 0 0 I � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Presently we shall derive a formula for the inverse of 푅푛(푧) expressing it explicitly in terms of 푅푛(푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us set (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='44) 퐾푛 := � 퐴∗ 푛 0 0 I � , 푛 ≥ −1 and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='45) ˜푇푛(푧) := 퐾푛푇푛(푧)퐾−1 푛−1, 푛 ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 19 So by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) ˜푇푛(푧) = � 0 퐴∗ 푛 −퐴−1 푛 퐴−1 푛 (푧 I −퐵푛) � , 푛 ≥ 0 Therefore, defining Ω := � 0 I − I 0 � , we verify by direct computations that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='46) Ω = � ˜푇푛(푧)�∗Ω˜푇푛(푧), 푛 ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By using (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='45) we get (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='47) 푅푛(푧) = (퐾−1 푛−1 ˜푇푛−1(푧)퐾푛−2)(퐾−1 푛−2 ˜푇푛−2(푧)퐾푛−3) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (퐾−1 0 ˜푇0(푧)퐾−1) = 퐾−1 푛−1 ˜푅푛(푧)퐾−1, where (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='48) ˜푅푛(푧) := ˜푇푛−1(푧) ˜푇푛−2(푧) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' ˜푇0(푧), 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We claim that (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) Ω = � ˜푅푛(푧)�∗Ω ˜푅푛(푧), 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We shall prove it inductively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='48) we have ˜푅1(푧) = ˜푇0(푧) for any 푧 ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, in view of (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='46) the formula (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) holds true for 푛 = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Next, if (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) holds for some 푛 ≥ 1, then by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='46) we have Ω = � ˜푅푛(푧)�∗Ω ˜푅푛(푧) = � ˜푅푛(푧)�∗��˜푇푛(푧)�∗Ω˜푇푛(푧) � ˜푅푛(푧) = � ˜푅푛+1(푧)�∗Ω ˜푅푛+1(푧), where in the last equality we have used (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='48).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It ends the inductive step in the proof of (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by multiplying both sides of (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) by Ω−1 on the left and then by � ˜푅푛(푧)�−1 on the right we arrive at � ˜푅푛(푧)�−1 = Ω−1� ˜푅푛(푧)�∗Ω.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, using twice (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='47) we can derive �푅푛(푧)�−1 = 퐾−1 −1Ω−1�퐾−1 −1 �∗�푅푛(푧)�∗퐾∗ 푛−1Ω퐾푛−1, so, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='44), finally (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='50) �푅푛(푧)�−1 = � 0 I − I 0 � �푅푛(푧)�∗ � 0 퐴푛−1 −퐴∗ 푛−1 0 � , 푧 ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The following result is well-known, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [3, Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2] and [46, Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our proof seems to be new.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12 (Liouville–Ostrogradsky).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푤 ∈ C one has 푄푘 (푤)�푃푘(푤)�∗ = 푃푘(푤)�푄푘 (푤)�∗, 푘 ≥ 0 (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='51) 푄푘 (푤)�푃푘−1(푤)�∗ − 푃푘(푤)�푄푘−1(푤)�∗ = 퐴−1 푘−1, 푘 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='52) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='50) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43) we have �I 0 0 I � = 푅푘(푤)푅−1 푘 (푤) = �−푃푘−1(푤) 푄푘−1(푤) −푃푘(푤) 푄푘 (푤) � �−�푄푘 (푤)�∗퐴∗ 푘−1 �푄푘−1(푤)�∗퐴푘−1 −�푃푘(푤)�∗퐴∗ 푘−1 �푃푘−1(푤)�∗퐴푘−1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, the formulas (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='51) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='52) follows from computing the last row.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The Weyl function Similarly to the scalar Jacobi case, Weyl coefficient (being a matrix for the block case), is the main object in the method of subordinacy, which gives the link between generalized eigenvectors and the absolute continuous and the singular part of the spectral measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And consequently – the absolutely continuous and the singular spectrum of 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 20 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' ℓ2 matrix solutions and the matrix Weyl function 푊.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In the scalar Jacobi case “the scalar orthogonal polynomials” are used, with the common notation 푝(푧) := 푃(푧), 푞(푧) := 푄(푧) for 푧 ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' That is, since 푑 = 1, we treat complex numbers as elements of 푀푑(C) and also as C푑-vectors, and 푝(푧), 푞(푧) are solutions of both (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='29), being now just the same equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is also well-known for this case that if 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and 푧 ∈ C \\ R, then neither 푝(푧)↾N0, nor 푞(푧)↾N0 belong to the Hilbert space ℓ2(N0, C) in which Jacobi operator 퐽 acts, and there exists exactly one 푤(푧) ∈ C such that (푤(푧)푝(푧) + 푞(푧))↾N0∈ ℓ2(N0, C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Surely, instead of making the restriction to N0, we can equivalently just claim here that 푝(푧), 푞(푧) ∉ ℓ2(N−1, C), and 푤(푧)푝(푧) + 푞(푧) ∈ ℓ2(N−1, C), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The above unique 푤(푧) is called the Weyl coefficient (for 퐽 and 푧), and the appropriate function 푤 : C \\ R −→ C is called the Weyl function for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall here some less known generalisations of the above results and definitions for block Jacobi case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe first, that if 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', and 푧 ∈ C \\ R, then 푧 ∉ 휎(퐽), so denote: (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) 푢( 푗) (푧) := (퐽 − 푧 I)−1훿0(푒 푗), 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, for any 푗 we have 푢( 푗) (푧) ∈ Dom(퐽) ⊂ ℓ2(N0, C푑) and J푢( 푗) (푧) = 푧푢( 푗) (푧) + 훿0(푒 푗), 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Considering the terms 푛 ≥ 1 of the above equality of sequences we see that each 푢( 푗) (푧) is a gev for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, taking the term 푛 = 0 we get (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) 푒 푗 = � (J − 푧 I)푢( 푗) (푧) � 0 = (퐵0 − 푧 I)푢( 푗) 0 (푧) + 퐴0푢( 푗) 1 (푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, defining the matrix sequences (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) ˜푈(푧) := [푢(1) (푧), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푢(푑) (푧)] ∈ ℓ(N0, 푀푑(C)) and 푈(푧) := •( ˜푈(푧)) ∈ ℓ(N−1, 푀푑(C)) we have 푈(푧) ∈ ℓ2(N−1, 푀푑(C)), and by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10 (the version for gev-s and mgev-s) and by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9 we see that 푈(푧) is an emgev for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We call it Weyl matrix solution for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='24) and (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) we obtain (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) I = (퐵0 − 푧 I)푈0(푧) + 퐴0푈1(푧) = 푈−1(푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We can now formulate the expected result on “matrix ℓ2 solutions” (see [2, Theorem VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8] for similar result with a sketch of the proof;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' we give here a full and simple proof for the sake of self-sufficiency).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and 푧 ∈ C \\ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then there exists exactly one 푊(푧) ∈ 푀푑(C) such that (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) 푃(푧)푊(푧) + 푄(푧) ∈ ℓ2(N−1, 푀푑(C)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, with the above unique 푊(푧) (i) 푃(푧)푊(푧) + 푄(푧) is the Weyl matrix solution for 퐽 and 푧: (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) 푃(푧)푊(푧) + 푄(푧) = 푈(푧);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) 푊(푧) = 푈0(푧), (iii) det푊(푧) ≠ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fix 푧 ∉ R and consider the Weyl matrix solution 푈(푧) for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11(ii) 푈(푧) has the form (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33), where 푆 = 푈0(푧) and 푇 = 푈−1(푧) = I, by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This proves the “exists”– part of the assertion and (ii).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us prove the uniqueness, now.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that for some 푧 ∉ R there exist two different matrices “푊(푧)” satisfying (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then, subtracting, we get a non-zero 퐶 ∈ 푀푑(C) such that 푃(푧)퐶 ∈ ℓ2(N−1, 푀푑(C)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, choosing 푤 ∈ C푑 such that 푣 := 퐶푤 ≠ 0 we get 푃(푧)푣 ∈ ℓ2(N−1, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, using Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11(iii), for ℎ := (푃(푧)푣)↾N0 we get J ℎ = 푧ℎ ∈ ℓ2(N0, C푑), which means that ℎ ∈ Dom(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover ℎ ≠ 0, because ℎ0 = 푃0(푧)푣 = I 푣 = 푣 ≠ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus ℎ is an eigenvector of 퐽 with the eigenvalue 푧 ∉ R — a contradiction with the assumption, that 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 21 To prove that 푊(푧) = 푈0(푧) is invertible, consider 푣 ∈ Ker푈0(푧) and the sequence 푤 := (푈(푧)푣)↾N0∈ ℓ(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) and by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) we see that 푤 is such a gev that ((J − 푧 I)푤)0 = (퐵0 − 푧 I)푤0 + 퐴0푤1 = (퐵0 − 푧 I)푈0(푧)푣 + 퐴0푈1(푧)푣 = I 푣 = 푣 = (훿0(푣))0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence we have (a) (J − 푧 I)푤 = 훿0(푣), (b) 푤0 = 푈0(푧)푣 = 0, (c) 푤 ∈ ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now (a) gives J푤 = 푧푤 + 훿0(푣), so by (c) both 푤 and J푤 are in ℓ2(N0, C푑), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푤 ∈ Dom(퐽) and (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) (퐽 − 푧 I)푤 = (J − 푧 I)푤 = 훿0(푣).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But (b) means in particular that 푤0 ⊥ 푣, which allows us to get the expected assertion 푣 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' — Indeed, by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) we obtain ⟨훿0(푣), 푤⟩ = ⟨퐽푤, 푤⟩ − 푧 ∥푤∥2 and on the other hand ⟨훿0(푣), 푤⟩ = ⟨푣, 푤0⟩C푑 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, using the s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' of 퐽, we get 푧 ∥푤∥2 = ⟨퐽푤, 푤⟩ ∈ R, but since 푧 ∉ R, 푤 has to be 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Corollary 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and 푧 ∈ C \\ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 푃(푧), 푄(푧) ∉ ℓ2(N−1, 푀푑(C)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We have 푄(푧) = 푃(푧)0 + 푄(푧), so if 푄(푧) ∈ ℓ2(N−1, 푀푑(C)) then 푊(푧) = 0 by the uniqueness from Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But it contradicts the condition det 푊(푧) ≠ 0 from (iii).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푄(푧) ∈ ℓ2(N−1, 푀푑(C)) then using (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) and (iii) we get 푃(푧)+푄(푧)(푊(푧))−1 ∈ ℓ2(N−1, 푀푑(C)), so also 푄(푧)(푊(푧))−1 ∈ ℓ2(N−1, 푀푑(C)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But then also 푄(푧) = �푄(푧)(푊(푧))−1� 푊(푧) ∈ ℓ2(N−1, 푀푑(C)), which contradicts the part just proved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐽 be s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For fixed 푧 ∈ C \\ R such 푊(푧), that (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) holds is called the matrix Weyl coefficient (for 퐽 and 푧), and the appropriate function 푊 : C \\ R −→ 푀푑(C) is called the matrix Weyl function (for 퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12 We omit here the dependence on 퐽 in the notation, assuming that we consider a fixed 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Here we present also a result being a stronger version of [61, Proposition 3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us stress that we do not assume the self-adjointness of 퐽 at this moment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푧 ∈ C denote (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) GEVℓ2(푧) := GEV(푧) ∩ ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall that by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 we have dim (GEV(푧)) = 2푑, and let us think about the dimension of its subspace GEVℓ2(푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To find it in some cases, consider also EV(푧) — the eigenspace for 퐽 and 푧, which in the case of arbitrary 푧 ∈ C is defined by EV(푧) := {푢 ∈ Dom(퐽) : 퐽푢 = 푧푢} (and so, it is just the trivial zero space if 푧 is not an eigenvalue of 퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since 퐽 is the maximal block Jacobi operator (see (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3)), we have (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) EV(푧) = {푢 ∈ GEVℓ2(푧) : ((퐽 − 푧)푢)0 = 0}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Indeed, the above equality follows directly from GEVℓ2(푧) ⊂ Dom(퐽), which holds, because for 푢 ∈ GEVℓ2(푧) we have 푢 ∈ ℓ2(N0, C푑), so also 푧푢 ∈ ℓ2(N0, C푑), but J푢 and 푧푢 differ at most at the zero term, hence J푢 ∈ ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푧 ∈ C \\ 휎푝(퐽), then dim(GEVℓ2(푧)) ≤ 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If, moreover, 푧 ∈ C \\ 휎(퐽), then dim(GEVℓ2(푧)) = 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 12Using the argumentation from the proof of Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 and from the beginning of this subsection one can easily see that in fact it suffices here to assume that 푧 ∈ C \\ 휎(퐽) to properly define the matrix Weyl coefficient for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But note also that the invertibility of 푊(푧) from property (iii) is guaranteed only for 푧 ∈ C \\ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 22 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider first an arbitrary 푧 ∈ C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and define Ψ : GEVℓ2(푧) −→ C푑 by Ψ(푢) := ((퐽 − 푧 I)푢)0 , 푢 ∈ GEVℓ2(푧) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is a linear transformation and by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) Ker Ψ = EV(푧).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, by the standard linear algebra result, dim (GEVℓ2(푧)) = dim (EV(푧)) + dim (Ran Ψ) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, if 푧 ∈ C \\ 휎푝(퐽), then dim(GEVℓ2(푧)) = dim(Ran Ψ) ≤ 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But, if moreover 푧 ∈ C \\ 휎(퐽), then Ran(퐽 − 푧 I) = ℓ2(N0, C푑), so in particular, for any 푣 ∈ C푑 we have 훿0(푣) ∈ Ran(퐽 − 푧 I).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, for some 푢 ∈ Dom(퐽) 퐽푢 − 푧푢 = 훿0(푣), thus 푢 ∈ GEVℓ2(푧) and Ψ(푢) = 푣 for such 푢.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, Ran Ψ = C푑 and dim(GEVℓ2(푧)) = dim(Ran Ψ) = 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ This result gives in particular dim(GEVℓ2(푧)) = 푑, when 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and 푧 ∈ C \\ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, one can easily see that for such 푧 GEVℓ2(푧) = lin{푢( 푗) (푧) : 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑}, where 푢( 푗) (푧) are defined by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1), and they are just the successive 푗-th column sequences (푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑) of the matrix sequence ˜푈(푧), being the restriction to N0 of the Weyl matrix solution 푈(푧) for 퐽 and 푧 (see (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The Cauchy transform of the spectral matrix measure and the matrix Weyl function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us assume also here that 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The Cauchy transform of the spectral matrix measure 푀 := 퐸퐽, �휑 from (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) of 퐽 is defined as C퐽 : C \\ R −→ 푀푑(C), with (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) C퐽 (푧) := ∫ R 1 휆 − 푧 d푀(휆), 푧 ∈ C \\ R, where the above integral is understood in the sense of (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) means just (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) C퐽 (푧) := �∫ R 1 휆 − 푧 d푀푖, 푗 (휆) � 푖, 푗=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=',푑 , with 푀푖, 푗 = 퐸퐽,휑 푗,휑푖, 푖, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑, and 휑 푗 given by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, by spectral calculus for s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' operators, for 푧 ∈ C \\ R we get (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) C퐽 (푧) := �∫ R 1 휆 − 푧 d퐸퐽,휑 푗,휑푖 (휆) � 푖, 푗=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=',푑 = �� (퐽 − 푧 I)−1훿0(푒 푗), 훿0(푒푖) �� 푖, 푗=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=',푑 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1), (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) and (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) for any 푖, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑 (C퐽 (푧))푖, 푗 = � 푢( 푗) (푧), 훿0(푒푖) � = � (푢( 푗) (푧))0, 푒푖 � C푑 = (푈0(푧))푖, 푗 for 푧 ∈ C \\ R, where 푢( 푗) (푧) is given by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) and 푈(푧) is Weyl matrix solution for 퐽 and 푧.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, by Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1, we get Fact 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', then the Cauchy transform of the spectral matrix measure of 퐽 is equal to the matrix Weyl function for 퐽 and moreover, for any 푧 ∈ C \\ R C퐽 (푧) = 푊(푧) = 푈0(푧) = �� (퐽 − 푧 I)−1훿0(푒 푗), 훿0(푒푖) �� 푖, 푗=1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=',푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 23 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The boundary limits of the matrix Weyl function and the properties of the spectral trace measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume here the self-adjointness of 퐽, as before, and let us use the notation from the previous subsection, including 푀 := 퐸퐽, �휑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5 implies that 푊 is a holomorphic matrix-valued function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Also by Fact 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5, by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) and (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) for any 푧 ∈ C \\ R (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) Im푊(푧) = Im �C퐽 (푧)� = 1 2푖 ∫ R � 1 푡 − 푧 − 1 푡 − 푧 � d푀(푡) = Im(푧) ∫ R 1 |푡 − 푧|2 d푀(푡), which is a non-negative matrix on C+.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence the restriction of 푊 to C+ is a matrix Herglotz function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Denote 퐿(푊) := � 휆 ∈ R : lim 휖 →0+ 푊(휆 + 푖휖) exists13 � , and 푊(휆 + 푖0) := lim 휖 →0+ 푊(휆 + 푖휖), 휆 ∈ 퐿(푊), and define the following sets: 푆ac,r := � 휆 ∈ 퐿(푊) : rank� Im푊(휆 + 푖0)� = 푟 � , 1 ≤ 푟 ≤ 푑, (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) 푆ac := 푑 � 푟=1 푆ac,r , (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) 푆sing := � 휆 ∈ R : lim 휖 →0+ Im � tr푊(휆 + 푖휖)� = +∞ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) In particular it follows that (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) 푆sing ⊂ R \\ 퐿(푊).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Referring to (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16), observe that for any 퐴 ∈ 푀푑(C) tr(Im 퐴) = Im(tr 퐴).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is important that (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) means simply (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) 푆ac = � 휆 ∈ 퐿(푊) : Im푊(휆 + 푖0) ≠ 0 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall now the crucial result, joining the above defined sets with properties of 푀ac and 푀sing — the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and the sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' parts w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the Lebesgue measure | · | on Bor(R) (see Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) of the spectral matrix measure 푀 of 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This theorem is obtained just as the direct use of the abstract result [13, Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1] to the spectral matrix measure 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Define 퐷 : 퐿(푊) −→ 푀푑(C) by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) 퐷(휆) := 1 휋 Im푊(휆 + 푖0), 휆 ∈ 퐿(푊).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (i) 푆sing is a support of 푀sing;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) |R \\ 퐿(푊)| = 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (iii) 퐷 is a density of 푀ac on 퐿(푊) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' | · |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, this theorem shows that controlling of the boundary limits of the matrix Weyl function allows to get a lot of detailed information about the spectral matrix measure of 퐽 and of its sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' parts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Combining the theorem with Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 we get: Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푆ac is a minimal support of (tr푀)ac with respect to | · |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover 푆sing is a support of (tr푀)sing and |푆sing| = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, 푆ac ∪ 훿 is also a minimal support of (tr푀)ac with respect to | · | for any Borel 훿 ⊂ R with |훿| = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 13As the limit in 푀푑(C), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', in particular the limit must belong to 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 24 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We use Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 taking: 휈 := | · | so, also Ω := R and 픐 := Bor(R), 푆푎 := 푆ac , 푆푠 := 푆sing , 퐹 := 퐷↾푆ac and by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) with (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) we see that 푆푎 ∩ 푆푠 = ∅, that is, the assumption (ii) of the lemma holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, (ii) of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6 shows that 퐿(푊) is a support of 푀ac, since this matrix measure, by definition, is a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' | · |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But (iii) of this theorem with (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) and (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) mean, that the restriction of 푀ac to 퐿(푊) \\ 푆ac is the zero matrix measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore 푆ac is also a support of 푀ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This together with (i) of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6 prove that the assumption (i) of the lemma holds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The assumption (iii) also holds, by the fact that 푆ac ⊂ 퐿(푊) and by (iii) of Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6, again.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And (iv) of the lemma is obvious by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 yields the first two assertions and |푆sing| = 0 by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) with (iii) of the theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The last assertion is obvious just by the definition of minimal support.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The boundary limits and spectral consequences for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume the self-adjointness of 퐽, and let us hold the notation as above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Here we “translate” Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6 into the spectral operator language via Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, we show: Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is self-adjoint and 퐺 ∈ Bor(R).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (i) If 퐺 ⊂ R \\ 푆sing, then 퐽 is absolutely continuous in 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) If 퐺 ⊂ 푆ac ∪ (R \\ (퐿(푊) ∪ 푆sing)), then 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, if moreover 퐺 is open, or if 퐺 is a sum of an arbitrary family of connected non-singletons in R, then cl(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' First of all, by Proposition 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2, 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' finitely-cyclic operator, with �휑 being a cyclic system for 퐽 and with 푀 being the spectral matrix measure of 퐽 and �휑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence the initial assumptions of [44, Theorem C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2] hold for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, using its assertion (2), we obtain our (i), because, by Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7, (tr푀)sing(퐺) = 0 for 퐺 ⊂ R \\ 푆sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6(iii) we get |R \\ (퐿(푊) ∪ 푆sing)| = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, 푆ac ∪ �R \\ (퐿(푊) ∪ 푆sing)� is a minimal support of (tr푀)ac with respect to | · | by Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover (tr푀)sing(퐺) = 0, again because 푆ac ∪ �R \\ (퐿(푊) ∪ 푆sing)� ⊂ R \\ 푆sing and 푆sing is a support of (tr푀)sing by By Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6(i).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, using the assertion (3) of [44, Theorem C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2] The assertion for the special kinds of 퐺 follows form the property clLe(퐺) = cl(퐺), which holds for those 퐺 (see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', [44, Fact C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' An analog of the Jitomirskaya–Last’s approach This is the most important part of the article.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' — It contains the main new ideas allowing to get some analogies of the 1-dimensional subordinacy results also in the 푑-block case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' However, one of key technical tools used in our proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12 is a generalisation of the Jitomirskaya–Last’s idea from [30].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The vector and matrix nonsubordinacy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We start with a new notion, which seems natural from the context of the crucial notion of subordinated solutions in the 푑 = 1 case from Gilbert–Pearson–Khan subordination theory (see [16, 33]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall that the “interpolated” semi-norms ∥·∥[0,푡] were introduced here in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Definition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that 퐽 satisfies vector nonsubordinacy (condition) for 휆 ∈ R iff14 for each pair of non-zero 푢, 푣 ∈ GEV−1 (휆) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) lim inf 푡→+∞ ∥푢∥ [0,푡] ∥푣∥[0,푡] < +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Nevertheless, the followingmatrixgev termsformulation seems to be more convenient for our purposes: 퐽 satisfies matrix nonsubordinacy condition for 휆 ∈ R iff for each pair of non-zero 푈,푉 ∈ MGEV−1 (휆) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) lim inf 푡→+∞ ∥푈∥[0,푡] ∥푉∥ [0,푡] < +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 14Note that we consider here the function given by the fraction ∥푢 ∥2 [0,푡] ∥푣 ∥2 [0,푡] for 푡 > 0 only, and the denominator is positive since here sequences are not the zero sequence and they belong to GEV;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly for the definition below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 25 Note here that the choice of “liminf-s over 푡 > 0”, instead of more original Khan and Pearson’s like “liminf-s over 푛 ∈ N”, does not matter, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', is equivalent to this original.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' One direction of the implication follows directly from the definition of lim inf, and the other can be immediately obtained by Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' As we shall see soon, also the distinction “vector” / “matrix” is not very important here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We can use the symmetry w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푢 and 푣 or 푈 and 푉, respectively, and we get: Fact 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 퐽 satisfies vector nonsubordinacy for 휆 ∈ R iff for each pair of non-zero 푢, 푣 ∈ GEV−1 (휆) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) lim sup 푡→+∞ ∥푢∥ [0,푡] ∥푣∥[0,푡] > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And analogically in the matrix nonsubordinacy case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us formulate now an important spectral consequence of vector nonsubordinacy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall that GEVℓ2(휆) was defined in (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is self-adjoint and it satisfies vector nonsubordinacy for some 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then dim(GEVℓ2(휆)) = 0 and 휆 ∈ 휎(퐽) \\ 휎p(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푢, 푣 ∈ GEV−1 (휆) be non-zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Fact 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 there exists a constant 푐 > 0 and a sequence (푡푘)푘 ∈N tending to +∞ such that ∥푢∥[0,푡푘 ] ≥ 푐 ∥푣∥ [0,푡푘 ] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, taking the limit we get (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) 1 푐 ∥푢∥ [0,+∞] ≥ ∥푣∥ [0,+∞] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, if it existed a non-trivial 푢 ∈ ℓ2(N0, C푑), then all 푣 would be also in ℓ2(N0, C푑).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But then the operator 퐽 would not be self-adjoint, by [12, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus each non-zero 푢 ∈ GEV−1 (휆) is not square-summable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4 yields the last assertion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ As we already announced, vector and matrix nonsubordinacy are equivalent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 퐽 satisfies matrix nonsubordinacy for 휆 iff it satisfies vector nonsubordinacy for 휆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (⇒) Take any non-zero 푢, 푣 ∈ GEV−1 (휆) and view them as a sequence of column vectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us define 푈푛 := 퐸푢푛, 푉푛 := 퐸 푣푛, 푛 ≥ −1, cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the first column of 푈푛 is equal to the column vector 푢푛 and the rest is zero, analogously for 푉푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10 both 푈,푉 ∈ MGEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5 for any 푛 ≥ −1 we have ∥푈푛∥ = ∥푢푛∥ and ∥푉푛∥ = ∥푣푛∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, ∥푈∥[0,푡] = ∥푢∥ [0,푡] and ∥푉∥ [0,푡] = ∥푣∥[0,푡] for any 푡 ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, the condition (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) implies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (⇐) Let us observe that for any 푋 ∈ MGEV−1 (휆) and any 푤 ∈ C푑 such that ∥푤∥ = 1 we have (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) ∥푋푤∥2 [0,푡] ≤ ∥푋∥2 [0,푡] ≤ 푑 � 푖=1 ∥푋푒푖∥2 [0,푡] , 푡 > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푈,푉 ∈ MGEV−1 (휆) be non-zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then there exists 푤 ∈ C푑 such that ∥푤∥ = 1 and 푉푤 is non-zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) we have (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) ∥푈∥2 [0,푡] ∥푉∥2 [0,푡] ≤ 푑 � 푖=1 ∥푈푒푖∥2 [0,푡] ∥푉푤∥2 [0,푡] , 푡 > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10, 푈푒푖 ∈ GEV−1 (휆) for 푖 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑 and 푉푤 ∈ GEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) we get lim inf 푡→+∞ ∥푈푒푖∥2 [0,푡] ∥푉푤∥2 [0,푡] < +∞, 푖 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑, which together with (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) implies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 26 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Barriers and barrier nonsubordinacy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In what follows, we need to make the concept of matrix nonsubordinacy more controllable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The goal is to control two things: a bound on the ratio ∥푈 ∥ [0,푡] ∥푉 ∥ [0,푡] for any fixed “large” 푡 and 휆 ∈ 퐺, but joint for all such 푈,푉 ∈ MGEV−1 (휆) which are “normalized” in a proper sense — the key one!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the size of the above bound as a function of 푡.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, we define: Definition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐺 ⊂ R be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' A function 픟 : 퐺 × [1, ∞) −→ R is a barrier (on 퐺, for 퐽) iff for each 휆 ∈ 퐺 and each pair 푈,푉 ∈ MGEV−1 (휆) normalized by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) ∥푈−1∥2 + ∥푈0∥2 = ∥푉−1∥2 + ∥푉0∥2 = 1 the estimate (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) � ∥푈∥[0,푡] ∥푉∥ [0,푡] �2 ≤ 픟(휆, 푡) holds for all 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To shorten the notation related to our normalisation let us denote S := � (푋, 푋 ′) ∈ 푀푑(C) × 푀푑(C) : ∥푋∥2 + ∥푋 ′∥2 = 1 � and, for 휆 ∈ C, MGEVnor (휆) := {푈 ∈ MGEV−1 (휆) : (푈−1,푈0) ∈ S}, MGEV★ (휆) := MGEV−1 (휆) \\ {0}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, for (푋, 푋 ′) ∈ 푀푑(C) × 푀푑(C) denote [(푋, 푋 ′)]퐼 := 푋, [(푋, 푋 ′)]퐼 퐼 := 푋 ′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By the homogeneity of all the norms and semi-norms, and by the use of the “symmetrization w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푈 and 푉” we easily obtain: Remark 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let ∅ ≠ 퐺 ⊂ R and 픟 : 퐺 × [1, ∞) −→ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (i) If 픟 is a barrier, then 픟(휆, 푡) ≥ 1 for any 휆 ∈ 퐺, 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) If 픟 is strictly positive, then TFCAE: (a) 픟 is a barrier, (b) ∀휆∈퐺∀푈,푉 ∈MGEVnor(휆)∀푡 ≥1 1 픟(휆, 푡) ≤ ∥푈∥2 [0,푡] ∥푉∥2 [0,푡] , (c) ∀휆∈퐺∀푈,푉 ∈MGEV★(휆)∀푡 ≥1 1 픟(휆, 푡) ∥푈−1∥2 + ∥푈0∥2 ∥푉−1∥2 + ∥푉0∥2 ≤ ∥푈∥2 [0,푡] ∥푉∥2 [0,푡] ≤ 픟(휆, 푡) ∥푈−1∥2 + ∥푈0∥2 ∥푉−1∥2 + ∥푉0∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall now (Section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) that each 푈 ∈ MGEV−1 (휆) can be expressed in a convenient form by its initial values (푈−1,푈0) and 푛-step transfer 2푑 × 2푑 matrices 푅푛(휆) (see (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41)), defined for 푛 ∈ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Defining also 푅0(휆) := I, we get in particular15 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) 푈(푛) = [푅푛+1(휆)(푈−1,푈0)]퐼, 푛 ∈ N−1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푈(푛) = [푅푛(휆)(푈−1,푈0)]퐼 퐼, 푛 ∈ N0 for any 푈 ∈ MGEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The following investigations show that for any 퐽 there exists its smallest “universal” barrier (on each 퐺).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider the function 픟min : R × [1, +∞) → [1, +∞] given by the formula (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) 픟min(휆, 푡) := sup 푈,푉 ∈MGEVnor(휆) � ∥푈∥[0,푡] ∥푉∥ [0,푡] �2 , 휆 ∈ R, 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 15We simplify here the notation, and we use the row-block form instead of the “column-block” one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 27 Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The function 픟min has only finite values and it is a barrier for 퐽 on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover it is the smallest barrier for 퐽 on any 퐺 ⊂ R, in the sense that for any barrier 픟 for 퐽 on 퐺 픟min(휆, 푡) ≤ 픟(휆, 푡), 휆 ∈ 퐺, 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fix 푡 ≥ 1 and 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푈 ∈ MGEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='42) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41) for any 푛 ∈ N−1 the value of the matrix 푈푛 is a continuous (even linear) function of its initial conditions (푈−1,푈0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) we have 푈(푛) = [푅푛+1(휆)(푈−1,푈0)]퐼 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, denoting by 푌 (훼) the sequence (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) 푌 (훼) := ([푅푛+1(휆)훼]퐼)푛∈N−1 for any 훼 ∈ 푀푑(C) × 푀푑(C), we get (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) 푈 = 푌 (푈−1,푈0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9), also the function S ∋ 훼 ↦→ ∥푌 (훼)∥ [0,푡] is continuous and, moreover, it is strictly positive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, define a function 푓 : S × S → R by 푓 (훼, 훼′) := � ∥푌 (훼)∥ [0,푡] ∥푌 (훼′)∥ [0,푡] �2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Obviously, 푓 is also continuous and S × S is compact, hence 푓 attains supremum of its values, and by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) 픟min(휆, 푡) = sup 훼,훼′∈S 푓 (훼, 훼′) = max 훼,훼′∈S 푓 (훼, 훼′) ∈ R+.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, it is obvious that 픟min is a barrier, as well as that that it is the smallest one, directly from its definition (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10), .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ For any 퐺 ⊂ R we call 픟min↾퐺 the minimal barrier for 퐽 on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our next goal is now the construction of an another barrier for 퐺 = R in terms of the sequence of transfer matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It will be much more convenient in practice than the minimal one, because of its more explicit form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To do this, we need first: Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푢 ∈ GEV−1 (휆), then for any 푡 ≥ 1 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) 1 2 � ∥푢−1∥2 + ∥푢0∥2 � ⇃|푅(휆)|⇂2 [1,푡]≤ ∥푢∥2 [0,푡] ≤ � ∥푢−1∥2 + ∥푢0∥2 � ∥푅(휆)∥2 [1,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푈 ∈ MGEV−1 (휆), then for any 푡 ≥ 1 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) 1 4 � ∥푈−1∥2 + ∥푈0∥2 � ⇃|푅(휆)|⇂2 [1,푡]≤ ∥푈∥2 [0,푡] ≤ 2� ∥푈−1∥2 + ∥푈0∥2 � ∥푅(휆)∥2 [1,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, for any 푈,푉 ∈ MGEVnor (휆) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15) � ∥푈∥[0,푡] ∥푉∥ [0,푡] �2 ≤ 8 � ∥푅(휆)∥[1,푡] ⇃|푅(휆)|⇂[1,푡] �2 , 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 푢−1 = 푢0 = 0, then 푢 = 0, and the first assertion holds, so assume that ∥푢−1∥2 + ∥푢0∥2 > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Set �푢푘 := � 푢푘−1 푢푘 � , 푘 ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then �푢푘 = 푅푘 (휆) �푢0, 푘 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) ∥�푢0∥2 ⇃|푅푘(휆)|⇂2≤ ∥�푢푘 ∥2 ≤ ∥�푢0∥2 ∥푅푘(휆)∥2 , 푘 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 we get ∥�푢0∥2 ⇃|푅(휆)|⇂2 [1,푡]≤ ∥�푢∥2 [1,푡] ≤ ∥�푢0∥2 ∥푅(휆)∥2 [1,푡] , 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13) follows, since we have ∥푢∥2 [0,푡] ≤ ∥�푢∥2 [1,푡] ≤ 2 ∥푢∥2 [0,푡] 28 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI by direct computations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, consider 푈 ∈ MGEV−1 (휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by Fact 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10 for any 푣 ∈ C푑 the sequence 푈푣 is a vector generalized eigenvector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) implies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) � ∥푈−1푣∥2 + ∥푈0푣∥2 � ⇃|푅푘(휆)|⇂2≤ ���� �푈푘−1푣 푈푘푣 ����� 2 ≤ � ∥푈−1푣∥2 + ∥푈0푣∥2 � ∥푅푘 (휆)∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, � ∥푈−1푣∥2 + ∥푈0푣∥2 � ⇃|푅푘(휆)|⇂2≤ � ∥푈푘−1∥2 + ∥푈푘∥2 � ∥푣∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) 1 2 � ∥푈−1∥2 + ∥푈0∥2 � ⇃|푅푘(휆)|⇂2≤ ∥푈푘−1∥2 + ∥푈푘∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17) ∥푈푘−1푣∥2 + ∥푈푘푣∥2 ≤ � ∥푈−1∥2 + ∥푈0∥2 � ∥푣∥2 ∥푅푘(휆)∥2 , and consequently, (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) ∥푈푘−1∥2 + ∥푈푘 ∥2 ≤ 2� ∥푈−1∥2 + ∥푈0∥2 � ∥푅푘 (휆)∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푘 ≥ 0 let us define �푥푘 := � ∥푈푘−1∥ ∥푈푘 ∥ � ∈ C2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, by combining (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) we obtain 1 2 ∥�푥0∥2 ⇃|푅푘(휆)|⇂2≤ ∥�푥푘 ∥2 ≤ 2 ∥�푥0∥2 ∥푅푘 (휆)∥2 , 푘 ≥ 1, which is an analogue of (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now we get (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) by a similar manner.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ In view of this result let us consider now 픟TR : R × [1, +∞) → R given by the formula16 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20) 픟TR(휆, 푡) := 8 � ∥푅(휆)∥[1,푡] ⇃|푅(휆)|⇂[1,푡] �2 , 휆 ∈ R, 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The last assertion of the proposition yields exactly: Corollary 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 픟TR is a barrier for 퐽 on R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 퐺 ⊂ R we call 픟TR↾퐺 the transfer matrix barrier for 퐽 on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' At the end of the subsection we introduce the most important notion of the paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Definition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is self-adjoint, Let 퐺 ⊂ R be non-empty and let 픟 be a barrier on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that 퐽 is 픟-nonsubordinate on 퐺 if (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21) lim inf 푡→+∞ 픟(휆, 푡) < +∞, 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If in fact, this condition holds uniformly on 퐺, namely (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) sup 휆∈퐺 lim inf 푡→+∞ 픟휆(푡) < +∞, then we say that 퐽 is uniformly 픟-nonsubordinate on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The convenience and the importance of constructing just such definitions (of the barrier and of the barrier-nonsubordinacy) as here, will be clearly visible in proofs in the next subsections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 16Note that ⇃|푅(휆)|⇂[1,푡 ]> 0 for any 푡 ≥ 1, since 푅1(휆) = 푇0(휆) is invertible (see also (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) and (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 29 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The main result and its consequences.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume, as before, that 퐽 is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and consider the matrix Weyl function 푊 for 퐽 (see Definition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Before we start to “control” in a sense its boundary limits we need to make use of the choice of Jitomirskaya–Last type semi-norms, and prove a result being a block case analog of the appropriate scalar case one result from [30].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 휆 ∈ R there exists a unique function ℓ휆 : R+ → R+ satisfying (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23) ∥푃(휆)∥[0,ℓ휆(휖 )] ∥푄(휆)∥[0,ℓ휆 (휖 )] = 1 2휖 , 휖 > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, ℓ휆 is a strictly decreasing continuous function and satisfies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='24) lim 휖 →0+ ℓ휆(휖) = +∞, lim 휖 →+∞ ℓ휆(휖) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, its inverse ℓ−1 휆 is also strictly decreasing continuous function and satisfies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='25) lim 푡→0+ ℓ−1 휆 (푡) = +∞, lim 푡→+∞ ℓ−1 휆 (푡) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Define a function 푓 : R+ → R+ by the formula 푓 (푡) = ∥푃(휆)∥[0,푡] ∥푄(휆)∥[0,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) this function is continuous, non-negative and weakly increasing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) it is in fact positive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us observe that it is strictly increasing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Indeed, because if not, then there would exist 푛 ∈ N0 such that both ∥푃(휆)∥ [0,푡] and ∥푄(휆)∥[0,푡] were constant for 푡 ∈ (푛, 푛 + 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It would mean that ∥푃푛+1(휆)∥ = ∥푄푛+1(휆)∥ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Which by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43) would imply that 푅푛(휆) was singular.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This contradicts (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='50).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Next, observe that lim 푡→0+ 푓 (푡) = 0, lim 푡→+∞ 푓 (푡) = +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Indeed, the first limit follows from ∥푄0(휆)∥ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The second follows from the fact that if ∥푃(휆)∥[0,+∞] < +∞ and ∥푄(휆)∥[0,+∞] < +∞, then the operator 퐽 is not self-adjoint, see [12, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, we have shown that 푓 is continuous, strictly increasing and surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus its inverse 푓 −1 : R+ → R+ has the same properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider the function 푔 : R+ → R+ defined by 푔(휖) = 1/(2휖).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This function is strictly decreasing and surjective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, if ℓ휆 function exists it is a solution of the equation 푓 �ℓ휆(휖)� = 푔(휖).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This equation has a unique solution given by ℓ휆(휖) = 푓 −1�푔(휖)�.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is immediate that this defines a function satisfying (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' From this representation it is immediate that ℓ휆 : R+ → R+ is a continuous strictly decreasing surjective function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It implies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='24).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since again ℓ−1 휆 has analogous properties, we also obtain (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='25).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ The unique function ℓ휆 described above will be called J-L function (for 퐽 and 휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We are ready to formulate our main result “on controlling the boundary limits of the matrix Weyl function”, being probably the most important result of this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume that 퐽 is self-adjoint and 퐺 ⊂ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 픟 is a barrier for 퐽 on 퐺, then for any 휆 ∈ 퐺 and any 휖 > 0 with ℓ휆(휖) ≥ 1 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='26) �8픟�휆, ℓ휆(휖)��−1 I ≤ Im푊(휆 + 푖휖) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='27) 푠−(휆, 휖) ≤ ∥푊(휆 + 푖휖)∥ ≤ 푠+(휆, 휖), where (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28) 푠±(휆, 휖) := 4푑픟�휆, ℓ휆(휖)� ± �� 4푑픟�휆, ℓ휆(휖)��2 − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 30 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI We present the proof in the next subsection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But now let us remark only that the square root in (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='28) is at least 15, since 푑 ≥ 1 and 픟(휆, 푡) ≥ 1 for any 푡 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, both 푠−(휆, 휖) and 푠+(휆, 휖) are positive for the considered 휆 and 휖, hence both estimates in (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='27) could be of significant importance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Having Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12 and all the delicate relations between various objects connected somehow to 퐽 and described in the previous sections, we can finally formulate and prove the most important abstract spectral result of this article.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Denote for short the spectral matrix measure for 퐽 by 푀, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 푀 := 퐸퐽, �휑, where �휑 = (휑1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 휑푘) is canonical cyclic system (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) for 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Recall that some important results and some notation related to the absolutely continuous and the singular part of 푀, such as Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6, the set 퐿(푊) “with boundary limits for 푊” and the density 퐷 (see (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19)) of 푀ac on 퐿(푊) w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the Lebesgue measure | · | are presented in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And some measure theory notions (including matrix measures) are collected in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume that 퐽 is self-adjoint, 퐺 ⊂ Bor(R) and 픟 is a barrier for 퐽 on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 퐽 is 픟-nonsubordinate on 퐺, then (a) 푀 is absolutely continuous on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (b) the density 퐷 of 푀ac is an invertible matrix at any 휆 ∈ 퐺 ∩ 퐿(푊).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (c) 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If, moreover, 퐽 is uniformly 픟-nonsubordinate on 퐺, then there exist 푐1, 푐2 > 0 such that (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='29) 푐1 I ≤ 퐷(휆) ≤ 푐2 I, 휆 ∈ 퐺 ∩ 퐿(푊).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is 픟-nonsubordinate on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) lim inf 휖 →0+ ∥푊(휆 + 푖휖)∥ ≤ 8푑 lim inf 휖 →0+ 픟�휆, ℓ휆(휖)�, 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By the definition of “lim inf” there exists a sequence (푡푘)푘 ∈N in [1, +∞) with lim푘→+∞ 푡푘 = +∞, such that lim inf 푡→+∞ 픟(휆, 푡) = lim 푘→+∞ 픟(휆, 푡푘).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11 for each 푘 we define 휖푘 := ℓ−1 휆 (푡푘) and by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='25) we get lim 푘→+∞ 휖푘 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='21) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='31) lim inf 휖 →0+ 픟�휆, ℓ휆(휖)� ≤ lim 푘→+∞ 픟�휆, ℓ휆(휖푘)� = lim 푘→+∞ 픟(휆, 푡푘) = lim inf 푡→+∞ 픟(휆, 푡) < +∞, which by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30) implies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='32) lim inf 휖 →0+ ∥푊(휆 + 푖휖)∥ < +∞, 휆 ∈ 퐺, and by (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16) this, in particular, yields17 퐺 ⊂ R\\푆sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, using Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6(i), we obtain assertion (a): 푀 is a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe now that (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='26) implies 1 8 lim inf 휖 →0+ 픟�휆, ℓ휆(휖)� ∥푣∥2 ≤ lim sup 휖 →0+ �� Im푊(휆 + 푖휖)�푣, 푣 � , 푣 ∈ C푑, which by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='31) and 픟-nonsubordinacy yields (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33) 푐(휆) ∥푣∥2 ≤ lim sup 휖 →0+ �� Im푊(휆 + 푖휖)�푣, 푣 � , 푣 ∈ C푑, where (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34) 푐(휆) = � 8 lim inf 푡→+∞ 픟(휆, 푡) �−1 > 0, 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 17One can use here, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5(iv) to estimate: tr � Im푊(휆 + 푖휖)� ≤ 푑 ��Im푊(휆 + 푖휖)��� ≤ 푑 ∥푊(휆 + 푖휖)∥, but it follows also directly from the continuity of the norm, of the trace, and of the imaginary part.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 31 Assume now that 휆 ∈ 퐺 ∩ 퐿(푊).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To get assertion (b) in view of (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19) it is enough to prove that the matrix Im �푊(휆 + 푖0)� is invertible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But now lim sup 휖 →0+ Im푊(휆 + 푖휖) = lim 휖 →0+ Im푊(휆 + 푖휖) = 푊(휆 + 푖0), so, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='33), (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='35) 푐(휆) ≤ Im푊(휆 + 푖0) Therefore Im푊(휆 + 푖0) is invertible, by 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34, and 퐺 ∩ 퐿(푊) ⊂ 푆ac,d ⊂ 푆ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8(ii) gives clLe(퐺 ∩ 퐿(푊)) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But clLe(퐺 ∩ 퐿(푊)) = clLe(퐺), and the conclusion (c) follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In the uniform case, the LHS bound on 퐷(휆) follows directly from (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='35) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='34).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And to get the RHS estimate, it suffices to use the fact that the norm of a matrix gives the upper bound for the quadratic form, and so it suffices to use (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='30).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The proof of the main result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Before we turn to the proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12 we need some preparations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For fixed 휆 ∈ R and 휖 > 0 let us define 푈휖 := 푄(휆 + 푖휖) + 푃(휆 + 푖휖)푊(휆 + 푖휖) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='36) 푉휖 := 푄(휆) + 푃(휆)푊(휆 + 푖휖).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) The following lemma is not new, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [35, Section 2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For the sake of completeness we include its proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐹 ∈ ℓ(N0, 푀푑(C)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The unique solution of the recurrence relation (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='38) 퐴푛푆푛+1 + 퐵푛푆푛 + 퐴∗ 푛−1푆푛−1 = 푧푆푛 + 퐹푛, 푛 ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' with the initial conditions 푆−1 = 푆0 = 0 is equal to (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='39) 푆푛 := 푛−1 � 푘=0 � 푄푛(푧)�푃푘(푧)�∗ − 푃푛(푧)�푄푘 (푧)�∗� 퐹푘, 푛 ≥ −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since all 퐴푘 are invertible it is clear that the solution of (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='38) with given initial conditions 푆−1 and 푆0 is unique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It remains to prove that the sequence given by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='39) satisfies it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is immediate from (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='39) that 푆−1 = 푆0 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, we get 푆1 = � 푄1(푧)�푃0(푧)�∗ − 푃1(푧)�푄0(푧)�∗� 퐹0 = 퐴−1 0 퐹0 which is in agreement with (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='38) for 푛 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So let us assume that 푛 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since both 푃(푧) and 푄(푧) satisfy (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='22) we get 퐴푛푆푛+1 = 퐴푛 푛 � 푘=0 � 푄푛+1(푧)�푃푘(푧)�∗ − 푃푛+1(푧)�푄푘 (푧)�∗� 퐹푘 = (푧 I −퐵푛) 푛 � 푘=0 � 푄푛(푧)�푃푘(푧)�∗ − 푃푛(푧)�푄푘 (푧)�∗� 퐹푘 − 퐴∗ 푛−1 푛 � 푘=0 � 푄푛−1(푧)�푃푘(푧)�∗ − 푃푛−1(푧)�푄푘 (푧)�∗� 퐹푘.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, 퐴푛푆푛+1 = (푧 I −퐵푛)푆푛 − 퐴∗ 푛−1푆푛−1 + ˜퐹푛, where ˜퐹푛 = (푧 I −퐵푛) � 푄푛(푧)�푃푛(푧)�∗ − 푃푛(푧)�푄푛(푧)�∗� 퐹푛 (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='40) − 퐴∗ 푛−1 � 푄푛−1(푧)�푃푛(푧)�∗ − 푃푛−1(푧)�푄푛(푧)�∗� 퐹푛 − 퐴∗ 푛−1 � 푄푛−1(푧)�푃푛−1(푧)�∗ − 푃푛−1(푧)�푄푛−1(푧)�∗� 퐹푛−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 32 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI It remains to prove that ˜퐹푛 = 퐹푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To do so, let us apply (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='51) for 푤 = 푧 with 푘 = 푛 and 푘 = 푛 − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then we get that on the right-hand side of (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='40) the first and the third lines are equal to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By considering (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='52) for 푤 = 푧 with 푘 = 푛 and taking the adjoint of both sides we get �퐴−1 푛−1 �∗ = � 푄푛(푧)�푃푛−1(푧)�∗ − 푃푛(푧)�푄푛−1(푧)�∗�∗ = 푃푛−1(푧)�푄푛(푧)�∗ − 푄푛−1(푧)�푃푛(푧)�∗, which gives that the second line on the right-hand side of (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='40) is equal to 퐹푛, and consequently, ˜퐹푛 = 퐹푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It ends the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Corollary 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 휆 ∈ R define an operator 퐿 : ℓ(N0, 푀푑(C)) → ℓ(N0, 푀푑(C)) by the formula (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41) (퐿퐹)푚 = 푚−1 � 푘=0 � 푄푚(휆)�푃푘(휆)�∗ − 푃푚(휆)�푄푘 (휆)�∗� 퐹푘, 푚 ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then the sequences 푈휖 and 푉휖 defined in (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='36) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) satisfy for any 푋 ∈ 푀푑(C) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='42) (I −푖휖퐿)(푈휖 푋) = 푉휖 푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Take 푋 ∈ 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that 푈휖 푋 satisfies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='38) with 푧 = 휆 and 퐹푛 = 푖휖(푈휖 )푛푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly, 푉휖 푋 satisfies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='38) with 푧 = 휆 and 퐹푛 ≡ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since the initial conditions of 푉휖 푋 and 푈휖 푋 are the same we get that the sequence 푆 := 푈휖 푋 − 푉휖 푋 can be expressed in the form (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='39).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, according to the definition (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41) we can write 푈휖 푋 − 푉휖 푋 = 푖휖퐿(푈휖 푋), which is equivalent to (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='42).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let the operator 퐿 : ℓ(N0, 푀푑(C)) → ℓ(N0, 푀푑(C)) be defined in (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then for any 푡 ∈ [0, +∞) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43) ∥퐿퐹∥[0,푡] ≤ 2 ∥푃(휆)∥ [0,푡] ∥푄(휆)∥[0,푡] ∥퐹∥[0,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41) for any 푚 ∈ N0 we have ∥(퐿퐹)푚∥ ≤ ∥푄푚(휆)∥ 푚−1 � 푘=0 ∥푃푘(휆)∥ ∥퐹푘 ∥ + ∥푃푚(휆)∥ 푚−1 � 푘=0 ∥푄푘 (휆)∥ ∥퐹푘∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, by Cauchy–Schwarz inequality (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='44) ∥(퐿퐹)푚∥ ≤ � ∥푄푚(휆)∥ ∥푃(휆)∥[0,푚−1] + ∥푃푚(휆)∥ ∥푄(휆)∥ [0,푚−1] � ∥퐹∥[0,푚−1] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푡 ∈ [0, +∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 푡 ∈ [푛, 푛 + 1) for some 푛 ∈ N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='44) ∥(퐿퐹)푚∥ ≤ 푣푚 ∥퐹∥[0,푡] , 푚 = 0, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푛 + 1, where (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='45) 푣푚 := ∥푄푚(휆)∥ ∥푃(휆)∥ [0,푡] + ∥푃푚(휆)∥ ∥푄(휆)∥ [0,푡] , 푚 = 0, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푛 + 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, ∥퐿퐹∥[0,푡] = � 푛 � 푚=0 ∥(퐿퐹)푚∥2 + {푡} ∥(퐿퐹)푛+1∥2 �1/2 ≤ � 푛 � 푚=0 푣2 푚 + {푡}푣2 푛+1 �1/2 ∥퐹∥[0,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='46) NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 33 Now, by triangle inequality in C푛+2 with Euclidean norm and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='45) we get � 푛 � 푚=0 푣2 푚 + {푡}푣2 푛+1 �1/2 ≤ ∥푃(휆)∥[0,푡] � 푛 � 푚=0 ∥푄푚(휆)∥2 + {푡} ∥푄푛+1(휆)∥2 �1/2 + ∥푄(휆)∥ [0,푡] � 푛 � 푚=0 ∥푃푚(휆)∥2 + {푡} ∥푃푛+1(휆)∥2 �1/2 = 2 ∥푃(휆)∥[0,푡] ∥푄(휆)∥[0,푡] which combined with (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='46) gives (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푋 ∈ 푀푑(C) and 푡 ∈ [0, +∞) one has (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='47) ∥푈휖 푋∥[0,푡] ≥ ∥푉휖 푋∥ [0,푡] − 2휖 ∥푃(휆)∥ [0,푡] ∥푄(휆)∥[0,푡] ∥푈휖 푋∥ [0,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, if ℓ휆 is J-L function, then (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='48) 2 ∥푈휖 푋∥[0,ℓ휆 (휖 )] ≥ ∥푉휖 푋∥[0,ℓ휆 (휖 )] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='42) (I −푖휖퐿)(푈휖 푋) = 푉휖 푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43) we get ∥푉휖 푋∥ [0,푡] ≤ �1 + 2휖 ∥푃(휆)∥[0,푡] ∥푄(휆)∥[0,푡] � ∥푈휖 푋∥[0,푡] which implies (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='47).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then the inequality (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='48) follows from (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푣 ∈ C푑, 휆 ∈ R and any 휖 > 0 one has (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) 1 휖 �� Im푊(휆 + 푖휖)�푣, 푣 � = ∥푈휖 푣∥2 [0,+∞] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='50) ∥푈휖 ∥2 [0,+∞] ≤ tr � Im푊(휆 + 푖휖)� 휖 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푧 = 휆 + 푖휖 for some 휖 > 0 and 푣 ∈ C푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 and Fact 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5 we have (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='51) 푈(푧)푣 := 푄(푧)푣 + 푃(푧)푊(푧)푣 = (퐽 − 푧 I)−1훿0(푣).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, (퐽 − 푧 I)�푈(푧)푣� = 훿0(푣).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By taking the scalar product of both sides with 푈(푧)푣 we get � 푈(푧)푣, 훿0(푣) � = � 푈(푧)푣, (퐽 − 푧 I)�푈(푧)푣�� = � 푈(푧)푣, 퐽�푈(푧)푣�� − 푧 ∥푈(푧)푣∥2 [0,+∞] Since 퐽 is self-adjoint by taking imaginary parts of both sides and using (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='51) we get Im⟨푊(푧)푣, 푣⟩ = Im 푧 ∥푈(푧)푣∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, �� Im푊(푧)�푣, 푣 � = Im 푧 ∥푈(푧)푣∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In view of (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='36) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='51) we have 푈휖 = 푈(푧) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, apply (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) for 푣 ∈ {푒1, 푒2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푒푑} and sum them up.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then, since Im푊(푧) ≥ 0 for 푧 ∈ C+, 푑 � 푖=1 ∥푈휖 푒푖∥2 = 1 휖 푑 � 푖=1 �� Im푊(휆 + 푖휖)�푒푖, 푒푖 � = 1 휖 tr � Im푊(휆 + 푖휖)�.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5(i) and (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='14) we get 푑 � 푖=1 ∥푈휖 푒푖∥2 = +∞ � 푘=0 푑 � 푖=1 ∥(푈휖 푒푖)푘 ∥2 = +∞ � 푘=0 ∥(푈휖 )푘 ∥2 HS ≥ ++∞ � 푘=0 ∥(푈휖 )푘 ∥2 = ∥푈휖 ∥2 [0,+∞] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence ∥푈휖 ∥2 [0,+∞] ≤ 1 휖 tr � Im푊(휆 + 푖휖)�.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 34 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI from which the result follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ We are ready to prove our main result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof of Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17 applied to 푋 = I and by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='50) we have ∥푉휖 ∥[0,ℓ휆 (휖 )] ≤ 2 ∥푈휖 ∥ [0,ℓ휆(휖 )] ≤ 2 ∥푈휖 ∥ [0,+∞] ≤ 2 √휖 � tr � Im푊(휆 + 푖휖)�.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='52) Now, by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5 (iv) tr � Im푊(휆 + 푖휖)� ≤ 푑 ∥Im푊(휆 + 푖휖)∥ ≤ 푑 ∥푊(휆 + 푖휖)∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='53) ∥푉휖 ∥2 [0,ℓ휆 (휖 )] ≤ 4푑 휖 ∥푊(휆 + 푖휖)∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23) ∥푉휖 ∥2 [0,ℓ휆 (휖 )] = ∥푉휖 ∥[0,ℓ휆 (휖 )] ∥푃(휆)∥[0,ℓ휆 (휖 )] ∥푉휖 ∥ [0,ℓ휆(휖 )] ∥푄(휆)∥ [0,ℓ휆(휖 )] ∥푃(휆)∥ [0,ℓ휆(휖 )] ∥푄(휆)∥ [0,ℓ휆(휖 )] ≥ 1 픟(휆, ℓ휆(휖)) �1 + ∥푊(휆 + 푖휖)∥2 � 1 2휖 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by combining it with (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='53) we obtain (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='54) 1 + ∥푊(휆 + 푖휖)∥2 ≤ 8푑픟(휆, ℓ휆(휖)) ∥푊(휆 + 푖휖)∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This inequality is equivalent to 푠2 − 8푑픟�휆, ℓ휆(휖)�푠 + 1 ≤ 0, where 푠 = ∥푊(휆 + 푖휖)∥ ≥ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Its discriminant is equal to (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='55) Δ = � 8푑픟�휆, ℓ휆(휖)��2 − 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since 푑 ≥ 1 and 픟�휆, ℓ휆(휖)� ≥ 1, we have (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='56) Δ ≥ 82 − 4 = 60 > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus 푠2 − 8푑픟�휆, ℓ휆(휖)�푠 + 1 = (푠 − 푠−)(푠 − 푠+) ≤ 0, where 푠− = 8푑픟�휆, ℓ휆(휖)� − √ Δ 2 and 푠+ = 8푑픟�휆, ℓ휆(휖)� + √ Δ 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='56) we see that 푠−, 푠+ ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, by (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='55) we have 푠−, 푠+ > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, 푠− ≤ ∥푊(휆 + 푖휖)∥ ≤ 푠+ and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='27) follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The proof of (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='26) is even simpler.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, let 푣 ∈ C푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='17 applied to 푋 = 퐸 푣 (see (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='15)), Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5 and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='49) ∥푉휖 푣∥2 [0,ℓ휆 (휖 )] ≤ 4 ∥푈휖 푣∥2 [0,ℓ휆(휖 )] = 4 휖 �� Im푊(휆 + 푖휖)�푣, 푣 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5, (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23) ∥푉휖 푣∥2 [0,ℓ휆(휖 )] = ∥푉휖 (퐸 푣)∥2 [0,ℓ휆(휖 )] = ∥푉휖 (퐸 푣)∥ [0,ℓ휆(휖 )] ∥푃(휆)∥[0,ℓ휆 (휖 )] ∥푉휖 (퐸 푣)∥ [0,ℓ휆(휖 )] ∥푄(휆)∥[0,ℓ휆 (휖 )] ∥푃(휆)∥[0,ℓ휆 (휖 )] ∥푄(휆)∥ [0,ℓ휆(휖 )] ≥ 1 픟�휆, ℓ휆(휖)� ∥푣∥2 1 2휖 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 35 Therefore, 1 픟�휆, ℓ휆(휖)� ∥푣∥2 ≤ 8 �� Im푊(휆 + 푖휖)�푣, 푣 � from which (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='26) follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The proof is complete.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Sufficient conditions for absolute continuity In this section we extend some well-known conditions implying nonsubordinacy from 푑 = 1 to the general case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, in Section 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 we cover Generalized Last–Simon condition, in Section 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 Generalized Behncke–Stolz condition and in Section 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 the homogenous class condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GLS condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that Carleman’s condition is satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then the sequence (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) 휌푛 := 푛−1 � 푘=0 1 ∥퐴푘 ∥ is divergent and 퐽 is self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐺 ⊂ R be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that Jacobi matrix 퐽 satisfies Generalized Last–Simon (GLS in short) condition on 퐺 if (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) lim inf 푛→+∞ 1 휌푛 푛 � 푘=1 ∥푅푘 (휆)∥2 < +∞, 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, if (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) is finite even after taking the supremum over 휆 ∈ 퐺, we say that 퐽 satisfies uniform GLS condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GLS condition has been introduced in [37] for scalar Jacobi matrices with 퐴푛 ≡ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It was shown in [37, Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1] that the set of 휆 ∈ R where (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) is fulfilled is a minimal support of the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' part of the spectral measure of 퐽.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly, a variant of it has been studied for bounded block Jacobi matrices in [48] with a similar conclusion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus this condition seems to be the right extension to possibly unbounded Jacobi matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' However, we would like to stress that in the unbounded case the set where (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) is satisfied might no longer be a support of the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' part of the spectral measure of 퐽 even for 푑 = 1, see Example 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Below, inTheorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2, we will show that (uniform) GLS conditionimplies(uniform) 픟TR-nonsubordinacy on 퐺 for the barrier (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We need the following observation, whose proof is an adaptation of the reasoning from [47, Lemma 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 휆 ∈ R and any 푛 ∈ N we have ∥푅(휆)∥2 [1,푛] ⇃|푅(휆)|⇂2 [1,푛] ≤ � 1 휌푛 푛 � 푘=1 ∥푅푘(휆)∥2 �2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' From the formula (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='50) we get ��푅−1 푘 (휆) �� ≤ ∥퐴푘−1∥ ∥푅푘 (휆)∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2), ⇃|푅푘(휆)|⇂2= 1 ��푅−1 푘 (휆) ��2 ≥ 1 ∥퐴푘−1∥2 ∥푅푘 (휆)∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) 휌푛 �푛 푘=1 ⇃|푅푘(푥)|⇂2 ≤ 휌푛 �푛 푘=1 1 ∥ 퐴푘−1 ∥ 1 ∥퐴푘−1 ∥ ∥푅푘 (휆) ∥2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since the weighted harmonic mean is always not greater than weighed arithmetic mean (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [39, Theorem 1, p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='76]) we get 휌푛 �푛 푘=1 1 ∥퐴푘 ∥ 1 ∥퐴푘−1 ∥ ∥푅푘 (휆) ∥2 ≤ 1 휌푛 푛 � 푘=1 1 ∥퐴푘−1∥ ∥퐴푘−1∥ ∥푅푘(휆)∥2 = 1 휌푛 푛 � 푘=1 ∥푅푘(휆)∥2, which combined with (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) ends the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 36 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐺 ∈ Bor(R) be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 satisfies (uniform) GLS condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 퐽 satisfies (uniform) 픟TR-nonsubordinacy condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Corollary 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9 the function (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20) is a barrier.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since by Proposition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 we have lim inf 푡→+∞ 픟(휆, 푡) < +∞ the operator 퐽 satisfies (uniform) 픟TR-nonsubordinacy condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, the result follows from Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GBS condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that Carleman’s condition is satisfied and let 퐺 ⊂ R be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that 퐽 satisfies Generalized Behncke—Stolz (GBS in short) on 퐺 if (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) lim sup 푛→+∞ 1 휌푛 푛 � 푘=1 ∥푅푘(휆)∥2 < +∞, 휆 ∈ 퐺, where 휌푛 is defined in (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Similarly, as in GLS condition, if (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) is finite even after taking the supremum over 휆 ∈ 퐺, we say that 퐽 satisfies uniform GBS condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GBS condition (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) has been introduced in [23, Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3] to study spectral properties of scalar unbounded Jacobi matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This condition turned out to be very convenient in the study of various classes of unbounded Jacobi matrices, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [21,23,24,29,40].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We obviously have that (uniform) GBS condition implies (uniform) GLS condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So the following result follows from Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2 Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐺 ∈ Bor(R) be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 satisfies (uniform) GBS condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 퐽 satisfies (uniform) 픟TR-nonsubordinacy condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' H class.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For the arbitrary size 푚×푚 of matrices this class is given as follows (see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', [43, Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Definition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let (퐶푛)푛≥푛0 be a sequence of complex 푚 × 푚 matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that (퐶푛)푛≥푛0 ∈ 퐻 if there is a constant 푐 > 0 such that for any 푛 ≥ 푛0 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) ∥퐶푛 · 퐶푛−1 · .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' · 퐶푛0∥ ≤ 푐 푛 � 푘=푛0 | det 퐶푘|1/푚.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The following result, being “the sum” of [43, Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4 and Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7 (see also Definition 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1)] explains the importance of this notion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proposition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let (퐶푛)푛≥푛0 be a sequence of complex invertible 푚 × 푚 matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푛 ≥ 푛0 define 푅푛 := 퐶푛 · .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' · 퐶푛0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then TFCAE: (퐶푛)푛≥푛0 ∈ 퐻, (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) ∥푅푛∥ ≍푛 | det 푅푛|1/푚, (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) ∥푅푛∥ ≍푛 ⇃|푅푛|⇂, (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) ∀푣,푤 ∈C푚\\{0} ∥푅푛푣∥ ≍푛 ∥푅푛푤∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) The concept of 퐻 class has been introduced in [40] (see also [21, Lemma 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8]) as a sufficient condition for GBS for scalar Jacobi matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It turned out that sometimes this stronger condition is somewhat easier to show than GBS, see [22, 40–42].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Later, in [43] this notion has been extended to block Jacobi matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us begin with an observation than under a condition, which is automatically satisfied for 푑 = 1, indeed 퐻 class implies GBS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 37 Proposition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that Carleman’s condition is satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If �푇푛(휆)� 푛∈N0 ∈ 퐻 for some 휆 ∈ R and (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) lim inf 푛→+∞ ���� det � 퐴푛 ∥퐴푛∥ ����� > 0, then 퐽 satisfies GBS condition on {휆}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If �푅푛(휆)� 푛∈N ∈ 퐻, then by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) and (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) there exists a constant 푐 > 0 such that for any 푘 ≥ 1 (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) ∥푅푘(휆)∥2 ≤ 푐 �� det 푅푘(휆) ��1/푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, by (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='41), (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) and (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='23) we have �� det 푅푘(휆) �� = 1 | det 퐴0| 푘−1 � 푗=1 | det 퐴∗ 푗−1| | det 퐴 푗| = 1 | det 퐴푘−1| .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using this we can rewrite (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) in the form ∥푅푘(휆)∥2 ≤ 푐 1 ∥퐴푘−1∥ ���� det � 퐴푘−1 ∥퐴푘−1∥ ����� −1/푑 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, if (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) is satisfied, then there exists a constant 푐′ > 0 such that for any 푘 ≥ 1 ∥푅푘(휆)∥2 ≤ 푐′ 1 ∥퐴푘−1∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now by summing it for 푘 = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푛 it simply implies (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4), what we needed to show.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ In the following we show that in general 퐻 class implies 픟TR-nonsubordinacy condition, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', with the transfer matrix barrier (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐺 ∈ Bor(R) be non-empty.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that �푇푛(휆)� 푛∈N0 ∈ 퐻 for any 휆 ∈ 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 퐽 satisfies 픟TR-nonsubordinacy condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, 퐽 is absolutely continuous in 퐺 and clLe(퐺) ⊂ 휎(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that by (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) there exists a constant 푐(휆) > 0 such that for any 푘 ≥ 1 we have 푐(휆) ∥푅푘(휆)∥2 ≤⇃|푅푘(휆)|⇂2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, for any 푡 ≥ 1 we get 푐(휆) ∥푅(휆)∥2 [1,푡] ≤⇃|푅(휆)|⇂2 [1,푡] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In other words, ∥푅(휆)∥2 [1,푡] ⇃|푅(휆)|⇂2 [1,푡] ≤ 1 푐(휆) Thus lim sup 푡→+∞ 픟TR(휆, 푡) ≤ 8 푐(휆) < +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, the operator 퐽 satisfies 픟TR-nonsubordinacy condition on 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, the result follows from Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Examples and applications In this section we show some examples and counterexamples illustrating the applicability of our results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Vector nonsubordinacy does not characterise invertibility of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The following example demon- strates that one cannot hope for the full characterisation of the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' spectrum of block Jacobi matrices in terms of vector nonsubordinacy condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall that by Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4 vector nonsubordinacy is equivalent to matrix nonsubordinacy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This shows that inevitably Theorem 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1 provides only sufficient conditions for the absolute continuity of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 38 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Example 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푑 = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Define 퐴푛 = � 푎(1) 푛 0 0 푎(2) 푛 � , 퐵푛 = � 푏(1) 푛 0 0 푏(2) 푛 � , where 푎(푖) = �푎(푖) 푛 � 푛∈N0, 푏(푖) = �푎(푖) 푛 � 푛∈N0 are Jacobi parameters for 푖 = 1, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐽 (푖) be the Jacobi operator associated to 푎(푖), 푏(푖) for 푖 = 1, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) 퐽 � 퐽 (1) ⊕ 퐽 (2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us take 푎(푖) 푛 = (푛 + 1) 훼푖, 푏(푖) 푛 = 0, 푛 ≥ 0, 푖 = 1, 2, where 훼1, 훼2 ∈ (0, 1] and 훼1 > 훼2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then by [59, Theorem 1] the corresponding measures 휇(1), 휇(2) are absolutely continuous on R with continuous positive densities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) 푀(·) � � 휇(1) (·) 0 0 휇(2) (·) � , and consequently, 푀(퐵) is invertible for any non-empty open 퐵 ⊂ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We are going to show that 퐽 does not satisfy vector nonsubordinacy condition for any 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fix 휆 ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푢(푖) ∈ GEV−1 �퐽 (푖), 휆� for 푖 = 1, 2 be non-zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Set 푢 := �푢(1) 푛 푒1 � 푛∈N−1 and 푣 := �푢(2) 푛 푒2 � 푛∈N−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 푢, 푣 ∈ GEV−1 (퐽, 휆).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' According to [62, Theorem A] ∥푢∥2 [0,푛] �푛 푘=0 1 푎(1) 푛 ≍푛 1, ∥푣∥2 [0,푛] �푛 푘=0 1 푎(2) 푛 ≍푛 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, ∥푢∥2 [0,푛] ∥푣∥2 [0,푛] ≍푛 �푛 푘=0 1 푎(2) 푛 �푛 푘=0 1 푎(1) 푛 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Stolz–Cesàro lemma lim 푛→+∞ �푛 푘=0 1 푎(2) 푛 �푛 푘=0 1 푎(1) 푛 = lim 푛→+∞ 푎(1) 푛 푎(2) 푛 = +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, lim 푛→+∞ ∥푢∥2 [0,푛] ∥푣∥2 [0,푛] = +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In view of Corollary 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4 it implies lim 푡→+∞ ∥푢∥2 [0,푡] ∥푣∥2 [0,푡] = +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, 퐽 does not satisfy vector nonsubordinacy condition for 휆.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' GLS does not characterise the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' spectrum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In the following example we show that even for 푑 = 1 the set where (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) is satisfied might not be a support of the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' part of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Example 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푑 = 1 and 훼 > −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider Jacobi parameters 퐴푛 = � (푛 + 1)(푛 + 1 + 훼), 퐵푛 = 2푛 + 1 + 훼.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then according to (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='43) we have 푅푛(휆) = � 1 퐴0 ℓ(훼+1) 푛−2 (휆) ℓ(훼) 푛−1(휆) 1 퐴0 ℓ(훼+1) 푛−1 (휆) ℓ(훼) 푛 (휆) � , NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 39 where �ℓ(훼) 푛 � 푛∈N0 is the sequence of orthonormal Laguerre polynomials of the order 훼, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [34, formula (9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4)].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, we have 휎ac(퐽) = [0, +∞) and we are going to show that GLS condition is not satisfied for any 휆 ∈ (0, +∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Obviously we have ∥푅푛(휆)∥ ≥ ����푅푛(휆) �0 1 ����� = ����� � ℓ(훼) 푛−1(휆) ℓ(훼) 푛 (휆) ������ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, 푛 � 푘=1 ∥푅푘(휆)∥2 ≥ 푛 � 푘=1 ����� � ℓ(훼) 푘−1(휆) ℓ(훼) 푘 (휆) ������ 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us set 퐾푛(푥, 푦) = 푛 � 푘=0 ℓ(훼) 푘 (푥)ℓ(훼) 푘 (푦), ˜휌푛 = 푛 � 푘=0 1 √퐴푘 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 1 ˜휌푛 푛 � 푘=1 ∥푅푘(휆)∥2 ≥ 1 ˜휌푛 퐾푛(푥, 푥).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence according to [64, Theorem B] the right-hand side of this inequality is bounded and positive for any 휆 ∈ (0, +∞).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, for some 푐 > 0 1 ˜휌푛 푛 � 푘=1 ∥푅푘 (휆)∥2 ≥ 푐, but by Stolz–Cesàro lemma lim 푛→+∞ ˜휌푛 휌푛 = lim 푛→+∞ 1 √퐴푛 1 퐴푛 = +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It implies that for any 휆 ∈ (0, +∞) lim 푛→+∞ 1 휌푛 푛 � 푘=1 ∥푅푘 (휆)∥2 = +∞, and consequently, the condition (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) is not satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Application to some classes of block Jacobi operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In this section we would like to illustrate our results by showing that Jacobi matrices considered in [61, Theorem 2] are in fact absolutely continuous in some explicit region of the real line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us introduce a necessary notion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푋 = (푋푛)푛∈N be a sequence from a normed space 푉.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푁 ≥ 1 be a positive integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We say that 푋 ∈ D푁 1 if +∞ � 푛=1 ∥푋푛+푁 − 푋푛∥ < +∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that if 푋 ∈ D푁 1 , then for any 푖 ∈ {0, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푁 − 1} the sequence (푋푘 푁 +푖)푘 ∈N satisfies Cauchy condition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Theorem 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐽 be a block Jacobi matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that Jacobi parameters of 퐽 satisfy for some integer 푁 ≥ 1 (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) �퐴−1 푛 � 푛∈N, �퐴−1 푛 퐵푛 � 푛∈N, �퐴−1 푛 퐴∗ 푛−1 � 푛∈N ∈ D푁 1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then for any 푖 ∈ {0, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푁 − 1} and any 푧 ∈ C the limit (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) X푖(푧) := lim 푛→+∞ 푛≡푖 mod 푁 푇푛+푁 −1(푧) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푇푛+1(푧)푇푛(푧) exists, where 푇푛 is defined in (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose further that for some 푁-periodic sequence of invertible matrices (C푛)푛∈N0 lim 푛→+∞ ���� 푎푛 ∥푎푛∥ − C푛 ���� = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 40 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI Define Λ = � 휆 ∈ R : Re � � 0 −C푁 −1 C∗ 푁 −1 0 � X0(휆) � is strictly positive or strictly negative on C2푑 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then �푅푛(휆)� 푛∈N ∈ 퐻 for any 휆 ∈ Λ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consequently, if Carleman’s condition is satisfied, then 퐽 is absolutely continuous in Λ and cl(Λ) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' First of all, let us observe that (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) implies that for any 푗 ∈ {0, 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푁 − 1} the sequence (푇푘 푁 +푗)푘 ∈N is convergent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus the limit (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) exists.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We are going to show that the condition (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) is satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us recall that according to [61, Theorem 2] for any compact interval 퐾 ⊂ Λ there are constants 푐1 > 0, 푐2 > 0 such that for any normalized 푢 ∈ GEV−1 (휆), where 휆 ∈ 퐾, and any 푛 ≥ 1 we have (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) 푐1 ∥퐴푛∥ ≤ ���� � 푢푛−1 푢푛 ����� 2 ≤ 푐2 ∥퐴푛∥ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Since, for any 푢 ∈ GEV−1 (휆) � 푢푛−1 푢푛 � = 푅푛(휆) � 푢−1 푢0 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, having the notation above in mind we have ⇃|푅푛(휆)|⇂2= inf ∥푢−1 ∥2+∥푢0 ∥2=1 푢∈GEV−1(휆) ���� � 푢푛−1 푢푛 ����� 2 , ∥푅푛(휆)∥2 = sup ∥푢−1 ∥2+∥푢0 ∥2=1 푢∈GEV−1(휆) ���� � 푢푛−1 푢푛 ����� 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) implies (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) 푐1 ∥퐴푛∥ ≤⇃|푅푛(휆)|⇂2≤ ∥푅푛(휆)∥2 ≤ 푐2 ∥퐴푛∥, which shows that (6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) is satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, by Proposition 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5, �푅푛(휆)� 푛∈N ∈ 퐻 for any 휆 ∈ Λ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Finally, if Carleman’s condition is satisfied, then the remaining conclusion follows from Theorem 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Remark 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us observe that (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) immediately implies that 퐽 satisfies uniform GBS condition for any compact interval 퐾 ⊂ Λ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Asymptotically periodic Jacobi parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푁 be a positive integer andlet (A푛)푛∈N0, (B푛)푛∈N0 be 푁-periodic Jacobi parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 푖 ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푁} let us define (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) 픛푖(푧) = 푁 +푖−1 � 푗=푖 픗푖(푥) where 픗푖(푧) = � 0 I −A−1 푗 A∗ 푗−1 A−1 푗 (푧 I −B푗) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐽per be the Jacobi operator associated with the sequences (A푛)푛∈N0, (B푛)푛∈N0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Spectral properties of the operator 퐽per are well-known in the case 푑 = 1, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [55, Chapter 5], [67, Chapter 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푑 > 1 we have a good understanding of 퐽per when its Jacobi parameters are all self-adjoint and 푁 = 1, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [69,70].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then we have 휎(퐽per) = � 푡 ∈[−2,2] 휎(A0푡 + B) and the spectrum is absolutely continuous, see [70, Corollary 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' When the Jacobi parameters are not self-adjoint or 푁 > 1 a point spectrum is possible, see [26] for more details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Some results concerning absolute continuity might be extracted from [51, Section 2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is natural to consider compact perturbations of 퐽per.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Namely, we say that 퐽 has asymptotically 푁-periodic Jacobi parameters if lim 푛→+∞ ∥퐴푛 − A푛∥ = 0 and lim 푛→+∞ ∥퐵푛 − B푛∥ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By Weyl’s perturbation theorem we have 휎ess(퐽) = 휎ess(퐽per).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Our Theorem 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 leads to NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 41 Corollary 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푁 be a positive integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 has asymptotically 푁-periodic Jacobi parameters satisfying (퐴푛)푛∈N0, (퐵푛)푛∈N0 ∈ D푁 1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Define (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) Λ = � 푥 ∈ R : Re � � 0 −A푁 −1 A∗ 푁 −1 0 � 픛푁 (푥) � is strictly positive or strictly negative on C푑 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then 퐽 is absolutely continuous in Λ and cl(Λ) ⊂ 휎ac(퐽).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Periodic modulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐽 be a block Jacobi matrix and let 푁 ≥ 1 be an integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We shall call 퐽 a block Jacobi matrix with 푁-periodically modulated entries if there exists 푁-periodic Jacobi parameters (A푛)푛∈N0, (B푛)푛∈N0 such that the Jacobi parameters of 퐽 satisfy (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) lim 푛→+∞ ��퐴−1 푛 �� = 0, lim 푛→+∞ ��퐴−1 푛 퐴∗ 푛−1 − A−1 푛 A∗ 푛−1 �� = 0 and lim 푛→+∞ ��퐴−1 푛 퐵푛 − A−1 푛 B푛 �� = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In the scalar case, this class has been introduced in [25] and it is actively studied ever since, see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [5, 9, 45, 49, 57, 60, 63, 65, 66].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let us observe that given any positive scalar sequence (푐푛)푛∈N0 satisfying (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) lim 푛→+∞ 푐푛 = +∞ and lim 푛→+∞ 푐푛−1 푐푛 = 1 leads to (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) for Jacobi parameters (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) 퐴푛 = 푐푛A푛, 퐵푛 = 푐푛B푛.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, the class of block Jacobi matrices with periodically modulated entries might be thought of as a certain perturbation of the model example (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9)–(7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Observe that due to (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8), (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='37) and (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) we have for any 푖 ∈ {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푁} and 푧 ∈ C lim 푘→+∞푇푘 푁 +푖(푧) = 픗푖(0), thus in view of (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) and (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6), X0(푧) = lim 푘→+∞푇푗푁 +푁 −1(푧) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='푇푗푁 (푧) = 픛푁 (0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Therefore, our Theorem 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 leads to Corollary 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐽 is a block Jacobi matrix with 푁-periodically modulated entries for some 푁 ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Assume the Carleman’s condition (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) and �퐴−1 푛 퐴∗ 푛−1 � 푛∈N, �퐴−1 푛 퐵푛 � 푛∈N, �퐴−1 푛 � 푛∈N ∈ D푁 1 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 0 ∈ Λ, where Λ is defined in (7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7), then 퐽 is absolutely continuous in R and 휎ac(퐽) = R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Vector and matrix measures — selected basic notions For self-consistency and some self-sufficiency of the paper we collect here selected definitions of some basic notions and some properties related to matrix measures and — more generally — vector measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We omit here the more sophisticated construction of the appropriate 퐿2-type space for the matrix measure, referring the reader to the literature (see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', [68, Section 8] or [44]18) We start from the general definition of vector measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider a set Ω with 픐 — a 휎-algebra of subsets of Ω and a certain norm space 푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 푉 : 픐 −→ 푋 Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푉 is a vector measure (in 푋) iff 푉 is countably additive in the norm sense in 푋.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, let us consider a special case 푋 := 푀푑(C) for some 푑 ∈ N (with a standard norm, say).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And let 푀 : 픐 −→ 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푀 is a (푑 × 푑) matrix measure iff (a) 푀 is a vector measure;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (b) 푀(휔) ≥ 0 for any 휔 ∈ 픐.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='19 18The second position contains the detailed definition of the Hilbert space 퐿2(푀) for matrix measures and the details of the abstract spectral theory for finitely cyclic s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' operators, based on the matrix measure approach and multiplication by a function operators in 퐿2(푀) spaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 19So, in particular 푀(휔) is s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='. 42 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI So, in particular, each matrix measure is a vector measure, but despite its name and due to the extra non-negativity property (b), matrix measure is “much more” than a vector measure in 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The above Ω, 픐 and 푑 are “fixed” below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We have to precise here some terminology (choosing it from various versions in literature) and to recall several basic facts related to vector measures, matrix measures and measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 휈 is a measure on 픐 and 푉 : 픐 −→ 푋 is a vector measure, where 푋 is a norm space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In several cases below we will also need to assume additionally that 푋 = C푘 for some 푘, including possible obvious identifications, as, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 푀푑(C) ≡ C(푑2), to provide the clear and standard sense of the integral and of L1 푋 (휈) functions (see the appropriate part of Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For any 퐺 ∈ 픐 denote 픐퐺 := {휔 ∈ 픐 : 휔 ⊂ 퐺}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Surely 픐퐺 is a 휎-algebra of subsets of 퐺 and 푉↾픐퐺 is a vector measure on 픐퐺 ("on 퐺").' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We denote it by 푉퐺, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푉퐺 := 푉↾픐퐺, but we also call it the restriction of 푉 to 퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Analogous situation (and notation, and terminology) is well known and valid here for measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Suppose that 퐻 : Ω −→ 푋 = C푘 is a measurable function w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 픐.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If, moreover, 퐻 ∈ L1 푋 (휈), then we define a new function from 픐 into 푋 by the formula: (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1) ∫ 휔 퐻 d휈, 휔 ∈ 픐.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' It is obviously a vector measure, and we denote it by 퐻 d휈, analogously as in the case of measures (when 퐻 should be a scalar non-negative measurable function, instead of 퐻 ∈ L1 푋 (휈)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But in our main case 푋 = 푀푑(C) (identified with C(푑2)) the situation is somewhat similar and one easily checks the following result.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If 퐻 ∈ L1 푋 (휈) and 퐻(푡) ≥ 0 for 휈-a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푡 ∈ Ω, then the vector measure 퐻 d휈 is a matrix measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If a vector measure 푉 is such, that 푉 = 퐻 d휈 with some 퐻 ∈ L1 푋 (휈), then we call 퐻 the density20 of 푉 with respect to 휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Let 퐺 ∈ 픐.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the density on 퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : The density of 푉 on 퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 means: any density of 푉퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈퐺;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a support: 퐺 is a support of 푉 iff 푉Ω\\퐺 is the zero vector measure (on 픐Ω\\퐺)21;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a minimal support w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : 퐺 is a minimal support of 푉 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 iff 퐺 is a support of 푉 and for any support 퐺′ of 푉 included in 퐺 휈(퐺 \\ 퐺′) = 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : 푉 is absolutely continuous (abbrev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=') w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 iff for any 휔 ∈ 픐 if 휈(휔) = 0, then 푉(휔) = 0 ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : 푉 is singular (abbrev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=') w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 iff there exists such a support 푆 ∈ 픐 of 푉 that 휈(푆) = 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='/sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' part w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : If 푉1,푉2 : 픐 −→ 푋 are two vector measures, such that (i) 푉1 is a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 and 푉1 is sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈, (ii) 푉 = 푉1 + 푉2, then we call 푉1 the a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' part of 푉 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 and we denote it by 푉ac,휈, and we call 푉2 the sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' part of 푉 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈, and we denote it by 푉sing,휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 20However, it can be not unique, as a function from L1 푋 (휈).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 21 Generally, it is not sufficient here (contrary to measures) that 푉 (Ω \\ 퐺) = 0 because the property of having zero measure is not inheritable into measurable subsets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' However, for matrix measures it is sufficient by non-negativity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 43 Note here, that above two notions are well(uniquely)-defined, since the above decomposition, if exists, is unique22;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' on 퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : 푉 is a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' on 퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 iff 푉퐺 is a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈퐺;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' on 퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' : 푉 is sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' on 퐺 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 iff 푉퐺 is sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈퐺.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' All adopt all the above definitions and names also for any measure 휇 instead of a vector measure 푉 (recall that measure can be not a vector measure) just by interchanging the symbols 휇 and 푉, including the notation 휇ac,휈, 휇sing,휈, however they are mostly commonly known in the case of measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We adopt here also the convention, that the part “w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈”, as well as “, 휈” in the appropriate symbols, as e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 푉ac,휈, 푉sing,휈, can be omitted to shorten the notation to, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', 푉ac, 푉sing, 휇ac, 휇sing etc, in the case when Ω = R, 픐 = Bor(R) and 휈 is the Lebesgue measure | · |.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For a 푑 × 푑 matrix measure 푀 and 푖, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑 let us define 푀푖 푗 : 픐 → C by (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2) 푀푖 푗(휔) := �푀(휔)� 푖 푗 , 휔 ∈ 픐.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By the point (a) of Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='2, each of the 푀푖 푗 is a complex measure on 픐.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, non-negativity from (b) of a matrix means also its self-adjointness, so we have (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3) 푀 푗,푖 = 푀푖, 푗 푖, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By non-negativity, defining tr푀 : 픐 → C by the formula (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4) tr푀 (휔) := tr(푀(휔)), 휔 ∈ 픐, we get in fact a finite measure tr푀, called trace measure of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' This “classical” measure is much simpler mathematical object than the matrix measure 푀, but it contains a lot of important information on 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The results below are proved in [44, Section III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' For 푀 being a matrix measure as above: (i) 푀, as well as each 푀푖 푗 for 푖, 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푑, are absolutely continuous with respect to tr푀;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (ii) (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) 푀(휔) = 0 ⇐⇒ tr푀 (휔) = 0, 휔 ∈ 픐;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (iii) (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6) 0 ≤ 푀(휔) ≤ tr푀 (휔) I 휔 ∈ 픐;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (iv) There exists a density 퐷 : Ω −→ 푀푑(C) of 푀 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' tr푀, such that for any 푡 ∈ Ω 0 ≤ 퐷(푡) ≤ I , 23 푡 ∈ Ω.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Note that each density 퐷 of 푀 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' tr푀 is determined only up to tr푀-a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' equality, and each one is called the trace density of 푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The set of all the densities of 푀 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' tr푀 is denoted here by D푀, and by D• 푀 we denote the set of those 퐷, which satisfy conditions from the point (iv) above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' By the definition of density we have (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7) 푀(휔) = ∫ 휔 퐷 d tr푀, 휔 ∈ 픐, 퐷 ∈ D푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We assume here, to the end if this section, that 푀 : 픐 −→ 푀푑(C) is a matrix measure and 휈 : 픐 −→ [0, +∞] is a 휎-finite measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' There exist several ways to get a decomposition of some vector measures 푉 into its a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' parts w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a measure 휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' All they are based somehow on the Lebesgue–Radon–Nikodym Theorem (see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' [50]) for a complex measure “w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a 휎-finite measure” version.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' We need it only for our matrix measure 푀 and it will be convenient to make it via the appropriate decomposition of tr푀 onto parts 22Because any linear combination of vector measures being a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=') w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 is also a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' (sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=') w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and a vector measure which is both a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 is the zero measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 23In particular, 퐷(푡) is self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 44 MARCIN MOSZYŃSKI AND GRZEGORZ ŚWIDERSKI (tr푀)ac,휈 and (tr푀)sing,휈, which exist by the Lebesgue–Radon–Nikodym Theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, we just consider any 퐷 ∈ D푀 and two matrix measures: 퐷 d(tr푀)ac,휈, 퐷 d(tr푀)sing,휈 (see notation (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1)) Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' The a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and the sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' parts of 푀 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈 exist, and they satisfy (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8) 푀ac,휈 = 퐷 d(tr푀)ac,휈 , 푀sing,휈 = 퐷 d(tr푀)sing,휈 , where 퐷 is an arbitrary density from D푀.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, both 푀ac,휈, 푀sing,휈 are matrix measures24, and (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9) tr푀ac,휈 = (tr푀)ac,휈, tr푀sing,휈 = (tr푀)sing,휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' In particular, if 푆 ∈ 픐, then TFCAE: 푆 is a support (version 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=': minimal support w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈) of 푀ac,휈 ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푆 is a support (version 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=': minimal support w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈) of tr푀ac,휈 ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푆 is a support (version 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=': minimal support w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈) of (tr푀)ac,휈 ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and analogically for 푀sing,휈, tr푀sing,휈, (tr푀)sing,휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Using “the short theory” presented above, one immediately checks that the pair of vector measures 퐷푑(tr푀)ac,휈, 퐷푑(tr푀)sing,휈 satisfies the conditions from Definition A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='4 of the parts 푀ac,휈 푀sing,휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, by the uniqueness of the decomposition, we get (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Now, by the non-negativity of 퐷 and by Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='3 we see that 푀ac,휈, 푀sing,휈 are matrix measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To get the assertion (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9), observe that the equality 푀 = 푀ac,휈 + 푀sing,휈 yields tr푀 = tr푀ac,휈 + tr푀sing,휈 by the definition of the trace maesure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' But 푀ac,휈, 푀sing,휈 are a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' or, respec- tively, sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈, hence also tr푀ac,휈, tr푀sing,휈 are a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' or, respectively, sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈, just by the use of the property (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) for both those matrix measures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, we get the result just by the definitions of a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' and sing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' parts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' And the last part follows directly from (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='9), (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5) and by the observation that both notions: of support, as well as of minimal support w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a measure, are determined by zero vector measure sets, only.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ Now we turn to a “technical” result concerning the notion of the minimal support.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Lemma A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider a matrix measure 푀 : 픐 −→ 푀푑(C), a measure 휈 : 픐 −→ [0, +∞], sets 푆푎, 푆푠 ∈ 픐 and a non-negative function 퐹 : 푆푎 −→ 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' If (i) 푆푎 is a support of 푀ac,휈 and 푆푠 is a support of 푀sing,휈, (ii) 푆푎 ∩ 푆푠 = ∅, (iii) 퐹 is a density of 푀ac,휈 on 푆푎 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈, (iv) 휈 ({푡 ∈ 푆푎 : 퐹(푡) = 0}) = 0, then 푆푠 is a support of (푡푟푀)sing,휈 and 푆푎 is a minimal support of (푡푟푀)ac,휈 w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' From Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6 we immediately see that 푆푠 is a support of (tr푀)sing,휈 and 푆푎 is support of (tr푀)ac,휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' To prove the minimality, consider any 푆′ ⊂ 푆푎 which is also a support of (tr푀)ac,휈.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Hence, again by Fact A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='6 (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) 0 = (tr푀)ac,휈(푆푎 \\ 푆′) = tr푀ac,휈 (푆푎 \\ 푆′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' On the other hand, by the assumption (iii), using (푆푎 \\ 푆′) ⊂ 푆푎 and the non-negativity of tr 퐹(푡) for any 푡 ∈ 푆푎, we have tr푀ac,휈 (푆푎 \\ 푆′) = tr �푀ac,휈(푆푎 \\ 푆′)� = tr �∫ (푆푎\\푆′) 퐹 d휈 � = ∫ (푆푎\\푆′) tr 퐹(푡) d휈(푡).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, by (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='10) we have tr 퐹(푡) = 0 for 휈-a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푡 ∈ (푆푎 \\ 푆′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Moreover, by Proposition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='5(iv), tr 퐹(푡) = 0 ⇐⇒ 퐹(푡) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' So, by the assumption (iv), we get tr 퐹(푡) ≠ 0 also for 휈-a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 푡 ∈ (푆푎 \\ 푆′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus 휈(푆푎 \\ 푆′) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' □ 24By the definition, they are “only” vector measures in 푀푑(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' NONSUBORDINACY AND ABSOLUTELY CONTINUOUS SPECTRUM OF BLOCK JACOBI MATRICES 45 At the end of this section let us recall the definition of the integral of the scalar function w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='r.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' a vector measure for some simplest case, but sufficient for our goals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Consider a vector measure 푉 : 픐 −→ 푋, where 푋 = C푘 (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' — a matrix measure, with 푘 = 푑2) and 푓 : Ω −→ C — a bounded 픐-measurable function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Then for any 푗 = 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , 푘 the function 푉푗 : 픐 −→ C given by 푉푗(휔) := �푉(휔)� 푗, 휔 ∈ 픐, is a complex measure and therefore the integral ∫ Ω 푓 d푉푗 is well-defined (see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', [8, Section I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='1]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Thus, we define simply: (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='11) ∫ Ω 푓 d푉 := �∫ Ω 푓 d푉1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' , ∫ Ω 푓 d푉푘 � ∈ C푘.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' References [1] H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Behncke, Absolute continuity of Hamiltonians with von Neumann-Wigner potentials, Proc.' 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Appl.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=', vol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 154, Birkhäuser, Basel, 2004, pp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' 233–238.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Marcin Moszyński, Faculty of Mathematics, Informatics and Mechanics, University of Warsaw, ul.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Stefana Banacha 2, 02-097 Warsaw, Poland Email address: mmoszyns@mimuw.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='edu.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='pl Grzegorz Świderski, Institute of Mathematics, Polish Academy of Sciences, ul.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content=' Śniadeckich 8, 00-696 Warsaw, Poland Email address: gswiderski@impan.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} +page_content='pl' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltAyT4oBgHgl3EQfYfdr/content/2301.00204v1.pdf'} diff --git a/ltE2T4oBgHgl3EQfJAY7/content/tmp_files/2301.03686v1.pdf.txt b/ltE2T4oBgHgl3EQfJAY7/content/tmp_files/2301.03686v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..3dfc296e35aea825b54aa9a21bf80f546f8a89e2 --- /dev/null +++ b/ltE2T4oBgHgl3EQfJAY7/content/tmp_files/2301.03686v1.pdf.txt @@ -0,0 +1,1788 @@ +arXiv:2301.03686v1 [cond-mat.stat-mech] 9 Jan 2023 +The distribution of the number of cycles +in directed and undirected random 2-regular graphs +Ido Tishby, Ofer Biham, and Eytan Katzav +Racah Institute of Physics, The Hebrew University, Jerusalem, 9190401, Israel +Reimer K¨uhn +Mathematics Department, King’s College London, Strand, London WC2R 2LS, UK +Abstract +We present analytical results for the distribution of the number of cycles in directed and undi- +rected random 2-regular graphs (2-RRGs) consisting of N nodes. In directed 2-RRGs each node +has one inbound link and one outbound link, while in undirected 2-RRGs each node has two undi- +rected links. Since all the nodes are of degree k = 2, the resulting networks consist of cycles. +These cycles exhibit a broad spectrum of lengths, where the average length of the shortest cycle in +a random network instance scales with ln N, while the length of the longest cycle scales with N. +The number of cycles varies between different network instances in the ensemble, where the mean +number of cycles ⟨S⟩ scales with ln N. Here we present exact analytical results for the distribution +PN(S = s) of the number of cycles s in ensembles of directed and undirected 2-RRGs, expressed +in terms of the Stirling numbers of the first kind. In both cases the distributions converge to a +Poisson distribution in the large N limit. The moments and cumulants of PN(S = s) are also +calculated. The statistical properties of directed 2-RRGs are equivalent to the combinatorics of +cycles in random permutations of N objects. In this context our results recover and extend known +results. In contrast, the statistical properties of cycles in undirected 2-RRGs have not been studied +before. +PACS numbers: 02.10.Ox,64.60.aq,89.75.Da +1 + +I. +INTRODUCTION +Random networks (or graphs) consist of a set of N nodes that are connected to each +other by edges in a way that is determined by some random process. They provide a useful +conceptual framework for the study of a large variety of systems and processes in science, +technology and society [1–9]. The structure of a random network can be characterized by +the degree distribution P(k). Here we focus on a special class of random networks, called +random regular graphs (RRGs), which exhibit degenerate degree distributions of the form +P(k) = δk,c, +(1) +where δk,k′ is the Kronecker delta and c ≥ 1 is an integer. While the degrees of all the nodes +in these networks are the same, their connectivity is random and uncorrelated. +In that +sense, the RRG is a special case of the class of configuration model networks, which exhibit +a specified degree distribution P(k), but no degree-degree correlations [10–13]. While RRGs +with c = 1 consist of isolated dimers, RRGs with c ≥ 3 form a giant component. Thus, +RRGs with c = 2 are a marginal case, separating between the subcritical regime of c < 2 and +supercritical regime of c > 2. Note that unlike some other configuration model networks that +exhibit a coexistence of a giant component and finite tree components above the percolation +transition, in RRGs with c ≥ 3 the giant component encompasses the whole network. +RRGs with c = 2, referred to as random 2-regular graphs (2-RRGs), consist of isolated +cycles of various lengths. The lengths of these cycles are not determined by the topology, +but by entropic considerations. An important distinction is between directed 2-RRGs, in +which each node has one inbound link and one outbound link, and undirected 2-RRGs, in +which each node has two undirected links. In both cases the cycles can be considered as +isolated components of the network, where the length of each cycle is equal to the size of +the network component that consists of this cycle. +In this paper we present exact analytical results for the distribution of the number of +cycles in ensembles of directed and undirected 2-RRGs that consist of N nodes. The results +are expressed in terms of the Stirling numbers of the first kind. +We first calculate the +joint probability distribution of cycle lengths. This is done by mapping the directed and +undirected 2-RRGs into combinatorically equivalent permutation problems. From the joint +distribution of cycle lengths we extract the distribution PN(S = s) of the number of cycles +2 + +in random instances of directed and undirected 2-RRGs. In both cases PN(S = s) converges +to a Poisson distribution in the large N limit. The moments and cumulants of PN(S = s) +are also calculated. The similarities and differences between the results obtained for the +directed and undirected 2-RRGs are discussed. The statistical properties of directed 2-RRGs +are equivalent to the combinatorics of cycles in random permutations of N objects. In this +context our results recover and extend known results. In contrast, the statistical properties +of cycles in undirected 2-RRGs have not been studied before. The results presented in this +paper are derived specifically for c = 2 and do not apply to the more general case of RRGs +with c ≥ 3. +The paper is organized as follows. In Sec. II we present the directed and undirected +2-RRGs. The joint distributions of cycle lengths are presented in Sec. III. In Sec. IV we +calculate the distribution PN(S = s) of the number of cycles. In Sec. V we calculate the +moments and cumulants of PN(S = s). The results are discussed in Sec. VI and summarized +in Sec. VII. +II. +RANDOM 2-REGULAR GRAPHS +In both directed and undirected 2-RRGs, each node has two links and the resulting +network consists of a set of cycles. In the directed case each node has one inbound link and +one outbound link, while in the undirected case each node has two undirected links. Below +we briefly present the properties of directed and undirected 2-RRGs and their construction. +A. +Directed 2-RRGs +To construct a directed 2-RRG one first assembles N nodes such that each node has one +inbound stub and one outbound stub. During the network construction process, at each time +step one picks a random outbound stub and a random inbound stub among the remaining +open stubs and connects them to each other. This process is repeated N times, until no +open stubs remain. This procedure follows the standard construction process of directed +configuration model networks, in which pairs of outbound and inbound stubs rather than +pairs of nodes are selected for connection. The resulting ensemble of networks obtained from +this procedure is referred to as stub-labeled graphs [14]. During the construction process, +3 + +FIG. 1. +Illustration of a single instance of a 2-RRG of N = 14 nodes, which consists of cycles of +lengths s = 1, 2, 3, 3 and 5, in the directed case (a) and in the undirected case (b). +directed chains of nodes of different lengths are formed. In case that the open outbound +stub of one chain is selected to connect to the open inbound stub of another chain, they are +connected and form a longer chain. In case that the outbound and the inbound stubs at +both ends of the same chain are selected, their connection closes the chain and turns it into +a cycle. Once a chain of nodes becomes a cycle it does not connect to other nodes and its +structure remains unchanged. At the end of the construction, the whole network consists of +cycles of different lengths. +In Fig. 1(a) we present a single instance of a directed 2-RRG of N = 14 nodes, which +consists of cycles of lengths s = 1, 2, 3, 3 and 5. In the 2-RRGs considered here we allow the +outbound and inbound stubs of the same node to be connected to each other. In such case, +one obtains a self-loop of length ℓ = 1. We also allow the connection of a pair of outbound +and inbound stubs, which belong to nodes that are already connected. In such case, the +resulting cycle is of length ℓ = 2. This choice simplifies the analysis. +Consider a directed 2-RRG consisting of N distinguishable nodes, which are marked by +the labels i = 1, 2, . . . , N. In the construction of such a network the first selected inbound +stub has N possible outbound stubs to which it may connect. The second selected inbound +stub has only N − 1 outbound stubs to which it may connect. Continuing this process we +conclude that there are N! possible ways to connect the N nodes. In fact, the combinatorics +of directed 2-RRGs consisting of N nodes is equivalent to the permutation problem of N +objects [15–17]. This permutation problem can be described by a line of N cells labeled +4 + +by i = 1, 2, . . . , N, and a corresponding set of N labeled balls. The number of ways to +distribute the balls between the cells, one ball in each cell, is +RD = N!, +(2) +where each arrangement of the balls in the cells corresponds to a specific network instance. +In this representation, a ball i′ located in cell i represents a directed link from i to i′. +Similarly, a ball i′′ located in cell i′ represents a directed link from i′ to i′′. One can follow +these directed links until the cell in which ball i resides is reached and the cycle is closed. +Repeating this process for all the balls and cells provides the structure of cycles associated +with the specific permutation. The length of each cycle is given by the number of balls +included in the cycle. +The statistical properties of cycles in random permutations of N objects have been studied +extensively [18–20]. In particular, the properties of the longest cycle in each permutation +received much attention. +It was found that the expectation value of the length of the +longest cycle in a random permutation of N objects is equal to λN, where λ = 0.6243... is +the Golomb-Dickman constant [21–23]. Interestingly, this constant plays a role in the prime +factorization of a random integer. More specifically, it was found that the asymptotic average +number of digits in the largest prime factor of a random N-digit number is λN [21, 22, 24]. +In the other extreme, the average length of the shortest cycle in a random permutation of +N objects was also calculated and was found to be e−γ ln N, where γ = 0.5772... is the +Euler-Mascheroni constant [16, 22]. +B. +Undirected 2-RRGs +To construct an undirected 2-RRG one first assembles N nodes such that each node is +connected to two undirected stubs. At each time step one selects a random pair of stubs +among the remaining open stubs and connects them to each other. This process is repeated +N times, until no open stubs remain. This procedure follows the standard construction +process of undirected configuration model networks, in which pairs of stubs rather than pairs +of nodes are selected for connection [10–13]. The resulting ensemble of networks obtained +from this procedure is referred to as stub-labeled graphs [14]. Initially, one obtains linear +chains of nodes of increasing lengths that eventually close and form cycles. Here we consider +5 + +undirected 2-RRGs in which we allow the two stubs of the same node to be connected to +each other and form a self-loop of length ℓ = 1. We also allow the connection of a pair of +stubs which belong to nodes that are already connected, resulting in a cycle of length ℓ = 2. +In Fig. 1(b) we present a single instance of an undirected 2-RRG of N = 14 nodes, which +consist of cycles of lengths s = 1, 2, 3, 3 and 5. +Consider an ensemble of undirected 2-RRGs consisting of N nodes. In the construction +of such network the first selected stub has 2N − 1 other stubs to which it may connect. +The second selected stub has 2N − 3 other stubs to which it may connect. Continuing this +process we conclude that there are +RU = (2N − 1)!!. +(3) +possible ways to construct such network, where m!! is the double factorial of m. The sta- +tistical properties of the resulting ensemble of networks can be mapped to the combina- +torial problem described below. Consider a set of 2N balls, such that for each value of +i = 1, 2, . . . , N there are two identical balls on which the label i is marked. The two balls +labeled by a given value of i represent the two stubs of node i. In addition, there are N +unlabeled boxes such that in each box there is room for two balls. The 2N balls are then +distributed uniformly at random in the N boxes, where each box contains two balls. Each +pair of balls that resides in the same box represents one edge of the network. For example, +if a ball labeled by i and a ball labeled by i′ are in the same box, it means that there is an +edge between the nodes i and i′. Similarly, if the other ball labeled by i′ is in the same box +with a ball labeled i′′, it means that there is an edge between the nodes i′ and i′′. One can +follow this chain until reaching the box in which the second ball labeled by i resides, thus +closing the cycle. The number of possible ways to distribute the 2N balls in the N cells is +given by +RU = (2N)! +2NN! , +(4) +where the numerator accounts for the number of permutations of 2N balls, the N! term in +the denominator accounts for the number of permutations of the N identical cells, and the +term 2N accounts for the fact that the order in which the two balls are placed in each cell is +unimportant. Note that (2N)! = (2N − 1)!!(2N)!! and 2NN! = (2N)!!. These two identities +6 + +establish the equivalence between Eqs. (3) and (4). +III. +THE JOINT DISTRIBUTION OF CYCLE LENGTHS +Both versions of the 2-RRG, with directed and undirected links, consist of closed cycles +of different lengths. The configuration of cycles in a given network instance can be described +by the sequence of cycle lengths, ℓ1, ℓ2, . . . , ℓs, where 1 ≤ ℓi ≤ N, s is the number of cycles +in the given network instance and +s +� +i=1 +ℓi = N. +(5) +For convenience and uniqueness, we order the lengths in increasing order, such that ℓ1 ≤ +ℓ2 ≤ · · · ≤ ℓs. +Another way to describe the configuration of cycles in a given network instance is in the +form {gℓ}N +ℓ=1 = {g1, g2, . . . , gN}, where gℓ is the number of cycles of length ℓ. The gℓ’s satisfy +the condition +N +� +ℓ=1 +ℓgℓ = N, +(6) +which is equivalent to Eq. (5). The number of cycles in such a network instance can be +expressed by +s = +N +� +ℓ=1 +gℓ. +(7) +The joint distribution of cycle lengths in an ensemble of 2-RRGs consisting of N nodes is +denoted by PN({Gℓ} = {gℓ}), under the condition of Eq. (6). For convenience we use the +notation PN({gℓ}). Below we consider the joint distributions of the cycle lengths in directed +and undirected 2-RRGs. +A. +Joint distribution of cycle lengths in directed 2-RRGs +Consider an ensemble of directed 2-RRGs that consist of N nodes. +The number of +configurations of the form {gℓ} is given by +7 + +N({gℓ}) = N! +N +� +ℓ=1 +1 +ℓgℓgℓ!δ� ℓgℓ,N. +(8) +To understand the first term in the denominator, consider a cycle of length ℓ. Such cycle +exhibits ℓ cyclic permutations. This yields the first term in the denominator, which is raised +to the power gℓ to account for the number of cycles of length ℓ. The term gℓ! accounts +for the permutations between the gℓ degenerate cycles of length ℓ, which correspond to the +same configuration, while the Kronecker delta imposes the condition of Eq. (6). Dividing +the number of configurations N({gℓ}) by the total number of configurations RD, given by +Eq. (2), we obtain the joint probability distribution of cycle lengths. It is given by +PN({gℓ}) = +N +� +ℓ=1 +1 +ℓgℓgℓ!δ� ℓgℓ,N. +(9) +It can be shown that this probability distribution is normalized, namely +� +g1 +� +g2 +· · · +� +gN +PN({gℓ}) = 1, +(10) +where the summation is over all the configurations of {gℓ} that satisfy Eq. (6). +B. +Joint distribution of cycle lengths in undirected 2-RRGs +Consider an ensemble of undirected 2-RRGs of N nodes. The number of configurations +of the form {gℓ} is +N({gℓ}) = N! +N +� +ℓ=1 +2(ℓ−1)gℓ +ℓgℓgℓ! δ� ℓgℓ,N. +(11) +This result can be understood in terms of the analogous combinatorial problem described +above, which consists of N pairs of identical balls and N unlabled boxes. Inserting two +random balls in each box, the factor of N! accounts for the number of permutations of the +N pairs of indices marked on the balls. To account for the other factors, consider a cycle +of length ℓ. There are 2ℓ possible ways to exchange the ℓ pairs of identical balls. However, +due to the cyclic structure there is also a factor of 1/2, because in each cycle the lables +marked on the balls can be listed either in the clockwise direction or in the counterclockwise +direction. Taking this into account yields the factor of 2ℓ−1 in the numerator. This factor +8 + +is raised to the power gℓ to account for the fact that there are gℓ cycles of length ℓ. In the +denominator, the ℓgℓ term accounts for the number of cyclic permutations of the indices in +all the cycles of length ℓ, while the gℓ! term accounts for the number of permutations of gℓ +degenerate cycles of the same length. The probability that a random network instance will +have a cycle structure given by {gℓ} is given by +PN({gℓ}) = N({gℓ}) +RU +. +(12) +Inserting N({gℓ}) from Eq. (11), and RU from Eq. (3) into Eq. (12), we obtain +PN({gℓ}) = +N! +(2N − 1)!! +N +� +ℓ=1 +2(ℓ−1)gℓ +ℓgℓgℓ! δ� ℓgℓ,N. +(13) +Using the relation 2N = 2 +�N +ℓ=1 ℓgℓ, we obtain +PN({gℓ}) = +(2N)!! +(2N − 1)!! +N +� +ℓ=1 +1 +(2ℓ)gℓgℓ!δ� ℓgℓ,N. +(14) +This expression differs from the corresponding result for directed 2-RRGs in two ways: it has +a factor of (2ℓ)gℓ in the denominator instead of ℓgℓ and there is a pre-factor that is required +in order to maintain the normalization. The factor of 2gℓ in the denominator means that +as the number of cycles is increased the configuration becomes exponentially less probable +than the corresponding configuration of the directed 2-RRG. +IV. +THE DISTRIBUTION OF THE NUMBER OF CYCLES +The probability PN(S = s) that a random network instance includes s cycles can be +calculated by summing up over all the combinations of {gℓ} that consist of s cycles, namely +PN(S = s) = +� +g1,...,gN +PN({gℓ})δ� +ℓ gℓ,s, +(15) +where the configurations {gℓ} satisfy the condition of Eq. +(6). +Below we calculate the +distribution PN(S = s) for the directed and undirected 2-RRGs. +A. +Distribution of the number of cycles in directed 2-RRGs +Inserting the expression for PN({gℓ}) from Eq. (9) into Eq. (15), we obtain +9 + +PN(S = s) = +� +g1,...,gN≥0 +N +� +ℓ=1 +1 +ℓgℓgℓ!δ� ℓgℓ,Nδ� +ℓ gℓ,s. +(16) +For the analysis below it is convenient to perform a change of variables from gℓ, ℓ = +1, 2, . . . , N to ℓi, i = 1, 2, . . . , s. This transformation is based on the identity +� +g1,...,gN≥0 +1 +g1!g2! . . . gN!δ� +ℓ gℓ,s = Ns +s! = 1 +s! +N +� +ℓ1,ℓ2,...,ℓs=1 +1, +(17) +which is a result of the multinomial theorem (equation 26.4.9 in Ref. [25]). Inserting the +constraints that �N +ℓ=1 ℓgℓ = N = �s +i=1 ℓi, obtained from Eqs. (5) and (6) we obtain the +identity +� +g1,...,gN≥0 +1 +g1!g2! . . . gN!δ� +ℓ gℓ,sδ� ℓgℓ,N = 1 +s! +N +� +ℓ1,ℓ2,...,ℓs=1 +δ� +i ℓi,N +(18) +Using this transformation, we express Eq. (16) in the form +PN(S = s) = 1 +s! +N +� +ℓ1,...,ℓs=1 +1 +ℓ1ℓ2 . . . ℓs +δ� +i ℓi,N. +(19) +Below we use the discrete Laplace transform, which is related to the one-sided Z-transform +and to the starred transform [26], to evaluate the right hand side of Eq. (19). We denote +the sum on the right hand side of Eq. (19) by +fs(N) = +� +ℓ1,...,ℓs≥1 +1 +ℓ1ℓ2 . . . ℓs +δ�s +i=1 ℓi,N. +(20) +The discrete Laplace transform of fs(N) is given by +�fs(z) = +∞ +� +N=0 +zNfs(N). +(21) +Inserting fs(N) from Eq. (20) into Eq. (21), we obtain +�fs(z) = +� +ℓ1,...,ℓs≥1 +1 +ℓ1ℓ2 . . . ℓs +∞ +� +N=0 +zNδ�s +i=1 ℓi,N, +(22) +where +∞ +� +N=0 +zNδ�s +i=1 ℓi,N = z +�s +i=1 ℓi. +(23) +10 + +Decomposing the multiple summation in Eq. (22) into a product of sums over the ℓi’s, we +obtain +�fs(z) = +� ∞ +� +ℓ=1 +zℓ +ℓ +�s +. +(24) +Carrying out the summation, we obtain +�fs(z) = [− ln (1 − z)]s . +(25) +The next step is to apply the inverse discrete Laplace transform on �fs(z) to obtain fs(N). +To this end we use identity 26.8.8 from Ref. [25], which is given by +[ln(1 + y)]k +k! += +∞ +� +n=0 +s(n, k)yn +n! , +(26) +where s(n, k) is the Stirling number of the first kind. These Stirling numbers can be expressed +in the form +s(n, k) = (−1)n−k +� n +k +� +, +(27) +where +� n +k +� +is the unsigned Stirling number of the first kind [25]. Inserting s(n, k) from Eq. +(27) into Eq. (26), we obtain +[ln(1 + y)]k = k! +∞ +� +n=0 +(−1)n−k +� n +k +�yn +n! . +(28) +Inserting y = −z into Eq. (28) we rewrite �fs(z) in the form +�fs(z) = s! +∞ +� +n=0 +1 +n! +� n +s +� +zn. +(29) +To obtain the inverse discrete Laplace transform of �fs(z) we use the fact that +L−1 {zn} (N) = δN,n. +(30) +Applying the inverse discrete Laplace transform on Eq. (29), we obtain +11 + +fs(N) = s! +N! +� N +s +� +. +(31) +Inserting fs(N) from Eq. (31) into Eq. (19), we obtain +PN(S = s) = 1 +N! +� N +s +� +. +(32) +The normalization of the distribution PN(S = s) can be confirmed using identity 26.8.29 in +Ref. [25]. In the context of permutations, the result expressed by Eq. (32) implies that +� N +s +� +counts the number of permutations with precisely s cycles among the N! permutations of +N objects. This is consistent with the combinatorial interpretation of the unsigned Stirling +number of the first kind [25]. The cumulative distribution of the number of cycles is given +by +PN(S ≤ s) = 1 +N! +s +� +s′=1 +� N +s′ +� +. +(33) +In Fig. 2(a) we present exact analytical results (solid line) for the cumulative distribution +PN(S ≤ s) of the number of cycles in a directed 2-RRG that consists of N = 10 nodes, +obtained from Eq. (33). The analytical results are found to be in very good agreement with +the results obtained from computer simulations (circles). +While Eq. +(32) provides an exact result for PN(S = s), it is useful to express this +distribution in terms of more elementary functions. This is possible in the asymptotic limit +of large N. The limit of N ≫ 1 corresponds to the limit of z → 1− of the discrete Laplace +transform �fs(z) [27, 28]. If one replaces the variable z by e−x, then this limit corresponds to +x ≪ 1 in �fs(e−x). In this limit the expression for �fs (e−x) in Eq. (25) can be approximated +by +�fs +� +e−x� +≃ (− ln x)s . +(34) +In order to calculate the inverse Laplace transform of �fs (e−x), we use the relation +L−1 +� 1 +xν (− ln x)s +� += +� d +dν +�s �Nν−1 +Γ(ν) +� +, +(35) +12 + +0 +1 +2 +3 +4 +5 +6 +7 +0 +0.2 +0.4 +0.6 +0.8 +1 +0 +1 +2 +3 +4 +5 +6 +7 +0 +0.2 +0.4 +0.6 +0.8 +1 +FIG. 2. +Exact analytical results (solid lines) for the cumulative distribution of the number of +cycles in a directed 2-RRG (a) and an undirected 2-RRG (b) of N = 10 nodes, obtained from Eqs. +(33) and (57), respectively. The analytical results are in very good agreement with the results +obtained from computer simulations (circles). +where Γ(ν) is the Gamma function [25]. +The inverse Laplace transform of Eq. +(34) is +obtained by taking the limit ν → 0 in Eq. (35). To this end we use the general Leibnitz +rule (equation 1.4.12 in Ref. [25]) +� d +dν +�s �Nν−1 +Γ(ν) +� += +s +� +i=0 +�s +i +� �� d +dν +�s−i +Nν−1 +� �� d +dν +�i � +1 +Γ(ν) +�� +. +(36) +Below we evaluate the derivatives that appear in the two terms on the right hand side of +Eq. (36). The derivative in the first term is given by +� d +dν +�i +Nν−1 = Nν−1(ln N)i. +(37) +Thus, for ν → 0+ we obtain +lim +ν→0+ +�� d +dν +�i +Nν−1 +� += (ln N)i +N +. +(38) +The derivative in the second term on the right hand side of Eq. (36) is denoted by +hi = lim +ν→0+ +�� d +dν +�i � +1 +Γ(ν) +�� +. +(39) +13 + +TABLE I. The coefficients ai, i = 1, 2, . . . , 10, which appear in the power series of the reciprocal +gamma function given by Eq. (42) +i +ai +1 +1 +2 +0.5772156649 +3 +- 0.6558780715 +4 +- 0.0420026350 +5 +0.1665386114 +6 +- 0.0421977345 +7 +- 0.0096219715 +8 +0.0072189432 +9 +- 0.0011651675 +10 +- 0.0002152416 +By its definition, hi is the coefficient of the i’th power of ν in the Taylor expansion of 1/Γ(ν) +around ν = 0, namely +1 +Γ(ν) = +∞ +� +i=1 +hi +i! νi. +(40) +This expansion is often written as a power-series of the form [29, 30] +1 +Γ(ν) = +∞ +� +i=1 +aiνi, +(41) +where ai = hi/i!. The first two coefficients are given by a1 = 1 and a2 = γ, where γ is the +Euler-Mascheroni constant [25]. Higher order coefficients can be obtained from the recursion +equation +ai = +1 +i − 1 +� +a2ai−1 − +i−1 +� +j=2 +(−1)jζ(j)ai−j +� +, +(42) +where ζ(j) is the Riemann zeta function. The coefficients ai for i = 3, 4, . . . , 10, obtained +from Eq. (42), are presented in Table I. These coefficients can also be obtained from the +integral representation [31] +14 + +an = (−1)n +πn! +� π +0 +e−tIm [(ln t − iπ)n] dt. +(43) +Using this notation we obtain +fs(N) ≃ s! +N +s +� +i=1 +ai +(ln N)s−i +(s − i)! , +(44) +which leads to +PN(S = s) ≃ 1 +N +s +� +i=1 +ai +(ln N)s−i +(s − i)! . +(45) +Note that for sufficiently large N the sum is dominated by the first few terms for two reasons. +First, apart from the first few terms, the coefficients ai become negligibly small. Second, +the power of ln N decreases as i is increased. +The cumulative distribution of the number of cycles is given by +PN(S ≤ s) = 1 +N +s +� +s′=1 +s′ +� +i=1 +ai +(ln N)s′−i +(s′ − i)! . +(46) +In Fig. 3(a) we present analytical results (solid line) for the large N approximation of the +cumulative distribution PN(S ≤ s) of the number of cycles in a directed 2-RRG of N = 104 +nodes, obtained from Eq. (46). The analytical results are found to be in very good agreement +with the results obtained from computer simulations (circles). +B. +Distribution of the number of cycles in undirected 2-RRGs +We now turn to calculate the distribution PN(S = s) of the number of cycles in undirected +2-RRGs. Inserting the expression for PN({gℓ}) from Eq. (14) in Eq. (15), we obtain +PN(S = s) = +(2N)!! +(2N − 1)!! +� +g1,...,gN≥0 +N +� +ℓ=1 +1 +(2ℓ)gℓgℓ!δ� +ℓ ℓgℓ,Nδ� +ℓ gℓ,s. +(47) +Using the change of variables presented in Eq. (18), we obtain +PN(S = s) = +(2N)!! +(2N − 1)!! +1 +2ss! +N +� +ℓ1,...,ℓs=1 +1 +ℓ1ℓ2 . . . ℓs +δ� +i ℓi,N. +(48) +15 + +0 +5 +10 +15 +20 +0 +0.2 +0.4 +0.6 +0.8 +1 +0 +5 +10 +15 +20 +0 +0.2 +0.4 +0.6 +0.8 +1 +FIG. 3. +Analytical results (solid lines) for the cumulative distribution of the number of cycles in +a directed 2-RRG (a) and an undirected 2-RRG (b) of N = 104 nodes, obtained from Eqs. (46) +and (60), respectively. The analytical results are in very good agreement with the results obtained +from computer simulations (circles). +Note that the sum on the right hand side of Eq. (48) is equal to fs(N), given by Eq. (20). +We thus obtain +PN(S = s) = +(2N)!! +(2N − 1)!! +1 +2sN! +� N +s +� +. +(49) +Below we show that the distribution PN(S = s) is properly normalized. To this end we use +equation 26.8.7 from Ref. [25], which can be written in the form +N +� +s=1 +(−1)N−s +� N +s +� +xs = (x − N + 1)N, +(50) +where (a)N is the Pochhammer symbol [25]. Inserting x = −1/2 in Eq. (50), we obtain +N +� +s=1 +� N +s +� 1 +2s = (−1)N +�1 +2 − N +� +N +. +(51) +Expressing the Pochhammer symbol on the right hand side of Eq. (51) as a ratio between +two Gamma functions, we obtain +16 + +N +� +s=1 +� N +s +� 1 +2s = (−1)NΓ(1/2) +Γ(1/2 − N) . +(52) +Using Euler’s reflection formula [25] +Γ +�1 +2 − N +� +Γ +�1 +2 + N +� += (−1)Nπ, +(53) +and the Legendre duplication formula [25] +Γ(1/2 + N) = 21−2N√πΓ(2N) +Γ(N) , +(54) +we obtain +N +� +s=1 +� N +s +� 1 +2s = 21−2N Γ(2N) +Γ(N) . +(55) +Expressing the Gamma functions of integer variables in terms of factorials and double fac- +torials, we obtain +N +� +s=1 +� N +s +� 1 +2s = (2N − 1)!! +(2N)!! +N!. +(56) +This confirms the normalization of PN(S = s), given by Eq. (49). From Eq. (49) we obtain +the cumulative distribution of the number of cycles, which is given by +PN(S ≤ s) = +(2N)!! +(2N − 1)!! +1 +N! +s +� +s′=1 +1 +2s′ +� N +s′ +� +. +(57) +In Fig. 2(b) we present exact analytical results (solid line) for the cumulative distribution +P(S ≤ s) of the number of cycles in undirected 2-RRGs that consist of N = 10 nodes, +obtained from Eq. (57). The analytical results are found to be in very good agreement with +the results obtained from computer simulations (circles). +While Eq. +(49) provides an exact result for PN(S = s), it is useful to express this +distribution in terms of more elementary functions. This is possible in the asymptotic limit +of large N, where the ratio of double factorials can be approximated by +(2N)!! +(2N − 1)!! ≃ +√ +πN + O +� +N−1/2� +. +(58) +17 + +Using this result and inserting fs(N) from Eq. (44) into Eq. (48), we find that +PN(S = s) ≃ 1 +2s +� π +N +s +� +i=1 +ai +(ln N)s−i +(s − i)! . +(59) +From Eq. (59) we obtain the cumulative distribution of the number of cycles, which is given +by +PN(S ≤ s) ≃ +� π +N +s +� +s′=1 +1 +2s′ +s′ +� +i=1 +ai +(ln N)s′−i +(s′ − i)! . +(60) +In Fig. 3(b) we present analytical results (solid line) for the cumulative distribution of +the number of cycles in undirected 2-RRGs of N = 104 nodes, obtained from Eq. (60). The +analytical results are found to be in very good agreement with the results obtained from +computer simulations (circles). +V. +MOMENTS AND CUMULANTS +In this section we calculate the moments and cumulants of the distribution of the number +of cycles in 2-RRGs that consist of N nodes. To this end we introduce the moment generating +function, which is given by +M(t) = E +� +etS� +. +(61) +The cumulant generating function is given by +K(t) = ln M(t). +(62) +Using this function one can calculate the cumulants via differentiation according to +κn = dnK(t) +dtn +���� +t=0 +. +(63) +A. +Moments and cumulants in directed 2-RRGs +The moment generating function of directed 2-RRGs is given by +18 + +M(t) = 1 +N! +N +� +s=0 +ets +� N +s +� +. +(64) +Using Eq. (50) with x = −et, we obtain +M(t) = (−1)N +N! +� +−et − N + 1 +� +N . +(65) +The moment generating function M(t) may also be written in the form +M(t) = Γ(N + et) +Γ(et)N! , +(66) +in agreement with the results presented in Ref. [16]. The corresponding cumulant generating +function is given by +K(t) = ln +�Γ(N + et) +Γ(et)N! +� +. +(67) +Using Eq. (67) we obtain the first two cumulants, which are given by +⟨S⟩ = κ1 = HN, +(68) +where HN is the harmonic number [32], and +Var(S) = κ2 = HN − H(2) +N , +(69) +where H(m) +N +is the generalized harmonic number of order m [32]. Similarly, one can calculate +higher order cumulants such as +κ3 = HN − 3H(2) +N + 2H(3) +N +(70) +and +κ4 = HN − 7H(2) +N + 12H(3) +N − 6H(4) +N . +(71) +In the limit of large N we can use the asymptotic expression for the distribution PN(S = s), +given by Eq. (45), and obtain +M(t) ≃ 1 +N +∞ +� +s=0 +s +� +i=1 +estai +(ln N)s−i +(s − i)! . +(72) +19 + +Exchanging the order of summations, we obtain +M(t) ≃ 1 +N +∞ +� +i=1 +ai +∞ +� +s=i +est(ln N)s−i +(s − i)! . +(73) +Shifting the summation index in the second sum, we obtain +M(t) ≃ 1 +N +∞ +� +i=1 +aieit +∞ +� +s=0 +est(ln N)s +s! +. +(74) +Using Eq. (41) we carry out the two summations and obtain +M(t) ≃ 1 +N +1 +Γ(et) exp +� +et ln N +� +. +(75) +Using Eq. (62) we obtain the cumulant generating function, which is given by +K(t) ≃ +� +et − 1 +� +ln N − ln +� +Γ +� +et�� +. +(76) +Using Eq. (63) we obtain the cumulants, which take the form +κn ≃ ln N − dn +dtn ln +� +Γ +� +et�� ���� +t=0 +. +(77) +In order to calculate high order derivatives of ln [Γ (et)] we use the identity (equation A.4 in +Ref. [32]) +dn +dtnf(et) = +n +� +m=1 +� n +m +� +emtf (m)(et), +(78) +where +� n +m +� +is the Stirling number of the second kind and f (m)(x) is the mth derivative of +f(x). We also use the fact that +dn +dzn ln Γ(z) = ψ(n−1)(z), +(79) +where ψ(n)(z) is the nth derivative of the digamma function [25]. Using these identities, we +obtain +dn +dtn ln +� +Γ +� +et�� ���� +t=0 += +n +� +m=1 +� n +m +� +ψ(m−1)(1). +(80) +20 + +It is also known that (equation 5.4.12 in Ref. [25]) +ψ(0)(1) = −γ, +(81) +and that for m ≥ 1 (equation 5.15.2 in Ref. [25]) +ψ(m)(1) = (−1)m+1m!ζ(m + 1), +(82) +where ζ(m) is the Riemann zeta function [25]. Combining the results derived above, we +obtain +κn ≃ ln N + γ + +n +� +m=2 +� n +m +� +(−1)m−1(m − 1)!ζ(m). +(83) +Using Eq. (83) we write down explicitly the first few cumulants of PN(S = s) in the large +N limit. They are given by +κ1 ≃ ln N + γ +κ2 ≃ ln N + γ − π2 +6 +κ3 ≃ ln N + γ − π2 +2 + 2ζ(3) +κ4 ≃ ln N + γ − 7π2 +6 ++ 12ζ(3) − π4 +15. +(84) +The results for κ1 and κ2 are in agreement with the classical results reported in Refs. [33–36]. +In the large N limit all the cumulants are of the form ln N + O(1). This essentially implies +that in the large N limit the distribution PN(S = s) approaches a Poisson distribution with +a parameter ln N. +Comparing between Eqs. (68)-(71) and Eq. (83), and using the fact that for m ≥ 2 +lim +N→∞ H(m) +N += ζ(m), +(85) +we obtain a general expression for the cumulants at finite values of N, which is given by +κn = HN + +n +� +m=2 +� n +m +� +(−1)m−1(m − 1)!H(m) +N . +(86) +21 + +101 +102 +103 +104 +105 +0 +2 +4 +6 +8 +10 +12 +FIG. 4. +Analytical results for the mean number of cycles ⟨S⟩ as a function of the network size N, +in directed 2-RRGs (solid line) and in undirected 2-RRGs (dashed line), obtained from Eqs. (68) +and (91), respectively. The analytical results are in very good agreement with the results obtained +from computer simulations (circles). To leading order, in directed 2-RRGs ⟨S⟩ ≃ ln N, while in +undirected 2-RRGs ⟨S⟩ ≃ 1 +2 ln N. +In Fig. 4 we present analytical results (solid line) for the mean number of cycles ⟨S⟩ in +directed 2-RRGs as a function of the network size N, obtained from Eq. (68). The analytical +results are in very good agreement with the results obtained from computer simulations +(circles). +In Fig. 5 we present analytical results (solid line) for the variance Var(S) in directed +2-RRGs as a function of the network size N, obtained from Eq. (69). The analytical results +are in very good agreement with the results obtained from computer simulations (circles). +B. +Moments and cumulants in undirected 2-RRGs +The moment generating function of undirected 2-RRGs is given by +M(t) = +(2N)!! +(2N − 1)!! +1 +N! +N +� +s=0 +ets +2s +� N +s +� +. +(87) +Using Eq. (50) with x = −et/2, we obtain +22 + +101 +102 +103 +104 +105 +0 +2 +4 +6 +8 +10 +12 +FIG. 5. +Analytical results for the variance of the distribution of the number of cycles as a function +of the network size N, in directed 2-RRGs (solid line) and in undirected 2-RRGs (dashed line), +obtained from Eqs. (69) and (92), respectively. The analytical results are in very good agreement +with the results obtained from computer simulations (circles). To leading order, in directed 2-RRGs +Var(S) ≃ ln N, while in undirected 2-RRGs Var(S) ≃ 1 +2 ln N. +M(t) = (−1)N +N! +(2N)!! +(2N − 1)!! +� +−et +2 − N + 1 +� +N +. +(88) +The moment generating function M(t) may also be written in the form +M(t) = +(2N)!! +(2N − 1)!! +Γ +� +N + et +2 +� +Γ +�et +2 +� +N! . +(89) +The corresponding cumulant generating function is given by +K(t) = ln + + +(2N)!! +(2N − 1)!! +Γ +� +N + et +2 +� +Γ +�et +2 +� +N! + + . +(90) +Using Eq. (63) we obtain the first four cumulants. The first cumulant is given by +⟨S⟩ = κ1 = 1 +2HN− 1 +2 + ln 2, +(91) +where HN− 1 +2 is an Harmonic number at a half-integer value [37]. The second cumulant is +given by +23 + +Var(S) = κ2 = 1 +2HN− 1 +2 + ln 2 − 1 +4 +� +H(2) +N− 1 +2 + 2ζ(2) +� +, +(92) +while the third and fourth cumulants are given by +κ3 = 1 +2HN− 1 +2 + ln 2 − 3 +4 +� +H(2) +N− 1 +2 + 2ζ(2) +� ++ 1 +4 +� +H(3) +N− 1 +2 + 6ζ(3) +� +(93) +and +κ4 = 1 +2HN− 1 +2 + ln 2 − 7 +4 +� +H(2) +N− 1 +2 + 2ζ(2) +� ++ 3 +2 +� +H(3) +N− 1 +2 + 6ζ(3) +� +− 3 +8 +� +H(4) +N− 1 +2 + 14ζ(4) +� +. (94) +In the limit of large N we can use the asymptotic expression for the distribution PN(S = +s), given by Eq. (59). Inserting it into Eq. (61) we obtain an asymptotic expression for the +moment generating function, which is given by +M(t) ≃ +� π +N +∞ +� +s=0 +s +� +i=1 +estai +2i +(ln N)s−i +2s−i(s − i)!. +(95) +Exchanging the order of summations and shifting the summation index in the second sum, +we obtain +M(t) ≃ +� π +N +∞ +� +i=1 +ai +eit +2i +∞ +� +s=0 +est(ln N)s +2ss! +. +(96) +Using Eq. (41) we carry out the two summations and obtain +M(t) ≃ +� π +N +1 +Γ(et/2) exp +�et +2 ln N +� +. +(97) +Using Eq. (62) we obtain the cumulant generating function, which is given by +K(t) ≃ et − 1 +2 +ln N − ln +� 1 +√πΓ +�et +2 +�� +. +(98) +Using Eq. (63) we obtain the cumulants, which take the form +κn ≃ 1 +2 ln N − dn +dtn ln +� 1 +√πΓ +�et +2 +�� ���� +t=0 +. +(99) +Using Eqs. (78) and (79), we obtain +24 + +dn +dtn ln +� 1 +√πΓ +�et +2 +�� ���� +t=0 += +n +� +m=1 +� n +m +� +2−mψ(m−1) +�1 +2 +� +. +(100) +It is also known that [38] +ψ(0) +�1 +2 +� += −γ − ln 4, +(101) +and that for m ≥ 1 [38] +ψ(m) +�1 +2 +� += (−1)m+1m! +� +2m+1 − 1 +� +ζ(m + 1). +(102) +Combining the results derived above, we obtain +κn ≃ ln N +2 ++ γ + ln 4 +2 ++ +n +� +m=2 +� n +m +� +(−1)m−1 � +1 − 2−m� +(m − 1)!ζ(m), +(103) +which becomes exact in the large N limit. Using Eq. (103) we write down explicitly the +first few cumulants of PN(S = s). They are given by +κ1 ≃ ln N +2 ++ γ + ln 4 +2 +κ2 ≃ ln N +2 ++ γ + ln 4 +2 +− π2 +8 +κ3 ≃ ln N +2 ++ γ + ln 4 +2 +− 3π2 +8 ++ 7 +4ζ(3) +κ4 ≃ ln N +2 ++ γ + ln 4 +2 +− 7π2 +8 ++ 21 +2 ζ(3) − π4 +16. +(104) +In the large N limit all the cumulants are of the form 1 +2 ln N +O(1). This essentially implies +that in the large N limit the distribution PN(S = s) approaches a Poisson distribution with +a parameter 1 +2 ln N. +Using the fact that for m ≥ 2 +lim +N→∞ H(m) +N− 1 +2 = ζ(m), +(105) +we obtain a general expression for the cumulants at finite values of N, which is given by +κn = 1 +2HN− 1 +2 + ln 2 + +n +� +m=2 +� n +m +� +(−1)m−12−m(m − 1)! +� +H(m) +N− 1 +2 + (2m − 2)ζ(m) +� +. +(106) +25 + +In Fig. +4 we present analytical results (dashed line) for the mean number of cycles +⟨S⟩ in undirected 2-RRGs as a function of the network size N, obtained from Eq. (91). +The analytical results are in very good agreement with the results obtained from computer +simulations (circles). +In Fig. 5 we present analytical results (dashed line) for the variance Var(S) in undirected +2-RRGs as a function of the network size N, obtained from Eq. (92). The analytical results +are in very good agreement with the results obtained from computer simulations (circles). +VI. +DISCUSSION +Below we discuss the similarities and differences between the directed and undirected +2-RRGs. In directed 2-RRGs the mean number of cycles ⟨S⟩ scales with ln N, while in +undirected 2-RRGs it scales with 1 +2 ln N. Thus, the expected number of cycles in directed +2-RRGs is twice as large as in undirected 2-RRGs. +This is due to the fact that in the +construction of undirected 2-RRGs each end of a given chain may connect to both sides of +any other linear chain, while in directed 2-RRGs it may only connect to the complementary +side. As a result, in undirected 2-RRGs the connection of chains forming a longer chain is +more probable than in directed 2-RRGs. Thus, in undirected 2-RRGs the competing process +of closing a chain to form a cycle is less probable than in directed 2-RRGs. This implies that +in undirected 2-RRGs the cycles are expected to be longer and their number is expected to +be smaller than in directed 2-RRGs. +2-RRGs are marginal networks that reside at the boundary between the subcritical regime +and the supercritical regime. In the subcritical regime, configuration model networks consist +of many finite tree components. The distribution of sizes of these tree components can be +calculated using the framework of generating functions [39]. In this framework it is assumed +that all the network components exhibit a tree structure. In the 2-RRG the topological +constraint that all the nodes are of degree k = 2 imposes the formation of cycles. There- +fore, the generating function formalism cannot be used to analyze the distribution of cycle +lengths in 2-RRGs. A naive attempt to use the generating function formalism to obtain the +distribution of cluster sizes (which are also the cycle lengths) in 2-RRGs fails to determine +the distribution. +RRGs with c ≥ 3 are supercritical. They consist of a giant component that encompasses +26 + +the whole network. While the local structure of the the network is typically tree-like, at +larger scales it exhibits cycles with a broad distribution of cycle lengths. The length of a +cycle is given by the number of nodes (or edges) that reside along the cycle. The longest +possible cycle is a Hamiltonian cycle of length ℓ = N. The expected number of cycles of +length ℓ in an undirected RRG that consists of N nodes of degree c ≥ 3, where ℓ ≪ ln N, is +given by [40–42] +⟨Gℓ⟩ = (c − 1)ℓ +2ℓ +. +(107) +This implies that for c ≥ 3 the number of cycles of length ℓ proliferates exponentially as ℓ +is increased, as long as ℓ ≪ ln N. Although these results were not claimed to hold in the +case of c = 2, it is interesting to examine their relevance to 2-RRGs. In the special case of +an undirected 2-RRG, where c = 2, Eq. (107) is reduced to +⟨Gℓ⟩ = 1 +2ℓ. +(108) +In Fig. 6 we present analytical results (solid lines) for the expected number ⟨Gℓ⟩ of cycles of +length ℓ in undirected 2-RRGs, obtained from Eq. (108), as a function of ℓ for N = 10 (a) +and N = 104 (b). We also present the results obtained from computer simulations (circles). +It is found that for N = 10 there is a big difference between the analytical results obtained +from Eq. (108) and the simulation results. In contrast, for N = 104 the analytical results are +in very good agreement with the results of computer simulations for ℓ ≪ N. This implies +that Eq. (108) is valid for 2-RRGs in the large network limit and for sufficiently short cycles. +For larger values of ℓ Eq. (108) is no longer valid, as ⟨Gℓ⟩ becomes an increasing function of +ℓ. Note that the simulation results for ⟨Gℓ⟩ exceed the values predicted by Eq. (108). The +total number of nodes can be expressed in the form +N = +N +� +ℓ=1 +ℓ⟨Gℓ⟩, +(109) +which is obtained by averaging Eq. (6) over the ensemble. Inserting ⟨Gℓ⟩ from Eq. (108) +into the right hand side of Eq. (109), it yields only N/2 nodes instead of N nodes. This +implies that Eq. (108) is valid only as long as ℓ ≪ N. Indeed, Fig. 6 reveals that Eq. (108) +misses the very long cycles whose length is of order N. +27 + +1 +2 +3 +4 +5 +6 7 8 910 +0.1 +0.2 +0.3 +0.4 +0.5 +100 +101 +102 +103 +104 +10-4 +10-3 +10-2 +10-1 +FIG. 6. +Analytical results (solid lines) for the expected number ⟨Gℓ⟩ of cycles of length ℓ, in +an undirected 2-RRG that consists of N nodes, for N = 10 (a) and for N = 104 (b), obtained +from Eq. (108), on a log-log scale. We also present results obtained from computer simulations +(circles). For N = 10 the simulation results deviate significantly from the prediction of Eq. (108). +For N = 104 there is a very good agreement between the analytical results and the simulation +results in the range of ℓ ≪ N. The agreement between the analytical results and the simulation +results improves as N is increased. +VII. +SUMMARY +2-RRGs are networks in which each node has two links. Therefore, these networks consist +of a set of closed cycles whose lengths are determined by the random process of bond +formation between the nodes. In this paper we have calculated the distributions PN(S = +s) of the number of cycles in directed and undirected 2-RRGs. +Starting from the joint +distributions of cycle lengths PN({gℓ}) we obtained exact results for PN(S = s), which are +expressed in terms of the Stirling numbers of the first kind. In sufficiently large networks +these distributions can be expressed in terms of more elementary functions. We also derived +closed-form expressions for the moments and cumulants of PN(S = s). It was found that to +leading order, in directed 2-RRGs, the cumulants of all orders n = 1, 2, . . . satisfy κn ≃ ln N, +while in undirected 2-RRGs they satisfy κn ≃ 1 +2 ln N. This implies that in the large N limit +the distributions PN(S = s) converge towards the Poisson distribution. +28 + +This work was supported by the Israel Science Foundation grant no. 1682/18. +[1] B. Bollob´as, Random Graphs, Second Edition (Cambridge University Press, Cambridge, 2001). +[2] S.N. Dorogovtsev and J.F.F. Mendes, Evolution of Networks: From Biological Nets to the +Internet and WWW (Oxford University Press, Oxford, 2003). +[3] S. Havlin and R. Cohen, Complex Networks: Structure, Robustness and Function (Cambridge +University Press, New York, 2010). +[4] E. Estrada, The structure of complex networks: Theory and applications (Oxford University +Press, Oxford, 2011). +[5] A. Barrat, M. Barth´elemy and A. Vespignani, Dynamical Processes on Complex Networks +(Cambridge University Press, Cambridge, 2012). +[6] V. Latora, V. Nicosia and G. Russo, Complex Networks: Principles, Methods and Applications +(Cambridge University Press, Cambridge, 2017). +[7] M.E.J. 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Mech., +P06019 (2006). +31 + diff --git a/ltE2T4oBgHgl3EQfJAY7/content/tmp_files/load_file.txt b/ltE2T4oBgHgl3EQfJAY7/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..7a3d8d30864c487dcca3168c1c21f4b004c8e2fc --- /dev/null +++ b/ltE2T4oBgHgl3EQfJAY7/content/tmp_files/load_file.txt @@ -0,0 +1,927 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf,len=926 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='03686v1 [cond-mat.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='stat-mech] 9 Jan 2023 The distribution of the number of cycles in directed and undirected random 2-regular graphs Ido Tishby, Ofer Biham, and Eytan Katzav Racah Institute of Physics, The Hebrew University, Jerusalem, 9190401, Israel Reimer K¨uhn Mathematics Department, King’s College London, Strand, London WC2R 2LS, UK Abstract We present analytical results for the distribution of the number of cycles in directed and undi- rected random 2-regular graphs (2-RRGs) consisting of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In directed 2-RRGs each node has one inbound link and one outbound link, while in undirected 2-RRGs each node has two undi- rected links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Since all the nodes are of degree k = 2, the resulting networks consist of cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' These cycles exhibit a broad spectrum of lengths, where the average length of the shortest cycle in a random network instance scales with ln N, while the length of the longest cycle scales with N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The number of cycles varies between different network instances in the ensemble, where the mean number of cycles ⟨S⟩ scales with ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Here we present exact analytical results for the distribution PN(S = s) of the number of cycles s in ensembles of directed and undirected 2-RRGs, expressed in terms of the Stirling numbers of the first kind.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In both cases the distributions converge to a Poisson distribution in the large N limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The moments and cumulants of PN(S = s) are also calculated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The statistical properties of directed 2-RRGs are equivalent to the combinatorics of cycles in random permutations of N objects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this context our results recover and extend known results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In contrast, the statistical properties of cycles in undirected 2-RRGs have not been studied before.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' PACS numbers: 02.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='Ox,64.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='60.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='aq,89.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='75.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='Da 1 I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' INTRODUCTION Random networks (or graphs) consist of a set of N nodes that are connected to each other by edges in a way that is determined by some random process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' They provide a useful conceptual framework for the study of a large variety of systems and processes in science, technology and society [1–9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The structure of a random network can be characterized by the degree distribution P(k).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Here we focus on a special class of random networks, called random regular graphs (RRGs), which exhibit degenerate degree distributions of the form P(k) = δk,c, (1) where δk,k′ is the Kronecker delta and c ≥ 1 is an integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' While the degrees of all the nodes in these networks are the same, their connectivity is random and uncorrelated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In that sense, the RRG is a special case of the class of configuration model networks, which exhibit a specified degree distribution P(k), but no degree-degree correlations [10–13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' While RRGs with c = 1 consist of isolated dimers, RRGs with c ≥ 3 form a giant component.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Thus, RRGs with c = 2 are a marginal case, separating between the subcritical regime of c < 2 and supercritical regime of c > 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Note that unlike some other configuration model networks that exhibit a coexistence of a giant component and finite tree components above the percolation transition, in RRGs with c ≥ 3 the giant component encompasses the whole network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' RRGs with c = 2, referred to as random 2-regular graphs (2-RRGs), consist of isolated cycles of various lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The lengths of these cycles are not determined by the topology, but by entropic considerations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' An important distinction is between directed 2-RRGs, in which each node has one inbound link and one outbound link, and undirected 2-RRGs, in which each node has two undirected links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In both cases the cycles can be considered as isolated components of the network, where the length of each cycle is equal to the size of the network component that consists of this cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this paper we present exact analytical results for the distribution of the number of cycles in ensembles of directed and undirected 2-RRGs that consist of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The results are expressed in terms of the Stirling numbers of the first kind.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We first calculate the joint probability distribution of cycle lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This is done by mapping the directed and undirected 2-RRGs into combinatorically equivalent permutation problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' From the joint distribution of cycle lengths we extract the distribution PN(S = s) of the number of cycles 2 in random instances of directed and undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In both cases PN(S = s) converges to a Poisson distribution in the large N limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The moments and cumulants of PN(S = s) are also calculated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The similarities and differences between the results obtained for the directed and undirected 2-RRGs are discussed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The statistical properties of directed 2-RRGs are equivalent to the combinatorics of cycles in random permutations of N objects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this context our results recover and extend known results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In contrast, the statistical properties of cycles in undirected 2-RRGs have not been studied before.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The results presented in this paper are derived specifically for c = 2 and do not apply to the more general case of RRGs with c ≥ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' II we present the directed and undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The joint distributions of cycle lengths are presented in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' IV we calculate the distribution PN(S = s) of the number of cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' V we calculate the moments and cumulants of PN(S = s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The results are discussed in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' VI and summarized in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' RANDOM 2-REGULAR GRAPHS In both directed and undirected 2-RRGs, each node has two links and the resulting network consists of a set of cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the directed case each node has one inbound link and one outbound link, while in the undirected case each node has two undirected links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Below we briefly present the properties of directed and undirected 2-RRGs and their construction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Directed 2-RRGs To construct a directed 2-RRG one first assembles N nodes such that each node has one inbound stub and one outbound stub.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' During the network construction process, at each time step one picks a random outbound stub and a random inbound stub among the remaining open stubs and connects them to each other.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This process is repeated N times, until no open stubs remain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This procedure follows the standard construction process of directed configuration model networks, in which pairs of outbound and inbound stubs rather than pairs of nodes are selected for connection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The resulting ensemble of networks obtained from this procedure is referred to as stub-labeled graphs [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' During the construction process, 3 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Illustration of a single instance of a 2-RRG of N = 14 nodes, which consists of cycles of lengths s = 1, 2, 3, 3 and 5, in the directed case (a) and in the undirected case (b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' directed chains of nodes of different lengths are formed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In case that the open outbound stub of one chain is selected to connect to the open inbound stub of another chain, they are connected and form a longer chain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In case that the outbound and the inbound stubs at both ends of the same chain are selected, their connection closes the chain and turns it into a cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Once a chain of nodes becomes a cycle it does not connect to other nodes and its structure remains unchanged.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' At the end of the construction, the whole network consists of cycles of different lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1(a) we present a single instance of a directed 2-RRG of N = 14 nodes, which consists of cycles of lengths s = 1, 2, 3, 3 and 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the 2-RRGs considered here we allow the outbound and inbound stubs of the same node to be connected to each other.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In such case, one obtains a self-loop of length ℓ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We also allow the connection of a pair of outbound and inbound stubs, which belong to nodes that are already connected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In such case, the resulting cycle is of length ℓ = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This choice simplifies the analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Consider a directed 2-RRG consisting of N distinguishable nodes, which are marked by the labels i = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the construction of such a network the first selected inbound stub has N possible outbound stubs to which it may connect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The second selected inbound stub has only N − 1 outbound stubs to which it may connect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Continuing this process we conclude that there are N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' possible ways to connect the N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In fact, the combinatorics of directed 2-RRGs consisting of N nodes is equivalent to the permutation problem of N objects [15–17].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This permutation problem can be described by a line of N cells labeled 4 by i = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , N, and a corresponding set of N labeled balls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The number of ways to distribute the balls between the cells, one ball in each cell, is RD = N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=', (2) where each arrangement of the balls in the cells corresponds to a specific network instance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this representation, a ball i′ located in cell i represents a directed link from i to i′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Similarly, a ball i′′ located in cell i′ represents a directed link from i′ to i′′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' One can follow these directed links until the cell in which ball i resides is reached and the cycle is closed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Repeating this process for all the balls and cells provides the structure of cycles associated with the specific permutation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The length of each cycle is given by the number of balls included in the cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The statistical properties of cycles in random permutations of N objects have been studied extensively [18–20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In particular, the properties of the longest cycle in each permutation received much attention.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' It was found that the expectation value of the length of the longest cycle in a random permutation of N objects is equal to λN, where λ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='6243.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' is the Golomb-Dickman constant [21–23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Interestingly, this constant plays a role in the prime factorization of a random integer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' More specifically, it was found that the asymptotic average number of digits in the largest prime factor of a random N-digit number is λN [21, 22, 24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the other extreme, the average length of the shortest cycle in a random permutation of N objects was also calculated and was found to be e−γ ln N, where γ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='5772.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' is the Euler-Mascheroni constant [16, 22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Undirected 2-RRGs To construct an undirected 2-RRG one first assembles N nodes such that each node is connected to two undirected stubs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' At each time step one selects a random pair of stubs among the remaining open stubs and connects them to each other.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This process is repeated N times, until no open stubs remain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This procedure follows the standard construction process of undirected configuration model networks, in which pairs of stubs rather than pairs of nodes are selected for connection [10–13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The resulting ensemble of networks obtained from this procedure is referred to as stub-labeled graphs [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Initially, one obtains linear chains of nodes of increasing lengths that eventually close and form cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Here we consider 5 undirected 2-RRGs in which we allow the two stubs of the same node to be connected to each other and form a self-loop of length ℓ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We also allow the connection of a pair of stubs which belong to nodes that are already connected, resulting in a cycle of length ℓ = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1(b) we present a single instance of an undirected 2-RRG of N = 14 nodes, which consist of cycles of lengths s = 1, 2, 3, 3 and 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Consider an ensemble of undirected 2-RRGs consisting of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the construction of such network the first selected stub has 2N − 1 other stubs to which it may connect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The second selected stub has 2N − 3 other stubs to which it may connect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Continuing this process we conclude that there are RU = (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='. (3) possible ways to construct such network, where m!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' is the double factorial of m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The sta- tistical properties of the resulting ensemble of networks can be mapped to the combina- torial problem described below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Consider a set of 2N balls, such that for each value of i = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , N there are two identical balls on which the label i is marked.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The two balls labeled by a given value of i represent the two stubs of node i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In addition, there are N unlabeled boxes such that in each box there is room for two balls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The 2N balls are then distributed uniformly at random in the N boxes, where each box contains two balls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Each pair of balls that resides in the same box represents one edge of the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' For example, if a ball labeled by i and a ball labeled by i′ are in the same box, it means that there is an edge between the nodes i and i′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Similarly, if the other ball labeled by i′ is in the same box with a ball labeled i′′, it means that there is an edge between the nodes i′ and i′′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' One can follow this chain until reaching the box in which the second ball labeled by i resides, thus closing the cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The number of possible ways to distribute the 2N balls in the N cells is given by RU = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 2NN!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , (4) where the numerator accounts for the number of permutations of 2N balls, the N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' term in the denominator accounts for the number of permutations of the N identical cells, and the term 2N accounts for the fact that the order in which the two balls are placed in each cell is unimportant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Note that (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' = (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='(2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' and 2NN!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' These two identities 6 establish the equivalence between Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (3) and (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' THE JOINT DISTRIBUTION OF CYCLE LENGTHS Both versions of the 2-RRG, with directed and undirected links, consist of closed cycles of different lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The configuration of cycles in a given network instance can be described by the sequence of cycle lengths, ℓ1, ℓ2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , ℓs, where 1 ≤ ℓi ≤ N, s is the number of cycles in the given network instance and s � i=1 ℓi = N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (5) For convenience and uniqueness, we order the lengths in increasing order, such that ℓ1 ≤ ℓ2 ≤ · · · ≤ ℓs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Another way to describe the configuration of cycles in a given network instance is in the form {gℓ}N ℓ=1 = {g1, g2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , gN}, where gℓ is the number of cycles of length ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The gℓ’s satisfy the condition N � ℓ=1 ℓgℓ = N, (6) which is equivalent to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The number of cycles in such a network instance can be expressed by s = N � ℓ=1 gℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (7) The joint distribution of cycle lengths in an ensemble of 2-RRGs consisting of N nodes is denoted by PN({Gℓ} = {gℓ}), under the condition of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' For convenience we use the notation PN({gℓ}).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Below we consider the joint distributions of the cycle lengths in directed and undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Joint distribution of cycle lengths in directed 2-RRGs Consider an ensemble of directed 2-RRGs that consist of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The number of configurations of the form {gℓ} is given by 7 N({gℓ}) = N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ=1 1 ℓgℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓgℓ,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (8) To understand the first term in the denominator, consider a cycle of length ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Such cycle exhibits ℓ cyclic permutations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This yields the first term in the denominator, which is raised to the power gℓ to account for the number of cycles of length ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The term gℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' accounts for the permutations between the gℓ degenerate cycles of length ℓ, which correspond to the same configuration, while the Kronecker delta imposes the condition of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Dividing the number of configurations N({gℓ}) by the total number of configurations RD, given by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2), we obtain the joint probability distribution of cycle lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' It is given by PN({gℓ}) = N � ℓ=1 1 ℓgℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓgℓ,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (9) It can be shown that this probability distribution is normalized, namely � g1 � g2 · · � gN PN({gℓ}) = 1, (10) where the summation is over all the configurations of {gℓ} that satisfy Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Joint distribution of cycle lengths in undirected 2-RRGs Consider an ensemble of undirected 2-RRGs of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The number of configurations of the form {gℓ} is N({gℓ}) = N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ=1 2(ℓ−1)gℓ ℓgℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' δ� ℓgℓ,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (11) This result can be understood in terms of the analogous combinatorial problem described above, which consists of N pairs of identical balls and N unlabled boxes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting two random balls in each box, the factor of N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' accounts for the number of permutations of the N pairs of indices marked on the balls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To account for the other factors, consider a cycle of length ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' There are 2ℓ possible ways to exchange the ℓ pairs of identical balls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' However, due to the cyclic structure there is also a factor of 1/2, because in each cycle the lables marked on the balls can be listed either in the clockwise direction or in the counterclockwise direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Taking this into account yields the factor of 2ℓ−1 in the numerator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This factor 8 is raised to the power gℓ to account for the fact that there are gℓ cycles of length ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the denominator, the ℓgℓ term accounts for the number of cyclic permutations of the indices in all the cycles of length ℓ, while the gℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' term accounts for the number of permutations of gℓ degenerate cycles of the same length.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The probability that a random network instance will have a cycle structure given by {gℓ} is given by PN({gℓ}) = N({gℓ}) RU .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (12) Inserting N({gℓ}) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (11), and RU from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (3) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (12), we obtain PN({gℓ}) = N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ=1 2(ℓ−1)gℓ ℓgℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' δ� ℓgℓ,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (13) Using the relation 2N = 2 �N ℓ=1 ℓgℓ, we obtain PN({gℓ}) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ=1 1 (2ℓ)gℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓgℓ,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (14) This expression differs from the corresponding result for directed 2-RRGs in two ways: it has a factor of (2ℓ)gℓ in the denominator instead of ℓgℓ and there is a pre-factor that is required in order to maintain the normalization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The factor of 2gℓ in the denominator means that as the number of cycles is increased the configuration becomes exponentially less probable than the corresponding configuration of the directed 2-RRG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' THE DISTRIBUTION OF THE NUMBER OF CYCLES The probability PN(S = s) that a random network instance includes s cycles can be calculated by summing up over all the combinations of {gℓ} that consist of s cycles, namely PN(S = s) = � g1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',gN PN({gℓ})δ� ℓ gℓ,s, (15) where the configurations {gℓ} satisfy the condition of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Below we calculate the distribution PN(S = s) for the directed and undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Distribution of the number of cycles in directed 2-RRGs Inserting the expression for PN({gℓ}) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (9) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (15), we obtain 9 PN(S = s) = � g1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',gN≥0 N � ℓ=1 1 ℓgℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓgℓ,Nδ� ℓ gℓ,s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (16) For the analysis below it is convenient to perform a change of variables from gℓ, ℓ = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , N to ℓi, i = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This transformation is based on the identity � g1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',gN≥0 1 g1!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='g2!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' gN!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓ gℓ,s = Ns s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' = 1 s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ1,ℓ2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',ℓs=1 1, (17) which is a result of the multinomial theorem (equation 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='9 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting the constraints that �N ℓ=1 ℓgℓ = N = �s i=1 ℓi, obtained from Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (5) and (6) we obtain the identity � g1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',gN≥0 1 g1!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='g2!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' gN!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓ gℓ,sδ� ℓgℓ,N = 1 s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ1,ℓ2,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',ℓs=1 δ� i ℓi,N (18) Using this transformation, we express Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (16) in the form PN(S = s) = 1 s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',ℓs=1 1 ℓ1ℓ2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ℓs δ� i ℓi,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (19) Below we use the discrete Laplace transform, which is related to the one-sided Z-transform and to the starred transform [26], to evaluate the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (19).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We denote the sum on the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (19) by fs(N) = � ℓ1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',ℓs≥1 1 ℓ1ℓ2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ℓs δ�s i=1 ℓi,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (20) The discrete Laplace transform of fs(N) is given by �fs(z) = ∞ � N=0 zNfs(N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (21) Inserting fs(N) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (20) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (21), we obtain �fs(z) = � ℓ1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',ℓs≥1 1 ℓ1ℓ2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ℓs ∞ � N=0 zNδ�s i=1 ℓi,N, (22) where ∞ � N=0 zNδ�s i=1 ℓi,N = z �s i=1 ℓi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (23) 10 Decomposing the multiple summation in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (22) into a product of sums over the ℓi’s, we obtain �fs(z) = � ∞ � ℓ=1 zℓ ℓ �s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (24) Carrying out the summation, we obtain �fs(z) = [− ln (1 − z)]s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (25) The next step is to apply the inverse discrete Laplace transform on �fs(z) to obtain fs(N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To this end we use identity 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8 from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25], which is given by [ln(1 + y)]k k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' = ∞ � n=0 s(n, k)yn n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , (26) where s(n, k) is the Stirling number of the first kind.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' These Stirling numbers can be expressed in the form s(n, k) = (−1)n−k � n k � , (27) where � n k � is the unsigned Stirling number of the first kind [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting s(n, k) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (27) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (26), we obtain [ln(1 + y)]k = k!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ∞ � n=0 (−1)n−k � n k �yn n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (28) Inserting y = −z into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (28) we rewrite �fs(z) in the form �fs(z) = s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ∞ � n=0 1 n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � n s � zn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (29) To obtain the inverse discrete Laplace transform of �fs(z) we use the fact that L−1 {zn} (N) = δN,n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (30) Applying the inverse discrete Laplace transform on Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (29), we obtain 11 fs(N) = s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � N s � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (31) Inserting fs(N) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (31) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (19), we obtain PN(S = s) = 1 N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � N s � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (32) The normalization of the distribution PN(S = s) can be confirmed using identity 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='29 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the context of permutations, the result expressed by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (32) implies that � N s � counts the number of permutations with precisely s cycles among the N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' permutations of N objects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This is consistent with the combinatorial interpretation of the unsigned Stirling number of the first kind [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The cumulative distribution of the number of cycles is given by PN(S ≤ s) = 1 N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' s � s′=1 � N s′ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (33) In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 2(a) we present exact analytical results (solid line) for the cumulative distribution PN(S ≤ s) of the number of cycles in a directed 2-RRG that consists of N = 10 nodes, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (33).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are found to be in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' While Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (32) provides an exact result for PN(S = s), it is useful to express this distribution in terms of more elementary functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This is possible in the asymptotic limit of large N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The limit of N ≫ 1 corresponds to the limit of z → 1− of the discrete Laplace transform �fs(z) [27, 28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' If one replaces the variable z by e−x, then this limit corresponds to x ≪ 1 in �fs(e−x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this limit the expression for �fs (e−x) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (25) can be approximated by �fs � e−x� ≃ (− ln x)s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (34) In order to calculate the inverse Laplace transform of �fs (e−x), we use the relation L−1 � 1 xν (− ln x)s � = � d dν �s �Nν−1 Γ(ν) � , (35) 12 0 1 2 3 4 5 6 7 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8 1 0 1 2 3 4 5 6 7 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8 1 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Exact analytical results (solid lines) for the cumulative distribution of the number of cycles in a directed 2-RRG (a) and an undirected 2-RRG (b) of N = 10 nodes, obtained from Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (33) and (57), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' where Γ(ν) is the Gamma function [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The inverse Laplace transform of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (34) is obtained by taking the limit ν → 0 in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (35).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To this end we use the general Leibnitz rule (equation 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='12 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25]) � d dν �s �Nν−1 Γ(ν) � = s � i=0 �s i � �� d dν �s−i Nν−1 � �� d dν �i � 1 Γ(ν) �� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (36) Below we evaluate the derivatives that appear in the two terms on the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (36).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The derivative in the first term is given by � d dν �i Nν−1 = Nν−1(ln N)i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (37) Thus, for ν → 0+ we obtain lim ν→0+ �� d dν �i Nν−1 � = (ln N)i N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (38) The derivative in the second term on the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (36) is denoted by hi = lim ν→0+ �� d dν �i � 1 Γ(ν) �� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (39) 13 TABLE I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The coefficients ai, i = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , 10, which appear in the power series of the reciprocal gamma function given by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (42) i ai 1 1 2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='5772156649 3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='6558780715 4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='0420026350 5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='1665386114 6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='0421977345 7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='0096219715 8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='0072189432 9 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='0011651675 10 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='0002152416 By its definition, hi is the coefficient of the i’th power of ν in the Taylor expansion of 1/Γ(ν) around ν = 0, namely 1 Γ(ν) = ∞ � i=1 hi i!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' νi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (40) This expansion is often written as a power-series of the form [29, 30] 1 Γ(ν) = ∞ � i=1 aiνi, (41) where ai = hi/i!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='. The first two coefficients are given by a1 = 1 and a2 = γ, where γ is the Euler-Mascheroni constant [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Higher order coefficients can be obtained from the recursion equation ai = 1 i − 1 � a2ai−1 − i−1 � j=2 (−1)jζ(j)ai−j � , (42) where ζ(j) is the Riemann zeta function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The coefficients ai for i = 3, 4, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , 10, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (42), are presented in Table I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' These coefficients can also be obtained from the integral representation [31] 14 an = (−1)n πn!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � π 0 e−tIm [(ln t − iπ)n] dt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (43) Using this notation we obtain fs(N) ≃ s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N s � i=1 ai (ln N)s−i (s − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , (44) which leads to PN(S = s) ≃ 1 N s � i=1 ai (ln N)s−i (s − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (45) Note that for sufficiently large N the sum is dominated by the first few terms for two reasons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' First, apart from the first few terms, the coefficients ai become negligibly small.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Second, the power of ln N decreases as i is increased.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The cumulative distribution of the number of cycles is given by PN(S ≤ s) = 1 N s � s′=1 s′ � i=1 ai (ln N)s′−i (s′ − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (46) In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 3(a) we present analytical results (solid line) for the large N approximation of the cumulative distribution PN(S ≤ s) of the number of cycles in a directed 2-RRG of N = 104 nodes, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (46).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are found to be in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Distribution of the number of cycles in undirected 2-RRGs We now turn to calculate the distribution PN(S = s) of the number of cycles in undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting the expression for PN({gℓ}) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (14) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (15), we obtain PN(S = s) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � g1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',gN≥0 N � ℓ=1 1 (2ℓ)gℓgℓ!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='δ� ℓ ℓgℓ,Nδ� ℓ gℓ,s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (47) Using the change of variables presented in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (18), we obtain PN(S = s) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1 2ss!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � ℓ1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=',ℓs=1 1 ℓ1ℓ2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ℓs δ� i ℓi,N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (48) 15 0 5 10 15 20 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8 1 0 5 10 15 20 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8 1 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Analytical results (solid lines) for the cumulative distribution of the number of cycles in a directed 2-RRG (a) and an undirected 2-RRG (b) of N = 104 nodes, obtained from Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (46) and (60), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Note that the sum on the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (48) is equal to fs(N), given by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We thus obtain PN(S = s) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1 2sN!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � N s � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (49) Below we show that the distribution PN(S = s) is properly normalized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To this end we use equation 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='7 from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25], which can be written in the form N � s=1 (−1)N−s � N s � xs = (x − N + 1)N, (50) where (a)N is the Pochhammer symbol [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting x = −1/2 in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (50), we obtain N � s=1 � N s � 1 2s = (−1)N �1 2 − N � N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (51) Expressing the Pochhammer symbol on the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (51) as a ratio between two Gamma functions, we obtain 16 N � s=1 � N s � 1 2s = (−1)NΓ(1/2) Γ(1/2 − N) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (52) Using Euler’s reflection formula [25] Γ �1 2 − N � Γ �1 2 + N � = (−1)Nπ, (53) and the Legendre duplication formula [25] Γ(1/2 + N) = 21−2N√πΓ(2N) Γ(N) , (54) we obtain N � s=1 � N s � 1 2s = 21−2N Γ(2N) Γ(N) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (55) Expressing the Gamma functions of integer variables in terms of factorials and double fac- torials, we obtain N � s=1 � N s � 1 2s = (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='. (56) This confirms the normalization of PN(S = s), given by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (49).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' From Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (49) we obtain the cumulative distribution of the number of cycles, which is given by PN(S ≤ s) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1 N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' s � s′=1 1 2s′ � N s′ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (57) In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 2(b) we present exact analytical results (solid line) for the cumulative distribution P(S ≤ s) of the number of cycles in undirected 2-RRGs that consist of N = 10 nodes, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (57).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are found to be in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' While Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (49) provides an exact result for PN(S = s), it is useful to express this distribution in terms of more elementary functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This is possible in the asymptotic limit of large N, where the ratio of double factorials can be approximated by (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' ≃ √ πN + O � N−1/2� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (58) 17 Using this result and inserting fs(N) from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (44) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (48), we find that PN(S = s) ≃ 1 2s � π N s � i=1 ai (ln N)s−i (s − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (59) From Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (59) we obtain the cumulative distribution of the number of cycles, which is given by PN(S ≤ s) ≃ � π N s � s′=1 1 2s′ s′ � i=1 ai (ln N)s′−i (s′ − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (60) In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 3(b) we present analytical results (solid line) for the cumulative distribution of the number of cycles in undirected 2-RRGs of N = 104 nodes, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (60).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are found to be in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' MOMENTS AND CUMULANTS In this section we calculate the moments and cumulants of the distribution of the number of cycles in 2-RRGs that consist of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To this end we introduce the moment generating function, which is given by M(t) = E � etS� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (61) The cumulant generating function is given by K(t) = ln M(t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (62) Using this function one can calculate the cumulants via differentiation according to κn = dnK(t) dtn ���� t=0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (63) A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Moments and cumulants in directed 2-RRGs The moment generating function of directed 2-RRGs is given by 18 M(t) = 1 N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � s=0 ets � N s � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (64) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (50) with x = −et, we obtain M(t) = (−1)N N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � −et − N + 1 � N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (65) The moment generating function M(t) may also be written in the form M(t) = Γ(N + et) Γ(et)N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' , (66) in agreement with the results presented in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The corresponding cumulant generating function is given by K(t) = ln �Γ(N + et) Γ(et)N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (67) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (67) we obtain the first two cumulants, which are given by ⟨S⟩ = κ1 = HN, (68) where HN is the harmonic number [32], and Var(S) = κ2 = HN − H(2) N , (69) where H(m) N is the generalized harmonic number of order m [32].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Similarly, one can calculate higher order cumulants such as κ3 = HN − 3H(2) N + 2H(3) N (70) and κ4 = HN − 7H(2) N + 12H(3) N − 6H(4) N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (71) In the limit of large N we can use the asymptotic expression for the distribution PN(S = s), given by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (45), and obtain M(t) ≃ 1 N ∞ � s=0 s � i=1 estai (ln N)s−i (s − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (72) 19 Exchanging the order of summations, we obtain M(t) ≃ 1 N ∞ � i=1 ai ∞ � s=i est(ln N)s−i (s − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (73) Shifting the summation index in the second sum, we obtain M(t) ≃ 1 N ∞ � i=1 aieit ∞ � s=0 est(ln N)s s!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (74) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (41) we carry out the two summations and obtain M(t) ≃ 1 N 1 Γ(et) exp � et ln N � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (75) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (62) we obtain the cumulant generating function, which is given by K(t) ≃ � et − 1 � ln N − ln � Γ � et�� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (76) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (63) we obtain the cumulants, which take the form κn ≃ ln N − dn dtn ln � Γ � et�� ���� t=0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (77) In order to calculate high order derivatives of ln [Γ (et)] we use the identity (equation A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [32]) dn dtnf(et) = n � m=1 � n m � emtf (m)(et), (78) where � n m � is the Stirling number of the second kind and f (m)(x) is the mth derivative of f(x).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We also use the fact that dn dzn ln Γ(z) = ψ(n−1)(z), (79) where ψ(n)(z) is the nth derivative of the digamma function [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Using these identities, we obtain dn dtn ln � Γ � et�� ���� t=0 = n � m=1 � n m � ψ(m−1)(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (80) 20 It is also known that (equation 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='12 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25]) ψ(0)(1) = −γ, (81) and that for m ≥ 1 (equation 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='2 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [25]) ψ(m)(1) = (−1)m+1m!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='ζ(m + 1), (82) where ζ(m) is the Riemann zeta function [25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Combining the results derived above, we obtain κn ≃ ln N + γ + n � m=2 � n m � (−1)m−1(m − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='ζ(m).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (83) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (83) we write down explicitly the first few cumulants of PN(S = s) in the large N limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' They are given by κ1 ≃ ln N + γ κ2 ≃ ln N + γ − π2 6 κ3 ≃ ln N + γ − π2 2 + 2ζ(3) κ4 ≃ ln N + γ − 7π2 6 + 12ζ(3) − π4 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (84) The results for κ1 and κ2 are in agreement with the classical results reported in Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [33–36].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the large N limit all the cumulants are of the form ln N + O(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This essentially implies that in the large N limit the distribution PN(S = s) approaches a Poisson distribution with a parameter ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Comparing between Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (68)-(71) and Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (83), and using the fact that for m ≥ 2 lim N→∞ H(m) N = ζ(m), (85) we obtain a general expression for the cumulants at finite values of N, which is given by κn = HN + n � m=2 � n m � (−1)m−1(m − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='H(m) N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (86) 21 101 102 103 104 105 0 2 4 6 8 10 12 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Analytical results for the mean number of cycles ⟨S⟩ as a function of the network size N, in directed 2-RRGs (solid line) and in undirected 2-RRGs (dashed line), obtained from Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (68) and (91), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To leading order, in directed 2-RRGs ⟨S⟩ ≃ ln N, while in undirected 2-RRGs ⟨S⟩ ≃ 1 2 ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 4 we present analytical results (solid line) for the mean number of cycles ⟨S⟩ in directed 2-RRGs as a function of the network size N, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (68).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 5 we present analytical results (solid line) for the variance Var(S) in directed 2-RRGs as a function of the network size N, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (69).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Moments and cumulants in undirected 2-RRGs The moment generating function of undirected 2-RRGs is given by M(t) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1 N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' N � s=0 ets 2s � N s � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (87) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (50) with x = −et/2, we obtain 22 101 102 103 104 105 0 2 4 6 8 10 12 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Analytical results for the variance of the distribution of the number of cycles as a function of the network size N, in directed 2-RRGs (solid line) and in undirected 2-RRGs (dashed line), obtained from Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (69) and (92), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' To leading order, in directed 2-RRGs Var(S) ≃ ln N, while in undirected 2-RRGs Var(S) ≃ 1 2 ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' M(t) = (−1)N N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � −et 2 − N + 1 � N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (88) The moment generating function M(t) may also be written in the form M(t) = (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Γ � N + et 2 � Γ �et 2 � N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (89) The corresponding cumulant generating function is given by K(t) = ln \uf8ee \uf8f0 (2N)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (2N − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Γ � N + et 2 � Γ �et 2 � N!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' \uf8f9 \uf8fb .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (90) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (63) we obtain the first four cumulants.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The first cumulant is given by ⟨S⟩ = κ1 = 1 2HN− 1 2 + ln 2, (91) where HN− 1 2 is an Harmonic number at a half-integer value [37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The second cumulant is given by 23 Var(S) = κ2 = 1 2HN− 1 2 + ln 2 − 1 4 � H(2) N− 1 2 + 2ζ(2) � , (92) while the third and fourth cumulants are given by κ3 = 1 2HN− 1 2 + ln 2 − 3 4 � H(2) N− 1 2 + 2ζ(2) � + 1 4 � H(3) N− 1 2 + 6ζ(3) � (93) and κ4 = 1 2HN− 1 2 + ln 2 − 7 4 � H(2) N− 1 2 + 2ζ(2) � + 3 2 � H(3) N− 1 2 + 6ζ(3) � − 3 8 � H(4) N− 1 2 + 14ζ(4) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (94) In the limit of large N we can use the asymptotic expression for the distribution PN(S = s), given by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (59).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting it into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (61) we obtain an asymptotic expression for the moment generating function, which is given by M(t) ≃ � π N ∞ � s=0 s � i=1 estai 2i (ln N)s−i 2s−i(s − i)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='. (95) Exchanging the order of summations and shifting the summation index in the second sum, we obtain M(t) ≃ � π N ∞ � i=1 ai eit 2i ∞ � s=0 est(ln N)s 2ss!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (96) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (41) we carry out the two summations and obtain M(t) ≃ � π N 1 Γ(et/2) exp �et 2 ln N � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (97) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (62) we obtain the cumulant generating function, which is given by K(t) ≃ et − 1 2 ln N − ln � 1 √πΓ �et 2 �� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (98) Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (63) we obtain the cumulants, which take the form κn ≃ 1 2 ln N − dn dtn ln � 1 √πΓ �et 2 �� ���� t=0 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (99) Using Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (78) and (79), we obtain 24 dn dtn ln � 1 √πΓ �et 2 �� ���� t=0 = n � m=1 � n m � 2−mψ(m−1) �1 2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (100) It is also known that [38] ψ(0) �1 2 � = −γ − ln 4, (101) and that for m ≥ 1 [38] ψ(m) �1 2 � = (−1)m+1m!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � 2m+1 − 1 � ζ(m + 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (102) Combining the results derived above, we obtain κn ≃ ln N 2 + γ + ln 4 2 + n � m=2 � n m � (−1)m−1 � 1 − 2−m� (m − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='ζ(m), (103) which becomes exact in the large N limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (103) we write down explicitly the first few cumulants of PN(S = s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' They are given by κ1 ≃ ln N 2 + γ + ln 4 2 κ2 ≃ ln N 2 + γ + ln 4 2 − π2 8 κ3 ≃ ln N 2 + γ + ln 4 2 − 3π2 8 + 7 4ζ(3) κ4 ≃ ln N 2 + γ + ln 4 2 − 7π2 8 + 21 2 ζ(3) − π4 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (104) In the large N limit all the cumulants are of the form 1 2 ln N +O(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This essentially implies that in the large N limit the distribution PN(S = s) approaches a Poisson distribution with a parameter 1 2 ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Using the fact that for m ≥ 2 lim N→∞ H(m) N− 1 2 = ζ(m), (105) we obtain a general expression for the cumulants at finite values of N, which is given by κn = 1 2HN− 1 2 + ln 2 + n � m=2 � n m � (−1)m−12−m(m − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' � H(m) N− 1 2 + (2m − 2)ζ(m) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (106) 25 In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 4 we present analytical results (dashed line) for the mean number of cycles ⟨S⟩ in undirected 2-RRGs as a function of the network size N, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (91).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 5 we present analytical results (dashed line) for the variance Var(S) in undirected 2-RRGs as a function of the network size N, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (92).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The analytical results are in very good agreement with the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' DISCUSSION Below we discuss the similarities and differences between the directed and undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In directed 2-RRGs the mean number of cycles ⟨S⟩ scales with ln N, while in undirected 2-RRGs it scales with 1 2 ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Thus, the expected number of cycles in directed 2-RRGs is twice as large as in undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This is due to the fact that in the construction of undirected 2-RRGs each end of a given chain may connect to both sides of any other linear chain, while in directed 2-RRGs it may only connect to the complementary side.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' As a result, in undirected 2-RRGs the connection of chains forming a longer chain is more probable than in directed 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Thus, in undirected 2-RRGs the competing process of closing a chain to form a cycle is less probable than in directed 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This implies that in undirected 2-RRGs the cycles are expected to be longer and their number is expected to be smaller than in directed 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 2-RRGs are marginal networks that reside at the boundary between the subcritical regime and the supercritical regime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the subcritical regime, configuration model networks consist of many finite tree components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The distribution of sizes of these tree components can be calculated using the framework of generating functions [39].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this framework it is assumed that all the network components exhibit a tree structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the 2-RRG the topological constraint that all the nodes are of degree k = 2 imposes the formation of cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' There- fore, the generating function formalism cannot be used to analyze the distribution of cycle lengths in 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' A naive attempt to use the generating function formalism to obtain the distribution of cluster sizes (which are also the cycle lengths) in 2-RRGs fails to determine the distribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' RRGs with c ≥ 3 are supercritical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' They consist of a giant component that encompasses 26 the whole network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' While the local structure of the the network is typically tree-like, at larger scales it exhibits cycles with a broad distribution of cycle lengths.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The length of a cycle is given by the number of nodes (or edges) that reside along the cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The longest possible cycle is a Hamiltonian cycle of length ℓ = N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The expected number of cycles of length ℓ in an undirected RRG that consists of N nodes of degree c ≥ 3, where ℓ ≪ ln N, is given by [40–42] ⟨Gℓ⟩ = (c − 1)ℓ 2ℓ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (107) This implies that for c ≥ 3 the number of cycles of length ℓ proliferates exponentially as ℓ is increased, as long as ℓ ≪ ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Although these results were not claimed to hold in the case of c = 2, it is interesting to examine their relevance to 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In the special case of an undirected 2-RRG, where c = 2, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (107) is reduced to ⟨Gℓ⟩ = 1 2ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) In Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 6 we present analytical results (solid lines) for the expected number ⟨Gℓ⟩ of cycles of length ℓ in undirected 2-RRGs, obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108), as a function of ℓ for N = 10 (a) and N = 104 (b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We also present the results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' It is found that for N = 10 there is a big difference between the analytical results obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) and the simulation results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In contrast, for N = 104 the analytical results are in very good agreement with the results of computer simulations for ℓ ≪ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This implies that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) is valid for 2-RRGs in the large network limit and for sufficiently short cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' For larger values of ℓ Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) is no longer valid, as ⟨Gℓ⟩ becomes an increasing function of ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Note that the simulation results for ⟨Gℓ⟩ exceed the values predicted by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The total number of nodes can be expressed in the form N = N � ℓ=1 ℓ⟨Gℓ⟩, (109) which is obtained by averaging Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (6) over the ensemble.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Inserting ⟨Gℓ⟩ from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) into the right hand side of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (109), it yields only N/2 nodes instead of N nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This implies that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) is valid only as long as ℓ ≪ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Indeed, Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 6 reveals that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108) misses the very long cycles whose length is of order N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 27 1 2 3 4 5 6 7 8 910 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content='5 100 101 102 103 104 10-4 10-3 10-2 10-1 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Analytical results (solid lines) for the expected number ⟨Gℓ⟩ of cycles of length ℓ, in an undirected 2-RRG that consists of N nodes, for N = 10 (a) and for N = 104 (b), obtained from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108), on a log-log scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We also present results obtained from computer simulations (circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' For N = 10 the simulation results deviate significantly from the prediction of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' (108).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' For N = 104 there is a very good agreement between the analytical results and the simulation results in the range of ℓ ≪ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' The agreement between the analytical results and the simulation results improves as N is increased.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' SUMMARY 2-RRGs are networks in which each node has two links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Therefore, these networks consist of a set of closed cycles whose lengths are determined by the random process of bond formation between the nodes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In this paper we have calculated the distributions PN(S = s) of the number of cycles in directed and undirected 2-RRGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Starting from the joint distributions of cycle lengths PN({gℓ}) we obtained exact results for PN(S = s), which are expressed in terms of the Stirling numbers of the first kind.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' In sufficiently large networks these distributions can be expressed in terms of more elementary functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' We also derived closed-form expressions for the moments and cumulants of PN(S = s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' It was found that to leading order, in directed 2-RRGs, the cumulants of all orders n = 1, 2, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' satisfy κn ≃ ln N, while in undirected 2-RRGs they satisfy κn ≃ 1 2 ln N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' This implies that in the large N limit the distributions PN(S = s) converge towards the Poisson distribution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 28 This work was supported by the Israel Science Foundation grant no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' 1682/18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' [1] B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} +page_content=' Bollob´as, Random Graphs, Second Edition (Cambridge University Press, Cambridge, 2001).' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ltE2T4oBgHgl3EQfJAY7/content/2301.03686v1.pdf'} diff --git a/mtE1T4oBgHgl3EQfhQRC/content/2301.03238v1.pdf b/mtE1T4oBgHgl3EQfhQRC/content/2301.03238v1.pdf new file mode 100644 index 0000000000000000000000000000000000000000..15c7309d09531f72b50990b2074ed7449201e179 --- /dev/null +++ b/mtE1T4oBgHgl3EQfhQRC/content/2301.03238v1.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:6bc24e101368403ccb9520e6ac2b378f0870f02a0b6c21a11f1068ded40d5387 +size 173031 diff --git a/ntE2T4oBgHgl3EQfzgi3/content/tmp_files/2301.04132v1.pdf.txt b/ntE2T4oBgHgl3EQfzgi3/content/tmp_files/2301.04132v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..1ec2b7e8fde782543ead91ca648b59bf1336ed37 --- /dev/null +++ b/ntE2T4oBgHgl3EQfzgi3/content/tmp_files/2301.04132v1.pdf.txt @@ -0,0 +1,4554 @@ +arXiv:2301.04132v1 [physics.atom-ph] 10 Jan 2023 +Model-QED-operator approach to relativistic calculations of the +nuclear recoil effect in many-electron atoms and ions +I. S. Anisimova,1 A. V. Malyshev,1 D. A. Glazov,1 M. Y. Kaygorodov,1 +Y. S. Kozhedub,1 G. Plunien,2 and V. M. Shabaev1 +1Department of Physics, St. Petersburg State University, +Universitetskaya 7/9, 199034 St. Petersburg, Russia +2Institut f¨ur Theoretische Physik, Technische Universit¨at Dresden, +Mommsenstraße 13, D-01062 Dresden, Germany +Abstract +A model-operator approach to fully relativistic calculations of the nuclear recoil effect on energy +levels in many-electron atomic systems is worked out. The one-electron part of the model operator +for treating the normal mass shift beyond the Breit approximation is represented by a sum of +semilocal and nonlocal potentials. The latter ones are constructed by employing the diagonal and +off-diagonal matrix elements rigorously evaluated for hydrogenlike ions to first order in the electron- +to-nucleus mass ratio. The specific mass shift beyond the lowest-order relativistic approximation +has a form which can be directly employed in calculations. The capabilities of the method are +probed by comparison of its predictions with the results of ab initio QED calculations. +The +proposed operator can be easily incorporated into any relativistic calculation based on the Dirac- +Coulomb-Breit Hamiltonian. +1 + +I. +INTRODUCTION +An accurate description of the nuclear recoil effect is substantial for the proper analysis +of a large number of spectroscopic experiments aimed to measure various atomic properties +such as, e.g., binding and transition energies or bound-electron g factors. Obviously, this +effect is most pronounced in isotope differences of the corresponding properties, see, e.g. +Refs. [1–11]. +The nuclear recoil leads to the so-called mass shift. +Along with the field +shift caused by the finite-nuclear size, these effects constitute the dominant contribution to +the isotope shifts. Joint high-precision theoretical and experimental studies of the isotope +differences not only allow one to determine nuclear parameters, e.g., changes in the mean- +square charge radii, but also pave the way in the search of new physics [12–22]. +Within the (m/M)(αZ)4mc2 approximation, where m and M are the masses of the elec- +tron and nucleus, respectively, α is the fine-structure constant, and Z is the nuclear charge +number, the nuclear recoil effect on binding energies can be described by the relativistic +mass-shift operator [23–26]. The fully relativistic theory of the nuclear recoil effect to first +order in m/M, to all orders in αZ, and to zeroth order in α can be formulated only within +the framework of quantum electrodynamics (QED) [23, 24, 26], see also Refs. [27–29]. De- +spite the smallness of the nuclear-strength parameter αZ for light atoms, the contribution +of the higher orders may nevertheless be significant even in the case of hydrogen [30, 31]. +Therefore, an accurate treatment of the nuclear recoil effect demands a nonperturbative +(in αZ) consideration. To date, the corresponding ab initio QED calculations have been +performed only for few-electron systems, see, e.g. Refs. [4, 29, 32–34] and references therein. +The computational difficulty of the rigorous methods rapidly increases with the number of +electrons, which makes them practically infeasible at larger scales. A similar problem exists +for evaluation of the radiative QED corrections associated with the electron self-energy and +vacuum polarization. For this reason, approximate and efficient approaches for including +both the QED and recoil effects within the methods based on the Dirac-Coulomb-Breit +Hamiltonian [35–45] are urgent. +For the case of the radiative QED corrections, our group suggested the model-QED- +operator approach [46] which recently has been extended to the region of superheavy ele- +ments [47]. The QEDMOD Fortran package to generate the operator was presented in Ref. [48]. +This operator was successfully applied to the approximate description of the QED effects +2 + +on binding and transition energies in various many-electron systems [49–60]. +The main +goal of the present work is to design a similar approach for the QED calculations of the +nuclear recoil effect on energy levels beyond the approximation corresponding to the mass- +shift operator. The application of the proposed approach in combination with the standard +electron-correlation methods should make possible the approximate QED treatment of this +effect in systems where rigorous calculations are rather problematic at the moment. +In view of the significant progress achieved over the past decades in the accuracy of g- +factor measurements in Penning traps [6, 9, 61–67], high-precision evaluation of the nuclear +recoil effect in the presence of an external magnetic field becomes essential as well. The +QED theory of the nuclear recoil effect on the atomic g factor valid to all orders in αZ was +elaborated in Ref. [68]. The corresponding ab initio calculations have been performed for +few-electron ions in Refs. [6, 69–75]. In the case of more complicated systems, the nuclear +recoil effect on the bound-electron g factor can be treated nowadays only within the lowest- +order relativistic approximation by means of the effective four-component approach derived +from the QED formalism in Ref. [70]. In this context, the model-operator approach devel- +oped in the present work for the nuclear recoil effect on binding energies can be considered +as a first step towards the construction of a more general operator suitable for studying the +bound-electron g factors as well. +The paper is organized as follows. In Sec. II, we give a brief description of the relativistic +theory of the nuclear recoil effect on energy levels in atoms and ions. Sec. III is devoted +to the construction of the model operator for QED calculations of the nuclear recoil effect. +In Sec. IV, the numerical results are presented in a wide range of Z = 5 − 100, and the +performance of the suggested approach is demonstrated by comparing its predictions with +the results of ab initio calculations. The nonperturbative (in αZ) expressions for the one- and +two-electron matrix elements, which describe the nuclear recoil effect on the binding energies, +are derived in Appendix A. In Appendix B, these expressions are additionally transformed to +make them convenient for practical calculations. Finally, Appendix C summarizes formulas +necessary for the construction of the local effective potentials employed in the tests of the +model-QED operator in Sec. IV. +Relativistic units (ℏ = 1 and c = 1) and the Heaviside charge unit (e2 = 4πα, where +e < 0 is the electron charge) are used throughout the paper. +3 + +II. +QED THEORY OF THE NUCLEAR RECOIL EFFECT +As is well known, within the nonrelativistic approximation the nuclear recoil contribution +to the binding energy of a hydrogenlike atom can be found by replacing the electron mass m +with the reduced mass, mr = mM/(m + M). For atoms with more than one electron, this +recipe is insufficient, and the two-electron part of the nuclear recoil effect has to be taken +into account [76]. The lowest-order relativistic (Breit) correction of first order in m/M can +be obtained by employing the mass-shift Hamiltonian [23–25]. For N-electron system, this +operator reads as +HMS = +1 +2M +N +� +i,j=1 +� +pi · pj − αZ +ri +� +αi + (αi · ri) +r2 +i +ri +� +· pj +� +, +(1) +where the indices i and j enumerate the electrons, p = −i∇ is the momentum operator, r +is the position vector, r = |r|, and α are the Dirac matrices. The first term in the square +brackets in Eq. (1) corresponds to the nonrelativistic nuclear recoil operator, whereas the +second term determines the leading relativistic correction. +Following Hughes and Eckart [76], the nuclear recoil contribution to atomic spectra is +usually divided into the normal (NMS) and specific (SMS) mass shifts. Accordingly, the +Hamiltonian (1) can be represented as a sum +HMS = HNMS + HSMS , +(2) +where the first operator corresponds to the terms i = j in Eq. (1) and the second one +corresponds to i ̸= j. For further discussion, it is useful to rewrite Eq. (1) in the form +HMS = +1 +2M +N +� +i,j=1 +� +pi · pj − 2Di(0) · pj +� +(3) +by introducing the vector operator +D(0) = αZ +2r +� +α + (α · r) +r2 +r +� +. +(4) +The mass-shift operator HMS yields the nuclear recoil corrections up to the order (m/M)(αZ)4mc2. +This operator is widely used in relativistic calculations of atomic spectra and isotope shifts, +where the nuclear recoil effect is particularly significant [4, 15, 41, 54, 77–94]. +The fully relativistic theory of the nuclear recoil effect on binding energies can be formu- +lated only within the rigorous QED approach (beyond the Breit approximation). To first +4 + +(b) +(c) +(d) +(a) +FIG. 1. One-electron nuclear recoil diagrams: the Coulomb (a), one-transverse (b) and (c), and +two-transverse (d) contributions. See the text and Ref. [26] for the description of the Feynman +rules. +order in m/M, to all orders in αZ, and to zeroth order in α the corresponding theory was +developed in Refs. [23, 24, 26]. The formalism worked out in Ref. [26] is the most suitable +for the goals of the present study. Within this formalism, the pure nuclear recoil effect is +taken into account by modifying the standard QED Hamiltonian of the electron-positron +field interacting with the quantized electromagnetic field and the classical Coulomb poten- +tial of the nucleus V . Namely, an extra term is added to the interaction part of the QED +Hamiltonian, see Ref. [26] for details. As a result, the pure nuclear recoil effect on energy +levels can be obtained on equal footing with the non-recoil QED effects, e.g., the electron +self-energy and vacuum polarization, by means of the perturbation theory in the interac- +tion representation of the Furry picture [95]. A convenient approach to construct the QED +perturbation series both for single and quasi-degenerate levels is provided by the two-time +Green’s function (TTGF) method [96]. This method is employed in Appendix A to derive +the formal expressions for the matrix elements describing the nuclear recoil effect on bind- +ing energies. Within this approach, the zeroth-order one-electron wave functions |ψn⟩ and +energies εn are assumed to be the solutions of the Dirac equation +hD|ψn⟩ ≡ +� +α · p + βm + V +� +|ψn⟩ = εn|ψn⟩ . +(5) +The all-order (in αZ) expressions describing the nuclear recoil effect can be divided +into the NMS and SMS parts as well. The one-electron (NMS) and two-electron (SMS) +contributions are given by the Feynman diagrams shown in Figs. 1 and 2, respectively. The +exhaustive description of the additional diagram-technique rules, which arise in connection +with the treatment of the nuclear recoil effect, can be found in Ref. [26], see also Ref. [96]. +5 + +(a) +(b) +(c) +(d) +FIG. 2. Two-electron nuclear recoil diagrams: the Coulomb (a), one-transverse (b) and (c), and +two-transverse (d) contributions. +To explain the terminology employed throughout the paper, we briefly comment on these +rules using Fig. 1 as an example. First of all, the double line and the vertex with a small dot +in the figure correspond to the conventional diagram technique of the bound-state QED [96]. +Namely, the line denotes the electron propagator in the potential V , and the vertex arises +from the standard interaction of the electron-positron and electromagnetic fields. All the +other diagram elements originate due to the presence of the aforementioned extra term in +the QED Hamiltonian. The Coulomb gauge established itself as the most appropriate one +for the nuclear-recoil-effect studies [23, 24, 26, 28], and it leads to the natural terminology. +In this gauge, the photon propagator Dµν(ω, r) is divided into the Coulomb, +D00(ω, r) = +1 +4πr , +(6) +and transverse, +Dlk(ω, r) = − 1 +4π +� +exp +� +i +√ +ω2 + i0 r +� +r +δlk + ∇l∇k +exp +� +i +√ +ω2 + i0 r +� +− 1 +ω2r +� +. +(7) +parts, while the remaining components of the photon propagator are equal to zero, Dl0 = +D0l = 0 (l, k = 1, 2, 3). All the recoil contributions in Fig. 1 can be classified with respect to +the number of the propagators (7) involved. There are three possibilities [26]: (i) the dotted +line connecting two bold dots in Fig. 1(a) depicts the so-called “Coulomb recoil” interaction, +which does not contain the transverse part of the photon propagator at all; (ii) the dashed +line with the bold dot at one of the ends in Figs. 1(b) and 1(c) stands for the “one-transverse- +photon recoil” interaction, which includes Dlk once; (iii) finally, the dashed line with the +bold dot in the middle in Fig. 1(d) designates the “two-transverse-photon recoil” interaction, +6 + +which involves the product of two photon propagators. We note that the approach initially +developed in Ref. [23] leads to the same result as the formalism of Ref. [26] but it implies the +summation of the infinite sequences of Feynman diagrams describing the electron-nucleus +interaction via photon exchange. In this case, the three discussed possibilities correspond to +the summation of the diagrams with zero, one, and two transverse photons and an arbitrary +number of the Coulomb photons. +To all orders in αZ, the NMS contribution for the state |ψa⟩ can be expressed as fol- +lows [23, 26] +ENMS = ⟨ψa|P(εa)|ψa⟩ , +(8) +where we have introduced the operator P(E) by +⟨ψi|P(E)|ψk⟩ = i +2π +∞ +� +−∞ +dω +� +n +⟨ψiψn|R(ω)|ψnψk⟩ +E − ω − εn(1 − i0) +(9) +with +R(ω) = 1 +M +� +p1 − D1(ω) +� +· +� +p2 − D2(ω) +� +. +(10) +In Eq. (9), |ψiψn⟩ = |ψi⟩|ψn⟩ is the direct product of the one-electron wave functions. The +operator D(ω) in Eq. (10) is related to the transverse part of the photon propagator (7), +and its kth Cartesian component, Dk(ω), is equal to +Dk(ω) = −4παZαlDlk(ω) . +(11) +The ω → 0 limit of the operator D(ω) coincides with formula (4). The indices 1 and 2 in +Eq. (10) designate the electron, on which the corresponding operators act. Let us rewrite +R(ω) in the form: +R(ω) = Rc + Rtr1(ω) + Rtr2(ω) , +(12) +Rc = 1 +M p1 · p2 , +(13) +Rtr1(ω) = − 1 +M +� +p1 · D2(ω) + D1(ω) · p2 +� +, +(14) +Rtr2(ω) = 1 +M D1(ω) · D2(ω) . +(15) +Substituting Eq. (12) into Eq. (8), one arrives at the Coulomb, one-transverse-photon, and +two-transverse-photon contributions to the NMS. +7 + +Let us turn to the discussion of the SMS contribution which corresponds to the Feynman +diagrams in Fig. 2. For simplicity, we consider the case of a one-determinant unperturbed +wave function, +Ψab(r1, r2) = 1 +√ +2 +� +P +(−1)PψP a(r1)ψP b(r2) , +(16) +where P is the permutation operator. The generalization to the case of a many-determinant +wave function is straightforward. +The nonperturbative (in αZ) expression for the SMS +contribution reads as [24, 26] +ESMS = −⟨ψbψa|R(∆)|ψaψb⟩ , +(17) +where ∆ = εa − εb. +The formula (17) gives the “exchange” term for the two-electron +operator R. The “direct” one is equal to zero, since the matrix elements of the operators +p and D are zeroes for states of the same parity. +Substituting (12) into Eq. (17), one +obtains the expansion of the SMS contribution into the Coulomb, one-transverse-photon, +and two-transverse-photon parts. +Over the past three decades, numerous QED calculations of the nuclear recoil effect +on binding energies were carried out [4, 29, 31–34, 84, 88, 97, 98]. We should note that +the expressions (8) and (17) with the operator D defined by Eq. (11) are derived for the +point-nucleus case. In Ref. [33], it was argued that the dominant part of the finite-nuclear +size (FNS) correction to the nuclear recoil effect can be accounted for by employing the po- +tential of the extended nucleus in Eq. (5), and since that paper this prescription is usually +used in the QED calculations of the mass shift. It was also found there that the treatment +of the FNS correction to the nuclear recoil effect within the Breit approximation defined by +the operator (1) leads to an artificial contribution of order (m/M)(αZ)5(Rnucl/λ)mc2 which +even exceeds the main contribution of order (m/M)(αZ)4(Rnucl/λ)2mc2 (here λ = ℏ/(mc) is +the Compton wavelength). This artificial contribution arises from the first (Coulomb) term +in Eq. (1). However, it is completely cancelled by the corresponding FNS correction to the +Coulomb part of the QED nuclear recoil effect, which means that the rigorous theory for +the FNS contribution beyond the main (m/M)(αZ)4(Rnucl/λ)2mc2 term can be formulated +only within the framework of QED. In Ref. [99], an additional FNS correction, which re- +sults from modifying the Breit-approximation mass-shift operator (1) by inserting the form +factor into the nuclear vertex [100, 101], was evaluated. This operator differs from the one +obtained by considering the zero-frequency limit of the photon propagator in the modified +8 + +Coulomb gauge [102, 103]. The main difference between the results obtained using these +two operators is due to a spurious contribution of the order (m/M)(αZ)5(Rnucl/λ)mc2 in +the one-transverse-photon part, which occurs only in the calculation with the operator from +Ref. [102, 103]. Like to the case of the Coulomb contribution, this spurious term is cancelled +by the related FNS contribution to the one-transverse-photon QED correction, provided it +is also calculated with the photon propagator in the modified Coulomb gauge [102, 103]. +In Refs. [34, 71, 119], the additional FNS correction from Ref. [99], which is free from the +spurious term, was used to estimate the uncertainty of the calculations based on the pre- +scription of Ref. [33]. To date, the most elaborated evaluation of the FNS correction to the +nuclear recoil effect was performed within the QED approach in Ref. [102]. This calculation +accomplished for the 1s state has confirmed that the dominant part of the FNS correction +to the nuclear recoil effect is indeed covered by the recipe of Ref. [33], which we also follow +here. The rigorous QED treatment of the total FNS correction to the nuclear recoil effect +lies beyond the scope of the present work. +Restricting Eqs. (8) and (17) by the lowest-order relativistic approximation leads to the +NMS and SMS parts of the MS operator (1), respectively. Until recently, all nonperturba- +tive (in αZ) calculations were limited by the zeroth order in 1/Z, i.e., the electron-electron +interaction corrections to the nuclear recoil effect were considered at best only within the +Breit approximation. In our recent works, we have advanced the QED theory of the nuclear +recoil effect. Specifically, we have considered to all orders in αZ the electron-electron inter- +action correction of first order in 1/Z to the one-electron [104] and two-electron [105] parts +of the nuclear recoil effect on binding energies in atoms and ions. These higher-order QED +contributions being also beyond the scope of the present work can be calculated additionally +if needed. +Finally, the radiative (∼ α) as well as the second-order (in m/M) recoil corrections +are accessible nowadays only within the αZ-expansion approaches, see Refs. [106–108] and +references therein. These contributions are also not considered in this paper. +III. +MODEL-QED OPERATOR FOR THE NUCLEAR RECOIL EFFECT +The QED calculations for many-electron systems, becoming increasingly relevant in view +of the considerable progress of the experiment, are complicated and in many cases currently +9 + +FIG. 3. Self-energy diagram. +FIG. 4. Vacuum-polarization diagram. +inaccessible. This is true for the radiative corrections as well as for the QED treatment of the +nuclear recoil effect. For this reason, there is a vital need for a simple approximate approach +for taking into account the QED corrections in various relativistic calculations. The conven- +tional first-order QED corrections correspond to the self-energy (SE), vacuum-polarization +(VP), and one-photon-exchange diagrams shown in Figs. 3, 4, and 5, respectively. +The +approximate model-QED-operator approach to evaluate these effects has been suggested re- +cently by our group in Refs. [46–48]. In this section, the analogy will be traced that allows us +FIG. 5. One-photon exchange diagram. +10 + +to construct a similar approach for the nuclear recoil contributions beyond the lowest-order +relativistic approximation. +The model-QED-operator approach [46] is worked out within the TTGF method. It is +based on the fact that the QED effects to first order in α can be described by an effective +Hamiltonian acting in the subspace which is spanned by all Slater determinants made up +of the positive-energy solutions of the Dirac equation (5), see Ref. [109] for details. This +effective Hamiltonian has the form +H = Λ(+) +� N +� +i +� +hD +i + hSE +i ++ hVP +i +� ++ +N +� +i0 +� +i1̸=i2,k1̸=k2 +|ψi1ψi2⟩⟨ψi1ψi2|1 +2 +� +I(εi1 − εk1) + I(εi2 − εk2) +� +|ψk1ψk2⟩⟨ψk1ψk2| , +(20) +where the indices i1, i2, k1, and k2 enumerate the positive-energy one-electron Dirac eigen- +functions, +I(ω) = e2αµ +1αν +2Dµν(ω, r12) , +(21) +11 + +αµ ≡ γ0γµ = (1, α) are the Dirac matrices, and the photon propagator in the Coulomb +gauge is given by Eqs. (6) and (7). The matrix elements for the two-electron nuclear recoil +diagrams are derived within the TTGF method in Appendix A, see Eq. (A21) for the final +formula. As a result, the operator hSMS can be represented as +hSMS = +εi1,εi2,εk1,εk2>0 +� +i1̸=i2,k1̸=k2 +|ψi1ψi2⟩⟨ψi1ψi2|1 +2 +� +R(εi1 − εk1) + R(εi2 − εk2) +� +|ψk1ψk2⟩⟨ψk1ψk2| , (22) +where the operator R(ω) is defined by Eq. (10). Therefore, the expressions (20) and (22) +differ only by the replacement of I with R. +Taking the photon propagator Dµν(ω, r12) +in the Coulomb gauge at the zero-energy transfer (ω = 0), one obtains from Eq. (20) +the interaction part of the Dirac-Coulomb-Breit Hamiltonian. In the Coulomb gauge, the +formula (20) considered beyond the lowest-order relativistic approximation leads to the so- +called frequency-dependent Breit interaction. The corresponding correction is readily taken +into account within the electronic-structure calculations, see, e.g., Refs. [57, 60, 110–113], and +does not require the construction of the model operator. When omitting the two-transverse- +photon contribution and taking the ω → 0 limit in R(ω), the expression (22) boils down to +the SMS part of the mass-shift operator (1). The remaining part of the contribution given +by Eq. (22) can be treated on equal footing with the frequency-dependent Breit-interaction +correction. +Now we turn to the discussion of the one-electron contributions. The VP diagram in +Fig. 4 does not have a counterpart in the QED theory of the nuclear recoil effect. Therefore, +we will focus on the SE diagram in Fig. 3 and the one-electron nuclear recoil diagrams in +Fig. 1. First, let us introduce the SE operator Σ(E), +⟨ψi|Σ(E)|ψk⟩ = i +2π +∞ +� +−∞ +dω +� +n +⟨ψiψn|I(ω)|ψnψk⟩ +E − ω − εn(1 − i0) . +(23) +This formal expression suffers from ultraviolet divergences and has to be renormalized to- +gether with the mass counterterm, see, e.g., Refs. [114–117]. Within the TTGF method, +one can obtain the following symmetric expression for the operator hSE [46, 109]: +hSE = +εi,εk>0 +� +i,k +|ψi⟩⟨ψi|1 +2 +� +ΣR(εi) + ΣR(εk) +� +|ψk⟩⟨ψk| , +(24) +where ΣR(ε) is the renormalized SE operator. The corresponding diagonal and off-diagonal +matrix elements are tabulated, e.g., in Refs. [46, 47]. The matrix elements for the one- +electron nuclear recoil diagrams are considered in the framework of the TTGF method in +12 + +Appendix A, see Eq. (A14) for the final expression. In contrast to the SE diagram, this +contribution is ultraviolet finite and does not require any regularization. Nevertheless, its +evaluation is a complex task compared to the calculations with the mass-shift Hamilto- +nian (1). The operator hNMS valid to all orders in αZ can be written in the form +hNMS = +εi,εk>0 +� +i,k +|ψi⟩⟨ψi|1 +2 +� +P(εi) + P(εk) +� +|ψk⟩⟨ψk| , +(25) +The analogy between Eqs. (24) and (25) is evident, and it is employed in the present work to +develop the model-QED-operator approach for the one-electron nuclear recoil contribution. +Since within the Breit approximation this contribution can be treated by means of the +operator +hNMS +Breit = +1 +2M +� +p2 − 2D(0) · p +� +, +(26) +we construct the model operator for the remaining (QED) part of hNMS, namely for +hNMS +h.o. ≡ +εi,εk>0 +� +i,k +|ψi⟩⟨ψi| +�1 +2 +� +P(εi) + P(εk) +� +− hNMS +Breit +� +|ψk⟩⟨ψk| . +(27) +The model-operator approach should simultaneously solve two issues. First, since there is +no simple-enough procedure for the ab initio evaluation of the P-operator matrix elements +for arbitrary levels (including the continuum-spectrum levels), one has to terminate the +summation in Eq. (27). Second, the short interaction range should be kept. To address +these problems, similarly to Ref. [46], we approximate the QED recoil operator hNMS +h.o. +by a +sum of semilocal (with respect to r) and nonlocal potentials +˜hNMS +h.o. = Vs.l. + Vn.l. . +(28) +The operator P, like the operator ΣR, conserves the relativistic angular quantum number κ = +(−1)j+l+1/2(j + 1/2), where j and l are the total and orbital angular momenta, respectively. +For this reason, the semilocal potential can be written as +Vs.l. = +� +κ +V κ +s.l.Pκ , +(29) +where the projector Pκ acts only on the angular variables, and its kernel is +Pκ(n, n′) = + + + +� +m +Ωκm(n)Ω† +κm(n′) +0 +0 +� +m +Ω−κm(n)Ω† +−κm(n′) + + + +(30) +13 + +with Ωκm(n) being the spherical spinor and n = r/r. In Eq. (29), we take +V κ +s.l.(r) = Aκ exp(−r/λ) , +(31) +where the parameters Aκ are chosen to reproduce the ab initio values of the diagonal matrix +elements of the operator hNMS +h.o. for the state with the lowest principal quantum number n for +a given κ. The nonlocal potential can be written in the form +Vn.l. = +n +� +j,l=1 +|φj⟩Bjl⟨φl| , +(32) +where the functions {φi}n +i=1, as in Ref. [46], are chosen to be +φi(r) = 1 +2 [ I − (−1)siβ ] ρli(r)ψi(r) . +(33) +Here the index si = ni − li enumerates the positive-energy states for the given angular +symmetry, I and β are the identity and the standard Dirac matrices, respectively, and the +factors ρli(r) = exp [−2αZ(r/λ)/(1 + li)] provide the stronger localization of the functions +{φi}n +i=1 as compared to the eigenfunctions {ψi}n +i=1 of the Dirac equation (5). Finally, the +coefficients Bjl in Eq. (32) are determined from the condition that the matrix elements of the +model-QED operator ˜hNMS +h.o. evaluated in the space spanned by the functions {ψi}n +i=1 coincide +with the exact ones. This leads to the following equations +n +� +j,l +⟨ψi|φj⟩Bjl⟨φl|ψk⟩ = ⟨ψi| +�1 +2 +� +P(εi) + P(εk) +� +− hNMS +Breit − Vs.l. +� +|ψk⟩ +(34) +for i, k = 1 . . . n, see Ref. [46] for details. We note that the model-QED operator for the +nuclear recoil effect is worked out in such a way that the QEDMOD Fortran package [48] can +be readily adapted to incorporate it. We propose to refer to the resulting package as the +RECMOD one. +Therefore, to determine the model-QED operator we need to calculate the diagonal and +off-diagonal matrix elements of the QED recoil operator hNMS +h.o. with the Dirac-Coulomb wave +functions. So far, only calculations of the diagonal matrix elements have been presented in +the literature. In this work, the expressions derived within the TTGF method are employed +for the ab initio QED evaluation of the one-electron nuclear recoil contributions. Concluding +the description of the model-QED operator, we note that in practical calculations we con- +struct the model operator employing the functions (33) which correspond to the ns states +with the principal quantum number n ⩽ 3 and the np1/2, np3/2, nd3/2, and nd5/2 states +with n ⩽ 4. +14 + +IV. +TEST OF THE MODEL-QED OPERATOR FOR THE NUCLEAR RECOIL +EFFECT +In the present work, to obtain the diagonal and off-diagonal matrix elements of the +higher-order operator hNMS +h.o. , we first evaluate the corresponding values for the operator hNMS +and then numerically subtract the Breit contribution given by the operator hNMS +Breit. For the +Coulomb part of the nuclear recoil effect, this subtraction is readily accomplished analytically +by omitting the summation over the positive-energy states and doubling the contribution of +the negative-energy continuum in Eq. (B2). This can be useful to avoid large cancellations +for low values of Z. The calculations are performed for the ns, np1/2, np3/2, nd3/2, and +nd5/2 states with the principal quantum number n ⩽ 5 in the wide range of Z = 5 − 100 +using the Dirac-Coulomb wave functions. The evaluation is carried out for the potential +of the extended nucleus in Eq. (5). +The nuclear-charge distribution is described by the +homogeneously-charged-sphere model for Z ⩽ 14, and by the Fermi model otherwise. The +nuclear-charge radii are taken from Refs. [118, 119]. The one-electron basis set to represent +the electron Green’s function is constructed from B splines [120] within the dual-kinetic- +balance approach [121]. The ω integration is performed in accordance with the equations +presented in Appendix B. +The results of the ab initio calculations are conveniently expressed in terms of the di- +mensionless function Fnink(αZ) defined by +⟨ψi|hNMS +h.o. |ψk⟩ = m +M +(αZ)5 +(nink)3/2Fnink(αZ) mc2 . +(35) +Our data for the ns, np1/2, np3/2, nd3/2, and nd5/2 states are presented in Tables I, II, III, IV, +and V, respectively. The individual Coulomb, one- and two-transverse-photon corrections +as well as the total QED recoil contributions are shown. +The uncertainties due to the +approximate treatment of the nuclear-size correction are omitted, and with this in mind the +values are accurate to all digits quoted. The function Fnink(αZ) for values of Z not listed +in Tables I-V can be obtained using a polynomial fitting, +Fnink(αZ) = +N +� +n=1 +Fnink(αZn) +� +m̸=n +Z − Zm +Zn − Zm +. +(36) +The model-QED operator for the nuclear recoil effect is constructed using the matrix +elements for the ns states with n ⩽ 3 and the np and nd states with n ⩽ 4. By definition, +15 + +TABLE I. Matrix elements of the operator hNMS +h.o. +for the ns states calculated with the Dirac- +Coulomb wave functions for the extended nuclei. Labels (ni, nk) stand for the function Fnink defined +by Eq. (35). Rows labeled “c”, “tr1”, “tr2”, and “tot” contain the Coulomb, one-transverse-photon, +two-transverse-photon and total nuclear recoil contributions, respectively. +Z Term +(1, 1) +(1, 2) +(1, 3) +(1, 4) +(1, 5) +(2, 2) +(2, 3) +(2, 4) +(2, 5) +(3, 3) +(3, 4) +(3, 5) +(4, 4) +(4, 5) +(5, 5) +5 +c +−0.385 22 −0.385 32 −0.385 31 −0.385 30 −0.385 28 −0.385 42 −0.385 40 −0.385 39 −0.385 38 −0.385 39 −0.385 38 −0.385 37 −0.385 37 −0.385 36 −0.385 35 +tr1 +2.732 91 +2.802 47 +2.807 94 +2.809 23 +2.809 68 +2.925 71 +2.941 92 +2.944 48 +2.945 25 +2.971 87 +2.978 25 +2.979 68 +2.989 97 +2.993 14 +2.998 90 +tr2 +−0.970 02 −0.939 91 −0.935 26 −0.933 65 −0.932 91 −0.930 21 −0.924 15 −0.922 37 −0.921 56 −0.922 21 −0.920 03 −0.919 17 −0.919 32 −0.918 30 −0.917 96 +tot +1.377 67 +1.477 25 +1.487 37 +1.490 28 +1.491 49 +1.610 08 +1.632 36 +1.636 72 +1.638 31 +1.664 26 +1.672 84 +1.675 14 +1.685 28 +1.689 49 +1.695 60 +10 +c +−0.359 34 −0.359 73 −0.359 70 −0.359 65 −0.359 61 −0.360 14 −0.360 10 −0.360 06 −0.360 02 −0.360 07 −0.360 02 −0.359 99 −0.359 98 −0.359 94 −0.359 90 +tr1 +2.227 48 +2.298 20 +2.303 46 +2.304 51 +2.304 78 +2.421 64 +2.437 53 +2.439 83 +2.440 40 +2.467 08 +2.473 17 +2.474 39 +2.484 57 +2.487 52 +2.493 05 +tr2 +−0.650 44 −0.619 34 −0.614 59 −0.612 92 −0.612 13 −0.607 24 −0.600 83 −0.598 94 −0.598 08 −0.598 33 −0.595 99 −0.595 06 −0.595 05 −0.593 93 −0.593 47 +tot +1.217 70 +1.319 12 +1.329 16 +1.331 94 +1.333 04 +1.454 27 +1.476 60 +1.480 83 +1.482 30 +1.508 67 +1.517 16 +1.519 35 +1.529 54 +1.533 65 +1.539 68 +15 +c +−0.340 02 −0.340 93 −0.340 87 −0.340 78 −0.340 70 −0.341 86 −0.341 80 −0.341 71 −0.341 63 −0.341 75 −0.341 65 −0.341 57 −0.341 55 −0.341 47 −0.341 39 +tr1 +1.952 62 +2.025 57 +2.030 60 +2.031 34 +2.031 37 +2.150 64 +2.166 24 +2.168 19 +2.168 49 +2.195 43 +2.201 16 +2.202 11 +2.212 17 +2.214 84 +2.220 07 +tr2 +−0.489 17 −0.457 02 −0.452 12 −0.450 37 −0.449 53 −0.442 51 −0.435 73 −0.433 74 −0.432 81 −0.432 67 −0.430 16 −0.429 16 −0.428 98 −0.427 77 −0.427 18 +tot +1.123 43 +1.227 61 +1.237 60 +1.240 19 +1.241 15 +1.366 27 +1.388 70 +1.392 75 +1.394 05 +1.421 01 +1.429 36 +1.431 39 +1.441 63 +1.445 60 +1.451 49 +20 +c +−0.324 33 −0.325 95 −0.325 87 −0.325 70 −0.325 57 −0.327 63 −0.327 54 −0.327 38 −0.327 25 −0.327 46 −0.327 30 −0.327 17 −0.327 14 −0.327 01 −0.326 87 +tr1 +1.772 26 +1.848 42 +1.853 20 +1.853 57 +1.853 29 +1.976 45 +1.991 78 +1.993 33 +1.993 29 +2.020 67 +2.025 99 +2.026 61 +2.036 55 +2.038 87 +2.043 73 +tr2 +−0.388 09 −0.354 77 −0.349 70 −0.347 85 −0.346 95 −0.337 81 −0.330 63 −0.328 52 −0.327 52 −0.327 01 −0.324 32 −0.323 24 −0.322 91 −0.321 60 −0.320 89 +tot +1.059 85 +1.167 69 +1.177 64 +1.180 01 +1.180 77 +1.311 01 +1.333 61 +1.337 43 +1.338 52 +1.366 21 +1.374 37 +1.376 20 +1.386 49 +1.390 27 +1.395 97 +25 +c +−0.312 16 −0.314 72 −0.314 60 −0.314 36 −0.314 16 −0.317 36 −0.317 25 −0.317 02 −0.316 81 −0.317 15 −0.316 91 −0.316 71 −0.316 68 −0.316 47 −0.316 27 +tr1 +1.644 47 +1.724 80 +1.729 33 +1.729 25 +1.728 60 +1.857 11 +1.872 22 +1.873 30 +1.872 86 +1.900 87 +1.905 70 +1.905 93 +1.915 76 +1.917 68 +1.922 11 +tr2 +−0.317 79 −0.283 13 −0.277 86 −0.275 91 −0.274 95 −0.263 62 −0.256 02 −0.253 79 −0.252 73 −0.251 83 −0.248 96 −0.247 82 −0.247 33 −0.245 93 −0.245 11 +tot +1.014 53 +1.126 95 +1.136 87 +1.138 98 +1.139 50 +1.276 14 +1.298 94 +1.302 49 +1.303 32 +1.331 89 +1.339 83 +1.341 40 +1.351 75 +1.355 28 +1.360 73 +30 +c +−0.302 86 −0.306 57 −0.306 42 −0.306 09 −0.305 81 −0.310 43 −0.310 30 −0.309 97 −0.309 69 −0.310 18 −0.309 85 −0.309 57 −0.309 52 −0.309 24 −0.308 96 +tr1 +1.550 87 +1.636 38 +1.640 65 +1.640 06 +1.638 98 +1.774 39 +1.789 29 +1.789 84 +1.788 94 +1.817 76 +1.822 05 +1.821 83 +1.831 53 +1.832 99 +1.836 91 +tr2 +−0.265 64 −0.229 46 −0.223 96 −0.221 91 −0.220 89 −0.207 25 −0.199 21 −0.196 85 −0.195 73 −0.194 43 −0.191 39 −0.190 19 −0.189 55 −0.188 06 −0.187 13 +tot +0.982 37 +1.100 35 +1.110 27 +1.112 05 +1.112 29 +1.256 71 +1.279 78 +1.283 01 +1.283 52 +1.313 15 +1.320 81 +1.322 07 +1.332 46 +1.335 69 +1.340 83 +35 +c +−0.296 03 −0.301 13 −0.300 96 −0.300 52 −0.300 14 −0.306 48 −0.306 33 −0.305 89 −0.305 51 −0.306 19 −0.305 75 −0.305 37 −0.305 31 −0.304 94 −0.304 56 +tr1 +1.481 88 +1.573 68 +1.577 68 +1.576 49 +1.574 93 +1.718 92 +1.733 66 +1.733 59 +1.732 16 +1.761 99 +1.765 67 +1.764 92 +1.774 49 +1.775 41 +1.778 76 +tr2 +−0.225 14 −0.187 23 −0.181 46 −0.179 31 −0.178 23 −0.162 10 −0.153 59 −0.151 12 −0.149 94 −0.148 22 −0.145 01 −0.143 75 −0.142 96 −0.141 39 −0.140 36 +tot +0.960 71 +1.085 32 +1.095 26 +1.096 67 +1.096 56 +1.250 33 +1.273 73 +1.276 58 +1.276 70 +1.307 58 +1.314 90 +1.315 79 +1.326 22 +1.329 08 +1.333 84 +40 +c +−0.291 95 −0.298 73 −0.298 52 −0.297 96 −0.297 47 −0.305 90 −0.305 73 −0.305 16 −0.304 66 −0.305 56 −0.305 00 −0.304 51 −0.304 43 −0.303 94 −0.303 45 +tr1 +1.432 10 +1.531 46 +1.535 16 +1.533 30 +1.531 16 +1.685 67 +1.700 27 +1.699 50 +1.697 44 +1.728 53 +1.731 49 +1.730 14 +1.739 58 +1.739 87 +1.742 55 +tr2 +−0.192 55 −0.152 64 −0.146 57 −0.144 32 −0.143 18 −0.124 34 −0.115 33 −0.112 73 −0.111 51 −0.109 34 −0.105 97 −0.104 66 −0.103 71 −0.102 08 −0.100 96 +tot +0.947 60 +1.080 09 +1.090 06 +1.091 02 +1.090 51 +1.255 43 +1.279 22 +1.281 60 +1.281 27 +1.313 63 +1.320 53 +1.320 97 +1.331 44 +1.333 85 +1.338 13 +45 +c +−0.289 62 −0.298 37 −0.298 13 −0.297 41 −0.296 80 −0.307 71 −0.307 52 −0.306 80 −0.306 17 −0.307 34 −0.306 62 −0.305 99 −0.305 90 −0.305 28 −0.304 65 +tr1 +1.398 15 +1.506 51 +1.509 91 +1.507 26 +1.504 46 +1.671 73 +1.686 23 +1.684 63 +1.681 85 +1.714 46 +1.716 60 +1.714 53 +1.723 83 +1.723 38 +1.725 28 +tr2 +−0.165 44 −0.123 23 −0.116 83 −0.114 47 −0.113 29 −0.091 42 −0.081 85 −0.079 15 −0.077 89 −0.075 22 −0.071 69 −0.070 34 −0.069 24 −0.067 55 −0.066 36 +tot +0.943 09 +1.084 91 +1.094 94 +1.095 38 +1.094 38 +1.272 60 +1.296 85 +1.298 68 +1.297 79 +1.331 89 +1.338 29 +1.338 20 +1.348 68 +1.350 55 +1.354 27 +50 +c +−0.289 66 −0.300 76 −0.300 49 −0.299 60 −0.298 82 −0.312 74 −0.312 53 −0.311 62 −0.310 83 −0.312 33 −0.311 43 −0.310 63 −0.310 53 −0.309 74 −0.308 95 +tr1 +1.378 25 +1.497 34 +1.500 41 +1.496 85 +1.493 28 +1.676 01 +1.690 42 +1.687 86 +1.684 22 +1.718 67 +1.719 85 +1.716 94 +1.726 07 +1.724 76 +1.725 74 +tr2 +−0.142 25 −0.097 35 −0.090 58 −0.088 11 −0.086 89 −0.061 59 −0.051 43 −0.048 62 −0.047 34 −0.044 12 −0.040 43 −0.039 06 −0.037 80 −0.036 07 −0.034 83 +tot +0.946 35 +1.099 23 +1.109 34 +1.109 15 +1.107 57 +1.301 67 +1.326 46 +1.327 62 +1.326 06 +1.362 23 +1.367 99 +1.367 25 +1.377 74 +1.378 95 +1.381 97 +55 +c +−0.291 87 −0.305 78 −0.305 46 −0.304 35 −0.303 39 −0.320 95 −0.320 71 −0.319 57 −0.318 58 −0.320 48 −0.319 36 −0.318 36 −0.318 23 −0.317 25 −0.316 26 +tr1 +1.371 39 +1.503 32 +1.506 02 +1.501 38 +1.496 90 +1.698 37 +1.712 73 +1.709 02 +1.704 35 +1.741 04 +1.741 07 +1.737 16 +1.746 09 +1.743 76 +1.743 64 +tr2 +−0.121 77 −0.073 73 −0.066 55 −0.063 97 −0.062 72 −0.033 46 −0.022 65 −0.019 74 −0.018 45 −0.014 61 −0.010 78 −0.009 40 −0.007 98 −0.006 23 −0.004 95 +tot +0.957 75 +1.123 81 +1.134 01 +1.133 06 +1.130 80 +1.343 96 +1.369 37 +1.369 70 +1.367 32 +1.405 95 +1.410 94 +1.409 39 +1.419 88 +1.420 28 +1.422 43 +60 +c +−0.296 55 −0.313 83 −0.313 46 −0.312 09 −0.310 91 −0.332 90 −0.332 62 −0.331 21 −0.329 97 −0.332 37 −0.330 97 −0.329 73 −0.329 57 −0.328 34 −0.327 11 +tr1 +1.377 42 +1.524 78 +1.527 07 +1.521 16 +1.515 60 +1.739 91 +1.754 21 +1.749 12 +1.743 20 +1.782 62 +1.781 27 +1.776 13 +1.784 85 +1.781 26 +1.779 83 +tr2 +−0.103 11 −0.051 36 −0.043 71 −0.041 03 −0.039 76 −0.005 86 +0.005 68 +0.008 66 +0.009 94 +0.014 51 +0.018 46 +0.019 82 +0.021 40 +0.023 16 +0.024 45 +tot +0.977 76 +1.159 59 +1.169 91 +1.168 04 +1.164 93 +1.401 15 +1.427 26 +1.426 57 +1.423 17 +1.464 76 +1.468 77 +1.466 23 +1.476 68 +1.476 08 +1.477 17 +65 +c +−0.303 46 −0.324 77 −0.324 33 −0.322 64 −0.321 18 −0.348 59 −0.348 27 −0.346 50 −0.344 96 −0.347 97 −0.346 22 −0.344 68 −0.344 48 −0.342 95 −0.341 42 +tr1 +1.396 53 +1.562 56 +1.564 38 +1.556 92 +1.550 05 +1.802 35 +1.816 60 +1.809 81 +1.802 38 +1.845 14 +1.842 08 +1.835 46 +1.843 89 +1.838 79 +1.835 75 +tr2 +−0.085 48 −0.029 30 −0.021 10 −0.018 34 −0.017 07 +0.022 39 +0.034 73 +0.037 78 +0.039 00 +0.044 43 +0.048 49 +0.049 79 +0.051 55 +0.053 27 +0.054 53 +tot +1.007 59 +1.208 49 +1.218 94 +1.215 94 +1.211 81 +1.476 15 +1.503 07 +1.501 08 +1.496 41 +1.541 61 +1.544 36 +1.540 57 +1.550 96 +1.549 11 +1.548 86 +70 +c +−0.312 32 −0.338 41 −0.337 87 −0.335 79 −0.333 99 −0.367 99 −0.367 59 −0.365 40 −0.363 47 −0.367 23 −0.365 05 −0.363 13 −0.362 88 −0.360 97 −0.359 08 +tr1 +1.429 20 +1.617 95 +1.619 19 +1.609 86 +1.601 40 +1.888 22 +1.902 39 +1.893 47 +1.884 16 +1.931 07 +1.925 88 +1.917 40 +1.925 49 +1.918 50 +1.913 49 +tr2 +−0.068 14 −0.006 59 +0.002 21 +0.005 04 +0.006 29 +0.052 51 +0.065 78 +0.068 83 +0.069 96 +0.076 44 +0.080 57 +0.081 76 +0.083 70 +0.085 34 +0.086 52 +tot +1.048 75 +1.272 94 +1.283 53 +1.279 11 +1.273 70 +1.572 74 +1.600 58 +1.596 91 +1.590 65 +1.640 28 +1.641 40 +1.636 04 +1.646 32 +1.642 87 +1.640 94 +75 +c +−0.325 49 −0.357 59 −0.356 91 −0.354 33 −0.352 11 −0.394 53 −0.394 02 −0.391 26 −0.388 84 −0.393 56 −0.390 82 −0.388 41 −0.388 09 −0.385 71 −0.383 33 +tr1 +1.478 73 +1.695 60 +1.696 15 +1.684 47 +1.674 03 +2.004 16 +2.018 20 +2.006 58 +1.994 87 +2.046 99 +2.039 09 +2.028 26 +2.035 92 +2.026 54 +2.019 05 +tr2 +−0.050 43 +0.017 69 +0.027 18 +0.030 06 +0.031 24 +0.085 88 +0.100 18 +0.103 20 +0.104 16 +0.111 93 +0.116 07 +0.117 10 +0.119 23 +0.120 71 +0.121 76 +tot +1.102 81 +1.355 69 +1.366 42 +1.360 20 +1.353 16 +1.695 51 +1.724 36 +1.718 52 +1.710 20 +1.765 36 +1.764 35 +1.756 95 +1.767 06 +1.761 55 +1.757 47 +80 +c +−0.342 01 −0.381 48 −0.380 61 −0.377 40 −0.374 64 −0.427 63 −0.426 97 −0.423 46 −0.420 41 −0.426 36 −0.422 88 −0.419 84 −0.419 44 −0.416 43 −0.413 44 +tr1 +1.546 61 +1.798 52 +1.798 17 +1.783 53 +1.770 61 +2.155 49 +2.169 28 +2.154 16 +2.139 39 +2.198 12 +2.186 70 +2.172 84 +2.179 94 +2.167 51 +2.156 85 +tr2 +−0.031 49 +0.044 81 +0.055 12 +0.057 99 +0.059 04 +0.124 35 +0.139 85 +0.142 75 +0.143 45 +0.152 85 +0.156 92 +0.157 67 +0.160 02 +0.161 25 +0.162 05 +tot +1.173 10 +1.461 85 +1.472 68 +1.464 12 +1.455 01 +1.852 21 +1.882 17 +1.873 44 +1.862 42 +1.924 61 +1.920 74 +1.910 67 +1.920 53 +1.912 33 +1.905 46 +85 +c +−0.363 06 −0.411 74 −0.410 59 −0.406 55 −0.403 11 −0.469 65 −0.468 73 −0.464 25 −0.460 37 −0.467 90 −0.463 45 −0.459 59 −0.459 05 −0.455 23 −0.451 44 +tr1 +1.637 02 +1.933 23 +1.931 69 +1.913 23 +1.897 11 +2.352 28 +2.365 60 +2.345 85 +2.327 07 +2.394 33 +2.378 27 +2.360 44 +2.366 80 +2.350 36 +2.335 60 +tr2 +−0.010 33 +0.076 35 +0.087 59 +0.090 38 +0.091 22 +0.170 37 +0.187 26 +0.189 89 +0.190 19 +0.201 69 +0.205 57 +0.205 90 +0.208 47 +0.209 30 +0.209 72 +tot +1.263 63 +1.597 84 +1.608 68 +1.597 05 +1.585 23 +2.053 00 +2.084 13 +2.071 49 +2.056 88 +2.128 13 +2.120 39 +2.106 75 +2.116 22 +2.104 44 +2.093 89 +90 +c +−0.387 02 −0.446 77 −0.445 20 −0.440 10 −0.435 78 −0.519 19 −0.517 86 −0.512 09 −0.507 14 −0.516 63 −0.510 91 −0.505 98 −0.505 25 −0.500 38 −0.495 56 +tr1 +1.751 33 +2.103 35 +2.100 12 +2.076 68 +2.056 45 +2.602 04 +2.614 45 +2.588 50 +2.564 41 +2.642 73 +2.620 44 +2.597 35 +2.602 71 +2.581 00 +2.560 88 +tr2 +0.014 21 +0.114 20 +0.126 52 +0.129 10 +0.129 60 +0.226 99 +0.245 50 +0.247 65 +0.247 34 +0.261 62 +0.265 08 +0.264 77 +0.267 58 +0.267 81 +0.267 63 +tot +1.378 52 +1.770 78 +1.781 44 +1.765 68 +1.750 27 +2.309 84 +2.342 09 +2.324 07 +2.304 61 +2.387 71 +2.374 61 +2.356 14 +2.365 04 +2.348 43 +2.332 95 +95 +c +−0.418 54 −0.492 61 −0.490 42 −0.483 89 −0.478 41 −0.584 20 −0.582 24 −0.574 69 −0.568 27 −0.580 41 −0.572 92 −0.566 54 −0.565 54 −0.559 25 −0.553 03 +tr1 +1.901 10 +2.325 75 +2.320 09 +2.289 96 +2.264 23 +2.929 69 +2.940 48 +2.905 96 +2.874 62 +2.967 70 +2.936 82 +2.906 55 +2.910 52 +2.881 65 +2.854 30 +tr2 +0.043 88 +0.161 36 +0.174 94 +0.177 10 +0.177 06 +0.299 16 +0.319 58 +0.320 91 +0.319 64 +0.337 68 +0.340 40 +0.339 10 +0.342 16 +0.341 44 +0.340 34 +tot +1.526 44 +1.994 50 +2.004 61 +1.983 17 +1.962 88 +2.644 65 +2.677 82 +2.652 18 +2.625 99 +2.724 97 +2.704 30 +2.679 11 +2.687 14 +2.663 85 +2.641 62 +100 +c +−0.461 28 −0.554 59 −0.551 47 −0.542 94 −0.535 85 −0.672 46 −0.669 50 −0.659 39 −0.650 90 −0.666 71 −0.656 70 −0.648 26 −0.646 85 −0.638 55 −0.630 36 +tr1 +2.100 97 +2.622 83 +2.613 55 +2.574 12 +2.540 84 +3.369 87 +3.377 77 +3.331 00 +3.289 46 +3.402 83 +3.359 72 +3.319 31 +3.321 30 +3.282 39 +3.244 99 +tr2 +0.081 50 +0.222 61 +0.237 65 +0.239 05 +0.238 14 +0.394 73 +0.417 40 +0.417 33 +0.414 57 +0.437 86 +0.439 26 +0.436 43 +0.439 73 +0.437 54 +0.435 00 +tot +1.721 18 +2.290 85 +2.299 73 +2.270 24 +2.243 12 +3.092 14 +3.125 68 +3.088 93 +3.053 13 +3.173 98 +3.142 28 +3.107 48 +3.114 18 +3.081 38 +3.049 62 +16 + +TABLE II. Matrix elements of the operator hNMS +h.o. +for the np1/2 states calculated with the Dirac- +Coulomb wave functions for the extended nuclei. The notations are the same as in Table I. +Z Term +(2, 2) +(2, 3) +(2, 4) +(2, 5) +(3, 3) +(3, 4) +(3, 5) +(4, 4) +(4, 5) +(5, 5) +5 +c +−0.000 21 −0.000 22 −0.000 23 −0.000 23 −0.000 24 −0.000 25 −0.000 25 −0.000 26 −0.000 26 −0.000 26 +tr1 +−0.047 48 −0.047 34 −0.049 21 −0.050 21 −0.041 34 −0.041 70 −0.042 96 −0.038 43 −0.038 63 −0.036 79 +tr2 +−0.038 02 −0.033 95 −0.033 02 −0.032 64 −0.035 70 −0.034 42 −0.034 00 −0.034 89 −0.034 32 −0.034 51 +tot +−0.085 70 −0.081 51 −0.082 46 −0.083 08 −0.077 29 −0.076 37 −0.077 20 −0.073 57 −0.073 20 −0.071 56 +10 +c +−0.000 76 −0.000 83 −0.000 85 −0.000 86 −0.000 90 −0.000 92 −0.000 93 −0.000 95 −0.000 96 −0.000 97 +tr1 +−0.048 58 −0.048 67 −0.050 59 −0.051 62 −0.042 94 −0.043 37 −0.044 65 −0.040 19 −0.040 42 −0.038 63 +tr2 +−0.023 13 −0.018 17 −0.017 02 −0.016 54 −0.018 55 −0.016 93 −0.016 39 −0.016 95 −0.016 22 −0.016 20 +tot +−0.072 47 −0.067 67 −0.068 47 −0.069 02 −0.062 39 −0.061 22 −0.061 97 −0.058 08 −0.057 59 −0.055 80 +15 +c +−0.001 61 −0.001 75 −0.001 80 −0.001 82 −0.001 91 −0.001 96 −0.001 98 −0.002 01 −0.002 03 −0.002 05 +tr1 +−0.048 87 −0.049 08 −0.051 02 −0.052 04 −0.043 48 −0.043 94 −0.045 22 −0.040 81 −0.041 05 −0.039 28 +tr2 +−0.008 21 −0.002 37 −0.001 00 −0.000 43 −0.001 38 +0.000 58 +0.001 24 +0.001 01 +0.001 90 +0.002 11 +tot +−0.058 69 −0.053 20 −0.053 82 −0.054 29 −0.046 76 −0.045 32 −0.045 96 −0.041 81 −0.041 18 −0.039 22 +20 +c +−0.002 74 −0.002 98 −0.003 06 −0.003 09 −0.003 24 −0.003 32 −0.003 36 −0.003 41 −0.003 45 −0.003 49 +tr1 +−0.048 49 −0.048 73 −0.050 64 −0.051 65 −0.043 15 −0.043 60 −0.044 86 −0.040 48 −0.040 71 −0.038 95 +tr2 +0.006 94 +0.013 66 +0.015 24 +0.015 89 +0.016 04 +0.018 32 +0.019 10 +0.019 20 +0.020 24 +0.020 65 +tot +−0.044 30 −0.038 04 −0.038 46 −0.038 85 −0.030 36 −0.028 60 −0.029 12 −0.024 69 −0.023 92 −0.021 78 +25 +c +−0.004 16 −0.004 51 −0.004 63 −0.004 68 −0.004 90 −0.005 02 −0.005 08 −0.005 15 −0.005 21 −0.005 26 +tr1 +−0.047 52 −0.047 68 −0.049 54 −0.050 52 −0.042 03 −0.042 43 −0.043 65 −0.039 28 −0.039 48 −0.037 71 +tr2 +0.022 47 +0.030 10 +0.031 87 +0.032 60 +0.033 88 +0.036 49 +0.037 37 +0.037 81 +0.038 99 +0.039 59 +tot +−0.029 21 −0.022 09 −0.022 30 −0.022 60 −0.013 05 −0.010 96 −0.011 35 −0.006 62 −0.005 69 −0.003 38 +30 +c +−0.005 87 −0.006 36 −0.006 52 −0.006 59 −0.006 90 −0.007 07 −0.007 15 −0.007 25 −0.007 33 −0.007 40 +tr1 +−0.045 96 −0.045 95 −0.047 72 −0.048 66 −0.040 12 −0.040 44 −0.041 60 −0.037 23 −0.037 39 −0.035 60 +tr2 +0.038 57 +0.047 13 +0.049 09 +0.049 89 +0.052 36 +0.055 30 +0.056 27 +0.057 05 +0.058 38 +0.059 16 +tot +−0.013 26 −0.005 18 −0.005 15 −0.005 36 +0.005 34 +0.007 78 +0.007 52 +0.012 57 +0.013 67 +0.016 16 +35 +c +−0.007 91 −0.008 57 −0.008 78 −0.008 87 −0.009 29 −0.009 52 −0.009 61 −0.009 75 −0.009 85 −0.009 94 +tr1 +−0.043 78 −0.043 50 −0.045 15 −0.046 03 −0.037 39 −0.037 59 −0.038 67 −0.034 30 −0.034 39 −0.032 57 +tr2 +0.055 45 +0.064 97 +0.067 11 +0.067 96 +0.071 72 +0.074 97 +0.076 03 +0.077 17 +0.078 62 +0.079 57 +tot +0.003 77 +0.012 90 +0.013 18 +0.013 06 +0.025 04 +0.027 86 +0.027 74 +0.033 12 +0.034 39 +0.037 06 +40 +c +−0.010 35 −0.011 21 −0.011 47 −0.011 58 −0.012 14 −0.012 42 −0.012 54 −0.012 71 −0.012 83 −0.012 96 +tr1 +−0.040 88 −0.040 23 −0.041 72 −0.042 52 −0.033 73 −0.033 78 −0.034 76 −0.030 36 −0.030 37 −0.028 51 +tr2 +0.073 35 +0.083 87 +0.086 17 +0.087 05 +0.092 21 +0.095 78 +0.096 90 +0.098 41 +0.099 98 +0.101 09 +tot +0.022 11 +0.032 43 +0.032 98 +0.032 95 +0.046 34 +0.049 57 +0.049 60 +0.055 33 +0.056 77 +0.059 63 +45 +c +−0.013 24 −0.014 33 −0.014 65 −0.014 78 −0.015 51 −0.015 86 −0.016 00 −0.016 22 −0.016 36 −0.016 51 +tr1 +−0.037 14 −0.036 00 −0.037 28 −0.037 99 −0.028 97 −0.028 83 −0.029 70 −0.025 26 −0.025 17 −0.023 26 +tr2 +0.092 53 +0.104 12 +0.106 55 +0.107 45 +0.114 16 +0.118 03 +0.119 20 +0.121 10 +0.122 76 +0.124 02 +tot +0.042 14 +0.053 79 +0.054 62 +0.054 68 +0.069 67 +0.073 33 +0.073 50 +0.079 62 +0.081 23 +0.084 26 +50 +c +−0.016 71 −0.018 07 −0.018 45 −0.018 60 −0.019 54 −0.019 96 −0.020 12 −0.020 39 −0.020 56 −0.020 73 +tr1 +−0.032 34 −0.030 56 −0.031 59 −0.032 19 −0.022 86 −0.022 49 −0.023 22 −0.018 72 −0.018 53 −0.016 55 +tr2 +0.113 34 +0.126 07 +0.128 61 +0.129 49 +0.137 94 +0.142 10 +0.143 29 +0.145 61 +0.147 35 +0.148 73 +tot +0.064 29 +0.077 45 +0.078 57 +0.078 70 +0.095 54 +0.099 65 +0.099 95 +0.106 49 +0.108 26 +0.111 45 +55 +c +−0.020 89 −0.022 56 −0.023 02 −0.023 19 −0.024 37 −0.024 87 −0.025 05 −0.025 38 −0.025 57 −0.025 76 +tr1 +−0.026 18 −0.023 57 −0.024 30 −0.024 76 −0.015 03 −0.014 38 −0.014 94 −0.010 38 −0.010 05 −0.008 01 +tr2 +0.136 21 +0.150 16 +0.152 78 +0.153 61 +0.164 02 +0.168 46 +0.169 64 +0.172 40 +0.174 18 +0.175 66 +tot +0.089 14 +0.104 03 +0.105 47 +0.105 66 +0.124 62 +0.129 21 +0.129 64 +0.136 64 +0.138 56 +0.141 89 +60 +c +−0.025 97 −0.028 01 −0.028 55 −0.028 74 −0.030 23 −0.030 82 −0.031 02 −0.031 42 −0.031 63 −0.031 84 +tr1 +−0.018 21 −0.014 56 −0.014 91 −0.015 23 −0.004 95 −0.003 96 −0.004 34 +0.000 32 +0.000 78 +0.002 90 +tr2 +0.161 66 +0.176 94 +0.179 60 +0.180 33 +0.193 01 +0.197 71 +0.198 82 +0.202 07 +0.203 86 +0.205 40 +tot +0.117 48 +0.134 37 +0.136 14 +0.136 36 +0.157 82 +0.162 93 +0.163 46 +0.170 97 +0.173 01 +0.176 46 +65 +c +−0.032 20 −0.034 68 −0.035 31 −0.035 50 −0.037 39 −0.038 07 −0.038 28 −0.038 76 −0.038 98 −0.039 20 +tr1 +−0.007 82 −0.002 83 −0.002 73 −0.002 87 +0.008 12 +0.009 52 +0.009 35 +0.014 12 +0.014 74 +0.016 93 +tr2 +0.190 40 +0.207 15 +0.209 79 +0.210 35 +0.225 67 +0.230 60 +0.231 59 +0.235 37 +0.237 11 +0.238 67 +tot +0.150 39 +0.169 64 +0.171 75 +0.171 97 +0.196 40 +0.202 05 +0.202 66 +0.210 73 +0.212 87 +0.216 39 +70 +c +−0.039 86 −0.042 88 −0.043 59 −0.043 79 −0.046 17 −0.046 94 −0.047 16 −0.047 73 −0.047 95 −0.048 17 +tr1 +0.005 89 +0.012 57 +0.013 22 +0.013 27 +0.025 24 +0.027 10 +0.027 17 +0.032 09 +0.032 86 +0.035 12 +tr2 +0.223 32 +0.241 72 +0.244 25 +0.244 57 +0.263 02 +0.268 13 +0.268 92 +0.273 29 +0.274 92 +0.276 42 +tot +0.189 35 +0.211 41 +0.213 88 +0.214 05 +0.242 09 +0.248 29 +0.248 93 +0.257 64 +0.259 83 +0.263 37 +75 +c +−0.049 60 −0.053 28 −0.054 08 −0.054 26 −0.057 29 −0.058 16 −0.058 36 −0.059 05 −0.059 25 −0.059 46 +tr1 +0.024 29 +0.033 18 +0.034 49 +0.034 74 +0.048 06 +0.050 47 +0.050 78 +0.055 90 +0.056 83 +0.059 12 +tr2 +0.261 68 +0.281 94 +0.284 26 +0.284 22 +0.306 42 +0.311 65 +0.312 14 +0.317 16 +0.318 58 +0.319 95 +tot +0.236 37 +0.261 84 +0.264 67 +0.264 70 +0.297 20 +0.303 96 +0.304 56 +0.314 01 +0.316 16 +0.319 62 +80 +c +−0.062 00 −0.066 50 −0.067 38 −0.067 51 −0.071 39 −0.072 35 −0.072 50 −0.073 33 −0.073 49 −0.073 65 +tr1 +0.049 34 +0.061 11 +0.063 19 +0.063 66 +0.078 85 +0.081 90 +0.082 45 +0.087 82 +0.088 88 +0.091 18 +tr2 +0.307 16 +0.329 55 +0.331 51 +0.330 95 +0.357 75 +0.362 99 +0.363 02 +0.368 79 +0.369 87 +0.370 98 +tot +0.294 49 +0.324 16 +0.327 32 +0.327 10 +0.365 21 +0.372 54 +0.372 97 +0.383 28 +0.385 26 +0.388 51 +85 +c +−0.078 11 −0.083 62 −0.084 56 −0.084 61 −0.089 62 −0.090 65 −0.090 71 −0.091 70 −0.091 76 −0.091 83 +tr1 +0.084 05 +0.099 64 +0.102 65 +0.103 31 +0.121 15 +0.124 92 +0.125 68 +0.131 39 +0.132 52 +0.134 74 +tr2 +0.362 14 +0.387 02 +0.388 39 +0.387 12 +0.419 60 +0.424 71 +0.424 08 +0.430 70 +0.431 24 +0.431 93 +tot +0.368 07 +0.403 04 +0.406 48 +0.405 82 +0.451 13 +0.458 97 +0.459 05 +0.470 40 +0.472 00 +0.474 83 +90 +c +−0.098 98 −0.105 73 −0.106 68 −0.106 56 −0.113 08 −0.114 12 −0.114 01 −0.115 19 −0.115 08 −0.114 98 +tr1 +0.132 64 +0.153 30 +0.157 37 +0.158 15 +0.179 78 +0.184 33 +0.185 22 +0.191 38 +0.192 44 +0.194 41 +tr2 +0.429 94 +0.457 76 +0.458 22 +0.455 91 +0.495 59 +0.500 32 +0.498 72 +0.506 33 +0.506 06 +0.506 05 +tot +0.463 60 +0.505 33 +0.508 91 +0.507 50 +0.562 30 +0.570 53 +0.569 92 +0.582 51 +0.583 41 +0.585 49 +95 +c +−0.127 26 −0.135 59 −0.136 45 −0.136 05 −0.144 66 −0.145 63 −0.145 22 −0.146 62 −0.146 22 −0.145 81 +tr1 +0.202 82 +0.230 40 +0.235 64 +0.236 35 +0.263 61 +0.268 94 +0.269 73 +0.276 49 +0.277 22 +0.278 67 +tr2 +0.515 74 +0.547 05 +0.546 10 +0.542 32 +0.591 28 +0.595 25 +0.592 23 +0.600 99 +0.599 48 +0.598 41 +tot +0.591 30 +0.641 86 +0.645 29 +0.642 63 +0.710 23 +0.718 56 +0.716 74 +0.730 85 +0.730 49 +0.731 26 +100 +c +−0.166 93 −0.177 34 −0.177 94 −0.177 03 −0.188 67 −0.189 38 −0.188 44 −0.190 12 −0.189 19 −0.188 27 +tr1 +0.307 52 +0.344 73 +0.351 15 +0.351 41 +0.387 25 +0.393 20 +0.393 45 +0.401 03 +0.400 91 +0.401 29 +tr2 +0.627 54 +0.663 10 +0.659 98 +0.654 01 +0.715 27 +0.717 85 +0.712 70 +0.722 81 +0.719 43 +0.716 67 +tot +0.768 12 +0.830 49 +0.833 19 +0.828 39 +0.913 85 +0.921 67 +0.917 70 +0.933 72 +0.931 15 +0.929 69 +17 + +TABLE III. Matrix elements of the operator hNMS +h.o. +for the np3/2 states calculated with the Dirac- +Coulomb wave functions for the extended nuclei. The notations are the same as in Table I. +Z +Term +(2, 2) +(2, 3) +(2, 4) +(2, 5) +(3, 3) +(3, 4) +(3, 5) +(4, 4) +(4, 5) +(5, 5) +5 +c +−0.000 04 −0.000 04 −0.000 05 −0.000 05 −0.000 05 −0.000 05 −0.000 05 −0.000 05 −0.000 05 −0.000 05 +tr1 +−0.039 16 −0.038 65 −0.040 38 −0.041 32 −0.032 21 −0.032 43 −0.033 62 −0.029 01 −0.029 15 −0.027 24 +tr2 +−0.047 51 −0.043 89 −0.043 11 −0.042 79 −0.046 28 −0.045 17 −0.044 83 −0.045 85 −0.045 36 −0.045 65 +tot +−0.086 71 −0.082 59 −0.083 54 −0.084 16 −0.078 54 −0.077 65 −0.078 50 −0.074 91 −0.074 56 −0.072 94 +10 +c +−0.000 13 −0.000 15 −0.000 15 −0.000 15 −0.000 16 −0.000 16 −0.000 16 −0.000 17 −0.000 17 −0.000 17 +tr1 +−0.033 00 −0.032 50 −0.034 21 −0.035 13 −0.026 01 −0.026 22 −0.027 40 −0.022 79 −0.022 92 −0.021 01 +tr2 +−0.042 60 −0.038 59 −0.037 74 −0.037 40 −0.040 29 −0.039 04 −0.038 65 −0.039 47 −0.038 92 −0.039 09 +tot +−0.075 73 −0.071 23 −0.072 10 −0.072 69 −0.066 46 −0.065 42 −0.066 22 −0.062 43 −0.062 01 −0.060 27 +15 +c +−0.000 25 −0.000 28 −0.000 28 −0.000 29 −0.000 30 −0.000 31 −0.000 31 −0.000 31 −0.000 32 −0.000 32 +tr1 +−0.026 78 −0.026 30 −0.027 99 −0.028 90 −0.019 73 −0.019 93 −0.021 11 −0.016 48 −0.016 60 −0.014 68 +tr2 +−0.038 14 −0.033 77 −0.032 88 −0.032 51 −0.034 83 −0.033 44 −0.033 03 −0.033 66 −0.033 04 −0.033 11 +tot +−0.065 17 −0.060 34 −0.061 15 −0.061 70 −0.054 85 −0.053 68 −0.054 44 −0.050 45 −0.049 96 −0.048 11 +20 +c +−0.000 39 −0.000 42 −0.000 43 −0.000 44 −0.000 46 −0.000 47 −0.000 47 −0.000 48 −0.000 48 −0.000 49 +tr1 +−0.020 51 −0.020 04 −0.021 73 −0.022 64 −0.013 37 −0.013 57 −0.014 74 −0.010 08 −0.010 20 −0.008 26 +tr2 +−0.034 03 −0.029 34 −0.028 41 −0.028 03 −0.029 79 −0.028 28 −0.027 84 −0.028 28 −0.027 60 −0.027 58 +tot +−0.054 93 −0.049 80 −0.050 57 −0.051 10 −0.043 61 −0.042 31 −0.043 05 −0.038 84 −0.038 29 −0.036 33 +25 +c +−0.000 53 −0.000 58 −0.000 59 −0.000 59 −0.000 62 −0.000 64 −0.000 64 −0.000 65 −0.000 66 −0.000 67 +tr1 +−0.014 18 −0.013 74 −0.015 42 −0.016 33 −0.006 93 −0.007 12 −0.008 29 −0.003 59 −0.003 70 −0.001 74 +tr2 +−0.030 25 −0.025 26 −0.024 29 −0.023 90 −0.025 11 −0.023 48 −0.023 02 −0.023 28 −0.022 55 −0.022 43 +tot +−0.044 97 −0.039 57 −0.040 30 −0.040 83 −0.032 66 −0.031 24 −0.031 95 −0.027 52 −0.026 91 −0.024 84 +30 +c +−0.000 68 −0.000 73 −0.000 75 −0.000 76 −0.000 79 −0.000 81 −0.000 82 −0.000 83 −0.000 84 −0.000 84 +tr1 +−0.007 80 −0.007 37 −0.009 06 −0.009 98 −0.000 39 −0.000 57 −0.001 75 +0.003 02 +0.002 91 +0.004 90 +tr2 +−0.026 77 −0.021 49 −0.020 49 −0.020 10 −0.020 77 −0.019 03 −0.018 54 −0.018 63 −0.017 84 −0.017 63 +tot +−0.035 25 −0.029 59 −0.030 31 −0.030 83 −0.021 95 −0.020 41 −0.021 11 −0.016 44 −0.015 77 −0.013 58 +35 +c +−0.000 83 −0.000 89 −0.000 91 −0.000 92 −0.000 96 −0.000 98 −0.000 99 −0.001 01 −0.001 02 −0.001 03 +tr1 +−0.001 34 −0.000 92 −0.002 63 −0.003 56 +0.006 27 +0.006 10 +0.004 92 +0.009 77 +0.009 66 +0.011 68 +tr2 +−0.023 58 −0.018 02 −0.017 00 −0.016 60 −0.016 74 −0.014 89 −0.014 39 −0.014 30 −0.013 45 −0.013 16 +tot +−0.025 75 −0.019 84 −0.020 55 −0.021 08 −0.011 43 −0.009 77 −0.010 46 −0.005 54 −0.004 81 −0.002 50 +40 +c +−0.000 97 −0.001 05 −0.001 07 −0.001 08 −0.001 13 −0.001 16 −0.001 17 −0.001 18 −0.001 19 −0.001 20 +tr1 +0.005 20 +0.005 62 +0.003 89 +0.002 95 +0.013 08 +0.012 93 +0.011 73 +0.016 68 +0.016 58 +0.018 65 +tr2 +−0.020 67 −0.014 85 −0.013 81 −0.013 41 −0.013 02 −0.011 06 −0.010 54 −0.010 27 −0.009 38 −0.008 99 +tot +−0.016 45 −0.010 28 −0.011 00 −0.011 54 −0.001 07 +0.000 71 +0.000 02 +0.005 22 +0.006 01 +0.008 45 +45 +c +−0.001 12 −0.001 21 −0.001 23 −0.001 24 −0.001 30 −0.001 33 −0.001 34 −0.001 36 −0.001 37 −0.001 38 +tr1 +0.011 84 +0.012 28 +0.010 52 +0.009 56 +0.020 07 +0.019 94 +0.018 72 +0.023 80 +0.023 71 +0.025 82 +tr2 +−0.018 06 −0.011 98 −0.010 92 −0.010 51 −0.009 60 −0.007 54 −0.007 00 −0.006 56 −0.005 61 −0.005 14 +tot +−0.007 34 −0.000 90 −0.001 64 −0.002 19 +0.009 17 +0.011 07 +0.010 38 +0.015 88 +0.016 73 +0.019 30 +50 +c +−0.001 27 −0.001 36 −0.001 39 −0.001 40 −0.001 47 −0.001 50 −0.001 51 −0.001 53 −0.001 55 −0.001 56 +tr1 +0.018 61 +0.019 10 +0.017 29 +0.016 31 +0.027 27 +0.027 17 +0.025 93 +0.031 16 +0.031 08 +0.033 26 +tr2 +−0.015 74 −0.009 41 −0.008 34 −0.007 93 −0.006 48 −0.004 32 −0.003 77 −0.003 15 −0.002 16 −0.001 60 +tot +0.001 60 +0.008 33 +0.007 57 +0.006 98 +0.019 32 +0.021 35 +0.020 64 +0.026 48 +0.027 38 +0.030 10 +55 +c +−0.001 41 −0.001 52 −0.001 55 −0.001 56 −0.001 63 −0.001 67 −0.001 68 −0.001 71 −0.001 72 −0.001 74 +tr1 +0.025 52 +0.026 08 +0.024 24 +0.023 22 +0.034 73 +0.034 66 +0.033 40 +0.038 81 +0.038 75 +0.041 00 +tr2 +−0.013 74 −0.007 15 −0.006 06 −0.005 65 −0.003 69 −0.001 42 −0.000 86 −0.000 06 +0.000 98 +0.001 63 +tot +0.010 37 +0.017 42 +0.016 63 +0.016 01 +0.029 40 +0.031 57 +0.030 86 +0.037 05 +0.038 01 +0.040 89 +60 +c +−0.001 56 −0.001 67 −0.001 71 −0.001 72 −0.001 80 −0.001 84 −0.001 86 −0.001 88 −0.001 90 −0.001 92 +tr1 +0.032 61 +0.033 28 +0.031 39 +0.030 34 +0.042 48 +0.042 47 +0.041 18 +0.046 81 +0.046 77 +0.049 09 +tr2 +−0.012 07 −0.005 21 −0.004 12 −0.003 70 −0.001 22 +0.001 15 +0.001 72 +0.002 70 +0.003 79 +0.004 52 +tot +0.018 99 +0.026 40 +0.025 57 +0.024 91 +0.039 46 +0.041 78 +0.041 04 +0.047 63 +0.048 66 +0.051 70 +65 +c +−0.001 70 −0.001 83 −0.001 87 −0.001 88 −0.001 97 −0.002 02 −0.002 03 −0.002 06 −0.002 08 −0.002 10 +tr1 +0.039 90 +0.040 73 +0.038 79 +0.037 69 +0.050 59 +0.050 65 +0.049 33 +0.055 21 +0.055 20 +0.057 62 +tr2 +−0.010 74 −0.003 62 −0.002 51 −0.002 10 +0.000 89 +0.003 36 +0.003 95 +0.005 11 +0.006 24 +0.007 06 +tot +0.027 46 +0.035 28 +0.034 41 +0.033 71 +0.049 51 +0.052 00 +0.051 25 +0.058 26 +0.059 36 +0.062 58 +70 +c +−0.001 85 −0.001 99 −0.002 03 −0.002 04 −0.002 15 −0.002 19 −0.002 21 −0.002 24 −0.002 26 −0.002 28 +tr1 +0.047 42 +0.048 47 +0.046 47 +0.045 33 +0.059 10 +0.059 26 +0.057 91 +0.064 08 +0.064 10 +0.066 63 +tr2 +−0.009 78 −0.002 40 −0.001 27 −0.000 86 +0.002 62 +0.005 20 +0.005 80 +0.007 14 +0.008 32 +0.009 22 +tot +0.035 80 +0.044 09 +0.043 17 +0.042 43 +0.059 58 +0.062 27 +0.061 50 +0.068 97 +0.070 16 +0.073 57 +75 +c +−0.002 00 −0.002 15 −0.002 19 −0.002 21 −0.002 32 −0.002 37 −0.002 39 −0.002 43 −0.002 45 −0.002 47 +tr1 +0.055 20 +0.056 54 +0.054 49 +0.053 29 +0.068 09 +0.068 37 +0.066 99 +0.073 49 +0.073 56 +0.076 21 +tr2 +−0.009 21 −0.001 56 −0.000 42 +0.000 00 +0.003 95 +0.006 64 +0.007 25 +0.008 76 +0.010 00 +0.010 98 +tot +0.044 00 +0.052 83 +0.051 88 +0.051 08 +0.069 72 +0.072 64 +0.071 84 +0.079 82 +0.081 11 +0.084 72 +80 +c +−0.002 15 −0.002 31 −0.002 36 −0.002 37 −0.002 51 −0.002 56 −0.002 58 −0.002 62 −0.002 64 −0.002 66 +tr1 +0.063 29 +0.065 00 +0.062 90 +0.061 64 +0.077 62 +0.078 05 +0.076 64 +0.083 52 +0.083 65 +0.086 45 +tr2 +−0.009 05 −0.001 15 +0.000 01 +0.000 44 +0.004 84 +0.007 63 +0.008 25 +0.009 94 +0.011 22 +0.012 29 +tot +0.052 09 +0.061 54 +0.060 56 +0.059 70 +0.079 95 +0.083 12 +0.082 31 +0.090 84 +0.092 23 +0.096 07 +85 +c +−0.002 30 −0.002 48 −0.002 53 −0.002 55 −0.002 70 −0.002 76 −0.002 78 −0.002 82 −0.002 84 −0.002 87 +tr1 +0.071 71 +0.073 90 +0.071 75 +0.070 43 +0.087 76 +0.088 39 +0.086 95 +0.094 27 +0.094 48 +0.097 44 +tr2 +−0.009 36 −0.001 19 +0.000 00 +0.000 43 +0.005 24 +0.008 14 +0.008 77 +0.010 63 +0.011 96 +0.013 10 +tot +0.060 05 +0.070 23 +0.069 22 +0.068 31 +0.090 30 +0.093 77 +0.092 94 +0.102 08 +0.103 59 +0.107 68 +90 +c +−0.002 46 −0.002 66 −0.002 71 −0.002 73 −0.002 90 −0.002 96 −0.002 99 −0.003 03 −0.003 06 −0.003 08 +tr1 +0.080 50 +0.083 29 +0.081 11 +0.079 72 +0.098 59 +0.099 47 +0.098 01 +0.105 82 +0.106 12 +0.109 28 +tr2 +−0.010 14 −0.001 73 −0.000 51 −0.000 06 +0.005 10 +0.008 10 +0.008 75 +0.010 76 +0.012 14 +0.013 36 +tot +0.067 89 +0.078 90 +0.077 89 +0.076 92 +0.100 79 +0.104 61 +0.103 77 +0.113 55 +0.115 21 +0.119 56 +95 +c +−0.002 63 −0.002 85 −0.002 91 −0.002 93 −0.003 11 −0.003 18 −0.003 21 −0.003 26 −0.003 28 −0.003 31 +tr1 +0.089 69 +0.093 24 +0.091 04 +0.089 58 +0.110 20 +0.111 39 +0.109 92 +0.118 28 +0.118 71 +0.122 08 +tr2 +−0.011 46 −0.002 80 −0.001 55 −0.001 09 +0.004 36 +0.007 46 +0.008 12 +0.010 29 +0.011 71 +0.013 01 +tot +0.075 61 +0.087 59 +0.086 59 +0.085 56 +0.111 45 +0.115 67 +0.114 83 +0.125 31 +0.127 14 +0.131 77 +100 +c +−0.002 81 −0.003 05 −0.003 11 −0.003 13 −0.003 34 −0.003 42 −0.003 44 −0.003 50 −0.003 53 −0.003 56 +tr1 +0.099 35 +0.103 82 +0.101 63 +0.100 10 +0.122 68 +0.124 27 +0.122 80 +0.131 78 +0.132 36 +0.135 97 +tr2 +−0.013 34 −0.004 48 −0.003 18 −0.002 70 +0.002 95 +0.006 14 +0.006 82 +0.009 11 +0.010 58 +0.011 94 +tot +0.083 20 +0.096 29 +0.095 34 +0.094 26 +0.122 30 +0.127 00 +0.126 17 +0.137 39 +0.139 41 +0.144 35 +18 + +TABLE IV. Matrix elements of the operator hNMS +h.o. +for the nd3/2 states calculated with the Dirac- +Coulomb wave functions for the extended nuclei. The notations are the same as in Table I. +Z Term +(3, 3) +(3, 4) +(3, 5) +(4, 4) +(4, 5) +(5, 5) +5 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.009 32 −0.009 18 −0.009 69 −0.008 14 −0.008 40 −0.007 46 +tr2 +−0.009 38 −0.007 96 −0.007 56 −0.009 08 −0.008 53 −0.008 94 +tot +−0.018 70 −0.017 13 −0.017 26 −0.017 22 −0.016 93 −0.016 39 +10 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.008 96 −0.008 89 −0.009 44 −0.007 89 −0.008 17 −0.007 25 +tr2 +−0.008 14 −0.006 64 −0.006 24 −0.007 53 −0.006 94 −0.007 24 +tot +−0.017 10 −0.015 53 −0.015 68 −0.015 41 −0.015 11 −0.014 50 +15 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.008 62 −0.008 64 −0.009 21 −0.007 66 −0.007 98 −0.007 07 +tr2 +−0.006 88 −0.005 31 −0.004 91 −0.005 96 −0.005 33 −0.005 54 +tot +−0.015 50 −0.013 95 −0.014 12 −0.013 62 −0.013 31 −0.012 61 +20 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 −0.000 01 +tr1 +−0.008 30 −0.008 40 −0.009 00 −0.007 45 −0.007 80 −0.006 91 +tr2 +−0.005 61 −0.003 97 −0.003 57 −0.004 38 −0.003 71 −0.003 82 +tot +−0.013 92 −0.012 38 −0.012 58 −0.011 84 −0.011 51 −0.010 73 +25 +c +−0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 01 +tr1 +−0.007 99 −0.008 18 −0.008 81 −0.007 24 −0.007 63 −0.006 76 +tr2 +−0.004 33 −0.002 62 −0.002 22 −0.002 79 −0.002 08 −0.002 08 +tot +−0.012 33 −0.010 81 −0.011 04 −0.010 05 −0.009 72 −0.008 85 +30 +c +−0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 02 −0.000 02 +tr1 +−0.007 69 −0.007 97 −0.008 64 −0.007 05 −0.007 47 −0.006 61 +tr2 +−0.003 04 −0.001 25 −0.000 85 −0.001 18 −0.000 42 −0.000 32 +tot +−0.010 74 −0.009 23 −0.009 51 −0.008 25 −0.007 91 −0.006 95 +35 +c +−0.000 02 −0.000 02 −0.000 02 −0.000 02 −0.000 02 −0.000 03 +tr1 +−0.007 39 −0.007 76 −0.008 48 −0.006 85 −0.007 32 −0.006 46 +tr2 +−0.001 73 +0.000 13 +0.000 53 +0.000 45 +0.001 25 +0.001 45 +tot +−0.009 13 −0.007 65 −0.007 97 −0.006 43 −0.006 09 −0.005 03 +40 +c +−0.000 02 −0.000 03 −0.000 03 −0.000 03 −0.000 04 −0.000 04 +tr1 +−0.007 08 −0.007 56 −0.008 31 −0.006 65 −0.007 15 −0.006 30 +tr2 +−0.000 41 +0.001 53 +0.001 93 +0.002 10 +0.002 95 +0.003 26 +tot +−0.007 51 −0.006 05 −0.006 41 −0.004 59 −0.004 24 −0.003 08 +45 +c +−0.000 03 −0.000 04 −0.000 04 −0.000 05 −0.000 05 −0.000 05 +tr1 +−0.006 77 −0.007 34 −0.008 15 −0.006 43 −0.006 98 −0.006 12 +tr2 +0.000 94 +0.002 96 +0.003 35 +0.003 78 +0.004 68 +0.005 09 +tot +−0.005 87 −0.004 42 −0.004 83 −0.002 70 −0.002 35 −0.001 08 +50 +c +−0.000 05 −0.000 05 −0.000 06 −0.000 06 −0.000 07 −0.000 07 +tr1 +−0.006 44 −0.007 11 −0.007 97 −0.006 19 −0.006 78 −0.005 91 +tr2 +0.002 30 +0.004 40 +0.004 80 +0.005 49 +0.006 43 +0.006 96 +tot +−0.004 18 −0.002 76 −0.003 23 −0.000 77 −0.000 41 +0.000 98 +55 +c +−0.000 06 −0.000 07 −0.000 08 −0.000 08 −0.000 09 −0.000 09 +tr1 +−0.006 09 −0.006 86 −0.007 77 −0.005 92 −0.006 54 −0.005 66 +tr2 +0.003 69 +0.005 88 +0.006 27 +0.007 23 +0.008 23 +0.008 86 +tot +−0.002 46 −0.001 05 −0.001 58 +0.001 24 +0.001 60 +0.003 11 +60 +c +−0.000 08 −0.000 09 −0.000 10 −0.000 11 −0.000 11 −0.000 12 +tr1 +−0.005 70 −0.006 57 −0.007 55 −0.005 59 −0.006 26 −0.005 36 +tr2 +0.005 11 +0.007 38 +0.007 77 +0.009 02 +0.010 06 +0.010 81 +tot +−0.000 68 +0.000 72 +0.000 13 +0.003 32 +0.003 69 +0.005 33 +65 +c +−0.000 10 −0.000 12 −0.000 12 −0.000 13 −0.000 14 −0.000 15 +tr1 +−0.005 28 −0.006 24 −0.007 28 −0.005 21 −0.005 92 −0.004 99 +tr2 +0.006 55 +0.008 92 +0.009 31 +0.010 84 +0.011 94 +0.012 81 +tot +0.001 17 +0.002 56 +0.001 90 +0.005 50 +0.005 88 +0.007 67 +70 +c +−0.000 12 −0.000 14 −0.000 15 −0.000 17 −0.000 18 −0.000 19 +tr1 +−0.004 80 −0.005 85 −0.006 96 −0.004 75 −0.005 49 −0.004 52 +tr2 +0.008 02 +0.010 49 +0.010 87 +0.012 72 +0.013 86 +0.014 86 +tot +0.003 10 +0.004 50 +0.003 76 +0.007 79 +0.008 20 +0.010 15 +75 +c +−0.000 15 −0.000 18 −0.000 19 −0.000 20 −0.000 22 −0.000 23 +tr1 +−0.004 26 −0.005 38 −0.006 57 −0.004 20 −0.004 96 −0.003 94 +tr2 +0.009 53 +0.012 10 +0.012 48 +0.014 63 +0.015 84 +0.016 96 +tot +0.005 12 +0.006 54 +0.005 73 +0.010 23 +0.010 66 +0.012 79 +80 +c +−0.000 18 −0.000 21 −0.000 23 −0.000 25 −0.000 26 −0.000 28 +tr1 +−0.003 63 −0.004 82 −0.006 08 −0.003 52 −0.004 30 −0.003 22 +tr2 +0.011 07 +0.013 74 +0.014 12 +0.016 60 +0.017 87 +0.019 12 +tot +0.007 26 +0.008 71 +0.007 81 +0.012 84 +0.013 30 +0.015 62 +85 +c +−0.000 22 −0.000 26 −0.000 27 −0.000 30 −0.000 32 −0.000 33 +tr1 +−0.002 89 −0.004 13 −0.005 48 −0.002 68 −0.003 47 −0.002 31 +tr2 +0.012 64 +0.015 42 +0.015 80 +0.018 62 +0.019 94 +0.021 33 +tot +0.009 52 +0.011 03 +0.010 05 +0.015 64 +0.016 16 +0.018 69 +90 +c +−0.000 26 −0.000 31 −0.000 32 −0.000 36 −0.000 38 −0.000 40 +tr1 +−0.002 02 −0.003 29 −0.004 72 −0.001 65 −0.002 44 −0.001 17 +tr2 +0.014 23 +0.017 14 +0.017 51 +0.020 68 +0.022 07 +0.023 59 +tot +0.011 95 +0.013 54 +0.012 47 +0.018 68 +0.019 26 +0.022 03 +95 +c +−0.000 31 −0.000 36 −0.000 38 −0.000 42 −0.000 45 −0.000 47 +tr1 +−0.001 00 −0.002 26 −0.003 77 −0.000 38 −0.001 14 +0.000 25 +tr2 +0.015 85 +0.018 89 +0.019 25 +0.022 79 +0.024 24 +0.025 90 +tot +0.014 55 +0.016 26 +0.015 10 +0.021 99 +0.022 65 +0.025 68 +100 +c +−0.000 37 −0.000 43 −0.000 45 −0.000 50 −0.000 52 −0.000 55 +tr1 +0.000 23 −0.000 98 −0.002 57 +0.001 19 +0.000 48 +0.002 02 +tr2 +0.017 49 +0.020 65 +0.021 01 +0.024 92 +0.026 44 +0.028 25 +tot +0.017 35 +0.019 24 +0.017 98 +0.025 62 +0.026 39 +0.029 72 +19 + +TABLE V. Matrix elements of the operator hNMS +h.o. +for the nd5/2 states calculated with the Dirac- +Coulomb wave functions for the extended nuclei. The notations are the same as in Table I. +Z Term +(3, 3) +(3, 4) +(3, 5) +(4, 4) +(4, 5) +(5, 5) +5 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.008 63 −0.008 46 −0.008 96 −0.007 37 −0.007 61 −0.006 65 +tr2 +−0.010 06 −0.008 65 −0.008 26 −0.009 84 −0.009 31 −0.009 74 +tot +−0.018 69 −0.017 11 −0.017 22 −0.017 21 −0.016 92 −0.016 39 +10 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.007 56 −0.007 44 −0.007 94 −0.006 32 −0.006 56 −0.005 60 +tr2 +−0.009 51 −0.008 04 −0.007 66 −0.009 07 −0.008 51 −0.008 87 +tot +−0.017 07 −0.015 48 −0.015 60 −0.015 39 −0.015 08 −0.014 48 +15 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.006 50 −0.006 42 −0.006 93 −0.005 27 −0.005 52 −0.004 56 +tr2 +−0.008 96 −0.007 43 −0.007 05 −0.008 31 −0.007 72 −0.008 01 +tot +−0.015 45 −0.013 85 −0.013 98 −0.013 58 −0.013 25 −0.012 57 +20 +c +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +0.000 00 +tr1 +−0.005 43 −0.005 40 −0.005 92 −0.004 21 −0.004 48 −0.003 51 +tr2 +−0.008 41 −0.006 83 −0.006 46 −0.007 56 −0.006 94 −0.007 16 +tot +−0.013 84 −0.012 23 −0.012 38 −0.011 77 −0.011 42 −0.010 67 +25 +c +0.000 00 +0.000 00 +0.000 00 −0.000 01 −0.000 01 −0.000 01 +tr1 +−0.004 36 −0.004 38 −0.004 91 −0.003 16 −0.003 44 −0.002 46 +tr2 +−0.007 87 −0.006 24 −0.005 88 −0.006 81 −0.006 17 −0.006 32 +tot +−0.012 24 −0.010 63 −0.010 79 −0.009 98 −0.009 61 −0.008 79 +30 +c +−0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 01 +tr1 +−0.003 29 −0.003 36 −0.003 90 −0.002 10 −0.002 39 −0.001 40 +tr2 +−0.007 34 −0.005 66 −0.005 30 −0.006 08 −0.005 41 −0.005 49 +tot +−0.010 64 −0.009 03 −0.009 21 −0.008 18 −0.007 81 −0.006 90 +35 +c +−0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 01 +tr1 +−0.002 22 −0.002 34 −0.002 89 −0.001 03 −0.001 33 −0.000 34 +tr2 +−0.006 82 −0.005 10 −0.004 74 −0.005 36 −0.004 67 −0.004 68 +tot +−0.009 05 −0.007 44 −0.007 64 −0.006 40 −0.006 01 −0.005 03 +40 +c +−0.000 01 −0.000 01 −0.000 01 −0.000 01 −0.000 02 −0.000 02 +tr1 +−0.001 14 −0.001 31 −0.001 87 +0.000 05 −0.000 26 +0.000 74 +tr2 +−0.006 32 −0.004 54 −0.004 20 −0.004 66 −0.003 94 −0.003 88 +tot +−0.007 47 −0.005 87 −0.006 09 −0.004 62 −0.004 22 −0.003 16 +45 +c +−0.000 01 −0.000 02 −0.000 02 −0.000 02 −0.000 02 −0.000 02 +tr1 +−0.000 06 −0.000 28 −0.000 85 +0.001 13 +0.000 81 +0.001 83 +tr2 +−0.005 83 −0.004 01 −0.003 67 −0.003 97 −0.003 23 −0.003 10 +tot +−0.005 90 −0.004 30 −0.004 54 −0.002 85 −0.002 44 −0.001 29 +50 +c +−0.000 02 −0.000 02 −0.000 02 −0.000 02 −0.000 03 −0.000 03 +tr1 +0.001 04 +0.000 76 +0.000 17 +0.002 23 +0.001 90 +0.002 93 +tr2 +−0.005 35 −0.003 49 −0.003 16 −0.003 30 −0.002 54 −0.002 34 +tot +−0.004 33 −0.002 74 −0.003 01 −0.001 09 −0.000 66 +0.000 57 +55 +c +−0.000 02 −0.000 03 −0.000 03 −0.000 03 −0.000 03 −0.000 03 +tr1 +0.002 14 +0.001 81 +0.001 20 +0.003 35 +0.003 00 +0.004 05 +tr2 +−0.004 89 −0.002 98 −0.002 67 −0.002 65 −0.001 86 −0.001 59 +tot +−0.002 78 −0.001 20 −0.001 50 +0.000 67 +0.001 11 +0.002 43 +60 +c +−0.000 03 −0.000 03 −0.000 03 −0.000 03 −0.000 04 −0.000 04 +tr1 +0.003 25 +0.002 87 +0.002 24 +0.004 48 +0.004 12 +0.005 19 +tr2 +−0.004 45 −0.002 50 −0.002 20 −0.002 01 −0.001 20 −0.000 87 +tot +−0.001 23 +0.000 34 +0.000 01 +0.002 43 +0.002 88 +0.004 29 +65 +c +−0.000 03 −0.000 04 −0.000 04 −0.000 04 −0.000 04 −0.000 04 +tr1 +0.004 37 +0.003 94 +0.003 29 +0.005 62 +0.005 25 +0.006 35 +tr2 +−0.004 03 −0.002 03 −0.001 74 −0.001 40 −0.000 57 −0.000 16 +tot +0.000 31 +0.001 87 +0.001 51 +0.004 18 +0.004 64 +0.006 14 +70 +c +−0.000 04 −0.000 04 −0.000 04 −0.000 05 −0.000 05 −0.000 05 +tr1 +0.005 50 +0.005 02 +0.004 34 +0.006 79 +0.006 41 +0.007 53 +tr2 +−0.003 63 −0.001 59 −0.001 31 −0.000 80 +0.000 05 +0.000 53 +tot +0.001 83 +0.003 39 +0.002 99 +0.005 94 +0.006 41 +0.008 01 +75 +c +−0.000 04 −0.000 05 −0.000 05 −0.000 05 −0.000 06 −0.000 06 +tr1 +0.006 65 +0.006 11 +0.005 41 +0.007 98 +0.007 58 +0.008 74 +tr2 +−0.003 25 −0.001 17 −0.000 90 −0.000 23 +0.000 65 +0.001 19 +tot +0.003 35 +0.004 90 +0.004 46 +0.007 69 +0.008 17 +0.009 87 +80 +c +−0.000 05 −0.000 05 −0.000 05 −0.000 06 −0.000 06 −0.000 06 +tr1 +0.007 81 +0.007 22 +0.006 50 +0.009 19 +0.008 78 +0.009 97 +tr2 +−0.002 90 −0.000 77 −0.000 51 +0.000 32 +0.001 22 +0.001 83 +tot +0.004 86 +0.006 40 +0.005 93 +0.009 44 +0.009 94 +0.011 74 +85 +c +−0.000 05 −0.000 06 −0.000 06 −0.000 07 −0.000 07 −0.000 07 +tr1 +0.008 98 +0.008 35 +0.007 59 +0.010 42 +0.010 01 +0.011 24 +tr2 +−0.002 57 −0.000 39 −0.000 15 +0.000 84 +0.001 76 +0.002 45 +tot +0.006 37 +0.007 90 +0.007 38 +0.011 20 +0.011 71 +0.013 62 +90 +c +−0.000 06 −0.000 06 −0.000 07 −0.000 07 −0.000 08 −0.000 08 +tr1 +0.010 18 +0.009 49 +0.008 71 +0.011 69 +0.011 27 +0.012 54 +tr2 +−0.002 26 −0.000 04 +0.000 19 +0.001 34 +0.002 29 +0.003 05 +tot +0.007 86 +0.009 39 +0.008 83 +0.012 96 +0.013 48 +0.015 51 +95 +c +−0.000 06 −0.000 07 −0.000 07 −0.000 08 −0.000 08 −0.000 09 +tr1 +0.011 39 +0.010 66 +0.009 84 +0.012 99 +0.012 56 +0.013 88 +tr2 +−0.001 98 +0.000 29 +0.000 50 +0.001 81 +0.002 78 +0.003 62 +tot +0.009 35 +0.010 87 +0.010 26 +0.014 72 +0.015 26 +0.017 40 +100 +c +−0.000 07 −0.000 08 −0.000 08 −0.000 09 −0.000 09 −0.000 10 +tr1 +0.012 63 +0.011 85 +0.010 99 +0.014 32 +0.013 88 +0.015 25 +tr2 +−0.001 73 +0.000 58 +0.000 78 +0.002 26 +0.003 25 +0.004 16 +tot +0.010 82 +0.012 35 +0.011 69 +0.016 49 +0.017 04 +0.019 31 +20 + +TABLE VI. The higher-order nuclear recoil correction for the 4s, 5s, 5p, and 5d states in terms of +the function F defined by Eq. (35). The column labeled ⟨ψv|˜hNMS +h.o. |ψv⟩ denotes the results obtained +by means of the model QED operator, ⟨ψv|Vs.l.|ψv⟩ is the contribution of the semilocal part of the +model operator, and “Exact” stands for the ab initio values. The ns states with n ⩽ 3 and the np +and nd states with n ⩽ 4 are omitted since the operator ˜hNMS +h.o. exactly reproduces the corresponding +correction for them by construction. +Z +State +⟨ψv|Vs.l.|ψv⟩ ⟨ψv|˜hNMS +h.o. |ψv⟩ +Exact +Z +State +⟨ψv|Vs.l.|ψv⟩ ⟨ψv|˜hNMS +h.o. |ψv⟩ +Exact +10 +4s +1.2024 +1.5325 +1.5295 +60 +4s +0.8494 +1.4804 +1.4767 +5s +1.2017 +1.5445 +1.5397 +5s +0.8394 +1.4833 +1.4772 +5p1/2 +−0.0922 +−0.0545 +−0.0558 +5p1/2 +0.1282 +0.1782 +0.1765 +5p3/2 +−0.0965 +−0.0590 +−0.0603 +5p3/2 +0.0221 +0.0540 +0.0517 +5d3/2 +−0.0279 +−0.0157 +−0.0145 +5d3/2 +−0.0010 +0.0058 +0.0053 +5d5/2 +−0.0278 +−0.0156 +−0.0145 +5d5/2 +−0.0019 +0.0044 +0.0043 +20 +4s +1.0162 +1.3896 +1.3865 +70 +4s +0.9227 +1.6503 +1.6463 +5s +1.0141 +1.4010 +1.3960 +5s +0.9088 +1.6475 +1.6409 +5p1/2 +−0.0555 +−0.0204 +−0.0218 +5p1/2 +0.1963 +0.2652 +0.2634 +5p3/2 +−0.0692 +−0.0349 +−0.0363 +5p3/2 +0.0406 +0.0762 +0.0736 +5d3/2 +−0.0225 +−0.0116 +−0.0107 +5d3/2 +0.0047 +0.0110 +0.0101 +5d5/2 +−0.0224 +−0.0116 +−0.0107 +5d5/2 +0.0028 +0.0084 +0.0080 +30 +4s +0.9090 +1.3357 +1.3325 +80 +4s +1.0683 +1.9249 +1.9205 +5s +0.9053 +1.3460 +1.3408 +5s +1.0478 +1.9125 +1.9055 +5p1/2 +−0.0162 +0.0177 +0.0162 +5p1/2 +0.2880 +0.3904 +0.3885 +5p3/2 +−0.0437 +−0.0119 +−0.0136 +5p3/2 +0.0578 +0.0990 +0.0961 +5d3/2 +−0.0172 +−0.0075 +−0.0069 +5d3/2 +0.0108 +0.0169 +0.0156 +5d5/2 +−0.0171 +−0.0076 +−0.0069 +5d5/2 +0.0073 +0.0124 +0.0117 +40 +4s +0.8484 +1.3348 +1.3314 +90 +4s +1.3278 +2.3698 +2.3650 +5s +0.8430 +1.3436 +1.3381 +5s +1.2952 +2.3406 +2.3329 +5p1/2 +0.0262 +0.0612 +0.0596 +5p1/2 +0.4244 +0.5875 +0.5855 +5p3/2 +−0.0200 +0.0103 +0.0084 +5p3/2 +0.0739 +0.1228 +0.1195 +5d3/2 +−0.0119 +−0.0033 +−0.0031 +5d3/2 +0.0173 +0.0236 +0.0220 +5d5/2 +−0.0119 +−0.0036 +−0.0032 +5d5/2 +0.0117 +0.0165 +0.0155 +50 +4s +0.8280 +1.3813 +1.3777 +100 +4s +1.7885 +3.1190 +3.1142 +5s +0.8206 +1.3877 +1.3820 +5s +1.7322 +3.0568 +3.0496 +5p1/2 +0.0733 +0.1131 +0.1115 +5p1/2 +0.6515 +0.9319 +0.9297 +5p3/2 +0.0019 +0.0322 +0.0301 +5p3/2 +0.0889 +0.1478 +0.1444 +5d3/2 +−0.0065 +0.0011 +0.0010 +5d3/2 +0.0246 +0.0317 +0.0297 +5d5/2 +−0.0068 +0.0004 +0.0006 +5d5/2 +0.0158 +0.0206 +0.0193 +21 + +TABLE VII. The one-electron nuclear recoil correction beyond the Breit approximation for the +valence ns electron in neutral alkali metals in terms of the function F defined by Eq. (35). The +labels CH and xα = 0, 1/3, 2/3, and 1 correspond to the different effective potentials. See the text +for details. +Atom +Approach +CH +xα = 0 +xα = 1/3 +xα = 2/3 +xα = 1 +Na 3s +⟨ψv|Vs.l.|ψv⟩ +0.0502 +0.0446 +0.0437 +0.0473 +0.0575 +⟨ψv|˜hNMS +h.o. |ψv⟩ +0.0581 +0.0516 +0.0508 +0.0553 +0.0676 +Exact +0.0561 +0.0499 +0.0496 +0.0544 +0.0671 +K 4s +⟨ψv|Vs.l.|ψv⟩ +0.0255 +0.0214 +0.0213 +0.0243 +0.0319 +⟨ψv|˜hNMS +h.o. |ψv⟩ +0.0313 +0.0263 +0.0264 +0.0302 +0.0400 +Exact +0.0311 +0.0261 +0.0263 +0.0302 +0.0401 +Rb 5s +⟨ψv|Vs.l.|ψv⟩ +0.0100 +0.0080 +0.0082 +0.0098 +0.0136 +⟨ψv|˜hNMS +h.o. |ψv⟩ +0.0141 +0.0112 +0.0116 +0.0140 +0.0195 +Exact +0.0142 +0.0113 +0.0117 +0.0141 +0.0197 +Cs 6s +⟨ψv|Vs.l.|ψv⟩ +0.00645 +0.00504 +0.00525 +0.00642 +0.00927 +⟨ψv|˜hNMS +h.o. |ψv⟩ +0.01019 +0.00796 +0.00835 +0.01026 +0.01490 +Exact +0.01028 +0.00803 +0.00841 +0.01034 +0.01500 +Fr 7s +⟨ψv|Vs.l.|ψv⟩ +0.00586 +0.00416 +0.00457 +0.00595 +0.00906 +⟨ψv|˜hNMS +h.o. |ψv⟩ +0.00999 +0.00708 +0.00782 +0.01022 +0.01563 +Exact +0.01004 +0.00712 +0.00786 +0.01026 +0.01568 +the operator exactly reproduces the QED recoil contributions for these states. +For this +reason, the “predictive power” of the operator can be tested by applying it to evaluation +of the corresponding corrections for the states with higher values of the principal quantum +number. In Table VI, the nuclear recoil contributions beyond the Breit approximation are +given for the 4s, 5s, 5p1/2, 5p3/2, 5d3/2, and 5d5/2 states in hydrogenlike ions. The columns +labeled ⟨ψv|Vs.l.|ψv⟩ and ⟨ψv|˜hNMS +h.o. |ψv⟩ contain the predictions obtained using the semilocal +part (29) of the model-QED operator and the total model-QED operator (28), respectively. +These values are compared with the ab initio results taken from Tables I-V and shown in the +last column. As one can see, there is generally good agreement between the data, especially +for the s states. We stress the importance of the nonlocal part of the model-QED operator. +For the np and nd states the functions Fnink change the sign for the middle values of Z +and, accordingly, have small absolute values there. As a result, the relative accuracy of the +model-QED-operator predictions slightly decreases in these regions. +22 + +To date, the QED contribution to the NMS in many-electron systems was usually eval- +uated within the independent-electron approximation by performing the calculations in the +extended Furry picture, see, e.g., Refs. [4, 10, 84]. To demonstrate the performance of the +developed model-QED-operator approach, we apply it to evaluation of the nuclear recoil +effect on valence-electron energies in neutral alkali metals. First, we perform ab initio calcu- +lations of the one-electron contribution for the ns states by using a local effective potential +as V in Eq. (5). We use the core-Hartree (CH) and xα potentials, which are discussed in +Appendix C. The results of ab initio calculations of the QED contribution to the NMS are +presented in Table VII in rows labeled “Exact”. The model-QED-operator values are ob- +tained by averaging the operator (28) with the valence-electron wave functions determined +from the Dirac equation (5), in which the potential V is given by Eq. (C3). Along with +the total model-operator predictions, ⟨ψv|˜hNMS +h.o. |ψv⟩, the results ⟨ψv|Vs.l.|ψv⟩ for the semilocal +part (29) only are shown as well. As it is seen from Table VII, for all the alkali metals there +is good agreement between the approximate and exact values. Therefore, the model-QED +operator based on the calculations for hydrogenlike ions works also reasonably well in the +nonhydrogenic cases. +To conclude the discussion of alkali metals, let us note that, as in Ref. [122], the strong +dependence of the final results on the choice of the potential for the initial approximation +takes place. The scatter of the results is related obviously with the approximate treatment +of the interelectronic-interaction effects. We believe that the developed model-QED oper- +ator for the nuclear recoil effect merged with the standard methods to treat the electron +correlations will make it possible to perform much more accurate evaluation. However, such +calculations are out of the scope of the present work. We reserve systematic calculations +with the model-QED operator for the nuclear recoil effect for future research. +V. +CONCLUSION +In the present paper, we have worked out the model-QED-operator approach to treat the +nuclear recoil effect on binding energies in many-electron atomic systems beyond the Breit +approximation. The approach is similar to the one proposed earlier for approximate calcula- +tions of the radiative corrections to energy levels [46]. The developed operator can be readily +included into any relativistic calculations based on the Dirac-Coulomb-Breit Hamiltonian. +23 + +The performance of the approach was demonstrated by comparing the model-QED-operator +predictions with the results of the rigorous QED calculations. +VI. +ACKNOWLEDGEMENTS +The work was supported by the Foundation for the Advancement of Theoretical Physics +and Mathematics “BASIS” and by RFBR and ROSATOM according to the research project +No. 20-21-00098. The work of I.S.A. was supported by the German-Russian Interdisciplinary +Science Center (G-RISC) funded by the German Federal Foreign Office via the German +Academic Exchange Service (DAAD). +Appendix A: One- and two-electron contributions to the nuclear recoil effect on +binding energies of quasi-degenerate levels +In the present Appendix, we derive the fully relativistic expressions for the contributions +of the nuclear recoil effect on binding energies within the two-time Green’s function (TTGF) +method [96]. Let us denote the unperturbed wave functions of the two states under consid- +eration as |ui⟩ and |uk⟩. During the derivation, we assume that the unperturbed energies +E(0) +i +and E(0) +k , which corresponds to these states, differ and, therefore, |ui⟩ ̸= |uk⟩. However, +all the obtained expressions are valid for the coinciding energies and, of course, boil down to +the expressions (8) and (17) in the case of diagonal matrix elements. In order to derive the +formulas, we introduce a model subspace Ω, which is spanned by the states |ui⟩ and |uk⟩, +and construct for these states the QED perturbation theory as for quasi-degenerate levels. +The projector on Ω reads as +P (0) = |ui⟩⟨ui| + |uk⟩⟨uk| . +(A1) +The derivation procedure can be readily generalized for an arbitrary number of quasi- +degenerate levels. +First, let us recall the basic ideas of the TTGF methods in the application to quasi- +degenerate levels. The detailed description of the method can be found, e.g., in Refs. [96, +109, 126]. The N-electron TTGF is defined as +G(t′, t; r′ +1, . . . , r′ +N; r1, . . . , rN) = ⟨0|Tψ(x′ +1) · · ·ψ(x′ +N) ¯ψ(xN) · · · ¯ψ(x1)|0⟩ +�����t′0 +1 =...=t′0 +N≡t′ +t0 +1=...=t0 +N≡t +, (A2) +24 + +where ψ is the electron-positron field operator in the Heisenberg representation, ¯ψ = ψ†γ0, +x = (t0, r), and T is the time-ordering operator. Turning to the mixed representation, one +obtains +G(E; r′ +1, . . . , r′ +N; r1, . . . , rN)δ(E − E′) += +1 +2πi +1 +N! +� ∞ +−∞ +dtdt′ eiE′t′−iEt G(t′, t; r′ +1, . . . , r′ +N; r1, . . . , rN) . +(A3) +Employing P (0), we can introduce the projection of the Green’s function (A3) on the sub- +space Ω, +g(E) = P (0)G(E)γ0 +1 . . . γ0 +NP (0) , +(A4) +and then determine the ˆK and ˆP operators: +ˆK ≡ +1 +2πi +� +Γ +dE Eg(E) , +(A5) +ˆP ≡ +1 +2πi +� +Γ +dE g(E) . +(A6) +The anticlockwise oriented contour Γ in the complex E plane surrounds the poles corre- +sponding to the quasi-degenerate levels and keeps outside all other singularities of g(E). +The investigated system is fully described by the effective operator ˆH defined as +ˆH = ˆP −1/2 ˆK ˆP −1/2 . +(A7) +The perturbation theory for the Green’s function (A2) leads to the perturbation series for +the operator ˆH. +To first order in m/M, the nuclear recoil effect is described by the one- and two-electron +Feynman diagrams depicted in Figs. 1 and 2. The Feynman rules for these diagrams are +formulated, e.g., in Ref. [26], see also Ref. [96]. The first-order contribution to the operator ˆH +can be expressed as +ˆH(1) = ˆK(1) − 1 +2 +ˆP (1) ˆK(0) − 1 +2 +ˆK(0) ˆP (1) , +(A8) +where the superscripts denote the orders in the expansion parameter. The contributions of +the nuclear recoil effect are determined by the matrix elements of the operator (A8) in the +basis of the unperturbed functions |ui⟩ and |uk⟩: +H(1) +ik ≡ ⟨ui| ˆH(1)|uk⟩ . +(A9) +25 + +To zeroth order, the matrix of the operator ˆK is diagonal, K(0) +ik = E(0) +i δik. Therefore, one +can obtain +H(1) +ik = K(1) +ik − E(0) +i ++ E(0) +k +2 +P (1) +ik . +(A10) +Let us now directly turn to the derivation of the desired nonperturbative (in αZ) formulas +for the nuclear recoil effect on binding energies. We start from the one-electron (NMS) con- +tribution corresponding to the diagrams in Fig. 1. In this case, N = 1 and the unperturbed +wave functions |ui⟩, |uk⟩ and energies E(0) +i , E(0) +k +are given by the Dirac eigenfunctions and +eigenvalues, respectively, see Eq. (5). The present derivation is similar to the one for the +self-energy diagram shown in Fig. 3. Employing the Feynman rules [26], one can obtain the +following expression for the matrix element of the Green’s function ∆g(1) +NMS(E) projected on +the subspace Ω [96]: +∆g(1) +NMS,ik(E) = +⟨ψi|P(E)|ψk⟩ +(E − εi)(E − εk) , +(A11) +where the operator P is defined in Eq. (9). The corresponding contributions to the ˆK and +ˆP operators read as: +K(1) +NMS,ik = +1 +2πi +� +Γ +dE E ∆g(1) +NMS,ik(E) = +εi +εi − εk +⟨ψi|P(εi)|ψk⟩ + +εk +εk − εi +⟨ψi|P(εk)|ψk⟩ , (A12) +P (1) +NMS,ik = +1 +2πi +� +Γ +dE ∆g(1) +NMS,ik(E) = +1 +εi − εk +⟨ψi|P(εi)|ψk⟩ + +1 +εk − εi +⟨ψi|P(εk)|ψk⟩ . +(A13) +Substituting Eqs. (A12) and (A13) into the formula (A10), one finally obtains the NMS +contribution +HNMS,ik = 1 +2 +� +⟨ψi|P(εi)|ψk⟩ + ⟨ψi|P(εk)|ψk⟩ +� +. +(A14) +The derivation of the nonperturbative (in αZ) expression for the two-electron (SMS) +contribution in Fig. 2 is also straightforward but more tedious. In this case, N = 2 and +we, for simplicity, assume that the unperturbed wave functions |ui⟩ and |uk⟩ are given +by the one-determinant wave functions Ψi1i2 and Ψk1k2, respectively, see Eq. (16). +The +corresponding unperturbed energies are equal to E(0) +i += εi1 + εi2 and E(0) +k += εk1 + εk2. The +derivation repeats the one for the one-photon-exchange diagram in Fig. 5. The Green’s +26 + +function ∆g(1) +SMS(E) projected on the subspace Ω can be written as [26, 96] +∆g(1) +SMS,ik(E) = +� i +2π +�2 � +dp1dp′ +1 +� +P +(−1)P ⟨ψP i1ψP i2|R(p1 − p′ +1)|ψk1ψk2⟩ +× +1 +(p′ +1 − εP i1 + i0)(E − p′ +1 − εP i2 + i0) +1 +(p1 − εk1 + i0)(E − p1 − εk2 + i0) , +(A15) +where the operator R is defined by Eq. (10). Using the identity +1 +(p′ +1 − εP i1 + i0)(E − p′ +1 − εP i2 + i0) = +1 +E − E(0) +i +� +1 +p′ +1 − εP i1 + i0 + +1 +E − p′ +1 − εP i2 + i0 +� +(A16) +and a similar one for the second pair of denominators in Eq. (A15), one can explicitly separate +the poles of the Green’s function located inside the contour Γ. Then, the contribution to +the ˆK operator is +K(1) +SMS,ik = +� +Γ +dE E ∆g(1) +SMS,ik(E) += +� i +2π +�2 � +dp1dp′ +1 +� +P +(−1)P ⟨ψP i1ψP i2|R(p1 − p′ +1)|ψk1ψk2⟩ +× +� +E(0) +i +E(0) +i +− E(0) +k +�2π +i δ(p′ +1 − εP i1) +� � +1 +p1 − εk1 + i0 + +1 +E(0) +i +− p1 − εk2 + i0 +� ++ +E(0) +k +E(0) +k +− E(0) +i +� +1 +p′ +1 − εP i1 + i0 + +1 +E(0) +k +− p′ +1 − εP i2 + i0 +� �2π +i δ(p1 − εk1) +� � +, +(A17) +where the indentity +1 +p − ε + i0 + +1 +−p + ε + i0 = 2π +i δ(p − ε) +(A18) +was employed. Defining the coefficients A and B so that K(1) +SMS,ik ≡ AE(0) +i ++BE(0) +k , the contri- +bution to the operator ˆP can be expressed as P (1) +SMS,ik = A+B. Therefore, the formula (A10) +27 + +results in +HSMS,ik = 1 +2 +i +2π +� +dω +� +P +(−1)P +× +� +⟨ψP i1ψP i2|R(ω − εP i1)|ψk1ψk2⟩ +� +1 +ω − εk1 + i0 + +1 +E(0) +i +− ω − εk2 + i0 +� ++ ⟨ψP i1ψP i2|R(εk1 − ω)|ψk1ψk2⟩ +� +1 +ω − εP i1 + i0 + +1 +E(0) +k +− ω − εP i2 + i0 +� � +. +(A19) +The integration over ω can be performed using the standard identity (ω1 < 0 < ω2): +ω2 +� +ω1 +dω f(ω) +ω ± i0 = ∓iπf(0) + P.V. +ω2 +� +ω1 +dω f(ω) +ω +, +(A20) +where P.V means the principal-value integral. Indeed, applying the formula (A20) to all +four terms in Eq. (A19) and taking into account that all the principal-value integrals vanish +due to the fact that R(ω) is the even function of ω, one finally obtains the SMS contribution +HSMS,ik = 1 +2 +� +P +(−1)P� +⟨ψP i1ψP i2|R(∆1)|ψk1ψk2⟩ + ⟨ψP i1ψP i2|R(∆2)|ψk1ψk2⟩ +� +, +(A21) +where ∆1 = εP i1 − εk1 and ∆2 = εP i2 − εk2. +Appendix B: Computational formulas for the one-electron contributions +In view of the definition (9), the expression (A14) obtained in Appendix A is given in a +form that allows one to use the finite-basis-set methods [120, 121, 127] for its calculations. +Therefore, the main difficulty is related with the evaluation of the integral over ω. For large +real values of ω, the photon propagator (7) is a strongly oscillating function. It is convenient +to perform the Wick’s rotation to overcome this obstacle. In the present Appendix, we +discuss the related transformations for the contribution HNMS,ik. +Employing Eq. (12), one can represent Eq. (A14) as the sum of the Coulomb, one- +transverse-photon, and two-transverse-photon contributions +HNMS,ik = Hc +NMS,ik + Htr1 +NMS,ik + Htr2 +NMS,ik . +(B1) +28 + +��������� +�������� +� +��������� +�������� +� +FIG. 6. The poles and the branch cuts of the integrand in the operator P(εx) for the one- and +two-transverse-photon contributions. The integration contour: the original one oriented along the +real axis (left panel); the rotated to the imaginary one (right panel). +��������� +�������� +� +FIG. 7. The poles and the branch cuts of the integrand in the operator P(εx) for the one- and +two-transverse-photon contributions. The integration contour in the complex plane is chosen to +avoid all the singularities of the integrand. +In the Coulomb contribution, the integration over ω can be performed analytically by means +of the identity (A20) +Hc +NMS,ik = 1 +2 +� εn>0 +� +n +⟨ψiψn|Rc|ψnψk⟩ − +εn<0 +� +n +⟨ψiψn|Rc|ψnψk⟩ +� +. +(B2) +The one- and two-transverse-photon contributions are handled identically. In what follows +in this Appendix, we will refer to them together as the “transverse-photon” (tr) ones. In the +left panel of Fig. 6, the original integration contour oriented along the real axis is shown. The +poles and the branch cuts of the integrand are presented as well. Upon the Wick’s rotation +to the imaginary axis, the bound-state poles of the electron Green’s function are picked up +as the residues, see the right panel in Fig. 6. The final formulas for the transverse-photon +29 + +contribution can be written as a sum of three terms +Htr +NMS,ik = Htr(a) +NMS,ik + Htr(b) +NMS,ik + Htr(c) +NMS,ik . +(B3) +The first term arises from the residues shown by the circles in Fig. 6 and reads as +Htr(a) +NMS,ik = 1 +2 +� +x=i,k +−1<εn<εx +� +n +⟨ψiψn|Rtr(εn − εx)|ψnψk⟩ , +(B4) +where for brevity we have introduced the summation over x in order to take into account +the symmetric form of the expression with respect to the argument of P(E). The second +term corresponds to the case of degeneracy between the states of the opposite parity. This +term originates from the poles located at ω = 0 and has the form +Htr(b) +NMS,ik = 1 +4 +� +x=i,k +εn=εx +� +n +⟨ψiψn|Rtr(0)|ψnψk⟩ . +(B5) +Finally, the third term corresponds to the integration over the imaginary axis +Htr(c) +NMS,ik = 1 +2 +� +x=i,k +εn̸=εx +� +n +1 +π +� ∞ +0 +dy +εn − εx +y2 + (εn − εx)2⟨ψiψn|Rtr(iy)|ψnψk⟩ . +(B6) +The expressions similar to (B2), (B4), (B5), and (B6) were derived, e.g., in Ref. [32]. +However, only the case of the diagonal matrix elements was considered. Moreover, in Ref. [32] +the formulas for the higher-order QED corrections beyond the Breit approximation were +given, while the present ones include the lowest-relativistic contributions as well. +As an additional crosscheck of the ω-integration routine, we perform it also by employ- +ing the contour schematically shown in Fig. 7. This contour is chosen to bypass all the +singularities in the complex plane. The matrix elements HNMS,ik have been evaluated for +both variants of the integration-contour rotation. The results are found to be in excellent +agreement with each other. +Appendix C: Local effective potentials +In Sec. IV, in order to test the performance of the model-QED operator for the nuclear +recoil effect, we need substitute the core-Hartree (CH) and xα potentials (see, e.g., Ref. [122]) +instead of V in Eq. (5). These potentials can be expressed via the charge densities of the +valence electron, +ρv(r) = g2 +v(r) + f 2 +v (r) , +(C1) +30 + +and the core, +ρcore(r) = +� +c +(2jc + 1) +� +g2 +c(r) + f 2 +c (r) +� +. +(C2) +Here the large, g, and small, f, components of the Dirac wave function in Eqs. (C1) and +(C2) are determined self-consistently in the local potential +V (r) = −αZeff(r) +r +, +(C3) +where Zeff(r) is the effective charge. 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A 40, 5548 (1989). +38 + diff --git a/ntE2T4oBgHgl3EQfzgi3/content/tmp_files/load_file.txt b/ntE2T4oBgHgl3EQfzgi3/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..8e86279fa32d66ce3e6bff7c84bca9258500742b --- /dev/null +++ b/ntE2T4oBgHgl3EQfzgi3/content/tmp_files/load_file.txt @@ -0,0 +1,6145 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf,len=6144 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='04132v1 [physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='atom-ph] 10 Jan 2023 Model-QED-operator approach to relativistic calculations of the nuclear recoil effect in many-electron atoms and ions I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Anisimova,1 A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Malyshev,1 D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Glazov,1 M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Kaygorodov,1 Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Kozhedub,1 G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Plunien,2 and V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Shabaev1 1Department of Physics, St.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Petersburg State University, Universitetskaya 7/9, 199034 St.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Petersburg, Russia 2Institut f¨ur Theoretische Physik, Technische Universit¨at Dresden, Mommsenstraße 13, D-01062 Dresden, Germany Abstract A model-operator approach to fully relativistic calculations of the nuclear recoil effect on energy levels in many-electron atomic systems is worked out.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The one-electron part of the model operator for treating the normal mass shift beyond the Breit approximation is represented by a sum of semilocal and nonlocal potentials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The latter ones are constructed by employing the diagonal and off-diagonal matrix elements rigorously evaluated for hydrogenlike ions to first order in the electron- to-nucleus mass ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The specific mass shift beyond the lowest-order relativistic approximation has a form which can be directly employed in calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The capabilities of the method are probed by comparison of its predictions with the results of ab initio QED calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The proposed operator can be easily incorporated into any relativistic calculation based on the Dirac- Coulomb-Breit Hamiltonian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1 I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' INTRODUCTION An accurate description of the nuclear recoil effect is substantial for the proper analysis of a large number of spectroscopic experiments aimed to measure various atomic properties such as, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=', binding and transition energies or bound-electron g factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Obviously, this effect is most pronounced in isotope differences of the corresponding properties, see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [1–11].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The nuclear recoil leads to the so-called mass shift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Along with the field shift caused by the finite-nuclear size, these effects constitute the dominant contribution to the isotope shifts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Joint high-precision theoretical and experimental studies of the isotope differences not only allow one to determine nuclear parameters, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=', changes in the mean- square charge radii, but also pave the way in the search of new physics [12–22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Within the (m/M)(αZ)4mc2 approximation, where m and M are the masses of the elec- tron and nucleus, respectively, α is the fine-structure constant, and Z is the nuclear charge number, the nuclear recoil effect on binding energies can be described by the relativistic mass-shift operator [23–26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The fully relativistic theory of the nuclear recoil effect to first order in m/M, to all orders in αZ, and to zeroth order in α can be formulated only within the framework of quantum electrodynamics (QED) [23, 24, 26], see also Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [27–29].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' De- spite the smallness of the nuclear-strength parameter αZ for light atoms, the contribution of the higher orders may nevertheless be significant even in the case of hydrogen [30, 31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Therefore, an accurate treatment of the nuclear recoil effect demands a nonperturbative (in αZ) consideration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' To date, the corresponding ab initio QED calculations have been performed only for few-electron systems, see, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [4, 29, 32–34] and references therein.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The computational difficulty of the rigorous methods rapidly increases with the number of electrons, which makes them practically infeasible at larger scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' A similar problem exists for evaluation of the radiative QED corrections associated with the electron self-energy and vacuum polarization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For this reason, approximate and efficient approaches for including both the QED and recoil effects within the methods based on the Dirac-Coulomb-Breit Hamiltonian [35–45] are urgent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For the case of the radiative QED corrections, our group suggested the model-QED- operator approach [46] which recently has been extended to the region of superheavy ele- ments [47].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The QEDMOD Fortran package to generate the operator was presented in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [48].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This operator was successfully applied to the approximate description of the QED effects 2 on binding and transition energies in various many-electron systems [49–60].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The main goal of the present work is to design a similar approach for the QED calculations of the nuclear recoil effect on energy levels beyond the approximation corresponding to the mass- shift operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The application of the proposed approach in combination with the standard electron-correlation methods should make possible the approximate QED treatment of this effect in systems where rigorous calculations are rather problematic at the moment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In view of the significant progress achieved over the past decades in the accuracy of g- factor measurements in Penning traps [6, 9, 61–67], high-precision evaluation of the nuclear recoil effect in the presence of an external magnetic field becomes essential as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The QED theory of the nuclear recoil effect on the atomic g factor valid to all orders in αZ was elaborated in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [68].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The corresponding ab initio calculations have been performed for few-electron ions in Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [6, 69–75].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In the case of more complicated systems, the nuclear recoil effect on the bound-electron g factor can be treated nowadays only within the lowest- order relativistic approximation by means of the effective four-component approach derived from the QED formalism in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [70].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In this context, the model-operator approach devel- oped in the present work for the nuclear recoil effect on binding energies can be considered as a first step towards the construction of a more general operator suitable for studying the bound-electron g factors as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' II, we give a brief description of the relativistic theory of the nuclear recoil effect on energy levels in atoms and ions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' III is devoted to the construction of the model operator for QED calculations of the nuclear recoil effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' IV, the numerical results are presented in a wide range of Z = 5 − 100, and the performance of the suggested approach is demonstrated by comparing its predictions with the results of ab initio calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The nonperturbative (in αZ) expressions for the one- and two-electron matrix elements, which describe the nuclear recoil effect on the binding energies, are derived in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In Appendix B, these expressions are additionally transformed to make them convenient for practical calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Finally, Appendix C summarizes formulas necessary for the construction of the local effective potentials employed in the tests of the model-QED operator in Sec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Relativistic units (ℏ = 1 and c = 1) and the Heaviside charge unit (e2 = 4πα, where e < 0 is the electron charge) are used throughout the paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 3 II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' QED THEORY OF THE NUCLEAR RECOIL EFFECT As is well known, within the nonrelativistic approximation the nuclear recoil contribution to the binding energy of a hydrogenlike atom can be found by replacing the electron mass m with the reduced mass, mr = mM/(m + M).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For atoms with more than one electron, this recipe is insufficient, and the two-electron part of the nuclear recoil effect has to be taken into account [76].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The lowest-order relativistic (Breit) correction of first order in m/M can be obtained by employing the mass-shift Hamiltonian [23–25].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For N-electron system, this operator reads as HMS = 1 2M N � i,j=1 � pi · pj − αZ ri � αi + (αi · ri) r2 i ri � pj � , (1) where the indices i and j enumerate the electrons, p = −i∇ is the momentum operator, r is the position vector, r = |r|, and α are the Dirac matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The first term in the square brackets in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (1) corresponds to the nonrelativistic nuclear recoil operator, whereas the second term determines the leading relativistic correction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Following Hughes and Eckart [76], the nuclear recoil contribution to atomic spectra is usually divided into the normal (NMS) and specific (SMS) mass shifts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Accordingly, the Hamiltonian (1) can be represented as a sum HMS = HNMS + HSMS , (2) where the first operator corresponds to the terms i = j in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (1) and the second one corresponds to i ̸= j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For further discussion, it is useful to rewrite Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (1) in the form HMS = 1 2M N � i,j=1 � pi · pj − 2Di(0) · pj � (3) by introducing the vector operator D(0) = αZ 2r � α + (α · r) r2 r � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (4) The mass-shift operator HMS yields the nuclear recoil corrections up to the order (m/M)(αZ)4mc2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This operator is widely used in relativistic calculations of atomic spectra and isotope shifts, where the nuclear recoil effect is particularly significant [4, 15, 41, 54, 77–94].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The fully relativistic theory of the nuclear recoil effect on binding energies can be formu- lated only within the rigorous QED approach (beyond the Breit approximation).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' To first 4 (b) (c) (d) (a) FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' One-electron nuclear recoil diagrams: the Coulomb (a), one-transverse (b) and (c), and two-transverse (d) contributions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' See the text and Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [26] for the description of the Feynman rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' order in m/M, to all orders in αZ, and to zeroth order in α the corresponding theory was developed in Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [23, 24, 26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The formalism worked out in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [26] is the most suitable for the goals of the present study.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Within this formalism, the pure nuclear recoil effect is taken into account by modifying the standard QED Hamiltonian of the electron-positron field interacting with the quantized electromagnetic field and the classical Coulomb poten- tial of the nucleus V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Namely, an extra term is added to the interaction part of the QED Hamiltonian, see Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [26] for details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' As a result, the pure nuclear recoil effect on energy levels can be obtained on equal footing with the non-recoil QED effects, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=', the electron self-energy and vacuum polarization, by means of the perturbation theory in the interac- tion representation of the Furry picture [95].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' A convenient approach to construct the QED perturbation series both for single and quasi-degenerate levels is provided by the two-time Green’s function (TTGF) method [96].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This method is employed in Appendix A to derive the formal expressions for the matrix elements describing the nuclear recoil effect on bind- ing energies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Within this approach, the zeroth-order one-electron wave functions |ψn⟩ and energies εn are assumed to be the solutions of the Dirac equation hD|ψn⟩ ≡ � α · p + βm + V � |ψn⟩ = εn|ψn⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (5) The all-order (in αZ) expressions describing the nuclear recoil effect can be divided into the NMS and SMS parts as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The one-electron (NMS) and two-electron (SMS) contributions are given by the Feynman diagrams shown in Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1 and 2, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The exhaustive description of the additional diagram-technique rules, which arise in connection with the treatment of the nuclear recoil effect, can be found in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [26], see also Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [96].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 5 (a) (b) (c) (d) FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Two-electron nuclear recoil diagrams: the Coulomb (a), one-transverse (b) and (c), and two-transverse (d) contributions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' To explain the terminology employed throughout the paper, we briefly comment on these rules using Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1 as an example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' First of all, the double line and the vertex with a small dot in the figure correspond to the conventional diagram technique of the bound-state QED [96].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Namely, the line denotes the electron propagator in the potential V , and the vertex arises from the standard interaction of the electron-positron and electromagnetic fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' All the other diagram elements originate due to the presence of the aforementioned extra term in the QED Hamiltonian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The Coulomb gauge established itself as the most appropriate one for the nuclear-recoil-effect studies [23, 24, 26, 28], and it leads to the natural terminology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In this gauge, the photon propagator Dµν(ω, r) is divided into the Coulomb, D00(ω, r) = 1 4πr , (6) and transverse, Dlk(ω, r) = − 1 4π � exp � i √ ω2 + i0 r � r δlk + ∇l∇k exp � i √ ω2 + i0 r � − 1 ω2r � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (7) parts, while the remaining components of the photon propagator are equal to zero, Dl0 = D0l = 0 (l, k = 1, 2, 3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' All the recoil contributions in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1 can be classified with respect to the number of the propagators (7) involved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' There are three possibilities [26]: (i) the dotted line connecting two bold dots in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1(a) depicts the so-called “Coulomb recoil” interaction, which does not contain the transverse part of the photon propagator at all;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (ii) the dashed line with the bold dot at one of the ends in Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1(b) and 1(c) stands for the “one-transverse- photon recoil” interaction, which includes Dlk once;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (iii) finally, the dashed line with the bold dot in the middle in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 1(d) designates the “two-transverse-photon recoil” interaction, 6 which involves the product of two photon propagators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' We note that the approach initially developed in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [23] leads to the same result as the formalism of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [26] but it implies the summation of the infinite sequences of Feynman diagrams describing the electron-nucleus interaction via photon exchange.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In this case, the three discussed possibilities correspond to the summation of the diagrams with zero, one, and two transverse photons and an arbitrary number of the Coulomb photons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' To all orders in αZ, the NMS contribution for the state |ψa⟩ can be expressed as fol- lows [23, 26] ENMS = ⟨ψa|P(εa)|ψa⟩ , (8) where we have introduced the operator P(E) by ⟨ψi|P(E)|ψk⟩ = i 2π ∞ � −∞ dω � n ⟨ψiψn|R(ω)|ψnψk⟩ E − ω − εn(1 − i0) (9) with R(ω) = 1 M � p1 − D1(ω) � � p2 − D2(ω) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (10) In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (9), |ψiψn⟩ = |ψi⟩|ψn⟩ is the direct product of the one-electron wave functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The operator D(ω) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (10) is related to the transverse part of the photon propagator (7), and its kth Cartesian component, Dk(ω), is equal to Dk(ω) = −4παZαlDlk(ω) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (11) The ω → 0 limit of the operator D(ω) coincides with formula (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The indices 1 and 2 in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (10) designate the electron, on which the corresponding operators act.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Let us rewrite R(ω) in the form: R(ω) = Rc + Rtr1(ω) + Rtr2(ω) , (12) Rc = 1 M p1 · p2 , (13) Rtr1(ω) = − 1 M � p1 · D2(ω) + D1(ω) · p2 � , (14) Rtr2(ω) = 1 M D1(ω) · D2(ω) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (15) Substituting Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (12) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (8), one arrives at the Coulomb, one-transverse-photon, and two-transverse-photon contributions to the NMS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 7 Let us turn to the discussion of the SMS contribution which corresponds to the Feynman diagrams in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For simplicity, we consider the case of a one-determinant unperturbed wave function, Ψab(r1, r2) = 1 √ 2 � P (−1)PψP a(r1)ψP b(r2) , (16) where P is the permutation operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The generalization to the case of a many-determinant wave function is straightforward.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The nonperturbative (in αZ) expression for the SMS contribution reads as [24, 26] ESMS = −⟨ψbψa|R(∆)|ψaψb⟩ , (17) where ∆ = εa − εb.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The formula (17) gives the “exchange” term for the two-electron operator R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The “direct” one is equal to zero, since the matrix elements of the operators p and D are zeroes for states of the same parity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Substituting (12) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (17), one obtains the expansion of the SMS contribution into the Coulomb, one-transverse-photon, and two-transverse-photon parts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Over the past three decades, numerous QED calculations of the nuclear recoil effect on binding energies were carried out [4, 29, 31–34, 84, 88, 97, 98].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' We should note that the expressions (8) and (17) with the operator D defined by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (11) are derived for the point-nucleus case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [33], it was argued that the dominant part of the finite-nuclear size (FNS) correction to the nuclear recoil effect can be accounted for by employing the po- tential of the extended nucleus in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (5), and since that paper this prescription is usually used in the QED calculations of the mass shift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' It was also found there that the treatment of the FNS correction to the nuclear recoil effect within the Breit approximation defined by the operator (1) leads to an artificial contribution of order (m/M)(αZ)5(Rnucl/λ)mc2 which even exceeds the main contribution of order (m/M)(αZ)4(Rnucl/λ)2mc2 (here λ = ℏ/(mc) is the Compton wavelength).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This artificial contribution arises from the first (Coulomb) term in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' However, it is completely cancelled by the corresponding FNS correction to the Coulomb part of the QED nuclear recoil effect, which means that the rigorous theory for the FNS contribution beyond the main (m/M)(αZ)4(Rnucl/λ)2mc2 term can be formulated only within the framework of QED.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [99], an additional FNS correction, which re- sults from modifying the Breit-approximation mass-shift operator (1) by inserting the form factor into the nuclear vertex [100, 101], was evaluated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This operator differs from the one obtained by considering the zero-frequency limit of the photon propagator in the modified 8 Coulomb gauge [102, 103].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The main difference between the results obtained using these two operators is due to a spurious contribution of the order (m/M)(αZ)5(Rnucl/λ)mc2 in the one-transverse-photon part, which occurs only in the calculation with the operator from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [102, 103].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Like to the case of the Coulomb contribution, this spurious term is cancelled by the related FNS contribution to the one-transverse-photon QED correction, provided it is also calculated with the photon propagator in the modified Coulomb gauge [102, 103].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [34, 71, 119], the additional FNS correction from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [99], which is free from the spurious term, was used to estimate the uncertainty of the calculations based on the pre- scription of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' To date, the most elaborated evaluation of the FNS correction to the nuclear recoil effect was performed within the QED approach in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [102].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This calculation accomplished for the 1s state has confirmed that the dominant part of the FNS correction to the nuclear recoil effect is indeed covered by the recipe of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [33], which we also follow here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The rigorous QED treatment of the total FNS correction to the nuclear recoil effect lies beyond the scope of the present work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Restricting Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' (8) and (17) by the lowest-order relativistic approximation leads to the NMS and SMS parts of the MS operator (1), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Until recently, all nonperturba- tive (in αZ) calculations were limited by the zeroth order in 1/Z, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=', the electron-electron interaction corrections to the nuclear recoil effect were considered at best only within the Breit approximation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In our recent works, we have advanced the QED theory of the nuclear recoil effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Specifically, we have considered to all orders in αZ the electron-electron inter- action correction of first order in 1/Z to the one-electron [104] and two-electron [105] parts of the nuclear recoil effect on binding energies in atoms and ions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' These higher-order QED contributions being also beyond the scope of the present work can be calculated additionally if needed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Finally, the radiative (∼ α) as well as the second-order (in m/M) recoil corrections are accessible nowadays only within the αZ-expansion approaches, see Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [106–108] and references therein.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' These contributions are also not considered in this paper.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' MODEL-QED OPERATOR FOR THE NUCLEAR RECOIL EFFECT The QED calculations for many-electron systems, becoming increasingly relevant in view of the considerable progress of the experiment, are complicated and in many cases currently 9 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Self-energy diagram.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' Vacuum-polarization diagram.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' inaccessible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This is true for the radiative corrections as well as for the QED treatment of the nuclear recoil effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' For this reason, there is a vital need for a simple approximate approach for taking into account the QED corrections in various relativistic calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The conven- tional first-order QED corrections correspond to the self-energy (SE), vacuum-polarization (VP), and one-photon-exchange diagrams shown in Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 3, 4, and 5, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The approximate model-QED-operator approach to evaluate these effects has been suggested re- cently by our group in Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [46–48].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' In this section, the analogy will be traced that allows us FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' One-photon exchange diagram.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' 10 to construct a similar approach for the nuclear recoil contributions beyond the lowest-order relativistic approximation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' The model-QED-operator approach [46] is worked out within the TTGF method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' It is based on the fact that the QED effects to first order in α can be described by an effective Hamiltonian acting in the subspace which is spanned by all Slater determinants made up of the positive-energy solutions of the Dirac equation (5), see Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' [109] for details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE2T4oBgHgl3EQfzgi3/content/2301.04132v1.pdf'} +page_content=' This effective Hamiltonian has the form H = Λ(+) � N � i � hD i + hSE i + hVP i � + N � i 2σ(I)] +132 +80 +171 +213 +15 +Refined parameters +7 +7 +13 +13 +4 +Rint(F2) +0.012 +0.0131 +0.0124 +0.0087 +0.083 +R(σ) +0.0148 +0.0097 +0.0163 +0.0126 +0.0316 +R1 [I > 2σ(I)] +0.0356 +0.0246 +0.031 +0.0351 +0.0836 +wR2 [I > 2σ(I)] +0.1028 +0.0606 +0.0784 +0.0922 +0.1911 +R1 +0.0368 +0.026 +0.0315 +0.0351 +0.0826 +wR2 +0.1057 +0.0626 +0.0785 +0.0922 +0.1907 +Goodness of fit on F2 +1.201 +1.139 +1.1 +1.164 +1.308 +Δρmax(e / Å3) +1.774 +1.068 +1.463 +2.02 +2.874 +Δρmin(e / Å3) +-1.579 +-0.825 +-1.096 +-1.807 +-2.468 +x(I 1) +0 +0 +0 +0 +0 +y(I 1) +0.18376(9) +0.19087(6) +0.4299(2) +0.4306(3) +0 +z(I 1) +0.62197(4) +0.62278(3) +0.26446(10) 0.26390(15) +0 +Ueq(I 1) (Å2)* +0.0165(6) +0.0099(6) +0.0080(9) +0.0086(9) +0.011(5) +x(I 2) + + +0 +0 + + +25 + +y(I 2) + + +0.0387(3) +0.0291(6) + +z(I 2) + + +0.51173(10) 0.51229(15) + +Ueq(I 2) (Å2)* + + +0.0096(9) +0.0114(10) + +*Ueq is defined as one +third of the trace of the +orthogonalized Uij +tensor. + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +26 + +Table S2. Crystal structure details of incommensurate Fmmm(00γ)s00 phase VII of iodine. +Crystal data +Chemical formula +I +Mr +126.9 +Crystal system, space group +Orthorhombic, Fmmm(00γ)s00† +Pressure step +P05 +Pressure (GPa) +20.8 GPa +Wave vectors +q = 0.4837(2)c* +a, b, c (Å) +3.9536(14), 5.735(18), 4.530(2) +V (Å3) +102.7(3) +Z +4 +Radiation type +X-ray, λ = 0.2952 Å +µ (mm−1) +16.191 +Data collection +Diffractometer +GSECARS 13IDD +No. of main reflections: All/independent/observed independent +75/35/31 +No. of satellite reflections m = 1: All/independent/observed independent +131/56/56 +No. of satellite reflections m = 2: All/independent/observed independent +152/64/58 +Rint +0.0138 +(sin θ/λ)max (Å−1) +0.867 +Refinement +R(obs)main + sattelites / wR (all) main + satellites +0.0360/0.1141 +R(obs)main / wR (all) main +0.0344/0.0934 +R(obs)1st order satellites / wR (all) 1st order satellites +0.0305/0.0812 +R(obs)2nd order satellites / wR (all)2nd order satellites +0.0513/0.1538 +No. of reflections +145 +No. of parameters +6 +Δρmax, Δρmin (e Å−3) +1.65, −1.13 +Crystal structure + + +I (x,y,z) +(0, 0, 0) +𝐴𝑥 +1 +0.0749(2) +𝐴𝑧 +2 +-0.00286(9) + +† Symmetry operations: (1) x1, x2, x3, x4; (2) −x1, −x2, x3, x4+1/2; (3) −x1, x2, −x3, −x4; (4) x1, −x2, −x3, −x4+1/2; (5) +−x1, −x2, −x3, −x4; (6) x1, x2, −x3, −x4+1/2; (7) x1, −x2, x3, x4; (8) −x1, x2, x3, x4+1/2; (9) x1, x2+1/2, x3+1/2, x4; (10) −x1, + +27 + +−x2+1/2, x3+1/2, x4+1/2; (11) −x1, x2+1/2, −x3+1/2, −x4; (12) x1, −x2+1/2, −x3+1/2, −x4+1/2; (13) −x1, −x2+1/2, +−x3+1/2, −x4; (14) x1, x2+1/2, −x3+1/2, −x4+1/2; (15) x1, −x2+1/2, x3+1/2, x4; (16) −x1, x2+1/2, x3+1/2, x4+1/2; (17) +x1+1/2, x2, x3+1/2, x4; (18) −x1+1/2, −x2, x3+1/2, x4+1/2; (19) −x1+1/2, x2, −x3+1/2, −x4; (20) x1+1/2, −x2, −x3+1/2, +−x4+1/2; (21) −x1+1/2, −x2, −x3+1/2, −x4; (22) x1+1/2, x2, −x3+1/2, −x4+1/2; (23) x1+1/2, −x2, x3+1/2, x4; (24) +−x1+1/2, x2, x3+1/2, x4+1/2; (25) x1+1/2, x2+1/2, x3, x4; (26) −x1+1/2, −x2+1/2, x3, x4+1/2; (27) −x1+1/2, x2+1/2, −x3, +−x4; (28) x1+1/2, −x2+1/2, −x3, −x4+1/2; (29) −x1+1/2, −x2+1/2, −x3, −x4; (30) x1+1/2, x2+1/2, −x3, −x4+1/2; (31) +x1+1/2, −x2+1/2, x3, x4; (32) −x1+1/2, x2+1/2, x3, x4+1/2. +Displacive modulations of I atom (𝑢𝑖(𝑥4 +̅̅̅) for i = x, y, z) are described by a truncated Fourier series, which +due to the symmetry restrictions take the following form: 𝑢𝑥(𝑥4 +̅̅̅) = 𝐴𝑥1 sin(2𝜋𝑥4 +̅̅̅), 𝑢𝑧(𝑥4 +̅̅̅)= 𝐴𝑧2 sin(4𝜋𝑥4 +̅̅̅) + + + + + + + + + + + + + + + + + + + + + + +28 + +Table S3. Crystal structure details of incommensurate Fmmm(00γ)s00 phase V of iodine. +Crystal data +Chemical formula +I +I +Mr +126.9 +126.9 +Crystal system, space group +Orthorhombic, Fmmm(00γ)s00† +Orthorhombic, Fmmm(00γ)s00† +Pressure step +p6 +p7 +Pressure (GPa) +24.0 +26.4 +Wave vectors +q = 0.274(2)c* +q = 0.2381(6)c* +a, b, c (Å) +4.2098 (13), 5.539 (10), 4.2407 (13) +4.2018 (8), 5.434 (4), 4.2224 (8) +V (Å3) +98.88 (18) +96.41 (8) +Z +4 +Radiation type +X-ray, λ = 0.2952 Å +µ (mm−1) +16.82 +17.25 +Data collection +Diffractometer +GSECARS 13IDD +GSECARS 13IDD +No. of main reflections +All/independent/observed independent +68/31/28 +56/28/28 +No. of satellite reflections m = 1 +All/independent/observed independent +130/55/55 +123/60/60 +No. of satellite reflections m = 2 +All/independent/observed independent +- +132/66/57 +Rint +0.017 +0.012 +(sin θ/λ)max (Å−1) +0.842 +0.876 +Refinement +RF(obs)main + sattelites / wRF (all) main + satellites +0.0347/0.0419 +0.0409/0.0515 +RF(obs)main / wRF (all) main +0.0257/0.0291 +0.0400/0.0518 +RF(obs)1st order satellites / wRF (all) 1st order +satellites +0.0438/0.0499 +0.0394/0.0486 +RF(obs)2nd order satellites / wRF (all)2nd order +satellites +- +0.0468/0.0555 +No. of reflections +86 +154 +No. of parameters +5 +6 +Δρmax, Δρmin (e Å−3) +1.84, −1.70 +2.32, −3.05 +Crystal structure + + +I (x,y,z) +(0, 0, 0) +(0, 0, 0) +𝐴𝑥 +1 +0.0576(4) +0.0588(2) +𝐴𝑧 +2 +- +0.00072(8) + +29 + + +† Symmetry operations: (1) x1, x2, x3, x4; (2) −x1, −x2, x3, x4+1/2; (3) −x1, x2, −x3, −x4; (4) x1, −x2, −x3, −x4+1/2; (5) +−x1, −x2, −x3, −x4; (6) x1, x2, −x3, −x4+1/2; (7) x1, −x2, x3, x4; (8) −x1, x2, x3, x4+1/2; (9) x1, x2+1/2, x3+1/2, x4; (10) −x1, +−x2+1/2, x3+1/2, x4+1/2; (11) −x1, x2+1/2, −x3+1/2, −x4; (12) x1, −x2+1/2, −x3+1/2, −x4+1/2; (13) −x1, −x2+1/2, +−x3+1/2, −x4; (14) x1, x2+1/2, −x3+1/2, −x4+1/2; (15) x1, −x2+1/2, x3+1/2, x4; (16) −x1, x2+1/2, x3+1/2, x4+1/2; (17) +x1+1/2, x2, x3+1/2, x4; (18) −x1+1/2, −x2, x3+1/2, x4+1/2; (19) −x1+1/2, x2, −x3+1/2, −x4; (20) x1+1/2, −x2, −x3+1/2, +−x4+1/2; (21) −x1+1/2, −x2, −x3+1/2, −x4; (22) x1+1/2, x2, −x3+1/2, −x4+1/2; (23) x1+1/2, −x2, x3+1/2, x4; (24) +−x1+1/2, x2, x3+1/2, x4+1/2; (25) x1+1/2, x2+1/2, x3, x4; (26) −x1+1/2, −x2+1/2, x3, x4+1/2; (27) −x1+1/2, x2+1/2, −x3, +−x4; (28) x1+1/2, −x2+1/2, −x3, −x4+1/2; (29) −x1+1/2, −x2+1/2, −x3, −x4; (30) x1+1/2, x2+1/2, −x3, −x4+1/2; (31) +x1+1/2, −x2+1/2, x3, x4; (32) −x1+1/2, x2+1/2, x3, x4+1/2. +Displacive modulations of I atom (𝑢𝑖(𝑥4 +̅̅̅) for i = x, y, z) are described by a truncated Fourier series, which +due to the symmetry restrictions take the following form: 𝑢𝑥(𝑥4 +̅̅̅) = 𝐴𝑥1 sin(2𝜋𝑥4 +̅̅̅), 𝑢𝑧(𝑥4 +̅̅̅)= 𝐴𝑧2 sin(4𝜋𝑥4 +̅̅̅) + + + + + + + + + + + + + + + + + + + +30 + +Table S4. Vibrational modes and activity of Cmce and Cmc21 crystal structures +Space & +point +group +Cmce #64 (D2h) +Cmc21 #36 (C2v) +Cmcm #63 (D2h) +Site +symmetry +8f (CS) +4a +4a (CS) +4c (C2v) + 4a (C2h) +Acoustic +modes +B1u+B2u+B3u +A1+B1+B2 +B1u+B2u+B3u +Optical +modes +Modes +Activity +Modes +Activity +Modes +Activity + +Au + +B1u+B2u+B3u + +B1g+B2g + +2Ag+2B3g + +Silent + +IR + +Raman (a) + +Raman (bc) +A2 + +A1+B2+B1 + +A2+B1 + +2A1+2B2 +Raman + +IR & Raman + +Raman & IR + +Raman & IR +Au + +3B1u+3B2u+2B3u +(4ª) +none +(4c) +Ag+ B1g+B3g + +Silent + +IR + + + +Raman + + + +References +22. +Y. Fei, A. Ricolleau, M. Frank, K. Mibe, G. Shen and V. Prakapenka, Proceedings of the +National Academy of Sciences 104 (22), 9182-9186 (2007). +23. +D. R. Hamann, M. Schlüter and C. Chiang, Physical Review Letters 43 (20), 1494-1497 +(1979). +24. +H. J. Monkhorst and J. D. Pack, Physical Review B 13 (12), 5188-5192 (1976). +25. +K. Refson, P. R. Tulip and S. J. Clark, Physical Review B 73 (15), 155114 (2006). +26. +D. Porezag and M. R. Pederson, Physical Review B 54 (11), 7830-7836 (1996). +27. +Y. Zhao and D. G. Truhlar, The Journal of Chemical Physics 125 (19), 194101 (2006). + + + + + + + + diff --git a/ntE5T4oBgHgl3EQfjg_f/content/tmp_files/load_file.txt b/ntE5T4oBgHgl3EQfjg_f/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..7259a37823495286eec12f8d0824f095ae1282a8 --- /dev/null +++ b/ntE5T4oBgHgl3EQfjg_f/content/tmp_files/load_file.txt @@ -0,0 +1,888 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf,len=887 +page_content='1 Structural evolution of iodine on approach to the monatomic state Elena Bykova1,3, Iskander G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Batyrev2, Maxim Bykov1,4, Eric Edmund1, Stella Chariton5, Vitali B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Prakapenka5, and Alexander F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Goncharov1,4 1 Earth and Planets Laboratory, Carnegie Institution for Science, Washington, DC 20015, USA 2 U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Army Research Laboratory,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' RDRLWML-B,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Aberdeen Proving Ground,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Maryland 21005,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' United States 3 Bayerisches Geoinstitut,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' University of Bayreuth,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Universitätsstrasse 30,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' D-95447,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Bayreuth,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Germany 4 Institute of Inorganic Chemistry,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' University of Cologne,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Greinstrasse 6,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 50939 Cologne,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Germany 5 Center for Advanced Radiation Sources,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The University of Chicago,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Chicago,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Illinois 60637,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' USA We applied single-crystal X-ray diffraction and Raman spectroscopy in a diamond anvil cell up to 36 GPa and first principles theoretical calculations to study the molecular dissociation of solid iodine at high pressure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Unlike previously reported, we find that the familiar Cmce molecular phase transforms to a Cmc21 molecular structure at 16 GPa, and then to an incommensurate dynamically disordered Fmmm(00γ)s00 structure at 20 GPa, which can be viewed as a stepwise formation of polymeric zigzag chains of three iodine atoms following by the formation of the dynamically dissociated, incommensurately modulated i-Fmmm phase, and the truly monatomic Immm phase at higher pressures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Understanding pressure driven dissociation of simple diatomic molecules is important for a range of topics including materials behavior under extremes and composition of planetary interiors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Such transformations, which are commonly preceded or accompanied by metallization, occur at very high pressures in the crystals made of light molecules (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=', H2 and F2), where such investigations are very challenging (1, 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, molecular dissociation and band gap closure occurs at much lower pressures for heavier molecules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In fact, these phenomena in halogens Cl2, Br2, and I2 have been thoroughly investigated revealing a common behavior (3-5), where molecular dissociation is reported to occur in steps associated with a series of phase transitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Iodine is investigated most extensively largely because it transforms to a metallic state at 14-24 GPa and experiences molecular dissociation at above 21 GPa (6-11)—conditions, which are easily accessible with the diamond anvil cell technique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' At low pressures, iodine crystallizes in an orthorhombic Cmce structure (3) (phase I), which consists of flat layers, formed as associations of zigzag molecular chains (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Above 26 GPa, this structure transforms into a monatomic Immm lattice (phase II), where iodine atoms occupy the corner sites forming a metallic body-centered orthorhombic (BCO) single-atom unit cell (8).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, careful investigations (12) showed the existence of an intermediate phase (V) at 24-26 GPa, which can coexist with the Immm structure at 26-30 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This intermediate structure can be viewed as a face-centered orthorhombic lattice 2 based on the main diffraction peaks, but the occurrence of satellite reflections from both sides of the main peaks indicates the presence of an incommensurate modulation wave along the a-axis, which shifts the atoms along the b-axis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In this structure, there are three- or four- atom chains in the ab plane, with a continuous distribution of the nearest-neighbor interatomic distances covering a range of approximately 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='26 Å.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Raman spectroscopy demonstrated the presence of a specific low-frequency soft mode for the modulated structures, called the amplitude mode (AM), which corresponds to transverse atomic vibrations and preserves the symmetry of the modulation wave (5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' No Raman signal has been detected in phase II as expected from the Raman selection rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fragments of crystal structures of Cmce (I), Cmc21 (VI), and Fmmm(00γ)s00 (VII) phases determined in this work (Tables S1 and S2, of Supplemental Material (13)) projected to the bc(ac for Fmmm) plane.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The atoms occupying different crystallographic sites are shown in different colors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The atoms are represented by the displacement ellipsoids (at 75% probability) as they occur after the structural refinement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Arrows show the directions of shifts of the molecular layers that occur at the Cmce to Cmc21 transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fmmm(00γ)s00 structure presentation is approximate (small unit cell) (see detailed structural results in Table S2, Supplemental Material (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In the stepwise molecular dissociation scenario presented above, it remains puzzling if molecular phase I metallizes via band overlap and whether there is any indication of its instability toward the transformation into modulated phase V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Indeed, theoretical calculations predict such instability within Cmce structure due to a coupling of the bond charge density with a transverse optical phonon (14).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Raman measurements of phase I (5, 15) demonstrated the presence of 2Ag+2B3g in- plane stretching (S) and librational (L) modes, out of which Ag(L) mode turns over and becomes a soft mode above 13 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In the same pressure range, additional Raman modes appear that cannot be explained within the Raman selection rules of Cmce structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In addition, Mössbauer experiments demonstrated an anomaly at 16 GPa suggesting a phase transformation (16), while X- 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='08 Å 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='08 Å 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='725 Å Cmce 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='97 Å 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='14 Å 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='74 Å Cmc21 Fmmm 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='84 Å 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='80 Å 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='19 Å 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='82 Å 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='826 Å 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='21 Å 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='208 Å 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='224 Å a+ba+bcf3 ray absorption spectroscopy showed a hint of an increase in the interamolecular bond distance in the same pressure range (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Theoretical first-principles calculations (17) suggested that there is another molecular phase (phase I\uf0a2), which has C2/m symmetry;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' it was proposed to coexist with Cmce phase I (17).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This phase has two types of I2 molecules in the unit cell with different intramolecular lengths offering an explanation to the extra Raman bands, which appear above 14 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Here we present the results of concomitant synchrotron single-crystal (SC) X-ray diffraction (XRD) and Raman measurements, which provide a detailed structural description of the multi- stage molecular dissociation of iodine.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our experiments unequivocally identify intermediate phases - a Cmc21 molecular phase (hereafter I2-VI), and an incommensurate Fmmm(00γ)s00 phase (hereafter I2-VII) characterized by the loss of well-defined stable molecules, which provide key missing links between stable molecular I2-I and dynamically dissociated I2-V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our first-principles theoretical calculations show that Cmc21 I2-VI phase is energetically competitive, dynamically stable and confirm the presence of the additional Raman bands as due the reduction in symmetry upon transition to the Cmc21 phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Reconstructed reciprocal lattice planes of iodine at 15 GPa (upper panel) and at 17 GPa (lower panel).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The observed diffraction spots from the sample have been indexed and used to determine the structure of Cmce (I2-I) and Cmc21 (I2-VI) phases, respectively (see details in Table S1 of Supplementary Materials (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The X-ray extinctions rules for these phases are depicted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Cmce hko:h,k=2n 0 2 01 2 20 Cmc21 hk0:h+k=2n Q 510 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='10 00 400 510 5810 530 3 304 Up to 15 GPa SC XRD patterns confirm the previously reported Cmce structure (Table S1 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, SC XRD measurements at 17 GPa demonstrate a difference in the X-ray extinction rules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Reflections (h k 0), with h=2n+1 and k = 2n+1 (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (3 1 0), (5 1 0) and others) appear in the diffraction patterns (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' These weaker reflections cannot be observed in powder XRD patterns as they are much weaker than the main ones (<0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='1%) and interfere with stronger reflections, so this symmetry change was previously overlooked.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' A new structure can be indexed with the Cmc21 space group, which represents a subgroup of the Cmce group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Hereafter, we call this phase as I2-VI (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The structural distortion in the Cmc21 structure is very subtle (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' It can be understood as a small shift of layers of collinear molecules along the b-axis, which diminishes the lattice symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Reconstructed reciprocal lattice planes of iodine at 17, 19, and 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa (from left to right).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Insets below show enlarged views of Bragg peaks marked by red rectangles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Splitting of the zoomed in peak manifests the occurrence of incommensurate phase at 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' On further compression, above 20 GPa, yet another subtle change in symmetry occurs (Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 1, 3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' At this point, a stable structural solution within Cmc21 space group is not possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' A sequence of diffraction spots from (0kl) lattice planes (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 3) show a splitting of several reflections along the c* direction at 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa, manifesting the occurrence of an incommensurate lattice with a modulation vector of q=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='4837(2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' An incommensurate phase has Fmmm(00γ)s00 structure, which Okl Okl Okl p3 p4 p5 Commensurate Commensurate Incommensurate Cmc2, Cmc2, Fmmm(00g)s005 is isosymmetrical with phase V at higher pressures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The existence of this phase is consistent with Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18), where this phase I2 was reported at 16-23 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In contrast, we find no incommensurate structure below 20 GPa, where commensurate Cmc21 I2-VI is stable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Both commensurate Cmc21 and Cmce are the a×b×2c supercell subgroups of Fmmm(00γ)s00 with γ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='5 and various initial phases of modulation t0 (1/8 for Cmce and general for Cmc21).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In incommensurate I2-VII phase, the nearest-neighbor interatomic distances are modulated (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S1 of Supplementary Information (13)) spreading a wide range, which covers typical intra-to- intermolecular I-I distances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This phase consists of a dynamic mixture of molecular I2 and polymeric zigzag chains of three I atoms (see also Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18)) in the ac-plane (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S2 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Raman spectroscopy data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Panel (a) shows a sequence of Raman spectra across the phase transitions on pressure increase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The phase symmetries are labeled, and the traces are color coded.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Modes labeled as X and Y appear in Cmc21 phase and gain intensity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Panel (b) shows the measured here pressure dependencies of the Raman frequencies and compared to previous investigations (5, 15) (left panel) as well as theoretically calculated (right panel) in this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our concomitant Raman measurements below 24 GPa demonstrate smooth changes with pressure (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4), which are generally consistent with previous observations (5, 15).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Above 16 GPa, where Cmc21 I2-VI is documented in XRD, new peaks appear, dubbed X and Y in the literature, with the frequencies below Ag(L) and above B3g(L) modes, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The appearance of these modes can be understood by the Raman selection rule modification at the Cmce→Cmc21 phase transition (Table S4 of Supplementary Information (13));' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' the most prominent difference in Cmc21 phase VI is the relaxation of the rule of mutual exclusion for the Raman and IR active modes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' According to group-theory predictions, all optical modes are Raman-active in phase VI, out of which the most intense 3A1+3B2 in-plane modes are expected to be observed in Raman spectra compared to 2Ag+2B3g modes of Cmce phase I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' We note that X and Y modes are coupled to Ag(L) and B3g(L) Raman spectra Raman Shift (cm 1) 50 100 150 200 250 Intensity (arb.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' units) 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='4 GPa 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='0 GPa 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='5 GPa 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='4 GPa 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='0 GPa 29.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='6 GPa Immm i Fmmm (2) Cmc21 Cmce X Y i Fmmm (1) (a) (b) 250 Cmc2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='Cmcm Cmca Cmc2, Cmce i FmmmImmm A Ag(S) 200 B Bzboundary 150 B, B2 100 A1 Thiswork 50 AM Olijnyketal,1994 Kumeetal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=',2005 D 0 10 20 30 10 20 Pressure(GPa) Pressure(GPa)6 originated modes, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This is evident from their frequency curves vs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' pressure (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4(b)), which show characteristic avoided crossing dependencies and an exchange in intensities correlated with the frequency approaching as in the case of Fermi resonance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This behavior shows that the coupled modes are of the same symmetry, namely A1 and B1 modes of Cmc21 phase (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4(b)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Thus, the appearance and behavior of the X and Y modes are well understood by the Cmce→Cmc21 phase transformation;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' these modes originate from IR active B1u+B2u modes of Cmce phase, which become Raman active in Cmc21 phase (Table S3 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' These modes correspond to translational motions of I2 molecules along the b and c axes, which couple with librational motions in phase VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Only subtle changes (mainly peak broadening) occur in the Raman spectra above 20 GPa, where our XRD data indicate a transition into an incommensurate Fmmm(00γ)s00 I2-VII phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The presence of vibrational modes characteristic for molecular phases is likely because this phase still consists of short lived I2 molecules demonstrating fluxional behavior, which is supported by MD simulations of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This behavior is consistent with the incommensurate nature of this phase, where molecular breakdown and recombination are associated with the modulation wave propagating through the crystal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' It is the instantaneous existence of molecules that leads to a Raman response similar to that of Cmce and Cmc21 phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' At 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 GPa, the A1 mode originated from the X-mode becomes a dominant mode in the spectrum;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' this mode is a soft one corresponding to librational motions of I2 molecules with the eigenvector, which captures the pathway to a monatomic lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The observed here mode behavior is qualitatively consistent with the first- principles theoretical calculations (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4 and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S3 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our first-principles theoretical calculations show that Cmc21 phase is energetically competitive with respect to Cmce and C2/m in the pressure range above 15 GPa , where Cmce phase is reported to transform in this work and Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (17, 18) (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S4 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, within GGA-PBE approximation, Cmc21 phase is substantially more stable than the experimental Cmce ground-state phase below 15 GPa (see also Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (19)), which clearly contradicts the experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This apparent inconsistency is removed if M06-L functional is used as the enthalpies of Cmce and Cmc21 phases become nearly degenerate in the whole pressure range of interest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' All these phases are dynamically stable at 5-30 GPa as witnessed by calculations of the phonon dispersion curves (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S5 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' GGA-PBE calculations of the electronic band structure show that the molecular phases determined here are semiconducting with narrow band gaps decreasing with pressure, which are expected to close at 26 GPa (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S6 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' At 24 GPa, XRD patterns and Raman spectra change abruptly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' SC XRD performed in this work find a modulated structure (Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S7, S8 and Table S3 of Supplementary Information (13)) as reported in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (12) based on powder diffraction data (phase V).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Unlike Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (12), we find the structure of phase V to be Fmmm(00γ)s00 (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fmm2(a00)0s0 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (12)) in agreement with the more recent analysis (20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' We also find that the modulation vector value decreases with pressure (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S9) in agreement with Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (12, 20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, we additionally find, based on SC XRD measurements on high-quality laser annealed crystals (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S7 of Supplementary Information (13)), that there is a tiny atomic displacement along the c-axis (Table S3 of Supplementary 7 Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Overall, these results definitively establish the structure of a modulated phase V proposed in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, our data do not support the tetragonal 5D modulated structure (I4/mmm(αα0)000s(−αα0)0000) proposed in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' As can be seen on the reconstructed precession image (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S7 of Supplementary Information (13)), there is only one modulation vector, which can describe all the satellite reflections.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Raman spectra above 24 GPa do not show any modes of the lower pressure molecular phases I, VI, and VII.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Instead, a strong soft Raman mode appears at low frequencies, which has been previously identified as an AM (5) (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4(b)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' These observations confirm that the modulated phase V is incommensurate, where the Brillouin zone center vibrational modes of the parent phase are forbidden.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Above 26 GPa, two new Raman excitations, a narrow and a broad at nearly 150 cm- 1 appear and shift to higher frequencies with pressure (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 4(b)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Monatomic (BCO) phase II coexists with phase V in this regime, identified in powder XRD measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Above 30 GPa, the AM mode disappears, and XRD measurements show a single-phase BCO structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Based on our theoretical calculations (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S10), the Raman bands observed in this phase correspond well in frequency and pressure shift to the Brillouin zone boundary transverse acoustic modes near the R, W, and T points, where the corresponding dispersion curves are flat yielding sharp maxima in the phonon density of states at 4 THz (134 cm-1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The mechanism of their Raman activity (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=', defect induced) is not clear at this stage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our results show the presence of an intermediate molecular phase VI and fluxional mixed molecular-zigzag incommensurate phase VII between a low-pressure molecular phase I and a modulated and dynamically dissociated phase V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Phase VI has Cmc21 orthorhombic symmetry, which can be described as a small distortion of Cmce low-pressure phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This new phase can be viewed as a slightly dissociated (with longer intramolecular distance (Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 1, 5) molecular phase, where intermolecular coupling has been modified to approach zigzag chains of three iodine atoms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Previous experiments and theoretical calculations proposed a monoclinic C2/m structure in this regime (17), but our XRD experiments clearly rule out this phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In a recent work, it has been proposed that phase VI is a modulated incommensurate phase (18);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' however, our SC XRD data clearly show that no satellite reflections are observed below 20 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In a qualitative agreement with the results of previous works (12, 18, 20), we find the structure of phase V at 24-30 GPa to be modulated and incommensurate (Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S7-S9 of Supplementary Information (13));' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' however, the symmetry and the dimensionality are different of that proposed in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our new phase identification is consistent with Mössbauer experiments (16), which proposed a change in symmetry based on discontinuous changes in the electric field gradient (EFG) parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' We theoretically computed these parameters in Cmce and Cmc21 phases and found discontinuous changes in EFG, which are qualitatively consistent with the Mössbauer observations (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S11 of Supplementary Information (13)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The Fmmm(00γ)s00 incommensurate mixed molecular-zigzag phase VII differs from incommensurate phase V in that the latter one can be viewed as totally dissociated, consisting of I4 and I5 zigzag atomic chains (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S1), while phase VII still has a large disparity between intra and intermolecular bond lengths, which results in formation of zigzag I3 chains (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (18)), while some I2 molecules still remain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The modulation vector of phase VII is substantially larger 8 than that of phase V (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S9).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The interatomic distances in both modulated phases V and VII greatly vary (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 5, Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S1), while the averaged distance goes down with pressure due to the volume compression.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The determined here phase sequence Commensurate (Cmce)→ Commensurate (Cmc21)→ Incommensurate Fmmm(00γ)s00 (γ ~ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='5) → Incommensurate Fmmm(00γ)s00 (γ ~ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='25) → Immm shows a seamless pathway for molecular dissociation of I2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Volume compression of iodine.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The inset shows the nearest interatomic distance vs pressure data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The results of this work (filled symbols, the uncertainty is smaller than the symbol size) are compared to previously reported data (open symbols and crosses) from Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (4, 8, 21).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The solid line extrapolated to the transition into the modulated Fmmm phase is a Vinet fit to our data (V0=340.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='9(2) Ǻ3, K0=8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='1(5), and K0ʹ=7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='0(3), where K0 and K0ʹ are the bulk modulus and its pressure derivative at P=0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The vertical bars in inset show the spread of the nearest I-I distances in incommensurate phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Our XRD data also address the volume change at metallization and molecular dissociation transition (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' There is no measurable volume change at the Cmce → Cmc21 (VI)→ Fmmm(00γ)s00 (VII) phase transitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' However, there is a volume collapse of 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8% that occurs at the isosymmetrical VII-V transition (both have Fmmm(00γ)s00 symmetry) (cf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' (12)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' This is smaller than that theoretically computed here using DFT calculations using GGA-PBE functional (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='2%).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' It has been previously suggested that metallization occurs in a molecular state thus preceding dissociation (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Based on our XRD results and theoretical calculations of the electronic structure (Figs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S3, S4), we speculate that the Cmc21 → Fmmm(00γ)s00 (VII) phase transitions at 20 GPa can be directly connected to metallization reported at 14-24 GPa (9).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' In this case, there is no volume collapse associated with metallization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Molecular dissociation occurs stepwise from truly molecular Cmce and Cmc21 to dynamically disordered Fmmm(00γ)s00 and dynamically dissociated i-Fmmm phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' It would be of great interest to investigate if these results are applicable to Br2 and Cl2, which were reported to have a similar structural behavior.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Pressure (GPa) 0 10 20 30 Volume (Å3) 200 250 300 Cmce (I) Cmc21(VI) Fmmm 1 (V) Immm (II) 0 10 20 30 Shortest Interatomic distance (Å) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='70 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='75 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='80 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='85 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='90 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='95 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='00 Cmce Cmc21 Buontempo et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 1998 Shi et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=', 2021 This work Takemura et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=', 1982 This work, calculation This work, experiment Fmmm 2 (VII) Fmmm 2 Fmmm 1 Immm 9 Parts of this research were carried out at the GeoSoilEnviroCARS (The University of Chicago, Sector 13), Advanced Photon Source (Argonne National Laboratory).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' GeoSoilEnviroCARS is supported by the National Science Foundation—Earth Sciences (No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' EAR-1634415).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Use of the GSECARS Raman System was supported by the NSF MRI Proposal (No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' EAR-1531583).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The Advanced Photon Source is a U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Department of Energy (DOE) Office of Science User Facility operated for the DOE Office of Science by Argonne National Laboratory under Contract No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' DE- AC02-06CH11357.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' We acknowledge support by the Army Research Office accomplished under the Cooperative Agreement No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' W911NF-19-2-0172 and the Carnegie Institution of Washington.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' acknowledges the support of Deutsche Forschungsgemeinschaft (DFG Emmy-Noether project BY112/2-1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='B.' metadata={'source': 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monatomic state Elena Bykova1,3, Iskander G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Batyrev2, Maxim Bykov1,4, Eric Edmund1, Stella Chariton5, Vitali B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Prakapenka5, and Alexander F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Goncharov1,4 1 Earth and Planets Laboratory, Carnegie Institution for Science, Washington, DC 20015, USA 2 U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Army Research Laboratory,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' RDRLWML-B,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Aberdeen Proving Ground,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Maryland 21005,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' United States 3 Bayerisches Geoinstitut,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' University of Bayreuth,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Universitätsstrasse 30,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' D-95447,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Bayreuth,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Germany 4 Institute of Inorganic Chemistry,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' University of Cologne,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Greinstrasse 6,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 50939 Cologne,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Germany 5 Center for Advanced Radiation Sources,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The University of Chicago,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Chicago,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Illinois 60637,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' USA This pdf file contains Materials and Methods,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Supplemental Figures S1-S11,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Tables S1-S4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' and Bibliography with References [22-27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Corresponding author: agoncharov@carnegiescience.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='edu 12 Materials and methods Experiments The experimental procedure included concomitant SC XRD and Raman spectroscopy measurements (see details in the Supplementary Information) at 10-36 GPa in the Sector 13 (GSECARS) of the Advanced Photon Source, Argonne National Laboratory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Samples in the form of flakes were placed in a cavity of a diamond anvil cell formed in a central hole made in a preindented rhenium gasket, sealed to avoid sublimation, and then loaded by compressing Ne gas to 160 MPa at room temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Ruby served as an optical pressure gauge, while the equation of state of Ne 22 has been used to cross check pressure during XRD measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Compressed Ne serving as a pressure medium provided quasi-hydrostatic conditions in the high-pressure cavity, as witnessed by SC XRD data, which were of sufficiently high quality up to at least 27 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' At this pressure we performed laser annealing of the sample up to 1800 K to improve the quality of SC XRD data as will be presented below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Additional Raman measurements have been collected at Earth and Planets Laboratory of the Carnegie Institution for Science, before and after synchrotron XRD experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Theoretical calculations First-principles theoretical calculations have been performed in Cmce, Cmc21, C2/m, Immm phases at selected pressures between 0 and 30 GPa, where these structures were optimized using norm- conserving pseudopotentials, GGA-PBE functional, and Grimme2 dispersion corrections23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Monkhorst-Pack grid size for k-points sampling of the Brillouin Zone (BZ) is 5x6x5 for all structures except I2-II (Immm) at 30 GPa, where 6x7x6 sampling was used 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The phonon dispersion and phonon frequency calculations were performed using a finite displacement method implemented in the CASTEP code 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The Raman spectra were calculated using the formalism presented in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Since application of GGA-PBE functional incorrectly predicts that Cmce phase is thermodynamically and dynamically unstable at 0 GPa 19, we performed calculations using Minnesota 2006 local functional 27 (M06-L) in Cmce and Cmc21 phases up to 30 GPa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' 13 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' The I-I nearest-neighbor interatomic distances as a function of the modulation vector of Fmmm(00γ)s00 I2-VII phase determined in this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' p05 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='30 I I distances (A 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='10 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='90 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='70 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='50 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='0 t14 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' S2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' Fragments of crystal structures of Fmmm(00γ)s00 I2-VII and I2-V phases determined in this work (Tables S2 and S3, respectively) projected to the ac plane.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content=' I2 VII I2 V d<2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='9 Ǻ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ntE5T4oBgHgl3EQfjg_f/content/2301.05657v1.pdf'} +page_content='9 Ǻ + +2000 +1750 +1500 +1250 +1000 +750 +500 +250 +0 +0 +250 +500 +750 +1000 +1250 +1500 +1750 +2000Monaco: Euclid’s slitless spectroscopy +285 +Fig. 2. Lightcone generated with PINOCCHIO, see text for explanations. +1012 M⊙, one in 500) in comoving coordinates, +in a slice that cuts through the survey volume; +the catalogs cover half of the sky, with the ex- +ception of unobserved low Galactic latitudes, +and start at z = 4. The red lines mark the +box size (3380 h−1 Mpc), that is tiled to cover +the survey volume. When ready, this will be +the largest set of cosmological simulations ever +produced. +Acknowledgements. P.M. thanks L. Guzzo, W. +Percival, Y. Wang, C. Scarlata, B. Granett, M. +Moresco, S. De La Torre and the members of +the Observational Systematics Work Package for +many discussions. The simulation used for Fig. +1 was produced by the Euclid Science Ground +Segment, in particular Operational Units OU-SIM +and OU-SIR. The Euclid Consortium acknowledges +the European Space Agency and a number of +agencies and institutes that have supported the +development of Euclid, in particular the Academy +of Finland, the Agenzia Spaziale Italiana, the +Belgian +Science +Policy, +the +Canadian +Euclid +Consortium, the French Centre National d’Etudes +Spatiales, the Deutsches Zentrum f¨ur Luft- und +Raumfahrt, the Danish Space Research Institute, +the Fundac¸˜ao para a Ciˆencia e a Tecnologia, +the +Ministerio +de +Ciencia +e +Innovaci´on, +the +National Aeronautics and Space Administration, +the +National +Astronomical +Observatory +of +Japan, the Netherlandse Onderzoekschool Voor +Astronomie, the Norwegian Space Agency, the +Romanian Space Agency, the State Secretariat +for Education, Research and Innovation (SERI) +at the Swiss Space Office (SSO), and the United +Kingdom Space Agency. A complete and de- +tailed list is available on the Euclid web site +(http://www.euclid-ec.org). +References +Addison, G., et. al., 2019, ApJ, 879, Id.15 +Bagley, M., et al., 2020, ApJ, 897, Id.98 +Bianchi, D., et al., 2018, MNRAS, 481, 2338 +Laureijs, R., et al., 2011, arXiv:1110.3193 +Monaco, P., 2016, Galaxies, 4, 53 +Monaco, P., Di Dio, E. & Sefusatti, E., 2019, +JCAP, 2019-4, Id.023 +Monaco, P., Theuns, T. & Taffoni, G., 2002, +MNRAS, 331, 587 +Munari, E., et al., 2017, MNRAS, 465, 4658 +Planck Collaboration, Aghanim N., et al., +2018, A&A, 641, Id.A6 + +M>1012M/hhalosinaslice(1/500) +7000 +6000 +5000 +Mpc/h +4000 +3000 +2000 +1000 +z=1;8 +之=0.9 +0 +-6000 +-4000 +-2000 +0 +2000 +4000 +6000 +Mpc/h \ No newline at end of file diff --git a/qtE5T4oBgHgl3EQflQ8e/content/tmp_files/load_file.txt b/qtE5T4oBgHgl3EQflQ8e/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..5fb4df5e26d2bd9451b903c6497c6eca4b5ce7b2 --- /dev/null +++ b/qtE5T4oBgHgl3EQflQ8e/content/tmp_files/load_file.txt @@ -0,0 +1,161 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf,len=160 +page_content='Mem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='It.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Vol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 75, 282 © SAIt 2022 Memorie della Mapping the Universe with slitless spectroscopy P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Monaco1,2,3,4, on behalf of the Euclid Consortium 1 Universit`a di Trieste, Dipartimento di Fisica, Via Tiepolo 11, I-34131 Trieste, Italy 2 Istituto Nazionale di Astrofisica – OATs, Via Tiepolo 11, I-34131 Trieste, Italy 3 Istituto Nazionale di Fisica Nucleare Trieste, via Valerio 2, I-34127 Trieste 4 Institute for the Fundamental Physics of the Universe, via Beirut 2, I-34151 Trieste e-mail: pierluigi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='monaco@inaf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='it Received: Day Month Year;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Accepted: Day Month Year Abstract.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Euclid will survey most of the accessible extragalactic sky with imaging and slitless spectroscopy observations, creating a unique spectroscopic catalog of galaxies with Hα line in emission that will map the Universe from z = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='9 to 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' With low expected statistical errors, the error budget will likely be dominated by systematic errors related to uncertainties in the data and modelling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' I will discuss the strategy that has been proposed to mitigate the expected systematic effects and propagate the uncertainty of mitigation to cosmological parameter errobars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Key words.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Cosmology: observations – Large-scale structure of the Universe – Cosmological parameters 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Introduction Observations of the Cosmic Microwave Background (CMB, Planck Collaboration 2018) have provided percent-accurate con- straints to cosmological parameters, strength- ening the case for a 6-parameter flat ΛCDM cosmological model;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' this is consistent with most available evidence on large scales, but at the cost of leaving 95% of the present mass-energy budget unexplained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' In fact, most matter today is thought to be in the form of an unknown collisionless particle, and most energy today is thought to be in a dark energy component that is accelerating the Universe expansion, represented by a positive cosmological constant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' To shed light on the dark sector, it is crucial to map the Universe at lower redshift, when dark energy becomes dominant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The European Space Agency has promoted the Euclid mis- sion (Laureijs et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2011), an optical and near-infrared space telescope that will survey the sky with a visual imager (VIS), optimised for galaxy lensing, and a near-infrared imager and spectrograph (NISP), optimised for galaxy clustering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Galaxy Clustering with slitless spectroscopy Spectroscopic observations from space are complicated by the impossibility to use screens with suitably pierced holes or slits, as custom- ary from the ground.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' While JWST has im- plemented a novel micro-mirror technology that provides a way to select what part of the image is to be dispersed by a grism, Euclid arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='05669v1 [astro-ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='CO] 13 Jan 2023 Monaco: Euclid’s slitless spectroscopy 283 will adopt a straight slitless spectroscopy strat- egy, already experimented with Hubble Space Telescope (Bagley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='This means that each source will produce a straight track on the NISP detector, as showed in the simulation in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' These tracks will be separated and used to produce 1D spectra with a resolution of R = 380.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' This observing strategy will allow us to detect emission-line galaxies (ELGs) and measure their redshift, provided that the emis- sion line is correctly recognised.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The grism will be sensitive to wavelengths in the range λ ∈ [1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='25, 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='85] µm, so the most abundant de- tectable ELGs are expected to be Hα emitters in the redshift range z ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='9, 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Simulations show that the probability of detecting an ELG drops for line fluxes below 2 × 10−16 erg s−1 cm−2, the nominal line-flux limit of the Euclid Wide Survey.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The obvious drawback of this strategy, the need to deblend all the sources in a field, is balanced by the ability to perform a matter- of-fact blind search of emission-line galaxies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Indeed, spectra will be extracted for any source detected in the photometric observations, that we may think as limited to HE < 24, and the number of Hα ELGs associated to fainter sources has been demonstrated to be negligible in Bagley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' (2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' At the same time, al- though we expect the success rate of deblend- ing to be a function of surface density of all sources, the sample will be free of fiber colli- sion bias (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', Bianchi et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Chasing systematic effects The Observational Systematics Work Package of the Galaxy Clustering Science Working Group has surveyed the whole pipeline, from raw data to the measure of galaxy clustering that is provided to the likelihood.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Using the for- malism of Monaco, Di Dio & Sefusatti (2019), we have classified the possible systematic ef- fects as follows: (i) modulations of the effec- tive flux limit of the sample, due either to in- strumental issues (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the tiling of the various dithers will produce an inhomogeneous expo- sure time map, while straylight from nearby bright stars will modulate the noise) or to astro- physical foregrounds (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' zodiacal light will add to the background noise, while Milky Way extinction will decrease the signal);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' (ii) redshift errors due to line misidentifications;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' (iii) red- shift errors due to noise fluctuations being in- terpreted as lines in an overall undetected spec- trum, thus creating ‘noise interlopers’.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The first class of systematic effects will be mitigated by suitably constructing a random catalog.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' To get rid of the angular footprint of a survey, clustering estimators usually compare the density field measured with the data sam- ple with that from a random sample that covers the same area and is unclustered on the sky;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' its number density is usually taken to be 50 times that of the data sample (fitted by a model in order not to erase some radial modes), to min- imise the amount of extra shot noise introduced by the random.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' We will construct the random by forward-modeling the completeness and pu- rity of the spectroscopic sample, thus creating what we call a visibility mask.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' This will be done by taking profit of the Euclid Deep Field, where 50 deg2 of the sky will be surveyed ten times with various orientations of the grism, and with 40 more pointings with a ‘blue grism’ that is sensitive in the range λ ∈ [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='92, 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='25] µm;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' from it, we will extract a bona fide sam- ple, pure at ∼ 99% level, of the ELGs that can be seen in the EWS.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' These galaxies will be used to create a parent random catalog that is unclustered on the sky, whose objects have the same physical properties of the target sam- ple;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' these random galaxies will be injected in the EWS NISP images, and processed to deter- mine their probability of detection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' This way the space density of the selected random will be modulated on the sky by systematics in the same way as the data sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' While the third class of systematic effects, the noise interlopers, can be modeled by suit- ably adding a class of contaminants to the ran- dom catalog, the second class, line misidenti- fications, is more subtle to address (Addison et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2019).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' With a typically steep luminosity function of sources, most objects in a catalog are around the detection limit, where a single emission line is typically detected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' If no further information is used, the contamination level is expected to be around ∼ 10–20 %, mostly coming from [Oiii] emitters at higher redshift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 284 Monaco: Euclid’s slitless spectroscopy Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Simulations of a NISP exposure, where each source produces a stripe along the dispersion imprinted by the grism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Circles denote the positions of the Hα lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Credit: Ben Granett, OU-SIM an OU-SIR teams.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' These galaxies will be moved from their red- shift to the one corresponding to Hα, carrying with them their rescaled clustering signal, so the measured two-point function ξ(r) will be the weighted sum of the target one (1− f)2ξtarget and the contaminant one f 2ξinterloper, where f is the fraction of contaminants in the sam- ple.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' This contamination can be mitigated at the likelihood level, comparing the measurements with a weighted sum of predictions relative to the target sample and to the significant contam- inants, with fi fractions treated as nuisance pa- rameters subject to a tight prior coming from measurement of the Deep Field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Propagating the uncertainty in the mitigation This mitigation strategy will anyway leave residuals that contaminate the sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Every step in the modeling of the visibility mask of the EWS has an associated uncertainty that must be propagated to parameter errorbars.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The most effective way to achieve this is to construct a set of simulated mock galaxy cat- alogs and process them in the same way as the parent random catalog described above: inject galaxies in the images and compute their prob- ability of being detected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' However, this process should not be performed using our best knowl- edge of the visibility mask but a modulation of it, obtained by perturbing every single step in the pipeline, sampling its estimated error PDF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' As an example, detection probability will de- pend on the measured noise level, and we will use the best-fit value of the noise to create the random, and a value drawn from its PDF for applying the visibility mask to mock galaxy catalogs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' This approach will provide a brute-force numerical estimate of the covariance matrix that will include both cosmic covariance and the uncertainty in the mitigation of system- atic effects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Proper sampling of the matrix re- quires thousands of mocks;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' in this moment the Galaxy Clustering Science Working Group is preparing 3500 simulations of the Euclid sky.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' N-body codes are simply too expensive to ad- dress this massive production, so we will re- sort to approximate methods (Monaco 2016).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' I am presently working to prepare such a large set of simulations using the PINOCCHIO code (Monaco, Theuns & Taffoni 2002;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Munari et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2017), based on Lagrangian Perturbation Theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2 shows one of these ligh- cones, reporting dark matter halos (with Mh > 2000 1750 1500 1250 1000 750 500 250 0 0 250 500 750 1000 1250 1500 1750 2000Monaco: Euclid’s slitless spectroscopy 285 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Lightcone generated with PINOCCHIO, see text for explanations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 1012 M⊙, one in 500) in comoving coordinates, in a slice that cuts through the survey volume;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the catalogs cover half of the sky, with the ex- ception of unobserved low Galactic latitudes, and start at z = 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The red lines mark the box size (3380 h−1 Mpc), that is tiled to cover the survey volume.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' When ready, this will be the largest set of cosmological simulations ever produced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Acknowledgements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' thanks L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Guzzo, W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Percival, Y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Wang, C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Scarlata, B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Granett, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' Moresco, S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' De La Torre and the members of the Observational Systematics Work Package for many discussions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The simulation used for Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' 1 was produced by the Euclid Science Ground Segment, in particular Operational Units OU-SIM and OU-SIR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' The Euclid Consortium acknowledges the European Space Agency and a number of agencies and institutes that have supported the development of Euclid,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' in particular the Academy of Finland,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the Agenzia Spaziale Italiana,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the Belgian Science Policy,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the Canadian Euclid Consortium,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the French Centre National d’Etudes Spatiales,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the Deutsches Zentrum f¨ur Luft- und Raumfahrt,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the Danish Space Research Institute,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' the 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='euclid-ec.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='org).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' References Addison, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', et.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', 2019, ApJ, 879, Id.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='15 Bagley, M.' 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='023 Monaco, P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', Theuns, T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=' & Taffoni, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', 2002, MNRAS, 331, 587 Munari, E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', 2017, MNRAS, 465, 4658 Planck Collaboration, Aghanim N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content=', 2018, A&A, 641, Id.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='A6 M>1012M/hhalosinaslice(1/500) 7000 6000 5000 Mpc/h 4000 3000 2000 1000 z=1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='8 之=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} +page_content='9 0 6000 4000 2000 0 2000 4000 6000 Mpc/h' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/qtE5T4oBgHgl3EQflQ8e/content/2301.05669v1.pdf'} diff --git a/r9E3T4oBgHgl3EQfMwkD/content/tmp_files/2301.04375v1.pdf.txt 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M. Hossein Hejazi1, Mahdi Shahrezaei1, Piotr Błoński1, Mattia Allieta2, Polina M. +Sheverdyaeva3, Paolo Moras3, Zdeněk Baďura1, Sergii Kalytchuk1, Elmira Mohammadi1, Radek +Zbořil1,4, Štěpán Kment1,4, Michal Otyepka1,5, Alberto Naldoni1*, Paolo Fornasiero6,7* +1Czech Advanced Technology and Research Institute, Regional Centre of Advanced +Technologies and Materials, Palacký University Olomouc, Křížkovského 511/8, 77900 +Olomouc, Czech Republic +2Ronin Institute Montclair, NJ 07043 USA +3Istituto di Struttura della Materia-CNR (ISM-CNR), SS 14, Km 163,5, I-34149, Trieste, +Italy +4Nanotechnology Centre, Centre of Energy and Environmental Technologies, VŠB– +Technical University of Ostrava, 17. listopadu 2172/15, 70800 Ostrava-Poruba, Czech +Republic +5IT4Innovations, VSB – Technical University of Ostrava, 17. listopadu 2172/15, 708 00 +Ostrava-Poruba, Czech Republic +6Department of Chemical and Pharmaceutical Sciences, ICCOM-CNR Trieste +Research Unit, INSTM-Trieste, University of Trieste, Via L. Giorgieri 1, 34127 +Trieste, Italy +7Center for Energy, Environment and Transport Giacomo Ciamician - University of Trieste, +Italy +*Corresponding authors: alberto.naldoni@upol.cz; pfornasiero@units.it + + + + +2 + +Summary +Generally adopted design strategies for enhancing the photocatalytic activity are aimed at tuning +properties such as the visible light response, the exposed crystal facets, and the nanocrystal shape. +Here, we present a different approach for designing efficient photocatalysts displaying a substrate- +specific reactivity upon defect engineering. The defective anisotropic brookite TiO2 photocatalyst +functionalized with Pt nanocrystals are tested for alcohol photoreforming showing up to an 11- +fold increase in methanol oxidation rate, compared to the unreduced one, whilst presenting much +lower ethanol or isopropanol specific oxidation rates. We demonstrate that the alcohol oxidation +and hydrogen evolution reactions are tightly related, and when the substrate-specific alcohol +oxidation ability is increased, the hydrogen evolution is significantly boosted. The reduced +anisotropic brookite shows up to twenty-six-fold higher specific photoactivity with respect to +anatase and brookite with isotropic nanocrystals, reflecting the different type of defective catalytic +sites formed depending on the TiO2 polymorph and its crystal shape. Advanced in-situ +characterizations and theoretical investigations reveal that controlled engineering over oxygen +vacancies and lattice strain produces large electron polarons hosting the substrate-specific active +sites for alcohol photo-oxidation. + +Keywords: selective photocatalysis, oxygen vacancies, DFT calculations, photoreforming, black +TiO2 + + + + + + +3 + +INTRODUCTION +The visionary idea of a world powered by solar light proposed by G. Ciamician more than a century +ago1 has become a reality, proving that complex organic synthesis2,3 and production of solar fuels +like hydrogen4–6 and ammonia7,8 can be performed more and more efficiently. However, these +intrinsically sustainable processes, before becoming industrially competitive with existing +polluting technologies, need further material design, fine tuning of light absorption properties, +charge carriers management, and surface engineering.9 Over the past decades, photocatalysis for +direct conversion of solar energy into molecular fuels has been focused on designing efficient +photocatalysts by improving their fundamental properties. The visible light photoactivity can be +enhanced by engineering heterojunction, introducing lattice defects into wide bandgap materials +like TiO2,10–12 or choosing semiconductors having small bandgap energy (e.g. Cu2O, ZnIn2S4, and +i.e. C3N4) and suitable bands position straddling the molecular redox levels of the investigated +chemical reaction.2,13–15 The use of inorganic nanocrystals with well-defined morphology, +determined crystal facets, or dimensional anisotropy have been also demonstrated to be beneficial +for the charge carrier separation.16–18 The kinetic competition between charge recombination and +surface catalysis is often overcome by the addition of proper metallic co-catalysts.19 This +playground has stimulated the exploration of countless options to prepare, mix, and engineer +semiconductor photocatalysts with enhanced opto-electronic properties with the aim of more +efficiently driving benchmark photocatalytic reactions such as hydrogen evolution from water +splitting and photoreforming of biomass. However, the majority of these studies involve +monitoring the products of the reductive cycle, i.e. the evolved hydrogen, while not analyzing the +oxidation products.20–22 When sacrificial biomass substrates are employed, i.e. alcohol +photoreforming, analyzing the oxidation pathway and reactivity becomes especially important not +only because they provide a kinetic gain, and therefore an improved hydrogen evolution compared + + +4 + +to the case of water oxidation, but also because the oxidized sacrificial agents often participate in +hydrogen evolution, thus directly regulating its kinetics.20,23 Furthermore, controlling the oxidation +process of sacrificial biomass is particularly relevant since it can lead to its partial oxidation and +the synthesis of added value products such as 2,5-furandicarboxylic acid (bioderived polymer that +may substitute PET) and diesel fuel precursors.3,24,25 +We developed an approach to designing anisotropic defective brookite TiO2 nanocrystals that upon +high temperature reduction treatment expose precise defect site with substrate-specific photo- +reactivity for methanol oxidation, compared to higher alcohols such as ethanol and isopropanol +(Fig. 1A). We show that the reaction rates for the photocatalytic alcohol oxidation and the parallel +hydrogen evolution reaction are tightly connected and that optimization of the methanol oxidation +leads to an increased production of hydrogen. Although the introduction of point defects and +structural deformation results in enhanced visible light absorption and reduced charge carrier +lifetime, we show that the selective affinity towards methanol oxidation of reduced brookite is the +main parameter enabling a higher apparent quantum yield (AQY) for hydrogen evolution. Using +a set of in-situ characterization aided by DFT calculations, we demonstrate that the substrate- +specific activity is regulated by catalytic sites including sub-surface oxygen vacancies within a +locally strained lattice environment that generate shallow hole traps responsible for boosting the +first steps of methanol photo-oxidation. These photo-oxidation sites are crucial for the enhanced +substrate-specific photoreforming activity of reduced brookite, and they form preferentially within +anisotropic nanocrystals, which show twenty-six times higher specific hydrogen evolution rate, +compared to isotropic ones, where defect sites with different energy are formed. + + + + + +5 + +RESULTS AND DISCUSSION +Synthesis and characterization of brookite nanorods +To engineer the photocatalytic sites for alcohol photoreforming at the atomic level, we selected +brookite TiO2 nanorods—a promising and still poorly investigated TiO2 polymorph—as a model +material and grew anisotropic nanostructures exposing the (210) surface on the lateral facets (Fig. +1B) by hydrothermal synthesis (see Supporting Information).26 We prepared various brookite +photocatalysts reduced under a H2 stream at different temperatures, along with reduced anatase +and commercial brookite reference samples (see Table S1). Elemental analysis revealed that the +obtained nanopowders did not contain significant quantity of non-metals coming from C, H, or N +incorporation (Table S2). Reduction of a pristine brookite TiO2 under pure hydrogen stream at +700°C for 1h created defective nanocrystals showing remarkable changes in their structural and +electronic properties alongside giving the best photocatalytic performance. This morphology +evolved from anisotropic nanostructures with well-defined shape and exposed crystal facets (Fig. +1B and S1A) into more isotropic nanoparticles that displayed irregular shape and aggregation +through twin boundaries formation (Fig. 1C and Fig. S1B). Notably, anatase and brookite with +isotropic crystal shapes (Fig. S2-S3) did not reveal any crystal reshaping upon high temperature +reduction treatment. However, they presented different color variations (Table S1), compared to +those observed for the anisotropic brookite, upon increasing the temperature of the hydrogen +treatment, thus suggesting a different reducibility behavior with respect to the TiO2 polymorph +and crystal shape, as confirmed by UV-vis reflectance spectroscopy, Raman spectroscopy, and +photolumiscence spectroscopy mapping (see below). In order to prepare highly active +photocatalysts for alcohol photoreforming, we functionalized the samples by photodepositing Pt +co-catalyst nanoparticles on their surface. Inductively coupled plasma mass spectrometry (ICP- +MS) analysis detected similar Pt loading on both pristine (0.98 wt%) and reduced brookite samples + + +6 + +(0.90 wt%). HRTEM and STEM-HAADF micrographs as well as the elemental mapping showed +that Pt nanoparticles with an average diameter of 2.5 nm were homogeneously deposited on the +pristine brookite nanorods (Fig. 1D and Fig. S4A, S5, S6). Surprisingly, in the case of reduced +brookite nanocrystals, we detected the presence of small Pt nanoparticles with similar sizes as well +as larger Pt nanoparticle aggregates reaching 10–30 nm in size (Fig. 1E and Fig. S7–S10). This +result was confirmed by a HRTEM analysis of three different brookite batches. The larger Pt +conglomerates may be less reactive than the smaller ones, thus negatively affecting the +photocatalytic activity of the reduced brookite. Moreover, larger metal aggregates may screen the +incoming light during photocatalysis, decreasing the light harvesting efficiency. However, as +shown in the next section, in the present investigation these parameters did not reduced neither +one aspect nor the other for reduced brookite, suggesting that for the considered reaction the +defects in TiO2 played a more crucial role than that of Pt nanoparticles. The brookite treatment +under hydrogen was accompanied by a decrease in the BET (Brunauer–Emmett–Teller) specific +surface area from 67 to 47 m2 g-1 after reduction (Fig. S11 and Table S3). +The temperature (reduction)-dependent structural parameters extracted by the Rietveld refinement +of X-ray diffraction (XRD) patterns were in agreement with the described morphological evolution +(Fig. S12-S18 and Table S3–S6). Notably, the XRD analysis highlighted that the reduction +treatment introduced an anisotropic and preferential deformation of the brookite lattice along the +c-axis due to the creation of oxygen vacancies (Fig. S19). Their presence was further supported by +the blueshift in the main A1g vibrational mode detected by Raman spectroscopy measurements +(Fig. S20 and discussion in the Supporting Information) after reduction, which again pointed out +to a different reducing behavior dependent on the TiO2 polymorph and shape (Raman shift is 1.3 +cm-1 for the reduced anisotropic brookite, 7.6 cm-1 for the reduced isotropic anatase, and no +observed shift for the reduced isotropic brookite). Having performed the bond valence sum + + +7 + +analysis, we observed an average depletion of ~0.5% of the Ti valence for the reduced brookite— +a typical feature induced by the formation of oxygen vacancies.11,27 The moderate decrease in the +Ti valence upon a H2 treatment at high temperature is an indication of a low tendency toward +defects formation in brookite nanorods. This general feature was also reflected by the color +change—from white to grey—that brookite underwent after reduction at 700°C, as opposed to the +more reducible anatase phase that assumed a darker color already at lower temperatures (Table +S1). The reduced brookite nanorods showed an optical bandgap energy of ~3.38 eV, this making +no significant difference from the value retrieved for the as-synthesized sample (Fig. S21 and +Table S7). The same results were observed for both the isotropic brookite and anatase samples +(Fig. S22-S23 and Table S8-S9). Further analysis of the absorption spectra highlighted an +increased visible light absorption and an Urbach tail that ranged for the anisotropic brookite from +69 (for the as-synthesized brookite nanorods) to 115 meV (for nanorods reduced at 700°C). For +the isotropic anatase, the Urbach tail increased from 115 (for the as-synthesized anatase +nanoparticles) to 205 mV (for anatase reduced at 500°C). This supports the scenario of a phase- +and shape-dependent increase in the population of oxygen vacancies after the reduction treatment +(see Supporting Information for further discussion). +Alcohol photoreforming with reduced brookite +The photocatalytic activity of the platinized brookite nanorods was tested for methanol +photoreforming under a simulated AM 1.5G spectrum at one-sun intensity producing H2 and +oxidation products. As previously reported by others groups, the increased photocatalytic activity +of reduced TiO2 nanomaterials could be ascribed to the co-catalyst role in H2 evolution played by +oxygen vacancies.12,28 In contrast, in order to use the oxygen vacancies as catalytic sites in the +photocatalytic oxidation reaction, we photodeposited Pt nanoparticles over the optimized +photocatalysts. Following this procedure, H2 generation occurred on the Pt surface as the + + +8 + +photogenerated electrons were separated and stabilized into the Pt nanoparticles by the Schottky +barrier formation at the Pt–TiO2 interface, while photo-oxidation occurred on the TiO2 surface.19,29 +In contrast to common practice, where only a H2 production rate is detected, we designed specific +experiments to follow the kinetics of methanol photo-oxidation using a solution including +deuterated methanol (i.e, CD3OD) and a small aliquot of methanol (i.e. CH3OH), whose +corresponding consumption was followed by an 1H-NMR analysis of the liquid phase (Fig. S24). +Table S10 reports the NMR signal integration of CH3OH relative to the adopted internal standard +(DMSO), which highlight no significant difference between the blank measurement containing no +photocatalyst and the one at time zero, i.e. after 30 min adsorption/desorption equilibrium in the +dark in the presence of the photocatalysts. From this data is clear that the methanol adsorption in +the dark did not affect the photocatalytic performance of the investigated photocatalysts. Fig. 1F +shows the amount of methanol oxidized over 24h of illumination illustrating the remarkable +oxidation activity of the reduced brookite over the pristine material. The corresponding specific +methanol consumption rates, computed by using the BET surface area of each sample, for the +platinized brookite nanorod samples (Fig. 1G, left) evidenced that the pristine brookite drove the +photo-oxidation reaction with a specific rate of 27 mol h-1 m-2, whereas for the reduced one, it +was 99 mol h-1 m-2. We obtained the photoactivity values by considering methanol consumption +after 24 h of reaction, which resulted in a 3.7-fold enhancement in favor of the reduced brookite. +Notably, if we consider kinetic data after 5 h (Fig. 1F), the reduced brookite performed methanol +photo-oxidation up to 11 times faster than the pristine sample. This suggests on the one hand that, +in the early stage of reaction, methanol was oxidized faster until the available surface reaction sites +were fully occupied and a steady state was reached, which ensured a higher methanol consumption +rate even after 24 h of reaction, as evidenced by the divergence of the reaction kinetics curves (Fig. +1F). On the other hand, this behavior can be due to a partial aggregation of the colloidal + + +9 + +photocatalysts after several hours of irradiation (see dynamic light scattering measurements in Fig. +S25), thus producing a reduced available surface for the methanol oxidation reaction to occur. +The amount of evolved hydrogen determined by gas chromatography analysis followed a linear +increase with time (Fig. S26) for both the pristine and the reduced brookite, corresponding to +optimized specific H2 production rates of 26 and 88 mol h-1 m-2, respectively, with reduced +brookite that evolved H2 3.4 times faster (Fig. 1G, right). The reduced brookite showed a 13% +decrease activity after 5 photocatalytic runs (Fig. S27). Notably, the activity decrease appeared +almost constant after each recycling test, thus suggesting that it can be due to the loss of catalyst +during the tests, which can happen during the centrifugation/re-suspension of the photocatalyst +and/or can be due to the loss of material attaching onto the reactor walls. Another aspect that can +produce this slight decrease in activity is the increased hydrodynamic diameter of the brookite +nanocrystals in suspension, as revealed by dynamic light scattering measurements after 24 h of +illumination (Fig. S25). Moreover, two more aspects may produce the observed photocatalytic +activity decrease after several recycling cycles. On the one hand, the catalyst surface may be +partially passivated by the presence of reaction intermediates, as we did not wash the catalyst +before subsequent tests. On the other hand, a partial modification of the surface population of +defects (as evidenced by the resonant PES valence band measurements on B700 after catalysis, +see Fig. S43) may induce a partial reactivity change. Interestingly, the H2 production rates followed +a reactivity trend closely resembling the one observed for the methanol photo-oxidation activity, +which suggests that hydrogen production is strictly regulated by the alcohol oxidation and it can +be used as reporter figures of merit for tracking the reactivity of the pristine and the reduced +brookite for alcohol photo-oxidation. Following this principle, we tested our platinized samples +for the photoreforming of ethanol and isopropanol and discovered that the reactivity of the reduced +brookite was markedly more pronounced and substrate-specific toward methanol in comparison + + +10 + +with the other tested alcohols (Fig. 1G, right). In the case of ethanol photoreforming, both reduced +and pristine anisotropic brookites showed a specific H2 production rate of 54 mol h-1 m-2, +suggesting that they have a similar affinity toward its photo-oxidation. On the other hand, in the +case of isopropanol photoreforming, the reduced anisotropic brookite presented a 1.7-fold higher +specific H2 production rate (41 mol h-1 m-2) when compared to the pristine sample, denoting a +higher photo-oxidation ability yet still much lower than that shown for methanol. This observation +confirmed that the H2 evolution activity of the reduced brookite was regulated by a substrate- +specific reactivity toward alcohol photo-oxidation. Such a stark photo-reactivity toward methanol +oxidation was observed only for the brookite nanorods, while platinized reference samples made +by reduced spherical anatase nanocrystals or reduced isotropic brookite nanoparticles displayed +~1.8–1.9 times higher specific photocatalytic rates in comparison with the untreated materials (Fig. +S28). Notably, the reduced brookite nanorods loaded with Pt showed a remarkably higher specific +H2 evolution rate with respect to both the reduced anatase/Pt (19 times) and the reduced isotropic +brookite/Pt (26 times), as shown in Fig. S28. However, this difference is significantly reduced +when considering the photocatalytic activity per optimized mass (Fig. S29), with the reduced +brookite nanorods (B700/Pt) still showing more than two-times the hydrogen evolution rate +observed for the reduced anatase nanocrystals (A500/Pt). These observations suggest that the type +of produced defects/catalytic sites varies depending on the selected TiO2 polymorph as well as on +the crystal shape, which emphasizes how the exposure of different crystal facets having different +interfacial energy and therefore resistance to hydrogen treatment under high temperature regulates +the defects formation. This is demonstrated by the different degree of reducibility that each sample +exhibited, as supported by previously discussed absorption and Raman spectroscopy +measurements. + + +11 + +The apparent quantum yield (AQY) for hydrogen evolution from methanol photoreforming was +measured for a pristine and a reduced platinized brookite (Fig. 1H) using different monochromatic +light sources. The maximum AQY was reached at 334 nm and was 33.5% for the reduced brookite +and 22.2% for the pristine nanorods. These AQY values can be further increased by optimizing +the methanol concentration, metal loading, metal particle size, or photoreactor design, which +however goes beyond the scope of this study. Interestingly, despite its visible light absorption, the +reduced brookite did not show AQY in the visible region, with values of ~0.09 and 0.004% at 386 +and 402 nm, respectively (AQY below the detection limit for the pristine brookite at both +wavelengths). This result was further confirmed by H2 evolution experiments under one-sun +illumination applying a longpass optical filter to cut off λ ≥ 380 nm, i.e. cutting optical excitation +above bandgap energy did not lead to detecting any H2 after 24 h of reaction. This result confirms +that oxygen vacancies introduced upon the hydrogen treatment at high temperature, and the related +optical transitions, did not produce visible light photocatalytic activity. We indeed suggest that the +introduced oxygen vacancies enhanced the reactivity toward the methanol oxidation by favoring +its activation, as discussed in further detail below. + + +12 + + +Fig. 1. Morphology and photocatalytic activity. (A) Schematic representation of defect +engineering in reduced brookite showing an exemplary TiO2 surface during photocatalysis and a +zoomed view of the catalytic site containing oxygen vacancy (VO) and structural distortions. (B) +HAADF-STEM (left) and HRTEM (right) micrographs of a single brookite nanorod. (C) HRTEM +micrograph of isolated Pt nanoparticles deposited on pristine brookite. (D) HRTEM of brookite +nanorods reduced at 700°C. (E) HRTEM micrograph of aggregated Pt nanostructures deposited +on reduced brookite. (F) Methanol consumption in time for pristine (sky blue) and reduced +brookite (dark blue) nanorods. The points before zero time represent the methanol signal before +adding the photocatalysts, while time zero was measured once the adsorbtion/desorption +equilibrium in the dark was reached. (G) Specific methanol consumption rate (left) and specific +hydrogen evolution rate (right) during methanol, ethanol, and isopropanol photoreforming for +pristine (sky blue) and reduced (dark blue) brookite. Measurements were performed under a +simulated AM 1.5G spectrum at one-sun intensity for 24h using a 1:1 vol.% H2O:alcohol mixture. +(H) Apparent quantum yield for hydrogen evolution from methanol photoreforming for pristine +(sky blue) and reduced (dark blue) brookite. In all measurements both pristine and reduced +brookite were loaded with 1 wt.% Pt. + +A +H,O +H +CH. +CO +Catalytic sitewithoxygen vacancyV. +structural +deformation +O +B +onm +10nm +F +G +100 +2500 +Light, +1 m2), +100 +m-2) +2000 +CH,OH cons. rate (μmol h-1 +80 +[oum) +80 +30 +rate +1500 +60 +AQY % +20 +CH,OH cons. +1000 +40 +40 +10 +500 +20 +0 +n +0 +5 +10 +15 +20 +25 +310 +330 +350 +370 +390 +410 +Time (h) +Wavelength (nm) +13 + +In order to study in more detail the methanol photo-oxidation reaction on the reduced brookite, we +analyzed the reaction products by both the GC analysis of the gas phase and the NMR analysis of +the liquid phase after reaction. Carbon dioxide was the only detected reaction product. +Furthermore, we investigated the hydrogen production rate from different possible intermediates +of methanol oxidation (e.g. formaldehyde and formic acid) of as-synthesized and reduced brookite +nanorods loaded with 1 wt.% Pt. Interestingly, both samples showed similar specific photocatalytic +activity in the presence of formaldehyde and formic acid, presenting significant hydrogen +production rate of around 25–30 mol h-1 m-2 (Fig. S30). This result is far from being trivial, as it +has been reported that other TiO2 polymorphs usually oxidize methanol to formaldehyde, thus +stopping the methanol photo-oxidation after the first reaction step.30 Moreover, it repeatedly +emphasizes that a reduced brookite demonstrates a substrate-specific oxidation ability toward +methanol molecules. The blank test for photolysis of formaldehyde under AM 1.5G 1sun +illumination produced a very small hydrogen production rate, namely, ~85 nmol h-1 m-2. +Notably, the investigated TiO2 samples showed two order-lower alcohol photoreforming activity +without Pt loading; the data on the samples reduced at different temperatures are reported in Fig. +S31 and S32. These data are further supported by electron spin resonance spectroscopy (EPR) +investigations measured under dark and light conditions both for dried powders and in a +water/methanol medium (in situ conditions), demonstrating the increased reactivity of brookite +nanorods reduced at 700°C (Fig. S33–S35). For instance, in the case of EPR spectra for dried +powders of an anisotropic brookite reduced at different temperatures, the most efficient sample in +methanol photoreforming was B700, which indeed gave the highest differential EPR signal (light- +dark) in comparison with samples with lower activity (e.g. a pristine brookite and B500). +Interestingly, the most active sample (B700) showed the weakest intensity in the EPR powder +spectrum among the series (Fig S33 and discussion in the Supporting Information). Therefore, the + + +14 + +number of spins recorded by EPR do not directly correlate with the system reactivity and its overall +efficiency in the photocatalytic process, all in agreement with previous reports.12,31 +In-situ photoluminescence spectroscopy +To understand the nature of the methanol oxidation sites, we measured excitation-dependent +photoluminescence (PL) spectra at 80 K, obtaining energy-resolved two-dimensional maps of the +radiative recombinations occurring in the pristine and the reduced anisotropic brookite both under +inert gas atmosphere (N2) and in the presence of methanol (Fig. 2A). The PL maps in the presence +of the latter (i.e., a hole scavenger) showed drastic quenching of the signal, demonstrating that the +photogenerated holes trapped within the defect sites, i.e. oxygen vacancies, readily reacted with +the surface adsorbed methanol molecules. Moreover, this also provided evidence that such defect +sites must be located on either the surface or sub-surface of the brookite nanocrystals, from where +they can react with surface adsorbates.32 This is supported by the synchrotron-based photoemission +spectra for the Ti 2p region and valence band (see for details the next section). Comparing the two- +dimensional PL maps measured under N2 gas atmosphere for the pristine and the anisotropic +brookite reduced at 500, 600, 700, and 800°C (Fig. 2A and Fig. S36), we observed a clear variation +in the energy position relative to the radiative recombination centers upon high temperature +treatment, eventually underlined by a subtle but significant re-organization of structural defects. +Notably, the reference samples (especially the isotropic anatase, which is more reducible than the +isotropic brookite) displayed a similar behavior (Fig. S37-S38 and discussion in the Supporting +Information). +Focusing on the reduced anisotropic brookite, we observed a significant blue shift in the PL peak +after reduction. + + +15 + + +Fig. 2. Energy distribution of defects-related radiative recombinations and lifetime of +photogenerated charge carriers. (A) Excitation-emission color maps under N2 and in the +presence of methanol (MeOH) for pristine and reduced brookite. (B) PL spectra of pristine (blue +sky) and reduced brookite (dark blue) under excitation at 340 nm. (C) Time-resolved PL decay +curves collected at the corresponding emission maximum of pristine (blue sky) and reduced +brookite (dark blue) under excitation at 372 nm. +This is better highlighted in the PL spectra generated using a single excitation wavelength (340 +nm) and by analyzing the weight of the deconvoluted components set at 2.75, 2.53, 2.27, and 2.0 +eV for all the samples (Fig. 2B and Fig. S39). The dominant radiative recombinations for the as- +synthesized anisotropic brookite (B-AS) localize at 2.27 and 2.0 eV, while the components at +higher energies are almost negligible. Notably, in the case of the reduced anisotropic brookite +(B700), the component at lower energy almost vanished, while the intensity of the radiative +recombinations with higher energies (2.75 and 2.53 eV) became dominant, denoting the formation +of shallower hole traps upon hydrogen reduction treatment at high temperature. Furthermore, we +investigated the lifetime of photogenerated charge carriers measured at PL maximum by time- +resolved PL spectroscopy. The charge carriers’ lifetime (τ) decreased after the brookite’s + +B +2.5 +3.4 +2.8 +2.4 +2.1 +1.8 +1.6 +B-AS-N2 +B-AS-MeOH +(eV) + intensity (a.u.) +B-AS +2.7 +B700 +Excitation energy +3.1 +2.8x104 +3.5 +2.5x104 +PLi +2.2x104 +4.0 +2.0x104 +1.7x104 +4.8- +1.4x104 +360 +440 +520 +600 +680 +760 +2.5 +1.1x104 +Wavelength (nm) +B700-N2 +C +B700-MeOH +8.4x103 +(eV) +2.7 +5.6x103 +10° +B-AS +Excitation energy +2.8x103 +(a.u.) +B700 +3.1 +Intensity +10-1 +3.5 +=5.3ns +4.0 +C=2.0ns +10-2 +4.8- +3.4 +2.8 +2.4 +2.1 +1.8 +1.7 3.4 +2.8 +1.8 +1.7 +0 +5 +10 +15 +20 +Emissionenergy (eV) +Emission energy (eV) +Time (ns) +16 + +reduction, similarly to the other TiO2 reference samples, from 5.3 ns to 2.0 ns (Fig. 3C, Fig. S40 +and Table S11), suggesting that the enhanced photocatalytic activity of the reduced anisotropic +brookite is not related to the enhanced charge separation. +Synchrotron resonant photoemission spectroscopy +The investigation by conventional lab scale X-ray photoelectron spectroscopy (XPS) analysis +provided similar results for pristine and reduced TiO2 samples (Fig. S41). Therefore, we +investigated in more detail the electronic structure of our brookite samples at the VUV- +Photoemission beamline (Elettra, Trieste) by synchrotron-based photoemission spectroscopy +(PES) for the Ti 2p (Fig. S42), O 1s (Fig. S43, see discussion in the next section), and the valence +band (VB) regions. The Ti 2p spectra of both brookite samples contained two components +corresponding to the presence of Ti4+, due to the coordination of Ti into the stoichiometric lattice, +and Ti3+ species introduced by the oxygen vacancy formation near or at the TiO2 surface. The +presence of low valence Ti ions in the pristine brookite is a common observation, especially in +nanocrystals obtained through hydrothermal synthesis and not subjected to a following heat +treatment like in the present case. Next, by using soft X-ray photons with energy that is resonant +to the Ti absorption edge, it is possible to highlight electronic states even in samples containing a +low amount of defects.33 Fig. 3A shows the VB PES spectra for the pristine and the reduced +anisotropic brookite. The main VB edge did not significantly shift upon reduction, while the +density of states (DOS) within the bandgap showed a stark difference. The pristine brookite +displayed localized mid-gap states peaking at around 1 eV below the Fermi energy. In contrast, +the reduced brookite revealed an increased electron density showing an intense VB tailing. We +also investigated the reduced brookite after 24 h of photocatalytic reaction B700-AR and compared +the result with the spectra of the pristine brookite B-AS and the reduced brookite before reaction +B700-BR (Fig. S44). The post-catalytic characterization evidence a spectrum, which features a + + +17 + +localize state at around 1 eV below the Fermi level (similarly to B-AS) and an increase density of +states –band tailing - at energies closer to the valence band maximum (similarly to B700-BR). The +slight modification of the spectrum can be due both to a partial passivation of the surface defects +in B700 during photocatalysis and to the adsorption of methoxy groups / reaction intermediates, +i.e. the sample was not regenerated after reaction. +Density functional theory calculations of the photocatalytic sites +In order to understand the origin of the VB tailing in the electronic structure of the reduced +brookite, we calculated the energy band structure using ab initio density functional theory (DFT) +calculations. Driven by the XRD results, we focused on the (210) surface of the brookite TiO2 +introducing two types of structural defects: (1) oxygen vacancies located at different distance from +the surface (denoted by V1–V8 in Fig. 3B and Fig. S45), and (2) distortion of TiO6 octahedra (for +methods see supplementary materials) by modifying up to ±0.1 Å either the axial or randomly +chosen Ti-O distances. + + + +18 + + +Fig. 3. Experimental and theoretical determination of the electronic structure of the +photocatalytic sites. (A) Synchrotron-based photoemission spectra around the valence band (VB) +region for the pristine (light blue) and the reduced (dark blue) brookite. Inset: zoom of the VB +region around the Fermi energy. (B) Brookite TiO2 supercell employed for the calculations +exposing the (210) surface: Ti atoms plotted in grey, O atoms in red, oxygen vacancies in orange. +The middle part of the slab corresponds to the bulk region of TiO2 enclosed by green planes, while +the supercell’s boundaries are marked by the dotted lines. (C) Calculated total DOS of the ideal +(210) brookite surface, of various defective brookite surfaces with an oxygen vacancy (V in the +figure) placed at different locations in the lattice, two distorted brookite surfaces (rdm. and ax. +stand for random and axial distortions, respectively). The energy of the VB maximum of the ideal +(210) surface is taken to be zero. Spin up/down derived DOS are shown by solid/dashed lines. (D) +Excess electron density donated by introducing V3 and V5 oxygen vacancies (yellow iso-surface). +The presence of oxygen vacancies introduces localized mid-gap states deriving from the +hybridization of O 2p and Ti 3d orbitals (Fig. 3C and Fig. S46) with their energy position that + +A +B +/3 +V4 +V5 +Intensity (a.u.) +-3 +-2 +V6 +-1 +0 +V7 +E-E (eV) +V8 +-10 +-8 +9- +-4 +2 +0 +E-E (eV) +D +(210)ax.dist. +V3 +DOs (a.u.) +(210) rdm.dist. +V +V5 +V +(210) +A +-2 +0 +-2 +-4 +Energy (eV) +19 + +varies with respect to the defect’s distance from the surface. In contrast, the primary effect of the +expansion of Ti-O axial distances is to produce strong band tailing near the VB edge (Fig. 3C) +entering the band gap by ~0.4 eV. When we introduced a lattice disorder by random displacements +of both Ti and O atoms from their equilibrium positions, both mid-gap states and VB tailing were +seen in the DOS (Fig. 3C). The computational results confirmed that the DOS envelope of the +reduced brookite was formed by mid-gap states and VB band tailing due to the combined effect of +oxygen vacancies and lattice distortions. The location of oxygen vacancies in the real samples is +represented by a statistical distribution of lattice positions. Each of such defect populations +produce different DOS and their convolution, alongside the effect from lattice distortions, results +in the formation of the VB tailing. +We also examined the differential electron densities due to the introduction of an oxygen vacancy +at two different positions in the slab, namely, surface/near-surface (V3) or sub-surface (V5) +positions (Fig. 3B and 3D). In both cases, the excess of charge was spread over many lattice sites +and accompanied by the relaxation of the lattice atoms by up to 2–4% of the equilibrium Ti-O +bond length, thus denoting the generation of a large electron polaron around the oxygen vacancies. +We propose that these kind of bound states between oxygen vacancies and large electron polarons +represent the substrate-specific photocatalytic active sites for methanol oxidation. The size of this +photocatalytic active site and the charge distribution around it make it a well-defined reactive +pocket with high specificity toward the methanol molecule rather than to higher alcohols. The +finding of Zhang and co-workers support our results, as they recently observed a similar reactivity +pattern in Cu-doped TiO2 nanosheets, where the oxygen vacancies within a strained environment +enabled strong chemisorption and activation of molecular N2 and water, resulting in high +photocatalytic NH3 evolution under visible-light irradiation.8 Diebold and co-workers recently +reported the photo-oxidation mechanism of methanol at the surface of anatase TiO2.34 Values + + +20 + +obtained from DFT calculations, scanning tunneling microscopy, and temperature programmed +desorption aided by XPS showed the existence of two different, more favorable pathways for +activating methanol adsorbed on TiO2. The methanol molecules are first adsorbed onto the surface +Ti5c atoms dissociating into methoxy groups and hydrogen atoms, which are then oxidized to +formaldehyde (and eventually to formic acid and carbon dioxide) and molecular hydrogen. +Methanol molecules must first dissociate into methoxy groups, and after this step, the hole transfer +from TiO2 becomes energetically favorable. Methanol can be activated via two pathways (Fig. +S47): (A) by reaction with dissociated H2O forming terminal OH– species bound to surface Ti5c +atoms, and (B) by reaction with activated adsorbed O2.Error! Reference source not found. M +echanism (A) begins with the spontaneous dissociative adsorption of water enabled by the extra +charge density due to oxygen vacancies and reflected by the formation of hydroxyl ions.34,35 +Interestingly, brookite TiO2(210) (the same crystallographic direction expressed on the lateral +facets of our brookite nanorods) has the same structural building block of anatase TiO2(101), but +interatomic distances are slightly shorter and the blocks are arranged in a different way. Selloni +and co-workers found that these differences significantly change the reactivity toward adsorption +of water (and formic acid), making its dissociation more possible to occur on the brookite surface +rather than on the anatase.36 This may underlie the enhanced specific photocatalytic activity that +we observed for the anisotropic brookite over the anatase during methanol photoreforming. This +scenario is corroborated by our synchrotron XPS PES of the O 1s region that shows a significant, +24% increase in the OH– species adsorbed on the reduced surface in comparison with the pristine +brookite. These species may be derived from the dissociative adsorption of water, which is more +favored on the reduced brookite due to the extra electrons provided by the subsurface oxygen +vacancies.32 Mechanism (B) is less probable, as our experiments are performed in the absence of +oxygen (under Ar atmosphere). However, it should be noted that some traces of peroxide species + + +21 + +were detected by EPR,12,37 suggesting that mechanism B may occur even at a lower extent than +mechanism A. This could also point to a faster decomposition of hydrogen peroxide to water and +bridging oxygen dimer (step (iii) → (iv) in mechanism B) in the most photoactive sample (B700) +after illumination. Finally, besides the pure A and B mechanisms, an intermediate case can be also +considered, in which the OH– formation results from the reaction of coadsorbed O2 and H2O.38 +CONCLUSIONS +In summary, we demonstrated the concept of enhancing the photocatalytic activity during alcohol +photoreforming by engineering the defect sites in an anisotropic brookite in a way that enables +substrate-specific oxidation photo-activity. Synchrotron photoemission spectroscopy and in situ +photoluminescence investigations aided by DFT calculations showed that creating a low amount +of defects (i.e. oxygen vacancies) in well-defined lattice positions produces a kind of bound states +between oxygen vacancies and large electron polarons hosting the photocatalytic active sites, +which act as shallow hole traps during alcohol photoreforming. Our results also demonstrate that +the nature of the produced defects/photocatalytic sites varies with respect to the selected TiO2 +polymorph and on its crystal shape. This work highlights the value of analyzing the reaction +products of both the reductive and the oxidative pathways during photocatalytic reactions +alongside opening new avenues for substrate-selective photocatalytic biomass conversion through +the atomic design of the active sites. + + + + + +22 + +Acknowledgments: A.N. and R.Z. gratefully acknowledge the support of the Czech Science +Foundation (GACR) through the projects no. 20-17636S and 19-27454X. The authors gratefully +acknowledge the support by the Operational Programme Research, Development and Education - +European Regional Development Fund, project no. CZ.02.1.01/0.0/0.0/15_003/0000416 of the +Ministry of Education, Youth and Sports of the Czech Republic. P.F. acknowledge financial +support from the European Community (projects H2020 – RIA-CE-NMBP-25 Program – Grant +No. 862030 – and H2020-LC-SC3-2019-NZE-RES-CC – Grant No. 884444), INSTM consortium +and ICCOM-CNR. P.M.S. and P.M. gratefully acknowledge financial support through the project +EUROFEL-ROADMAP ESFRI. The authors gratefully acknowledged G. Zoppellaro and O. +Tomanec for EPR discussion and TEM measurements, respectively. +Author contributions: +Conceptualization: PF, AN +Methodology: SMHH, MA, EM, PB +Investigation: SMHH, MS, PMS, PM, ZB, SK, EM, PB +Visualization: SMHH, PB, AN +Funding acquisition: RZ, SK, MO, PF, AN +Project administration: AN +Supervision: PF, AN +Writing – original draft: SMHH, AN +Writing – review & editing: SMHH, MA, PM, PB, RZ, MO, PF, AN +Competing interests: Authors declare that they have no competing interests. +Data and materials availability: All data are available in the main text or the supplementary +materials. + + + +23 + +REFERENCES +1. 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Following the Reduction of Oxygen on TiO2 Anatase (101) Step by +Step. Journal of the American Chemical Society 138, 9565–9571. + + +S1 + + +Supporting Information + +Defect engineering over anisotropic brookite towards substrate-specific photo- +oxidation of alcohols + +S. M. Hossein Hejazi1, Mahdi Shahrezaei1, Piotr Błoński1, Mattia Allieta2, Polina M. +Sheverdyaeva3, Paolo Moras3, Zdeněk Baďura1, Sergii Kalytchuk1, Elmira Mohammadi1, Radek +Zbořil1,4, Štěpán Kment1,4, Michal Otyepka1,5, Alberto Naldoni1*, Paolo Fornasiero6,7*, + +1Czech Advanced Technology and Research Institute, Regional Centre of Advanced +Technologies and Materials, Palacký University Olomouc, Křížkovského 511/8, 77900 +Olomouc, Czech Republic +2Ronin Institute Montclair, NJ 07043 USA +3Istituto di Struttura della Materia-CNR (ISM-CNR), SS 14, Km 163,5, I-34149, Trieste, Italy +4Nanotechnology Centre, Centre of Energy and Environmental Technologies, VŠB–Technical +University of Ostrava, 17. listopadu 2172/15, 70800 Ostrava-Poruba, Czech Republic +5IT4Innovations, VSB – Technical University of Ostrava, 17. listopadu 2172/15, 708 00 Ostrava- +Poruba, Czech Republic +6Department of Chemical and Pharmaceutical Sciences, ICCOM-CNR Trieste +Research Unit, INSTM-Trieste, University of Trieste, Via L. Giorgieri 1, 34127 +Trieste, Italy +7Center for Energy, Environment and Transport Giacomo Ciamician - University of Trieste, Italy + +*Corresponding authors: alberto.naldoni@upol.cz; pfornasiero@units.it + + + + +S2 + +Preparation of TiO2 photocatalysts +Titanium (IV) bis (ammonium lactate) dihydroxide Ti(NH4C3H4O3)2(OH)2 aqueous solution (50 wt.%, +Sigma–Aldrich) (TALH) and urea (ACS reagent, Sigma–Aldrich), were used as precursors for the synthesis +of TiO2 nanocrystals using a hydrothermal method, according to the procedure previously reported with +some modifications 1–4. A solution containing 45 mL of urea in deionized (DI) water and 5 mL of TALH +was stirred until a clear solution was obtained. The solution was afterwards transferred to a 125 mL Teflon +lined autoclave and placed in an oil bath at 180°C and stirred at this temperature with 800 rpm for 20 days. +The autoclave was then cooled down in air and the precipitate was centrifuged and dispersed by sonication +in DI water for several times until the pH of supernatant water became ~7. Finally, the precipitate was dried +at 80°C for 12 h. To prepare pure brookite and pure anatase samples, 0.15M and 11.5M urea solution in DI +water were used, respectively. Commercial TiO2 brookite was purchased from Sigma-Aldrich (99.99 wt. +% purity). To prepare the reduced powders, 20 mg of TiO2 nanopowders were placed in a crucible within +a quartz chamber in a tubular furnace (10 °C min-1 heating/cooling ramp in N2 flow rate 10 mL min-1, 1 h +dwell in H2 flow rate 10 mL min-1 at predefined temperature. Before starting the heat treatment, the tube +furnace was cleaned up increasing the temperature up to 1000°C in air. 1 wt.% platinum nanoparticles were +loaded on TiO2 by via photodeposition method. Briefly, 50 mg of TiO2 powder suspended in 25 mL of +methanol (ACS reagent, Sigma–Aldrich) and bubbled with Ar for 30 min. Then, a solution of H2PtCl6.6H2O +(ACS reagent, Sigma–Aldrich) was added and stirred for 20 min in the dark to favor Pt adsorption of the +TiO2 surface. Then the solution was illuminated for 1h using a solar simulator equipped with a 150 W Xe +arc lamp and an AM 1.5G filter and calibrated to deliver a power of 100 mW cm-2 (1 Sun). + +Characterization +The morphological analyses of the samples were performed by transmission electron microscopy (TEM) +JEM-2100 (JEOL, Tokyo, Japan) at 200 kV of accelerating voltage. For TEM measurements, the samples +were dispersed in ethanol by sonication for 5 minutes and then the suspensions were dropped on the copper +grid with holey carbon film and dried upon air exposure. The average particle size of brookite nanorods +were assessed by analyzing TEM micrographs and by considering at least 100 nanorods. The high +resolution transmission electron microscopy (HRTEM) analysis were performed using a HRTEM Titan G2 +(FEI) with image corrector on accelerating voltage 300 kV. Images were taken with BM UltraScan CCD +camera (Gatan). +X-ray diffraction (XRD) patterns were recorded at room temperature with an Empyrean (PANalytical, +Almelo, The Netherlands) diffractometer in the Bragg-Brentano geometry and using Co-Kα radiation (40 +kV, 30 mA, λ = 0.1789 nm). The diffractometer was equipped with a PIXcel3D detector and programmable +divergence and diffracted beam anti-scatter slits. The same amount of powders was placed on a zero- +background Si slide. The measurement range was 2θ = 10° - 100°, with a step size of 0.0167° and acquisition +time of 4 s per step. Standards SRM640 (Si) and SRM660 (LaB6) were used to evaluate the line position +and the instrumental line broadening, respectively. The identification of crystalline phases was performed +using the High Score Plus software that includes the PDF-4+ and ICSD databases. Rietveld analysis was +performed through the GSAS program 5. We use the brookite orthorhombic model of Pbca space group +with Ti and two O, namely O1, O2, in 8c position (x,y,z) 6. During the refinement, the background was +subtracted using shifted Chebyshev polynomials and the diffraction peak profiles were fitted with a +modified pseudo-Voigt function. In the last calculation cycles all the parameters were refined: cell +parameters, atomic positional degrees of freedom, isotropic thermal parameters, anisotropic microstrain +broadening parameters, background, diffractometer zero point. To evaluate annealing T evolution ionic +charge of Ti from the experimental dTi-O1, dTi-O2 of brookite, we calculated Bond Valence Sum (BVS) +by using the tabulated parameters 7. Crystallite size of synthesized brookite samples was estimated through +the Williamson-Hall (WH) method 8 employing at least 15 reflections for each calculation. Single peak +fitting to extract peak positions and profile parameters was performed through the WinPLOTR Software 9. +The crystallite size of as received and reduced commercial brookite and anatase was calculated from XRD +patterns according to the Scherrer equation as follows: + +S3 + +𝐷 = +𝐾 × 𝜆 +𝛽 × 𝑐𝑜𝑠𝜃 +where, D is the mean size of crystallite, K is the dimensionless shape factor, λ is the x-ray wavelength, β is +the full width half maximum intensity (FWHM), and θ is the Bragg angle and considering K=0.9, λ=1.79 +Å (Co). +Raman spectra were collected using a DXR Raman spectrometer (Thermo Scientific, Massachusetts, USA). +The excitation laser operated at the wavelength of 455 nm. The samples were deposited on a silicon wafer +and the laser was focused on its surface and tuned to maximize the signal. The laser power on the sample +was set to 0.1 mW cm-2 and exposure time was 3 s. The reported Raman spectra were averaged over 512 +experimental microscans. +The surface area and pore size analyses were performed by means of N2 adsorption/desorption +measurements at 77 K on a volumetric gas adsorption analyzer 3 Flex (Micromeritics, Georgia, USA) up +to 0.965 P/P0. Prior the analysis, the sample was degassed under high vacuum (10-4 Pa) at 130°C for 12 +hours, while high purity (99.999 %) N2 and He gases were used for the measurements. The Brunauer– +Emmett–Teller area (BET) was determined with respect to Rouquerol criteria 10 for N2 isotherm. +The ultraviolet-visible diffuse reflectance spectra (UV-Vis DRS) of the fabricated samples were obtained +by Specord 250 plus (Analytik Jena, Jena, Germany) spectrophotometer. An integrating sphere was used +to collect the spectrum and a Spectralon reference sample was used to measure the background. +X-ray photoelectron spectroscopy (XPS) was carried out with a PHI 5000 VersaProbe II (Physical +Electronics, Chanhassen, USA) spectrometer using an Al Kα source (15 kV, 50 W). The obtained data were +evaluated with the MultiPak software package (Ulvac-PHI Inc., Chigasaki, Japan). High-resolution spectra +of C1s peaks were acquired by setting the pass energy to 23.500 eV and step size to 0.200 eV. The binding +energy values were corrected considering the C1s peak at 284.8 eV as a reference. The spectral analysis +included Shirley background subtraction and peak deconvolution using Gaussian functions. +Photoluminescence spectroscopy (PL) was performed on an FLS980 fluorescence spectrometer (Edinburgh +Instruments, Livingston, United Kingdom) equipped with a R928P photomultiplier (Hamamatsu, Japan), +with a 450 W xenon arc lamp as the excitation source for steady-state spectra and an EPL-375 picosecond +pulsed diode laser (λem= 372 nm with a pulse width of 66.5 ps, a repetition rate of 10 MHz and an average +power of 75 μW, Edinburgh Instruments) in conjunction with a time-correlated single-photon counting +system for time-resolved photoluminescence measurements. Spectral correction curves were provided by +Edinburgh Instruments. The emission of TRPL spectra were detected at 450 nm. PL decay curves were +fitted using a multi-exponential function: +𝐼(𝑡) = ∑ +𝐵𝑖 exp (− +𝑡 +𝜏𝑖) +𝑛 +𝑖=1 +, ∑ +𝐵𝑖 = 1 +𝑛 +𝑖=1 +, +Where, the fit parameter τi represents the decay time constant, Bi represents the normalized amplitude of +each component, n is the number of decay times. +The amplitude weighted average decay lifetime τave of the entire PL decay process reads as: +𝜏𝑎𝑣𝑒 = +∑ 𝐵𝑖𝜏𝑖 +2 +∑ 𝐵𝑖𝜏𝑖 + +A nitrogen bath cryostat holder Optistat/DNV (Oxford instruments, Abingdon, United Kingdom) was used +to control the temperature of sample during measurements. Since the PL emission of TiO2 is weak at room +temperature and due to highly scattering nature of a typical nano-TiO2 sample, the stray excitation light +could be wrongly assigned as PL signal 11. To avoid this, the PL spectra were measured at 80 K. Using low +temperature condition results in slower non-radiative decay and brighter PL 11, which decreases the effect +of stray light scattered by the sample. The powders in solid were pressed between two flat quartz and put +into the chamber. N2 and methanol were used to investigate the PL behavior of the TiO2 samples in contact +with different environments. The methanol was degassed with argon bubbling for 10 minutes before wetting +the sample. +An in-depth analysis of the electronic structure of the samples was carried out at the VUV-Photoemission +synchrotron beamline (Elettra, Trieste) at room temperature with a Scienta R-4000 electron spectrometer. +The O1s and Ti2p core levels were measured with photon b 650 eV with an instrumental energy resolution + +S4 + +of 0.2 eV. The valence band was probed in near-resonant conditions to the Ti L2,3 edge, in order to enhance +the signal of Ti-related states. A photon energy of 468 eV (energy resolution 0.14 eV) was used to avoid +the appearance of spurious Ti2p signal in the region of interest (from 4 eV binding energy up to the Fermi +level), due to high harmonics contribution from the beamline. +Electron paramagnetic resonance (EPR) spectra were recorded using a continuous wave X-band JEOL JES- +X-320 spectrometer operating at 9.1 GHz. The EPR spectrometer is equipped with a variable temperature +control ES 13060DVT5 apparatus. The cavity Q quality factor was kept above 6000 in all measurements. +Highly pure quartz tubes were used (Suprasil, Wilmad, ≤ 0.5 OD) and accuracy on g-values was obtained +against a Mn2+/MgO standard (JEOL standard). For all experiments the same acquisition conditions were +kept. The microwave power was set to 1.5 mW, therefore, no power saturation effects was occurring in the +EPR traces. The modulation width of 0.7 mT and modulation frequency 100 Hz were used. Experimental +temperature was set to 78 K. All spectra were recorded with 30 ms time constant and 2 minutes sweep time +with 3 accumulations, to improve signal to noise ratio. HeCd (200 mW) laser with 325 nm wavelength was +employed as the UV light source during EPR experiments. EPR envelopes were simulated in Matlab +software where the spin-Hamiltonian EasySpin simulation package 12 is implemented. During the +measuring the samples in contact with DI water + methanol solution at 80K, the head space of EPR tube +was purged by nitrogen to avoid any parasitic oxygen signals coming from the air. The EPR cavity was +kept in constant flow of nitrogen to eliminate the formation of ice. The samples were measured in +suspension form. For each experiment 10 mg of the powder and 100 µl of DI water/methanol mixture were +used. In all experiments, to make spectra more comparable, the position of the EPR tube inside the cavity +was kept the same. +1H-NMR (proton nuclear magnetic resonance) spectra were obtained on a JEOL 400 MHz spectrometer in +CD3OD, using dimethyl sulfoxide (DMSO) as the internal standard. All the measurements were collected +at ambient temperature with a spectral width of 20 ppm, a pulse width of 5.7 μs (90 °), a relaxation delay +of 60 s, and 8 scans. Chemical shifts (δ) are expressed in ppm. +C, H and N elemental analyses was performed on a Flash EA 1112 instrument (Thermo Finnigan, North +Carolina, USA). +Pt loading on TiO2 was determined by ICP-MS (Agilent 7700x, Agilent, USA) at isotope 105 using He +mode and an external calibration. Calibration solutions were prepared from a certified reference material +with Pt concentration 100,0 +/- 0,2 mg/L (Analytika Ltd., Czech Republic). A mixture of nitric acid (ACS +reagent, 70% , Sigma–Aldrich) and hydrochloric acid (ACS reagent, 37% , Sigma–Aldrich) in a molar ratio +of 1:3, was used to digest the Pt. The Pt loading in pristine and reduced brookite nanorods was 0.98 and +0.90%, respectively. +The hydrodynamic diameter of the brookite B700 was measured by Dynamic Light Scattering (DLS) at +23°C, using a Malvern Nano-ZS instrument (Malvern Ltd., Leamington Spa, UK). The light source was a +laser 633 nm, 4 mW. The measurement was performed at the beginning (time = 0 h) and after specific times +of reaction. The sample was taken from 10 mL of DI water and methanol (1:1 vol) solution with 2mg of +dispersed B700-Pt. At time = 0h the solution was ultrasonically dispersed for 10 min. + +Photocatalytic experiments +Photocatalytic activity was measured in a quartz reactor with 10 mL solution of DI water and methanol +(volume ratio 1:1). The same conditions and volume ratio were applied for the photocatalytic reactions with +ethanol (99.8 %, BC Chemservic), isopropanol (ACS reagent, 99.8%, Sigma–Aldrich), formaldehyde (36- +38%, Penta) and formic acid (99%, Penta). After sealing the reactor with a rubber septum, the photocatalysts +were sonicated for 10 min to create a homogeneous and dispersed suspension. Afterwards, the suspension +was bubbled with argon for 30 min to remove the unwanted gasses and dissolved oxygen. The samples +were irradiated using a solar simulator equipped with a 150 W Xe arc lamp and an AM 1.5G filter and +calibrated to deliver a power of 100 mW cm-2 (1 sun). A calibrated reference solar cell (Newport, California, +USA) was used before and after reaction to check the power of irradiation (1 Sun). Each sample was +irradiated for 24 h under continuous stirring before measuring the amount of evolved hydrogen. The test +was repeated three times and the average amount of measured hydrogen was reported. The photocatalytic + +S5 + +hydrogen was detected with a gas chromatograph GCMS-QP2010 SE (Shimadzu, Kyoto, Japan ) and a +TCD (Thermal conductivity detector), using Ar as carrier gas. The temperature of the reaction suspension +was measured with a thermocouple and was 23°C both before and after 24 h of irradiation under 1 sun +illumination. +To identify the wavelength dependence of AQY, the reactor was illuminated with the wavelengths 316 (1.6 +mW cm-2), 334 (1.2 mW cm-2), 360 (2.8 mW cm-2), 369 (8.7 mW cm-2), 386 (5 mW cm-2) and 402 nm (17.7 +mW cm-2) using a tunable diode light source of Zahner CIMPS PP201 system. The illuminated surface area +was 0.94 cm2 and the power of each wavelength was measured using an external digital power meter +Thorlabs PM100D. The sample was illuminated for 1h and the reacting medium was a 1:1 vol/vol% +water:methanol mixture. The apparent quantum yield (AQY) was calculated according to the following +equation: + +𝐴𝑄𝑌 = 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑟𝑒𝑎𝑐𝑡𝑒𝑑 𝑒𝑙𝑒𝑐𝑡𝑟𝑜𝑛𝑠 +𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑖𝑛𝑐𝑖𝑑𝑒𝑛𝑡 𝑝ℎ𝑜𝑡𝑜𝑛𝑠 × 100 = 2 × 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑒𝑣𝑜𝑙𝑣𝑒𝑑 𝐻2 𝑚𝑜𝑙𝑒𝑐𝑢𝑙𝑒𝑠 +𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑖𝑛𝑐𝑖𝑑𝑒𝑛𝑡 𝑝ℎ𝑜𝑡𝑜𝑛𝑠 + + +The qNMR (quantitative nuclear magnetic resonance) analysis was used to investigate the rate of methanol +consumption during the photocatalytic hydrogen evolution. For this purpose, a 10 mL mixture of DI water: +CD3OD (volume ratio 1:1) was prepared. To have a detectable signal, 50 μL of non-deuterated methanol +(i.e. CH3OH) was added to the above mixture. The photocatalytic experiment was performed following the +same procedure explained above for hydrogen evolution measurements. At the specified times, 600 μL of +solution was taken by syringe and centrifuged at 15000 rpm for 30min to separate the catalyst. Then the +clear and transparent solution was transferred to a quartz NMR tube and 0.2 µL DMSO was added as +internal standard. The NMR spectra of the samples were recorded and the peak area of methanol at 3.32 +ppm was compared to the peak area of internal standard to study the rate of photocatalytic methanol +consumption over time. + +DFT calculations +Calculations were carried out by using the DFT-based Vienna Ab Initio Simulation Package (VASP) 13,14. +The projector-augmented-wave (PAW) formalism 15,16 was used to treat the electron–ionic core interactions. +A plane-wave basis with a 400 eV energy cutoff was used. Test calculations were also performed with +energy cutoff increased to 600 eV. Exchange and correlation effects were treated within a generalized- +gradient approximation (GGA) by using Perdew-Burke-Ernzerhof (PBE) functional 17,18. To counteract the +problems of standard density functionals associated with the self-interaction error (SIE) we applied on-site +Hubbard corrections 19 to both Ti-d and O-p states 20 with an effective U parameter of 6 eV. All +computations were performed in spin unrestricted manner. Brillouin zone samplings were kept restricted to +Gamma point only due to the supercell dimensions being sufficiently large. We modeled the (210) surface +of brookite by a bulk-terminated slab of 12 Ti-layers in thickness and 14.38 Å × 15.41 Å of surface area +and containing 432 atoms (see the structure shown in Figure S41) 21, and with a vacuum layer of length +∼20 Å deployed along the off-planar direction to ward off spurious interactions with the periodic images. +Except atoms in the middle part of the slab (area enclosed by green planes in the structure displayed in +Figure S41), all other atoms were relaxed until all forces were reduced below 0.025 eV/Å and the change +in total energy between successive iteration steps became smaller than 10−6 eV. +Several possible sites for oxygen vacancy formation were considered (and denoted by V1–V8 in the +structure in Figure S41) and the system was re-optimized. For oxygen vacancy defects present in the bulk +region of the slab, atoms in the immediate vicinity of the vacancy were allowed to relax too. +The effect of distortion of TiO6 octahedra on the electronic structure of brookite was also considered. Two +models were considered: (i) Several Ti-O axial distances were modified by up to ±0.1 Å and the change in +densities of states with respect to an ideal (210) surface of brookite was monitored. (ii) Randomly chosen +Ti-O distances were modified within ±0.1 Å and accompanied by a displacement of Ti atoms from its +equilibrium positions. + +S6 + +Supplementary Text + +Digital pictures of TiO2 photocatalysts +Upon reduction under hydrogen atmosphere at different temperatures, the color of synthesized brookite and +anatase samples changed from white to gray and black, while the commercial brookite showed a relatively +small color change (Table S1), suggesting its non-reducibility, as also confirmed by the other +characterizations reported below. + +Table S1. Digital photographs of as synthesized brookite (B-AS), as-received commercial brookite (CB- +AR), as-synthesized anatase (A-AS) and reduced samples at different temperatures. The numbers after +abbreviations stand for reducing temperature in °C. +Sample + +Sample + +Sample + +B-AS + +CB-AR + +A-AS + +B500 + +CB400 + +A400 + +B600 + +CB500 + +A500 + +B700 + +CB600 + +A600 + +B800 + +CB700 + +A700 + +B900 + +CB800 + + + +B1000 + + + + + + + +CHN elemental analysis +To exclude the contribution of carbon, nitrogen, and hydrogen impurities in the photocatalytic activity, +CHN analysis of TiO2 samples were carried out before and after reduction under hydrogen atmosphere for +the most active photocatalysts. As Table S2 shows, there is no significant difference between carbon, +nitrogen, and hydrogen concentration in the samples before and after the thermal treatment in hydrogen. + + +S7 + +Table S2. CHN analysis of the pristine and the most photoactive sample for brookite, commercial brookite +and anatase. +Sample +C (wt. %) +H (wt. %) +N (wt. %) +B-AS +0.25 ± 0.08 +0.27 ± 0.03 +0.12 ± 0.03 +B700 +0.19 ± 0.02 +0.07 ± 0.01 +0.03 ± 0.01 +CB-AR +1.22 ± 0.04 +0.83 ± 0.02 +0.07 ± 0.01 +CB600 +0.73 ± 0.05 +0.08 ± 0.01 +0.09 ± 0.03 +A-AS +1.03 ± 0.06 +1.43 ± 0.09 +0.11 ± 0.02 +A-500 +0.39 ± 0.06 +0.16 ± 0.05 +0.06 ± 0.02 + +Morphology of TiO2 photocatalysts +Figure S1A and Figure S1B show the TEM images of B-AS and B700, respectively. The as-synthesized +brookite nanorods have an average length of 90 ± 35 nm that after reduction under hydrogen atmosphere at +700°C decreased to 82 ± 28 nm. However, the reduction in high temperature resulted in aggregation of +particles due to sintering as well as losing their well-defined facets. Figure S2A and Figure S2B present the +TEM images of CB-AR and CB600, respectively. The particle shape of commercial brookite is rounded +(average diameter 29 ± 10 nm) in comparison with the synthesized brookite and showed almost no change +in shape and a slightly increase in size after reduction (average diameter 32 ± 7 nm). The as synthesized +anatase is spherical in shape with average diameter of 6 ± 1 nm (Figure S3) and its shape remained +unchanged with slighty increase in diameter after reduction (average diameter 8 ± 2 nm). + +S8 + + +Figure S1. TEM images of (A) B-AS and (B) B700 with associated histograms of size distributions +(bottom) based on 100 measurements of nanorods length. + +Figure S2. TEM images of (A) CB-AR and (B) CB600 with associated histograms of size distributions +(bottom) based on 100 measurements of particle diameter. + +A +B +100nm +100nm +45 +45 +B-AS +B700 +Counts +30 +30 +15 +15 +0 +0 +20 +50 +80 +110 +140 +170 +20 +50 +80 +110 +140 +170 +Size (nm) +Size (nm)A +B +50 nm +50nm +45 +CB-AR +CB600 +45 +Counts +30 +30 +15 +15 +0 +0 +10 +20 +30 +40 +50 +60 +10 +20 +30 +40 +50 +60 +Size (nm) +Size (nm)S9 + + +Figure S3. TEM images of (A) A-AS and (B) A500 with associated histograms of size distributions +(bottom) based on 100 measurements of particle diameter. + +A +B +40 nm +40nm +50 +50 +A-AS +A500 +Counts +35 +35 +20 +20 +5 +5 +2 +4 +6 +8 +10 +12 +14 +16 +2 +4 +6 +8 +10 +12 +14 +16 +Size (nm) +Size (nm)S10 + + +Figure S4. TEM images of (A) platinized pristine brookite and (B) platinized reduced brookite at 700°C +with associated histograms of size distributions of Pt particles (bottom) based on 100 measurements of +particle diameter. The loaded reduced brookite present large Pt aggregates and therefore the size distribution +refers to the isolated Pt nanoparticles found in the sample. The photodeposition of Pt results clearly in +different results: pristine brookite present isolated homogeneously dispersed Pt nanoparticles, while +reduced brookite show mainly large Pt aggregates and some isolated Pt nanoparticles. + + + + +A +B +50 nm +50 nm +B-AS/Pt +B700/Pt +39 +39 +Counts +Counts +26 +26 +13 +13 +0 +0 +1.0 +1.5 +2.0 +2.5 +3.0 +3.5 +1.0 +1.5 +2.0 +2.5 +3.0 +3.5 +Size (nm) +Size (nm)S11 + + + +Figure S5. (A,B) TEM and HR-TEM (C-F) micrographs of pristine brookite nanorods loaded with 1 wt% +Pt showing their homogeneous distribution over the TiO2 matrix. The darker dots are the Pt nanoparticles. + + + +Figure S6. (A-C) STEM-HAADF images and (D) elemental EDS mapping of (C) for pristine brookite +nanorods loaded with 1 wt% Pt showing their homogeneous distribution over the TiO2 matrix. + + +B +C +200 +200 nm +nm +D +nmA +B +HAADF +50 nm +50nm +60 nm +Ti +Pt +Tilo +Pt +60nm +60 nm +60nm +60 nmS12 + + +Figure S7. (A-C) TEM and HR-TEM (D) of micrographs reduced brookite nanorods (at 700°C) loaded +with 1 wt% Pt showing their aggregation over the TiO2 matrix. The darker dots and nanostructured +aggregates are made by Pt. + + + + +Figure S8. (A-C) TEM and HR-TEM (D) of micrographs reduced brookite nanorods (at 700°C) loaded +with 1 wt% Pt showing their aggregation over the TiO2 matrix. The Pt nanocrystals are the brighter spots. + + + + + + + +A +B +200nm +200nm +D +50 +nm +10nmA +B +50 nm +20 nmS13 + + +Figure S9. STEM-HAADF and elemental mapping images of reduced brookite nanorods (at 700°C) loaded +with 1 wt% Pt showing their aggregation over the TiO2 matrix. + + + +Figure S10. STEM-HAADF and elemental mapping images of reduced brookite nanorods (at 700°C) +loaded with 1 wt% Pt showing their aggregation over the TiO2 matrix. + + + + +HAADF +Ti +90 nm +90nm +90 nm +Pt +Tio +Pt +90 nm +90nmHAADF +Ti +60nm +60nm +60 nm +Pt +Tio +Pt +60nm +60nmS14 + +Specific surface area measurement +Figure S11 shows the nitrogen sorption isotherm profiles of the samples. In all cases, the BET surface area +decreases after reduction under hydrogen atmosphere at high temperature (Table S3). + +Figure S11. N2 adsorption/desorption type IV isotherms (mesoporous solids) at 77K for (A) B-AS and +B700, (B) CB-AR and CB600, and (C) A-AS and A500. +Table S3. Brunauer−Emmett−Teller (BET) specific surface area for the pristine and the most photoactive +sample of each studied phases of TiO2. +Sample +BET surface area +(m2 g-1) +anataseB- +AS +67 +B700 +47 +CB-AR +50 +CB600 +48 +A-AS +273 +A-500 +189 + +A +180 +B +STP) +STP) +10 +8 +135 +-B-AS Adsorption +CB-AR Adsorption +-B-AS Desoption +6 +CB-AR Desoption +90 +(cm3 +4 +45 +2 +Quantity Adsorbed +0 +0 +8 +135 +-B700 Adsorption +CB600 Adsorption +B700Desorption +6 +CB600 Desorption +90 +4 +45 +2 +0 +0 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +Relative Pressure (p/p°) +Relative Pressure (p/p°) +C +P180 +90 +45 +-A-As Adsorption +0 +-A-AS Desoption +135 +A500Adsorption +A500 Desorption +90 +45 +0 +0.0 +0.2 +0.4 +0.6 +0.8 +1.0 +Relative Pressure (p/p°)S15 + +Structural characterization +X-ray diffraction +XRD analysis (Figure S12 and Table S4) revealed that the synthesized brookite is crystalline and stable up +to 700°C. The sample treated at 800°C, instead, presented around 91 wt. % of rutile phase, while at 900°C +almost all the rutile is transformed to Magnéli phase Ti9O17. At 1000°C, the other Magnéli phases Ti4O7 in +94 wt. % and Ti5O9 in 6 wt. % were generated. +The phase stability of commercial brookite is up to 700°C (the same as synthesized brookite) and after that +reduction at 800°C induced the complete conversion to rutile (Figure S13 and Table S5). The XRD pattern +of as synthesized and reduced anatase (Figure S14) samples indicates that the as synthesized anatase +photocatalysts are stable at up to 500°C , while almost full conversion to rutile is obtained at 700°C (Table +S6). The average particle sizes obtained using the Scherrer method for commercial brookite and anatase +samples are in good agreement with those retrieved from TEM micrographs analysis. + +Figure S12. (A) XRD patterns of brookite samples and reference patterns for brookite (bottom) and rutile +(top). (B) XRD patterns for reduced brookite at 900 and 1000 °C and reference patterns (bottom) for rutile +and various magnéli phases (TixO2x-1). + +Figure S13. XRD patterns for commercial brookite samples and reference patterns for brookite (bottom) +and rutile (top). + +A +B +41-008-7847 +Rutile +B1000 +Intensity (a.u.) +B800 +B700 +B900 +B600 +(Ti,O1z) 00-050-0791 +B500 +(Ti,Og)04-005-4465 +B-AS +(Ti,07) 04-005-4521 +01-071-6410 +(Rutile) 01-071-6410 +Brookite +20 +40 +60 +80 +20 +40 +60 +80 +20 (°), Co-kα +20 (°), Co-kα(Rutile) 41-008-7847 +CB800 +Intensity (a.u.) +CB700 +CB600 +CB500 +CB400 +CB-AR +(Brookite) 01-071-641Q +20 +40 +60 +80 +20 (°), Co-kαS16 + + +Figure S14. XRD patterns for anatase samples and reference patterns for anatase (bottom) and rutile (top). + +Table S4. Phase composition of brookite samples retrieved from Rietveld refinement of XRD patterns. +Sample +Brookite +(wt.%) +Rutile +(wt.%) +Ti4O7 +(wt.%) +Ti5O9 +(wt.%) +Ti9O17 +(wt.%) +B-AS +100 +- +- +- +- +B500 +100 +- +- +- +- +B600 +100 +- +- +- +- +B700 +100 +- +- +- +- +B800 +9 +91 +- +- +- +B900 +- +9 +- +- +91 +B1000 +- +- +94 +6 +- + +Table S5. Rietveld quantitative phase analysis of commercial brookite samples and crystallite size +calculated according to the Scherrer method. +Sample +Brookite +(wt.%) +Anatase +(wt.%) +Rutile +(wt.%) +Crystallite size +(nm) +CB-AR +100 +- +- +27 +CB400 +100 +- +- +27 +CB500 +100 +- +- +28 +CB600 +100 +- +- +31 +CB700 +100 +- +- +41 +CB800 +- +- +100 +69 + + + + +41-008-7847 +Rutile +A700 +Intensity (a.u.) +A600 +A500 +A400 +A-AS +01-071-6410 +Anatase +20 +40 +60 +80 +20 (°), Co-kαS17 + +Table S6. Rietveld quantitative phase analysis of anatase samples and crystallite size calculated according +to the Scherrer method. +Sample +Anatase +(wt.%) +Rutile +(wt.%) +Crystallite size +(nm) +A-AS +100 +- +8 +A400 +100 +- +8 +A500 +100 +- +13 +A600 +68 +32 +24 +A700 +- +100 +28 +To investigate more in depth the structural modifications induced by the reduction treatment, we performed +detailed Rietveld refinements for the samples treated up to 700°C (Figure S15). All of the patterns are well +described by single phase of brookite TiO2 and, within the resolution of our measurements, we did not +detect any spurious crystalline phases. +Figure S1A and B shows the reduction temperature (T) dependence of the average particle size, D (nm), +and the average strain as obtained using the Williamson-Hall method. We observed a clear decrease of D +for T = 400°C followed by an increase of average particle size above this T. On the other hand, the average +particle strain weakly decreases at T=400°C keeping roughly the same value at higher T. This phenomenon +can be associated to particle sintering since the sudden aggregation of particle can result in an increase of +D owing to relieve of intraparticle tension by decreasing the overall particle strain. This is confirmed by the +annealing temperature evolution of component of empirical extension of anisotropic microstrain +broadening tensor refined by Rietveld refinements (Figure S1C). Indeed, we note a progressive convergence +of these parameters to the same values indicating that the evolution of Williamson-Hall strain is explained +by the tendency to form more isotropic particle aggregates at high annealing temperature. This +morphological observation is in agreement with the TEM micrographs of reduced brookite B700 (Figure +S1B), which confirm that brookite nanorods tends to aggregate in isotropic agglomerate upon reduction. +The tendency toward powder aggregation can also explain the disagreement between the average nanorod +lengths detected by TEM, both before and after reduction, and the average particle size retrieved by Rietveld +refinements. +Figure S1D shows the annealing temperature evolution of the refined lattice parameters. Orthorhombic +strain is defined as: +𝜂 = 2(𝑎 − 𝑏) +(𝑎 + 𝑏) + +where a and b are the unit cell axes. We observed that  remains almost unchanged for all the investigated +annealing temperature whereas the c-axis shows clear decrease. In other words, this indicates that the +annealing temperature does not affect the ab plane but induces distortion along the c-axis only. This +anisotropic evolution of structural parameters upon reduction is even better outlined by the interatomic +distances related to the TiO6 octahedra. TiO2 structure is composed of TiO6 octahedra, each with a titanium +atom at its center and oxygen atoms at its corners (Figure S1A). In brookite TiO6 are distorted oxygen atoms +in two different positions, namely O1, O2. This results in two groups of distances namely dTi-O1, dTi-O2 +(Figure S1B, C) which can be regrouped into two axial and four equatorial different interatomic distances +which have been averaged out and shown in Figure S1. Averaged axial distance expand upon increasing +temperature, whereas the average equatorial distances show a weak contraction. Both distances tend to the +same value and this may indicate that the annealing process induces the TiO6 to be more regular, i.e. +isotropic, and less distorted at high temperature. To figure out the effect of reduction treatment on the +brookite structure we argue that the reduction of TiO2 at high temperature creates oxygen vacancies (𝑉𝑂, + +S18 + +in Kröger–Vink notation) 22,23 and induces Ti3+ ions electron trapped in Ti4+ lattice sites ( 𝑇𝑖𝑇𝑖 +′ ) according +to the following relation: + +𝑂𝑂 +𝑥 + 2𝑇𝑖𝑇𝑖 +𝑥 + 𝐻2 → 𝑉𝑂 +•• + 2𝑇𝑖𝑇𝑖 +′ + 𝐻2𝑂 + +Two negatively charged 𝑇𝑖𝑇𝑖 +′ species can then couple with one double positive charged 𝑉𝑂 +•• promoting the +formation < 𝑇𝑖𝑇𝑖 +′ − 𝑉𝑂 +•• − 𝑇𝑖𝑇𝑖 +′ > defects. The mutual attraction between them can produce a contraction +of the structure to account for electron neutrality, which is fully in agreement with the observed c-axis +contraction upon reduction at high temperature. The reduction of Ti valence to produce 𝑇𝑖𝑇𝑖 +′ species, is +compatible with a depletion of ≈ - 0.5% as evidenced by bond valence sum (BVS) analysis, see for B700 +(Figure S1A). Further, the correlation between the BVS and c-axis contraction is shown in Figure S1B, +showing a nearly linear relationship between these two parameters and thus indicating that more 𝑉𝑂𝑠 are +induced by the reduction and more the c-axis resulted to be contracted. This highlights that reduction +treatment introduced an anisotropic and preferential deformation of the brookite lattice along the c-axis. + +Figure S15. Rietveld refinements of brookite samples reduced at different temperatures. Dots are +experimental data; continuous lines are the calculated profiles; Rietveld agreement factors [R (F2)] between +observed and calculated patterns ranged from 0.06 to 0.08. + +Intensity (a.u.) +B-AS +Experimental +Calculated +Residual +Intensity (a.u.) +B400 +Intensity (a.u.) +B500 +Intensity (a.u.) +B600 +Intensity (a.u.) +B700 +20 +30 +40 +50 +60 +70 +80 +90 +100 +20 (), Co-kaαS19 + + +Figure S16. Structural parameters retrieved from Rietveld refinements of XRD patterns for as synthesized +brookite and brookite reduced at different temperatures (i.e. annealing T in x axis). (A) Reducing +temperature dependence of average particle size (D), and (B) crystal structure strain as obtained by +Williamson- Hall (WH) method. (C) Annealing temperature evolution of components of empirical +extension of anisotropic microstrain broadening tensor (L) refined by Rietveld refinements. Indexes are +referring to the following expression: L = L11h2+L22k2+L33l2+2L12hk+2L13hl+2L23kl. (D) Annealing +temperature dependence of orthorhombic strain (see text) and c-axis (inset). + + + +A +390 +B +0.0014 +360 +0.0012 +330 + Strain +0.0010 +300 +D +WH +0.0008 +270 +0.0006 +240 +0.0004 +210 +0 +100 +200300400500 +600 +700 +800 +0 +100 +200300400500 +600 +700 +800 +Annealing T (°C) +Annealing T (°C) +C +D +0.4 +0.510 +0.3 +33 +E +0.509 +Orthorombic strain ( +0.2 +13 +23 +0.508 +Microstrain broadening +0.1 +0.507 +5.135 +0.0 +0.506 +5.134 +100200300 +400 +500600700800 +0.1 +Annealing T (°C) +0.505 +0 +100 +200 +300 +400 +500 +600 +700 +800 +0 +100 +200 +300 +400 +500 +600 +700 +800 +Annealing T (°C) +Annealing T (°C)S20 + + +Figure S17. (A) Representation of octahedra (TiO6) in TiO2 brookite unit cell (Pbca) showing the +arrangement of distorted TiO6 resulting in two groups of distances, namely dTi-O1 and dTi-O2, composed by +two axial and four equatorial different interatomic distances. Values refer to structure refined at room +temperature. (B) Evolution of axial and (C) equatorial interatomic distances retrieved from Rietveld +refinements of XRD patterns for as synthesized brookite and brookite reduced at different temperatures (i.e. +annealing T in x axis). Solid lines are guide to the eye. + +A +dT-011.913 A +T-02 1.918 A +Axial +.Equatorial +dT-01=1.943 A +Ti-021.918A +dt-011.955 A +2.082A +B +2.02 +Axial +Lo-!lp +dTi-02 +2.00 +1.98 +1.96 +1.94 +1.92 +1.90 +0 +200 +400 +600 +800 +C +Annealing T (°C) +2.10 +Equatorial +2.05 +dti-01 +dti-02 +di-01 +2.00 +1.95 +1.90 +1.85 +1.80 +0 +200 +400 +600 +800 +Annealing T (°C)S21 + + +Figure S18. Annealing Temperature dependence of averaged axial and equatorial interatomic retrieved +from Rietveld refinements of XRD patterns for as synthesized brookite and brookite reduced at different +temperatures (i.e. annealing T in x axis). + + +Figure S19. (A) Annealing Temperature dependence of Ti Bond Valence Sum (BVS) and (B) correlation +between Ti BVS and c-axis contraction retrieved from Rietveld refinements of XRD patterns for as +synthesized brookite and brookite reduced at different temperatures (i.e. annealing T in x axis). + + + +1.97 +1.96 +1.96 +1.95 +1.95 +1.94 +1.94 +Aaverage axial dti-o +1.93 +Aaverage equatorial dti-o +1.93 +0 +100 +200 +300 +400 +500 +600 +700 +800 +Annealing T (°C)A +4.17 +B +4.17 +4.16- +[B-AS +4.16. +4.15 +4.15 +TB600 +TB400 +S + 4.14 . +B700 +B500 +4.13 +4.13- +4.12 +4.12 +4.11 +4.11- +0 +100 +200 +300 +400 +500 +600 +700 +800 +5.134 +5.135 +5.136 +5.137 +5.138 +Annealing T (°C) +c-axis (A)S22 + +Raman spectroscopy +The crystal system of brookite is orthorhombic and has eight formula units per unit cell and thirty-six +Raman active modes (9A1g+9B1g+9B2g+9B3g) 24. The crystal system of anatase is tetragonal and has two +formula units per unit cell and six Raman active modes (A1g+2B1g+3Eg) 24. The crystal system of rutile is +tetragonal and has two formula units per unit cell and four Raman active modes (A1g+B1g+B2g+Eg) 24. +Raman spectra of synthesized and reduced brookite samples (Figure S20A) confirmed that the synthesized +brookite is stable up to 700°C and after that it transforms to rutile, as evidenced by the disappearance of +brookite peaks and appearance of rutile peaks in Raman spectra of B700 and B800. The same Raman modes +of rutile remained evident also for B900 and B1000, where an additional phase transition to Magnéli phases +is completed. The main Raman peak of as synthesized brookite at 147.3 cm-1 is blue shifted to 146.0 cm-1 +after reduction at 700°C. Moreover, there is a peak narrowing in the main peak due to the reduction +(FWHMB-AS = 15.82 cm-1, FWHMB700 = 12.81 cm-1). +Raman spectroscopy measurements also revealed that the commercial brookite sample is stable under +reducing conditions up to 600°C, after which, rutile Raman fingerprint developed. There is almost no peak +shift and no change in FWHM of the main peak (FWHMCB-AR = 16.41 cm-1, FWHMCB600 = 16.64 cm-1) +(Figure S20B), suggesting that no significant modifications occurred in the commercial brookite lattice +upon reduction at high temperature. +Figure S20C shows, instead, that anatase is stable up to 500°C in our reduction conditions showing also a +significant blueshift of the main Raman mode from 142.2 cm-1 for as-synthesized anatase to 134.6 cm-1 for +anatase reduced at 500°C. The same peak narrowed significantly from FWHMA-AS = 30.97 cm-1 to +FWHMA500 = 13.80 cm-1. +Several phenomena can give rise to TiO2 Raman peak shifting and broadening (or narrowing) 24–28 as +follows: (i) the lattice strain 26, (ii) the crystal size that could regulate the phonon confinement and the +Raman scattering (increasing in crystal size results in redshift and peak narrowing) 24, and (iii) the oxygen +stoichiometry, depending on the phase of TiO2, could affect the position of Raman peaks and also could +modify the FWHM 25. In the case of synthesized brookite and anatase, we observed a blueshift and peak +narrowing of the main Raman peak after reduction. Upon reduction, we detected a reduction of lattice +microstrain in brookite nanorods (Figure S20C) as well as an increase in the overall crystal size due to +nanorods aggregation. Therefore, we propose that the change in oxygen stoichiometry (as also evidenced +by the other characterizations reported) underlies the blue shift and the peak narrowing witnessed for both +brookite and anatase 25. In contrast, in case of commercial brookite neither peak shifting nor peak narrowing +(or broadening) were observed. This result confirms that the commercial brookite was not reduced under +reduction conditions as already suggested by UV-vis diffuse reflectance spectra analysis, TPR-MS +measurements, and also by the color of the samples, which did not change upon reduction treatment (Table +S1). + +S23 + + +Figure S20. Raman spectra of (A) as-synthesized and reduced anisotropic brookite samples, (B) as-received +and reduced commercial brookite samples, and (C) as-synthesized and reduced anatase samples. +Measurements performed with a 455 nm laser at a power density of 0.1 mW cm-2. The left part of each +panel is the zoomed view of the main Raman peaks. + + +B +Intensity (a.u.) +Intensity (a.u.) +3900 +CB800 +8800 +CB70C +B700 +CB600 +B600 +CB500 +B500 +B400 +CB400 +B-AS +CB-AR +130153100 +200 +300 +400 +500 +600 +700 +800 +130153100 +200 +300 +400 +500 +600 +700 +800 +Raman shift (cm-1) +Raman shift (cm-1) +C +Intensity (a.u.) +A700 +A600 +A500 +A400 +A-AS +120148100 +200 +300 +400 +500 +600 +700 +800 +Raman shift (cm-1)S24 + +Diffuse reflectance spectroscopy +The Tauc method 29 is one of the most common procedures for determining the bandgap of materials. This +method makes a relationship between absorption coefficient and optical bandgap of material base on the +following formula: +(𝛼ℎ𝜈)𝑛 = (ℎ𝜈 − 𝐸𝑔) +where, α is the absorption coefficient, h is the Plank constant, ν is the frequency of radiation and Eg is the +bandgap of material. The n factor depends on the nature of the electronic transitions and is equal to 2 for +TiO2 as it is an indirect band gap semiconductor 30,31. This method assumes that the scattering component +of the reflected irradiation is zero. However, in case of nanopowders with high amount of scattering, this +component could not be neglected. Therefore, the Kubelka-Munk theory is used to make an estimation of +absorption from reflectance according to the following formula 32: +𝐹(𝑅) = 𝛼 = 𝐾 +𝑆 = (1 − 𝑅)2 +2𝑅 + +where, R is the reflectance of the sample with infinite thickness to avoid any contribution of substrate, K +and S are the absorption and scattering coefficients, respectively. The bandgap of TiO2 can be retrieved +using the Tauc method as follows: +(𝐹(𝑅)ℎ𝜈)1/2 = (ℎ𝜈 − 𝐸𝑔) +From the Tauc plot, the x-axis intersection point of the tangent to the linear increase of light absorption in +the Tauc plot gives the band gap energy. This method is accurate and used here for determining the bandgap +energy of pristine TiO2 materials, while for reduced TiO2 powders the baseline method was employed to +calculate the bandgap 32. +Furthermore, we analyzed the Urbach tail in absorption spectra, as it originates optical transitions involving +intragap states related to defects 33–35. The Urbach energy can be calculated as follow 36,37: +𝛼 = 𝛼0 + exp ( 𝐸 +𝐸𝑢 +) +where α is the absorption coefficient, E is the photon energy equal to hν and Eu is the Urbach energy, which +can be retrieved by the reciprocal of the slope of the linear part of the curve. +Figure S21 shows the absorption spectra of as synthesized and reduced anisotropic brookite samples. As +expected, most of the UV light is absorbed owing to the wide band gap of brookite, which was found to be +comprised between 3.32 and 3.36 eV (Table S7) for all samples containing only the brookite phase (B-AS, +B500, B600, B700). A large shift in the absorption edge of B800 and B900 was observed due to the phase +change to rutile, with a corresponding decrease of bandgap values around 3.1 eV. The sample B1000 +absorbs almost the entire spectrum and it is not possible to calculate any bandgap. This can be ascribed to +a phase composition including several semimetallic (Magnéli) phases 38. The absorption of anisotropic +brookite samples in the visible region increases by increasing the temperature of reduction, which is +predictable from the color of powders, and it can be assigned to the introduction of oxygen vacancies and +Ti3+ electronic states. However, visible light has no influence in the photocatalytic activity of the reduced +brookite, as discussed in photocatalysis section reported above. Furthermore, in all of the samples, a change +in the Urbach tail due to the reduction at different temperatures was observed. It varied from 69 to 115 meV +passing from B-AS to B700, suggesting an increased population of point defects in TiO2. +Reflectance spectra for commercial brookite and synthesized anatase (with isotropic crystal shape) are +reported in Figure S22 and Figure S23. In addition, Table S8 and Table S9 provide the results obtained +from analysis of bandgap and Urbach energy of commercial brookite and anatase, respectively. It is +apparent from the results that in all cases the bandgap underwent to only a slightly modification after +reduction, remaining around 3.3 and 3.2, for commercial brookite and anatase, respectively. After phase +transformation to rutile (at 800°C in commercial brookite and at 600°C in anatase), bandgap values +decreased and Urbach energy increased. Furthermore, no change in color of the commercial brookite +samples was observed after reduction at different temperatures (Table S1), while in anatase samples the +color change from white to gray and black. The variations of Urbach energy is in agreement with this +observation: for commercial brookite it remained at a stable value of ~55 meV before and after reduction, + +S25 + +while for anatase Urbach energy increased from 115 (A-AS) to 205 meV (A500). These results further +confirmed that commercial brookite was hardly reducible, while defects could be introduced in the +synthesized anatase. + +Figure S21. (A) Diffusive reflectance spectra and (B) Tauc plots of as synthesized and reduced anisotropic +brookite samples. + + + +Figure S22. (A) Diffusive reflectance spectra and (B) Tauc plots of as received and reduced commercial +brookite samples. + + +A +100 +B +B-AS +B800 +80 +B500 +B900 +Reflectance (%) +B600 +B1000 +B700 +3.13eV +60 +40 +B-AS +B500 +B600 +20 +3.38ev +B700 +3.38eV +B800 +3.37 eV +B900 +3.32 eV +B1000 +0 +300 +500 +700 +900 +1100 +2 +3 +4 +5 +Wavelength (nm) +hu (eV)A +100 +B +CB-RT +CB400 +80 +CB500 +Reflectance (%) +(a.u.) +CB600 +CB700 +CB800 +60 +CB-RT +[F(R)hu]1/2 ( +CB400 +CB500 +40 +CB600 +3.04 eV +CB700 +CB800 +3.34 eV +20 +3.33 eV +3.34eV7 +3.32eV7 +3.32eV +0 +300 +500 +700 +900 +1100 +2 +3 +4 +5 +Wavelength (nm) +hu (eV)S26 + + +Figure S23. (A) Diffusive reflectance spectra and (B) Tauc plots of as synthesized and reduced anatase +samples. + +Table S7. Optical bandgap and Urbach energy of anisotropic brookite samples. +Sample +Optical bandgap (eV) +Urbach energy (meV) +B-AS +3.32 +69 +B500 +3.37 +67 +B600 +3.38 +104 +B700 +3.38 +115 +B800 +3.13 +155 +B900 +3.13 +- +B1000 +- +- + + +Table S8. Optical bandgap and Urbach energy of commercial brookite samples. +Sample +Optical bandgap (eV) +Urbach energy (meV) +CB-AR +3.32 +58 +CB400 +3.32 +55 +CB500 +3.34 +54 +CB600 +3.32 +56 +CB700 +3.34 +39 +CB800 +3.04 +36 + +A +100 +B +A-AS +A-AS +A400 +A400 +A500 +80 +Reflectance (%) +A500 +A600 +A600 +A700 +A700 +60 +3.09 +40 +3.09eV +20 +3.29 +3.20 eV +0 +300 +500 +700 +900 +1100 +2 +3 +4 +5 +Wavelength (nm) +hu (eV)S27 + +Table S9. Optical bandgap and Urbach energy of anatase samples. +Sample +Optical bandgap (eV) +Urbach energy (meV) +A-AS +3.20 +115 +A400 +3.29 +154 +A500 +3.26 +205 +A600 +3.09 +252 +A700 +3.09 +100 + + + + + + + +S28 + +Methanol photoreforming +In order to demonstrate the better photo-oxidation acitivty toward methanol of reduced brookite, we +performed a series of photocatalytic experiments detecting (1) the methanol consumption rate through 1H- +NMR spectroscopy and (2) the hydrogen evolution rate with GC for platinized B-AS and B700 (Figure +SS24-S25 and Figure 1 of the main text). +We did not detect any trace of formaldehyde nor formic acid in both liquid phase (through NMR analysis) +and gas phase (through GC analysis), suggesting that methanol oxidation proceeded toward CO2, as +confimed by the high reactivity of brookite samples toward the oxidation of formaldehyde and formic acid +solutions (Figure S27). + + + +Figure S24. 1H-NMR spectra of the solutions after photocatalysis at representative reaction times for B- +AS/Pt and B700/Pt samples. The blank samples were recorded by using solutions containing CD3OD, DI +water, and DMSO ((CH3)2SO) as the internal standard. In the other samples, an aliquot of 50 μL of CH3OH +was added to the solution and its photocatalytic consumption rate was measured by assessing the area of its +characteristic NMR peak. CHD2OH is the impurity presents in the deuterated methanol. + + + + + + + + + + + +F +AF +AF +B-AS/Pt 4h +B700/Pt 4h +0.05 +H +0 +0 +H-CO-H +H-C-O-H +工 +HsC-0~CH3 +0.03 +工 · +- +- +- +0.02 +D + H-C-O-H +- +H-C-O-H +- +1 +1 +0.00 +- +1 +- +1 +B-AS/Pt Oh +1 +1 +1 +B700/Pt0h +(a.u. +0.05 +1 +1 +1 +1 +- +- +- +- +1 +- +- +- +- +1 +- +0.03 +- +- +- +- +- +- +- +- +- +0.02 +1 +1 +- +- +- +/1 +1 +1 +0.00 +- +Blank +- +1 +Blank +0.05 +- +- +- +- +- +- +- +0.03 +- +- +- +0.02 +- +- +1 +- +- +1 +0.00 +1 +1 +AF +AF +3.40 +3.30 +3.20 +2.70 +2.60 +3.40 +3.30 +3.20 +2.70 +2.60 +ppm +wddS29 + +Table S10. Relative NMR integration values of MeOH signal to internal standard (DMSO) at different +reaction times for the pristine (B-AS/Pt) and reduced brookite (B700/Pt) samples. +Time (h) +B-AS/Pt +B700/Pt +-a +1.04a +0.92a +0b +1.03b +0.92b +2 +1.03 +0.88 +4 +1.02 +0.85 +6 +1.02 +0.83 +8 +1.01 +0.83 +10 +1.02 +0.82 +16 +0.99 +0.78 +24 +0.96 +0.75 +aBlank measurements with no photocatalyst, but in the presence of the reagents d4-MeOH (5 mL), H2O (5 +mL), MeOH (50 μL), and DMSO (2 μL). +bResults were obtained after addition of the photocatalysts (B-AS-Pt and B700-Pt) to the solutions and +stirring for 30 min in the absence of light to allow for reaching the adsorption/desorption equilibrium. + + + + +Figure S25. Dynamic Light Scattering (DLS) measurements analysis showing the hydrodynamic diameter +evolution of the B700/Pt catalysts during the reaction. + +200 +400 +600 +800 +0 +14 +28 +42 +0 +14 +28 +42 +0 +14 +28 +42 +0 +14 +28 +42 + +diameter (nm) + 0h + +Intensity (%) + 4h + + 16h + + + 24h + +S30 + + +Figure S26. Hydrogen evolution kinetics for B-AS/Pt and B700/Pt under one sun illumination. + + + + + +Figure S27. Hydrogen amount evolved from five consecutive photocatalytic cycles for B700/Pt during +methanol photoreforming under 1 Sun illumination. + + + + + + + + + + + + +0 +5 +10 +15 +20 +25 +0 +500 +1000 +1500 +2000 +2500 +Amount of H2 (mmol m-2) +Time (h) + B700/Pt + B-AS/Pt +0 +24 +48 +72 +96 +120 +0.0 +0.5 +1.0 +1.5 +2.0 +2.5 +3.0 +Amount of evolved H2 (mmol m-2) +Time (h) + +S31 + + +Figure S28. Specific hydrogen evolution rate obtained for samples loaded with 1 wt.% Pt by normalizing +the photocatalytic rates by BET specific surface area for the as-received (CB-AR/Pt) and the most active +reduced commercial brookite (CB600/Pt), and as-synthesized (A-AS/Pt) and the most active reduced +anatase (A500/Pt). + + + + + +Figure S29. Photocatalytic hydrogen evolution rate optimized per mass of used photocatalyst for (A) for +B-AS/Pt and B700/Pt; (B) A-AS/Pt and A500/Pt under one sun illumination. + + +9 +5 +4 +3 +2 +工 +0 +CB-AR/Pt +CB600/Pt +A-AS/Pt +A500/PtA +B +10 +10 +B-AS-Pt +A-AS-Pt +B700-Pt +A500-Pt +8 +(μmol h-1) +8. +6 +evolution rate +4 +? +2 +I/ +0 +0 +2 +4 +6 +8 +10 +0 +2 +4 +6 +8 +10 +Amount of photocatalyst (mg) +Amount of photocatalyst (mg)S32 + + +Figure S30. (A) Hydrogen production rate from different intermediates of methanol oxidation +(formaldehyde and formic acid) of as-synthesized (light blue) and reduced at 700°C (dark blue) brookite +samples loaded with 1 wt.% Pt. These experiments confirmed GC analysis of the gas phase (i.e., we detected +only carbon dioxide) and NMR analysis of the liquid phase after reaction (i.e. we did not detect any signal +related to formaldehyde nor formic acid) indicating that the methanol photo-oxidation proceeded to carbon +dioxide, due to reactivity of brookite nanorods toward oxidation of the intermediates (formaldehyde and +formic acid) of methanol oxidation. Photolysis of formaldehyde under AM 1.5G 1sun illumination +produced a very small hydrogen production rate, namely, ~85 nmol m-2 h-1. + + +45 +40 +2 prod. rate (μmol h-1 m*2 +35 +30 +25 +20 +15 +H2 +10 +5 +0 +Formaldehyde +Formic acidS33 + + +Figure S31. Co-catalyst free rate of hydrogen evolution of TiO2 samples tested under 1 Sun illumination +for 24 h and reduced under pure hydrogen for 1 h: (A) brookite nanorods, (B) brookite nanorods reduced +at 700°C for different times, (C) commercial brookite, and (D) synthesized anatase. We report the specific +H2 evolution rate only for the most performing sample for each series in Figure S29. + + + +A +50 +B +50 +40 +40 +30 +30 +20 +20 +10 +10 +H2 +0 +B1000 +0 +B-AS +B500 +B600 +B700 +B800 +B900 +0.5h +1 h +2 h +Timeofreductionat7oo°c +C +D +40 +12 +10 +26 +30 +jowm) +8 +evolutionrate +20 +6 +4 +10 +2 +0 +0 +CB-RT +CB400 +CB500 +CB600 +CB700 +CB800 +A-AS +A400 +A500 +A600 +A700S34 + + +Figure S32. Specific hydrogen evolution rate obtained by normalizing the photocatalytic rates by BET +specific surface area for as-synthesized (B-AS) and the most active reduced brookite (B700), as-received +(CB-AR) and the most active reduced commercial brookite (CB600), and as-synthesized (A-AS) and the +most active reduced anatase (A500). +The specific photocatalytic H2 evolution rates expressed in µmol m-2 h-1 shown in Figure S29 underly that +nanorods of reduced brookite (B700) have a specific photocatalytic activity that is 4.4-, 5.6-, and 5.7-fold +the ones of as synthesized brookite (B-AS), reduced commercial brookite (CB600), and reduced anatase +(A500), respectively. These results demonstrate that higly active sites for photocatalysis are formed in B700 +upon reduction under hydrogen atmosphere. Interestingly, when we performed H2 evolution experiments +with B700 in H2O/methanol under 1 sun light irradiation and applying a longpass optical filter to cutoff λ +≥ 380 nm, i.e. cutting optical excitation above bandgap energy, we did not detect any H2 after 24 h of +reaction. This finding suggests that the intragap electronic states due to the introduction of defects in TiO2 +upon reduction (see materials characterization and DFT calculations below) do not directly participate to +the photocatalytic activity in the H2 evolution reaction. Further, experiments performed under full 1 sun +illumination and using Na2S (0.1 M) instead of methanol as a hole scavanger, did not produce any H2 +suggesting that the H2 evolution activity of our reduced brookite is regulated by its selective methanol +photo-oxidation ability. This is supported by the photocatalytic experiments carried out using different +alcohols (Figure 1 main text). + + + + +1.0 - +m +h-1 +0.8- +(μmol I +0.6- +0.4- +0.2 +0.0 +s +CB-AR +CB600 +S +A +1 +B7 +BS35 + +Electron paramagnetic resonance spectroscopy +In order to identify the nature of spin containing sites and their contribution to photocatalysis we used +electron paramagnetic resonance (EPR) spectroscopy. Three samples have been tested, which differ in the +annealing temperature in hydrogen atmosphere, B-AS, B500, and B700. We investigated these samples in +powder form and in situ under photocatalytic conditions by using a water/methanol (MeOH) matrix. + +Figure S33. X-band EPR spectra (9.1 GHz, T = 77 K) of (A) B-AS, (B) B500, and (C) B-700 recorded in +powder form and measured in dark (blue lines) and under UV irradiation (red lines). +The EPR spectrum of B-AS in powder form shown in Figure SA exhibits a broad resonance, centered at g + 2.0. This signal arises from delocalized defects and presence of significant strains in the crystalline lattice, +due to the synthetic procedure pursued. Following irradiation, a new resonant line appears in the spectrum, +around g = 2.017. This signal originates from holes/oxygen-based radicals. From the double integration of +the EPR signal recorded in light and dark conditions, we calculated an increase of about 25.6% in the total +number of spin contacting sites after illumination. The observed increase in spin concentration indicates +that fast electron/hole recombination processes are here hindered; thus, the photogenerated states are rather +stable. +The EPR trace of B500 in powder form, on the contrary, is very strong and it is dominated by a sharp +resonant line at g=1.997 (Figure S30B). This resonance arises from localized lattice embedded Ti3+ sites in +an octahedral field. Upon the UV irradiation, we witness an increase of the signal in the region of the + +A +B +B-AS +B500 +UV-On +UV-On +UV-Off +UV-Off +2.2 +2.1 +2.0 +1.9 +1.8 +2.2 +2.1 +2.0 +1.9 +1.8 +g-value +g-value +B700 +"/dB (a.u.) +UV-On +UV-Off +2.2 +2.1 +2.0 +1.9 +1.8 +g-valueS36 + +spectrum associated to oxygen-based radicals at g=2.017. In this case, the double integrated EPR signal +shows after UV light exposure and increase in the total number of spins of 13.7%. Therefore, the +photoexcited states are here less stable than in B-RT and fast e-/h+ recombination processes occur in this +sample. + +Figure S34. X-band EPR spectra (9.1 GHz, T = 77 K) of three samples studied (A) B-AS, (B) B500, and +(C) B700 dispersed in the frozen solution of DI water and methanol (1:1, volume ratio) recorded in dark +(blue lines) and under UV irradiation (red lines). + +The sample B700 in powder form in the dark (Figure SC) gives a weaker EPR signal compared to B500, +although being qualitatively similar. The major difference between B700 and B500 appears, in the former, +to be linked with a larger distribution in crystal field strain (octahedral to rhombic) associated to the Ti3+ +spins due to structural defects. Upon UV irradiation, an increase of 56.6% in spin concentration was +observed. This behavior is interpreted as due to the high stability of photoexcited states and slow +recombination processes in the material, i.e. in B700 in powder form we observed the highest increase of +paramagnetic species accumulating under irradiation. +It is worthy to point out that the most efficient sample in hydrogen production and methanol consumption +is B700, which gives indeed the weakest intensity in the EPR powder spectrum among the series here + +A +B +B-AS +B500 +UV-On +UV-On +UV-Off +UV-Off +2.2 +2.1 +2.0 +1.9 +1.8 +2.2 +2.1 +2.0 +1.9 +1.8 +g-value +g-value +C +B700 +UV-On +I/dB (a.u.) +UV-Off +2.2 +2.1 +2.0 +1.9 +1.8 +g-valueS37 + +shown. Therefore, the number of spins recorded by EPR do not directly correlate with the system reactivity +and its overall efficiency in the catalytic process. +To unveil in more detail the reasons underlying the different efficiency in the hydrogen production recorded +in this series of tested materials, we performed a set of experiments under in situ photocatalytic conditions. +In our experiments, 10 mg of materials were dispersed in 100 µL of solution of deionized (DI) water and +MeOH (50:50). Under dark conditions the EPR fingerprints in frozen solutions of B-AS, B500, and B700 +(Figure S32A-E) appear very similar to those observed in their correspondent powder forms in contact with +N2. However, upon irradiation, significant differences in the ability of MeOH molecules to quench the +photogenerated holes emerged. In particular, while in B-AS and B700 the interaction of MeOH molecules +with photogenerated h+ seems more effective, in B500 is not, as validated from the appearance of a strong +peak at g=2.017 associated to accumulation of holes. Therefore, the decreased catalytic efficiency of B500 +compared to B-AS and B700 arises from combination of two factors, i) fast electron/hole quenching during +photoexcitation and ii) when holes are formed they do not tend to react with MeOH molecules, which +translates into a lower probability of successful delivery of electrons for hydrogen production. From time- +resolved PL measurements, however, the average lifetime of charge carriers is similar for both B500 (1.9 +ns) and B700 (2.0 ns), suggesting how the reaction between holes and methanol is a determining factor +addressing the photocatalytic activity trend. + + +Figure S35. (A) an illustrative EPR envelope of B700 in contact with N2 at 80K (grey spectrum) together +with individual components (C1-C6) derived from simulation and discussed below, (B-E) comparisons of +EPR spectra of B700 recorded in different conditions together with theoretically proposed model. + +The simulation and deconvolution of EPR spectra for samples B700 in light and dark conditions in contact +with N2 (in powder form) and DI water: MeOH (1:1, volume ratio) at 80K is shown in Figure S32. By +deconvolution of EPR spectra we simulated the possible model of paramagnetic species present in the +sample B700, which can be applied on all related spectra just by varying the proportions of individual +components. We assigned five main species commented bellow. + +Component C1: g=2.059 related to peroxyl radicals (Ti-O-O•) on the surface. +Component C2: S=1/2 system associated with a trapped hole (O-centre) in the lattice with gx=2.038, +gy=2.017 and gz=1.999. + +A +B +Experiment +D +Experiment +C5 +Simulation +Simulation +C5 +C4 +C3 +B700/N2 +B700/DI/MeOH +[a.u] +Uv off +Uv off +/dB +c +Experiment +E +Experiment +Simulation +Simulation +C2 +C1 +B700/N2 +B700/DI/MeOH +Uv On +UV On +280 +300 +320 +340 +360 +B [mT]S38 + +Component C3: surface exposed Ti3+ centres which are highly disordered, and which give wide resonant +line at g=1.935. +Component C4: sharp isotropic signal at g=1.992, we assume that this signal is associated with interstitial +Ti3+ sides in pseudo octahedral positions. +Component C5: typical axial signal arising from Ti3+ in regular lattice positions with gx,y=1.978 and +gz=1.952. +Component C6: Ti3+ in the lattice located in some sublayer under the surface, where are lattice parameters +slightly shortened and therefore g value is smaller comparing to C5, to be precise gx,y=1.963 and gz=1.944. + + + + +S39 + +Photoluminescence (PL) and time-resolved photoluminescence (TRPL) spectroscopy +Photoluminescence spectroscopy is a powerful technique for studying the radiative recombination of +electrons and holes that populate intragap energy positions and that are due to the presence of structural +defects in semiconducting materials 39. Photoluminescence spectroscopy is often used in the literature to +reconcile charge carrier recombination phenomena occurring in TiO2 and its photocatalytic activity 40–42. +At first approximation, an higher PL intensity and lower PL lifetime underlie a higher electron and hole +recombination rate and consequently a lower photocatalytic activity. However, the way radiative +recombination processes may bring insight to photocatalytic activity also relates to: (i) the position of +structural defects into the TiO2 lattice (i.e. surface, subsurface, bulk) that, in turn, influences the energy +distribution of electronic states due to defects (and therefore also the energy distribution of PL spectra), and +(ii) how PL intensity and energy distribution change upon exposure to molecules employed in the +photocatalytic tests as a hole scavenger (i.e. methanol). +To examine the luminescence behavior of our TiO2 samples, we measured PL map spectra using several +excitation wavelengths from 258 to 590 nm (4.8 eV down to 2.1 eV) and monitoring PL emission in the +energy range from 364 to 730 nm (3.4 eV down to 1.7 eV). The samples were measured initially in the solid +state at the temperature 80 K in contact with N2 atmosphere. The PL maps for as synthesized brookite and +B700 (the most active photocatalyst) are reported in the main text (Figure 2), while PL maps for B500, +B600 and B800 are illustrated in Figure S36. From these PL maps, it is evident that PL intensity and energy +distribution changed in each sample depending on the reduction temperature, suggesting that recombination +centers (i.e. defects) re-organized and moved within the brookite lattice upon reduction at increasing +temperatures 23,43. A similar phenomenon was observed for each set of samples investigated, namely +commercial brookite (Figure S37) and anatase (Figure S38). Within the synthesized brookite series, the +most intense PL signal was recorded for B700 ≈ B-AS > B500 > B600 > B800. According to the XRD +results, the sample B800 is already transformed to rutile phase and for this reason show a very weak PL in +the investigated emission energy range. It is interesting to note that B-AS presents PL signal only when +excited with above-bandgap photons, while B700 highlights a complex PL signal even for below-bandgap +excitations, demonstrating that reduction modified the electronic structure of reduced brookite. In order to +investigate more in depth this aspect, we deconvoluted the PL spectra of synthesized and reduced brookite +(Figure S39) obtained using an excitation wavelength 340 nm (3.6 eV, above-bandgap). The spectra were +fitted by 4 components peaking at 450, 490, 545 and 620 nm (2.75, 2.53, 2.27 and 2.0 eV, respectively). In +each case, the peak position and the full width at half maximum (FWHM) of the deconvoluted peaks were +kept the same and just the intensity of peaks was free to change. +Generally, it has been shown that anatase and brookite exhibit distinct PL bands in the visible region of the +electromagnetic spectrum 44. The well-accepted interpretative model 39 for these emissions include the +presence of the main visible emission is composed of a green component (“type 1 PL” or “green PL”), at +higher energies, due to recombinations between shallowly trapped electrons (or conduction band electrons) +and deeply trapped holes, and a red component (“type 2 PL” or “red PL”), at lower energies, due to +recombinations between valence band holes and deeply trapped electrons 45–49. Spectra deconvolution +reported in Figure S39 show that the weight of different PL components in our brookite samples +significantly changes upon treatment in hydrogen at increasing temperatures. Importantly, the most intense +PL components for B-AS are those at 2 and 2.27 eV, while for B700 (i.e. the most active photocatalyst), +the higher energies PL components become dominant. The experimentally determined valence band +photoemission spectra recorded at synchrotron using photon energy in resonance with the titanium x-ray +absorption edge (Figure 3A in the main text) show that in case of B-AS, the native oxygen vacancies present +in the brookite induced a distribution of intragap states acting as deep electronic traps, while for B700 a +more defective structure induced a valence band tailing, offering therefore electronic states that may host +deeply/shallowly trapped holes. These findings demonstrates that the PL emissions observed for our +samples are in agreement with the proposed mechanism about “green and red PL”. The different PL +behavior in B-AS and B700 therefore remarks that the reduction treatment introduce different defects that +have a different PL signatures and influence in different way the photocatalytic activity of brookite samples. +These results reflect those of Vequizo et al. 50 who also found that the presence of an appropriate depth of + +S40 + +the traps can effectively contribute to enhance the overall photocatalytic activity of TiO2. They found that +in case of as synthesized brookite, the moderate depth of electron traps in comparison with the anatase and +the rutile phase with shallow and deep electron traps, respectively, help brookite to be active for the both +oxidation and reduction reactions. In our case, instead, we provide evidences that recombinations centers +in reduced brookite are those defects that regulate the photo-oxidation reaction during H2 evolution from +methanol/H2O photoreforming. Further, PL maps recorded in the presence of methanol (Figure 2 in the +main text) show for both B-AS and B700 that the radiative recombinations are almost completely quenched +in these conditions, confirming the proposed PL mechanism and the fact that during photocatalysis holes +are mainly employed for the photo-oxidation reaction. +Figure S40 shows the TRPL of as-synthesized (received) and reduced samples, while Table S10 shows the +fitted parameters employed to calculating the average electron life time of each sample. In all cases, the +amplitude of the slow component (B1) is higher than the amplitude of the fast component (B2). The average +electron lifetime (τave) of reduced samples, in all cases, is less than that of the corresponding pristine +samples. This behavior of reduced TiO2 samples suggests that after reduction, the defective centers are +responsible for a faster charge carrier recombination 51. Importantly, the results from TPRL measurements +demonstrates that the improved photocatalytic activity of our reduced TiO2 (B700, A500, CB600) is not +due to an improved photo-induced charge separation, as shown previously in other TiO2 systems 52,53. In +contrast, in this case it is regulated by other parameters such as the photo-reactivity of the heterogeneous +catalytic sites formed around oxygen vacancies and comprised of several Ti atoms sharing extra charge (see +DFT calculations below) and lattice distortions (see XRD analysis). + +Figure S36. PL maps for (A) B500, (B) B600, and (C) B800. The measurement temperature was 80 K +under N2 atmosphere. + +A +B +2.1 +2.8x104 +2.1 +2.8x104 +B500-N2 +2.5x104 +B600-N2 +2.5x104 +2.3 +2.2x104 +2.3 +2.2x104 +(a.u.) +1.u. +2.0x104 +2.0x104 +2.7 +2.7 +1.7x104 +intensity +1.7x104 +intensity +1.4x104 +1.4x104 +3.1 +1.1x104 +3.1 +1.1x104 +8.4x103 +8.4x103 +PL +3.8 +P +3.8 +5.6x103 +5.6x103 +2.8x103 +2.8x103 +4.8 +0.0 +4.8 +0.0 +3.4 +2.9 +2.4 +2.1 +1.9 +1.7 +3.4 +2.9 +2.4 +2.1 +1.9 +1.7 +Emissionenergy(eV) +Emission energy (eV) +C +2.1 +2.8x104 +B800-N2 +2.5x104 +2.3 +2.2×104 +PL intensity (a.u.) +2.0x104 +2.7 +1.7x104 +1.4x104 +3.1 +1.1x104 +8.4x103 +3.8 +5.6x103 +2.8x103 +4.8- +0.0 +3.4 +2.9 +2.4 +2.1 +1.9 +1.7 +Emission energy (eV)S41 + + +Figure S37. PL maps for (A) as-received commercial brookite and (B) reduced commercial brookite at +600°C. The measurement temperature was 80 K under N2 atmosphere. + + +A +B +2.1 +2.1 +1.3x105 +1.3x105 +(eV) +(eV) +CB-AR +1.2x105 +CB600 +1.2x105 +2.3 +1.0x105 +2.3 +1.0x105 +Tenergy +intensitv(a.u.) +lenergy +(a.u.) +9.0x104 +9.0x104 +2.7 +7.7x10 +2.7 +7.7x104 +intensity +6.4x104 +6.4x104 +Excitation +Excitation +3.2 +5.1x104 +3.2 +5.1x104 +3.9x104 +PL +3.9x104 +P +3.9 +2.6x104 +3.9 +2.6x104 +1.3x104 +1.3x104 +5.0 +0.0 +5.0 +0.0 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +Emissionenergy(eV) +Emissionenergy(eV)S42 + + +Figure S38. PL maps for (A) as-synthesized anatase, and reduced anatase at (B) 400°C, (B) 500°C, (B) +600°C, and (B) 700°C. The measurement temperature was 80 K under N2 atmosphere. + + + +A +1.8 +B +1.8 +7x104 +7x104 +(eV) +6x104 +(eV) +A-AS +A400 +6x104 +Excitation energy ( +2.0 +5x104 +2.0 +intensity (a.u.) +5x104 +PL intensity (a.u.) +5x104 +2.4 +4x104 +2.4 +3x104 +2.9 +3x104 +2.9 +2x104 +2x104 +3.6 +1x104 +3.6 +1x104 +7x103 +7x103 +5.0 - +5.0 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +Emission energy (eV) +Emission energy (eV) +C +1.8 +D +7x104 +1.8 +7x104 +(eV) +(eV) +A500 +6x104 +A600 +6x104 +2.0 +5x104 +2.0 +Excitation energy ( +5x104 +intensity (a.u.) +Excitation energy +PL intensity (a.u.) +5x10* +5x104 +2.4 +4x104 +2.4 +3x104 +3x104 +2.9 +3x104 +2.9 +3x104 +2x104 +2x104 +3.6 +1x104 +3.6 +1x104 +7x103 +7x103 +5.0 +5.0 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +Emissionenergy(eV) +Emissionenergy(eV) +E +1.8 +A700 +0.9 +Normalized PL intensity +2.0 +2.4 +0.6 +0.5 +2.9 +0.3 +3.6 +0.2 +0.1 +5.0 +3.4 +2.7 +2.2 +1.9 +1.6 +1.5 +Emission energy (eV)S43 + + +Figure S39. (A) Deconvoluted PL spectra for as-synthesized and reduced brookite samples, using an +excitation energy 3.6 eV. (B) PL peak area related to each component retrieved from deconvolution and +centered at 2, 2.27, 2.53, 2.75 eV. Both peak energy and width of each component were kept constant in +each sample. + +A +EmissionEnergy(eV) +B +B-AS +3.10 +2.76 +2.48 +2.25 +2.07 +1.91 +1.77 +1.65 +B500 +B-AS +B600 +13 +B700 +(a.u.) +PL intensity (a.u.) +13 +B500 +area +13 +B600 +peak +B700 +Experimentaldata +Fitteddata +Component4 +Component3 +Component2 +Component1 +400450500550600 +650700 +750 +Emissionwavelength(nm) +2.75 eV +2.53 eV +2.27 eV +2.0eVS44 + + +Figure S40. Time–resolved photoluminescence spectra of (A) brookite reduced at 500°C and 600°C, (B) +as-received and reduced commercial brookite at 600°C, and (C) as-synthesized and reduced anatase at 400, +500, and 600°C. The dots are experimental data and the solid lines are the fitted curve. The τave is the average +electron lifetime extracted from the fitting. + + + +A +B +100 +B500 +Tave = 1.9 ns +100 +CB-AR Tave = 3.1 ns +B600 +CB600 tave = 2.6 ns +Tave = 1.8 ns +PL Intensity (a.u.) +PL Intensity (a.u.) +10-1 +10-1 +10-2 +10-2 +0 +5 +10 +15 +20 +0 +5 +10 +15 +20 +Time (ns) +Time (ns) +c +100 +A-AS +Tave = 17.7 ns +A400 +Tave = 2.3 ns +PL Intensity (a.u.) +A500 +tave = 2.3 ns +A600 +tave = 4.3 ns +10-1 +10-2 +0 +5 +10 +15 +20 +Time (ns)S45 + +Table S10. Time–resolved photoluminescence fitted parameters for as-synthesized (as-received) and +reduced samples at different temperatures. +Sample +B1, % +τ1, ns +B2, % +τ2, ns +τave, ns +B-AS +85 +1.2 +15 +8.6 +5.3 +B500 +87 +0.7 +13 +3.6 +1.9 +B600 +91 +0.6 +9 +3.7 +1.8 +B700 +90 +0.8 +10 +4.0 +2.0 +A-AS +80.2 +1.8 +19.8 +22.7 +17.7 +A400 +85.1 +1.1 +14.9 +4.1 +2.3 +A500 +84.7 +0.9 +15.3 +4.1 +2.3 +A600 +95.4 +1.0 +4.6 +10.8 +4.3 +CB-AR +100.0 +3.1 +- +- +3.1 +CB600 +77.1 +0.9 +22.9 +3.9 +2.6 + + + +S46 + +Electronic characterization + +Photoemission spectroscopy + +We examined the electronic state of elements at the surface of the as-synthesized (received) and the best +reduced samples using an XPS laboratory source. Figure S compares the XPS survey spectra of samples +before and after reduction treatment. An important finding from these survey spectra is that the samples are +not contaminated during the reduction process, as already confirmed by CHN analysis (Table S2), since +there is no difference between total XPS survey before and after process. This observation supports our +hypothesis that all of the changes in photoactivity of the samples are due to the reduction process and not +due to materials contamination. The C1s peak at 284.8 eV was used as a reference for the energy scale to +compensate the charging effect of the samples (all spectra were shifted according to this reference). +However, the observed difference between XPS spectra of Ti2p and O1s for pristine and reduced samples +were not significant. A possible explanation for this might be that the amount of changes in the lattice of +TiO2 induced through reduction are below the detection limit of XPS 38 or the reduced species like Ti3+ can +be easily oxidized by exposure to the ambient air 54. Since, no difference was detected in XPS analysis +between the samples before and after reduction, we used synchrotron-based XPS (VUV-Photoemission +beamline, Elettra) to study them in more detail. Figure S39 shows the synchrotron-based XPS Ti2p spectra +of the pristine and the most photoactive sample of brookite. There is no evidence of an increase in Ti3+ +species after reduction. Additionally, synchrotron-based XPS study of O1s orbital of the pristine and the +most photoactive sample of brookite (Figure S40) reveals about 18% increase in OH groups on the surface +of TiO2 after reduction. This supports the water dissociation on superficial defects created upon reduction +treatment, see more details in the mechanism part below. + + + +S47 + + +Figure S41. (A) XPS survey spectra of the pristine and the most photoactive sample of brookite (left), +commercial brookite (middle) and anatase(right) (B) High resolution XPS spectra of the pristine and the +most photoactive sample of brookite (left), commercial brookite (middle) and anatase.(right) of (B) C1s, +(C) Ti2p and (D) O1s orbitals. + +A +B-AS +01s +CB-AR +01s +A-AS +01s +B700 +CB600 +A500 +(a.u.) +dz !↓ +Intensity (a.u.) +Intensity (a.u.) +dz !! +2 +AURL. +dz ! +S Ti LMM-2 +Ti2s +STi LMM-2 +Intensity ( +C 1s +2.3 +1000 +800 +600 +400 +200 +0 +1000 +800 +600 +400 +200 +0 +1000 +800 +600 +400 +200 +0 +Binding energy (eV) +Binding energy (eV) +Binding energy (eV) +B +(a.u.) +B-AS +C 1s +Normalized intensity (a.u.) +CB-AR +C 1s +Normalized intensity (a.u.) + A-AS +C 1s +B700 +CB600 +A500 +Normalized intensity +290 +288 +286 +284 +282 +281 +292 +290 +288 +286 +284 +282 +28 +290 +288 +286 +284 +282 +280 +Binding energy (eV) +Binding energy (eV) +Binding energy (eV) +c +(a.u.) +B-AS +Normalized intensity (a.u.) +CB-AR +Ti 2p +Ti 2p +A-AS +Ti 2p +B700 +CB600 +A500 +Normalized intensity +Normalized intensity ( +468 +464 +460 +456 +45 +468 +464 +460 +456 +45 +468 +464 +460 +456 +452 +Binding energy (eV) +Binding energy (eV) +D +Binding energy (eV) +(a.u.) +B-AS +Normalized intensity (a.u.) +CB-AR +(a.u.) +A-AS +0 1s +0 1s +0 1s +B700 +CB600 +A500 +Normalized intensity +Normalized intensity ( +536 +534 +532 +530 +528 +526 +536 +534 +532 +530 +528 +52 +536 +534 +532 +530 +528 +526 +Binding energy (eV) +Binding energy (eV) +Binding energy (eV)S48 + + +Figure S42. Synchrotron-based XPS spectra in the Ti 2p region of pristine brookite (B-AS), the most +photoactive brookite sample (B700). + + +Figure S43. Synchrotron-based XPS spectra of the pristine (top) and the most photoactive sample of +brookite (bottom), O1s orbital. +468 +466 +464 +462 +460 +458 +456 + +Binding energy (eV) + B-AS + Fit + Ti4+ + Ti3+ +2p3/2 +2p3/2 +2p1/2 + B700 + Fit + Ti4+ + Ti3+ + +Intensity (a.u.) +2p1/2 + +B-AS +Fitted +O 1s (76%) +Intensity (a.u.) +OH (24%) +B700 +Fitted +O 1s (58%) +Intensity (a.u.) +OH (42%) +536 +535 +534533532531530529 +528 +527 +Binding energy (eV)S49 + + +Figure S44. Synchrotron-based photoemission spectra around the valence band (VB) region for the pristine +brookite B-AS (light blue, full circles), the reduced brookite before reaction B700-BR (dark blue, full +circles), and the reduced brookite after 24 h of photocatalytic reaction B700-AR (dark blue, empty circles). + + + + +0.04 +-B-AS +B700-BR +0.03 +-O—B700-AR +Intensity (a.u.) +0.02 +0.01 +0.00 - +-3 +-2 +-1 +0 +E-E (eV)S50 + +Density functional theory calculations + +Figure S45. Spin-resolved density of states (DOS) plots of brookite TiO2 supercell exposing the (210) +surface. The simulated TiO2 structure is shown on the right side of the panel with Ti atoms plotted in grey, +O in red, and O vacancies indicated in orange. The middle part of the slab corresponds to the bulk region +of TiO2 enclosed by green planes, and the supercell’s boundaries are indicated by the dotted lines. (A) DOS +for a perfect slab, (B–I) is for the same slab including one O vacancy denoted by V1–V8 in the structure on +the right. All plots are zeroth to the Fermi level. DOS of V2 and V4 were calculated for a fixed geometry +to prevent the migration of the vacancy to the on-surface V1 position. The DOS plots clearly show that +varying the lattice position (surface, subsurface, bulk) of an oxygen vacancy results in the formation of +intragap electronic states with different energy and features. + + + +200 +spin ↑ +0 +-200 +Spin +ev) +200 +DOS (states / +V6 +V7 +0 +V8 +200 +200 +0 +-200 +-4 +-2 +0 +2 +4 +.4 +-2 +0 +2 +4 +-4 +-2 +0 +2 +4 +Energy (eV)S51 + + +Figure S46. (A) DOS of the surface Ti bilayer and (B) the corresponding O atoms with the missing O atom +at V3 position. (C) DOS of subsurface Ti bilayer and (D) the corresponding O atoms. (E–J) Orbital resolved +partial DOS for the surface Ti bilayer (E, G, I) and O atoms (F, H, J). All plots are zeroth to EF. It is +interesting to note how intragap states are composed by hybridized electronic contributions belonging both +to Ti and O atoms. + + + + +60 +spd +spin +sp +0 +-60 +spin +20 +L +6 +0 + (states / eV) +6 +5 +Pz +DOS +5 +0 +VZ +-5 +5 +p +0 +-4 +-2 +0 +2 +4 +-2 +0 +2 +4 +Energy (eV) +Energy (eV)S52 + +Mechanism of methanol photo-oxidation + + +Figure S47. Methanol oxidation mechanism at the TiO2surface. (A) Methanol activation by terminal OH–. +In step (i) → (ii) the OH reacts with methanol producing H2O and the methoxy group. In (ii) → (iii) the +methoxy group accepts a hole from TiO2 substrate (or donates an electron to TiO2) and converts to methoxy +radical, while the water molecule is released from the TiO2 surface. In (iii) → (iv) the methoxy radical +decomposes to adsorbed formaldehyde and proton ion. (B) Methanol activation by coadsorbed O2. In step +(i) → (ii) The superoxide activates the methanol and to methoxy radical and produces the peroxide radical. +Then in step (ii) → (iii) such radicals are converted to adsorbed formaldehyde and hydrogen peroxide, +respectively. In step (iii) → (iv) the hydrogen peroxide decomposes to water (then released from the TiO2 +surface) and a bridging oxygen dimer 55. + + + + +A () +(ii) +(ili) +(iv) +CH2 +CH3 +CH3 +H +H +CH +H +H +0 +0 +0 +0 +O +Thermally activated +Tisc +Tisc +Tisc +Tisc +Ti3+ +Tise +Tisc +hx +B (i) +(ii) +(ili) +(iv) +CH2 +CH2 +CH, +H +CH +H-0 +H-0 +H +H +02 +0 +0 +0. +0 +0 +0 +0 +Thermally activated +Tisc +Tisc +Tisc +Tisc +Tisc +Tisc +Tisc +Tisc +h+S53 + +References +1. Kandiel, T.A., Feldhoff, A., Robben, L., Dillert, R., and Bahnemann, D.W. (2010). Tailored titanium +dioxide nanomaterials: Anatase nanoparticles and brookite nanorods as highly active photocatalysts. +Chem. Mater. 22, 2050–2060. +2. Zhao, H., Liu, L., Andino, J.M., and Li, Y. (2013). 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Science 341, 988– +991. + diff --git a/r9E3T4oBgHgl3EQfMwkD/content/tmp_files/load_file.txt b/r9E3T4oBgHgl3EQfMwkD/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..7d54a1d145a02f4dca2fbd40e60ce8b545125a7a --- /dev/null +++ b/r9E3T4oBgHgl3EQfMwkD/content/tmp_files/load_file.txt @@ -0,0 +1,2856 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf,len=2855 +page_content='1 Defect engineering over anisotropic brookite towards substrate-specific photo- oxidation of alcohols S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Hossein Hejazi1, Mahdi Shahrezaei1, Piotr Błoński1, Mattia Allieta2, Polina M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sheverdyaeva3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Paolo Moras3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Zdeněk Baďura1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sergii Kalytchuk1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Elmira Mohammadi1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Radek Zbořil1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Štěpán Kment1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Michal Otyepka1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Alberto Naldoni1*,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Paolo Fornasiero6,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7* 1Czech Advanced Technology and Research Institute,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Regional Centre of Advanced Technologies and Materials,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Palacký University Olomouc,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Křížkovského 511/8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 77900 Olomouc,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Czech Republic 2Ronin Institute Montclair,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' NJ 07043 USA 3Istituto di Struttura della Materia-CNR (ISM-CNR),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' SS 14,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Km 163,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' I-34149,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Trieste,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Italy 4Nanotechnology Centre,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Centre of Energy and Environmental Technologies,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' VŠB– Technical University of Ostrava,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' listopadu 2172/15, 70800 Ostrava-Poruba, Czech Republic 5IT4Innovations, VSB – Technical University of Ostrava, 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' listopadu 2172/15, 708 00 Ostrava-Poruba, Czech Republic 6Department of Chemical and Pharmaceutical Sciences, ICCOM-CNR Trieste Research Unit, INSTM-Trieste, University of Trieste, Via L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Giorgieri 1, 34127 Trieste, Italy 7Center for Energy, Environment and Transport Giacomo Ciamician - University of Trieste, Italy *Corresponding authors: alberto.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='naldoni@upol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='cz;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' pfornasiero@units.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='it 2 Summary Generally adopted design strategies for enhancing the photocatalytic activity are aimed at tuning properties such as the visible light response, the exposed crystal facets, and the nanocrystal shape.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Here, we present a different approach for designing efficient photocatalysts displaying a substrate- specific reactivity upon defect engineering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The defective anisotropic brookite TiO2 photocatalyst functionalized with Pt nanocrystals are tested for alcohol photoreforming showing up to an 11- fold increase in methanol oxidation rate, compared to the unreduced one, whilst presenting much lower ethanol or isopropanol specific oxidation rates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We demonstrate that the alcohol oxidation and hydrogen evolution reactions are tightly related, and when the substrate-specific alcohol oxidation ability is increased, the hydrogen evolution is significantly boosted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The reduced anisotropic brookite shows up to twenty-six-fold higher specific photoactivity with respect to anatase and brookite with isotropic nanocrystals, reflecting the different type of defective catalytic sites formed depending on the TiO2 polymorph and its crystal shape.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Advanced in-situ characterizations and theoretical investigations reveal that controlled engineering over oxygen vacancies and lattice strain produces large electron polarons hosting the substrate-specific active sites for alcohol photo-oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Keywords: selective photocatalysis, oxygen vacancies, DFT calculations, photoreforming, black TiO2 3 INTRODUCTION The visionary idea of a world powered by solar light proposed by G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Ciamician more than a century ago1 has become a reality, proving that complex organic synthesis2,3 and production of solar fuels like hydrogen4–6 and ammonia7,8 can be performed more and more efficiently.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, these intrinsically sustainable processes, before becoming industrially competitive with existing polluting technologies, need further material design, fine tuning of light absorption properties, charge carriers management, and surface engineering.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 Over the past decades, photocatalysis for direct conversion of solar energy into molecular fuels has been focused on designing efficient photocatalysts by improving their fundamental properties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The visible light photoactivity can be enhanced by engineering heterojunction, introducing lattice defects into wide bandgap materials like TiO2,10–12 or choosing semiconductors having small bandgap energy (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Cu2O, ZnIn2S4, and i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' C3N4) and suitable bands position straddling the molecular redox levels of the investigated chemical reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2,13–15 The use of inorganic nanocrystals with well-defined morphology, determined crystal facets, or dimensional anisotropy have been also demonstrated to be beneficial for the charge carrier separation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='16–18 The kinetic competition between charge recombination and surface catalysis is often overcome by the addition of proper metallic co-catalysts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='19 This playground has stimulated the exploration of countless options to prepare, mix, and engineer semiconductor photocatalysts with enhanced opto-electronic properties with the aim of more efficiently driving benchmark photocatalytic reactions such as hydrogen evolution from water splitting and photoreforming of biomass.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, the majority of these studies involve monitoring the products of the reductive cycle, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' the evolved hydrogen, while not analyzing the oxidation products.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='20–22 When sacrificial biomass substrates are employed, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' alcohol photoreforming, analyzing the oxidation pathway and reactivity becomes especially important not only because they provide a kinetic gain, and therefore an improved hydrogen evolution compared 4 to the case of water oxidation, but also because the oxidized sacrificial agents often participate in hydrogen evolution, thus directly regulating its kinetics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='20,23 Furthermore, controlling the oxidation process of sacrificial biomass is particularly relevant since it can lead to its partial oxidation and the synthesis of added value products such as 2,5-furandicarboxylic acid (bioderived polymer that may substitute PET) and diesel fuel precursors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3,24,25 We developed an approach to designing anisotropic defective brookite TiO2 nanocrystals that upon high temperature reduction treatment expose precise defect site with substrate-specific photo- reactivity for methanol oxidation, compared to higher alcohols such as ethanol and isopropanol (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We show that the reaction rates for the photocatalytic alcohol oxidation and the parallel hydrogen evolution reaction are tightly connected and that optimization of the methanol oxidation leads to an increased production of hydrogen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Although the introduction of point defects and structural deformation results in enhanced visible light absorption and reduced charge carrier lifetime, we show that the selective affinity towards methanol oxidation of reduced brookite is the main parameter enabling a higher apparent quantum yield (AQY) for hydrogen evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Using a set of in-situ characterization aided by DFT calculations, we demonstrate that the substrate- specific activity is regulated by catalytic sites including sub-surface oxygen vacancies within a locally strained lattice environment that generate shallow hole traps responsible for boosting the first steps of methanol photo-oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These photo-oxidation sites are crucial for the enhanced substrate-specific photoreforming activity of reduced brookite, and they form preferentially within anisotropic nanocrystals, which show twenty-six times higher specific hydrogen evolution rate, compared to isotropic ones, where defect sites with different energy are formed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 5 RESULTS AND DISCUSSION Synthesis and characterization of brookite nanorods To engineer the photocatalytic sites for alcohol photoreforming at the atomic level, we selected brookite TiO2 nanorods—a promising and still poorly investigated TiO2 polymorph—as a model material and grew anisotropic nanostructures exposing the (210) surface on the lateral facets (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1B) by hydrothermal synthesis (see Supporting Information).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='26 We prepared various brookite photocatalysts reduced under a H2 stream at different temperatures, along with reduced anatase and commercial brookite reference samples (see Table S1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Elemental analysis revealed that the obtained nanopowders did not contain significant quantity of non-metals coming from C, H, or N incorporation (Table S2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Reduction of a pristine brookite TiO2 under pure hydrogen stream at 700°C for 1h created defective nanocrystals showing remarkable changes in their structural and electronic properties alongside giving the best photocatalytic performance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This morphology evolved from anisotropic nanostructures with well-defined shape and exposed crystal facets (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1B and S1A) into more isotropic nanoparticles that displayed irregular shape and aggregation through twin boundaries formation (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1C and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S1B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, anatase and brookite with isotropic crystal shapes (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S2-S3) did not reveal any crystal reshaping upon high temperature reduction treatment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, they presented different color variations (Table S1), compared to those observed for the anisotropic brookite, upon increasing the temperature of the hydrogen treatment, thus suggesting a different reducibility behavior with respect to the TiO2 polymorph and crystal shape, as confirmed by UV-vis reflectance spectroscopy, Raman spectroscopy, and photolumiscence spectroscopy mapping (see below).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In order to prepare highly active photocatalysts for alcohol photoreforming, we functionalized the samples by photodepositing Pt co-catalyst nanoparticles on their surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Inductively coupled plasma mass spectrometry (ICP- MS) analysis detected similar Pt loading on both pristine (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='98 wt%) and reduced brookite samples 6 (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='90 wt%).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' HRTEM and STEM-HAADF micrographs as well as the elemental mapping showed that Pt nanoparticles with an average diameter of 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 nm were homogeneously deposited on the pristine brookite nanorods (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1D and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S4A, S5, S6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Surprisingly, in the case of reduced brookite nanocrystals, we detected the presence of small Pt nanoparticles with similar sizes as well as larger Pt nanoparticle aggregates reaching 10–30 nm in size (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1E and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S7–S10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This result was confirmed by a HRTEM analysis of three different brookite batches.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The larger Pt conglomerates may be less reactive than the smaller ones, thus negatively affecting the photocatalytic activity of the reduced brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Moreover, larger metal aggregates may screen the incoming light during photocatalysis, decreasing the light harvesting efficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, as shown in the next section, in the present investigation these parameters did not reduced neither one aspect nor the other for reduced brookite, suggesting that for the considered reaction the defects in TiO2 played a more crucial role than that of Pt nanoparticles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The brookite treatment under hydrogen was accompanied by a decrease in the BET (Brunauer–Emmett–Teller) specific surface area from 67 to 47 m2 g-1 after reduction (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S11 and Table S3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The temperature (reduction)-dependent structural parameters extracted by the Rietveld refinement of X-ray diffraction (XRD) patterns were in agreement with the described morphological evolution (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S12-S18 and Table S3–S6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, the XRD analysis highlighted that the reduction treatment introduced an anisotropic and preferential deformation of the brookite lattice along the c-axis due to the creation of oxygen vacancies (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S19).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Their presence was further supported by the blueshift in the main A1g vibrational mode detected by Raman spectroscopy measurements (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S20 and discussion in the Supporting Information) after reduction, which again pointed out to a different reducing behavior dependent on the TiO2 polymorph and shape (Raman shift is 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 cm-1 for the reduced anisotropic brookite, 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 cm-1 for the reduced isotropic anatase, and no observed shift for the reduced isotropic brookite).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Having performed the bond valence sum 7 analysis, we observed an average depletion of ~0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5% of the Ti valence for the reduced brookite— a typical feature induced by the formation of oxygen vacancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='11,27 The moderate decrease in the Ti valence upon a H2 treatment at high temperature is an indication of a low tendency toward defects formation in brookite nanorods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This general feature was also reflected by the color change—from white to grey—that brookite underwent after reduction at 700°C, as opposed to the more reducible anatase phase that assumed a darker color already at lower temperatures (Table S1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The reduced brookite nanorods showed an optical bandgap energy of ~3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38 eV, this making no significant difference from the value retrieved for the as-synthesized sample (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S21 and Table S7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The same results were observed for both the isotropic brookite and anatase samples (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S22-S23 and Table S8-S9).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Further analysis of the absorption spectra highlighted an increased visible light absorption and an Urbach tail that ranged for the anisotropic brookite from 69 (for the as-synthesized brookite nanorods) to 115 meV (for nanorods reduced at 700°C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For the isotropic anatase, the Urbach tail increased from 115 (for the as-synthesized anatase nanoparticles) to 205 mV (for anatase reduced at 500°C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This supports the scenario of a phase- and shape-dependent increase in the population of oxygen vacancies after the reduction treatment (see Supporting Information for further discussion).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Alcohol photoreforming with reduced brookite The photocatalytic activity of the platinized brookite nanorods was tested for methanol photoreforming under a simulated AM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5G spectrum at one-sun intensity producing H2 and oxidation products.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' As previously reported by others groups, the increased photocatalytic activity of reduced TiO2 nanomaterials could be ascribed to the co-catalyst role in H2 evolution played by oxygen vacancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='12,28 In contrast, in order to use the oxygen vacancies as catalytic sites in the photocatalytic oxidation reaction, we photodeposited Pt nanoparticles over the optimized photocatalysts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Following this procedure, H2 generation occurred on the Pt surface as the 8 photogenerated electrons were separated and stabilized into the Pt nanoparticles by the Schottky barrier formation at the Pt–TiO2 interface, while photo-oxidation occurred on the TiO2 surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='19,29 In contrast to common practice, where only a H2 production rate is detected, we designed specific experiments to follow the kinetics of methanol photo-oxidation using a solution including deuterated methanol (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e, CD3OD) and a small aliquot of methanol (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' CH3OH), whose corresponding consumption was followed by an 1H-NMR analysis of the liquid phase (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S24).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Table S10 reports the NMR signal integration of CH3OH relative to the adopted internal standard (DMSO), which highlight no significant difference between the blank measurement containing no photocatalyst and the one at time zero, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' after 30 min adsorption/desorption equilibrium in the dark in the presence of the photocatalysts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' From this data is clear that the methanol adsorption in the dark did not affect the photocatalytic performance of the investigated photocatalysts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1F shows the amount of methanol oxidized over 24h of illumination illustrating the remarkable oxidation activity of the reduced brookite over the pristine material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The corresponding specific methanol consumption rates, computed by using the BET surface area of each sample, for the platinized brookite nanorod samples (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1G, left) evidenced that the pristine brookite drove the photo-oxidation reaction with a specific rate of 27 \uf06dmol h-1 m-2, whereas for the reduced one, it was 99 \uf06dmol h-1 m-2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We obtained the photoactivity values by considering methanol consumption after 24 h of reaction, which resulted in a 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7-fold enhancement in favor of the reduced brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, if we consider kinetic data after 5 h (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1F), the reduced brookite performed methanol photo-oxidation up to 11 times faster than the pristine sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This suggests on the one hand that, in the early stage of reaction, methanol was oxidized faster until the available surface reaction sites were fully occupied and a steady state was reached, which ensured a higher methanol consumption rate even after 24 h of reaction, as evidenced by the divergence of the reaction kinetics curves (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1F).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' On the other hand, this behavior can be due to a partial aggregation of the colloidal 9 photocatalysts after several hours of irradiation (see dynamic light scattering measurements in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S25), thus producing a reduced available surface for the methanol oxidation reaction to occur.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The amount of evolved hydrogen determined by gas chromatography analysis followed a linear increase with time (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S26) for both the pristine and the reduced brookite, corresponding to optimized specific H2 production rates of 26 and 88 \uf06dmol h-1 m-2, respectively, with reduced brookite that evolved H2 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 times faster (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1G, right).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The reduced brookite showed a 13% decrease activity after 5 photocatalytic runs (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S27).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, the activity decrease appeared almost constant after each recycling test, thus suggesting that it can be due to the loss of catalyst during the tests, which can happen during the centrifugation/re-suspension of the photocatalyst and/or can be due to the loss of material attaching onto the reactor walls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Another aspect that can produce this slight decrease in activity is the increased hydrodynamic diameter of the brookite nanocrystals in suspension, as revealed by dynamic light scattering measurements after 24 h of illumination (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S25).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Moreover, two more aspects may produce the observed photocatalytic activity decrease after several recycling cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' On the one hand, the catalyst surface may be partially passivated by the presence of reaction intermediates, as we did not wash the catalyst before subsequent tests.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' On the other hand, a partial modification of the surface population of defects (as evidenced by the resonant PES valence band measurements on B700 after catalysis, see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S43) may induce a partial reactivity change.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Interestingly, the H2 production rates followed a reactivity trend closely resembling the one observed for the methanol photo-oxidation activity, which suggests that hydrogen production is strictly regulated by the alcohol oxidation and it can be used as reporter figures of merit for tracking the reactivity of the pristine and the reduced brookite for alcohol photo-oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Following this principle, we tested our platinized samples for the photoreforming of ethanol and isopropanol and discovered that the reactivity of the reduced brookite was markedly more pronounced and substrate-specific toward methanol in comparison 10 with the other tested alcohols (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1G, right).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In the case of ethanol photoreforming, both reduced and pristine anisotropic brookites showed a specific H2 production rate of 54 \uf06dmol h-1 m-2, suggesting that they have a similar affinity toward its photo-oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' On the other hand, in the case of isopropanol photoreforming, the reduced anisotropic brookite presented a 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7-fold higher specific H2 production rate (41 \uf06dmol h-1 m-2) when compared to the pristine sample, denoting a higher photo-oxidation ability yet still much lower than that shown for methanol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This observation confirmed that the H2 evolution activity of the reduced brookite was regulated by a substrate- specific reactivity toward alcohol photo-oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Such a stark photo-reactivity toward methanol oxidation was observed only for the brookite nanorods, while platinized reference samples made by reduced spherical anatase nanocrystals or reduced isotropic brookite nanoparticles displayed ~1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8–1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 times higher specific photocatalytic rates in comparison with the untreated materials (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S28).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, the reduced brookite nanorods loaded with Pt showed a remarkably higher specific H2 evolution rate with respect to both the reduced anatase/Pt (19 times) and the reduced isotropic brookite/Pt (26 times), as shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, this difference is significantly reduced when considering the photocatalytic activity per optimized mass (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S29), with the reduced brookite nanorods (B700/Pt) still showing more than two-times the hydrogen evolution rate observed for the reduced anatase nanocrystals (A500/Pt).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These observations suggest that the type of produced defects/catalytic sites varies depending on the selected TiO2 polymorph as well as on the crystal shape, which emphasizes how the exposure of different crystal facets having different interfacial energy and therefore resistance to hydrogen treatment under high temperature regulates the defects formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This is demonstrated by the different degree of reducibility that each sample exhibited, as supported by previously discussed absorption and Raman spectroscopy measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 11 The apparent quantum yield (AQY) for hydrogen evolution from methanol photoreforming was measured for a pristine and a reduced platinized brookite (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1H) using different monochromatic light sources.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The maximum AQY was reached at 334 nm and was 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5% for the reduced brookite and 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2% for the pristine nanorods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These AQY values can be further increased by optimizing the methanol concentration, metal loading, metal particle size, or photoreactor design, which however goes beyond the scope of this study.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Interestingly, despite its visible light absorption, the reduced brookite did not show AQY in the visible region, with values of ~0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09 and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='004% at 386 and 402 nm, respectively (AQY below the detection limit for the pristine brookite at both wavelengths).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This result was further confirmed by H2 evolution experiments under one-sun illumination applying a longpass optical filter to cut off λ ≥ 380 nm, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' cutting optical excitation above bandgap energy did not lead to detecting any H2 after 24 h of reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This result confirms that oxygen vacancies introduced upon the hydrogen treatment at high temperature, and the related optical transitions, did not produce visible light photocatalytic activity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We indeed suggest that the introduced oxygen vacancies enhanced the reactivity toward the methanol oxidation by favoring its activation, as discussed in further detail below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 12 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Morphology and photocatalytic activity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Schematic representation of defect engineering in reduced brookite showing an exemplary TiO2 surface during photocatalysis and a zoomed view of the catalytic site containing oxygen vacancy (VO) and structural distortions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) HAADF-STEM (left) and HRTEM (right) micrographs of a single brookite nanorod.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (C) HRTEM micrograph of isolated Pt nanoparticles deposited on pristine brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (D) HRTEM of brookite nanorods reduced at 700°C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (E) HRTEM micrograph of aggregated Pt nanostructures deposited on reduced brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (F) Methanol consumption in time for pristine (sky blue) and reduced brookite (dark blue) nanorods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The points before zero time represent the methanol signal before adding the photocatalysts, while time zero was measured once the adsorbtion/desorption equilibrium in the dark was reached.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (G) Specific methanol consumption rate (left) and specific hydrogen evolution rate (right) during methanol, ethanol, and isopropanol photoreforming for pristine (sky blue) and reduced (dark blue) brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Measurements were performed under a simulated AM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5G spectrum at one-sun intensity for 24h using a 1:1 vol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='% H2O:alcohol mixture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (H) Apparent quantum yield for hydrogen evolution from methanol photoreforming for pristine (sky blue) and reduced (dark blue) brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In all measurements both pristine and reduced brookite were loaded with 1 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='% Pt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A H,O H CH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' CO Catalytic sitewithoxygen vacancyV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' structural deformation O B onm 10nm F G 100 2500 Light, 1 m2), 100 m-2) 2000 CH,OH cons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' rate (μmol h-1 80 [oum) 80 30 rate 1500 60 AQY % 20 CH,OH cons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1000 40 40 10 500 20 0 n 0 5 10 15 20 25 310 330 350 370 390 410 Time (h) Wavelength (nm) 13 In order to study in more detail the methanol photo-oxidation reaction on the reduced brookite, we analyzed the reaction products by both the GC analysis of the gas phase and the NMR analysis of the liquid phase after reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Carbon dioxide was the only detected reaction product.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Furthermore, we investigated the hydrogen production rate from different possible intermediates of methanol oxidation (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' formaldehyde and formic acid) of as-synthesized and reduced brookite nanorods loaded with 1 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='% Pt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Interestingly, both samples showed similar specific photocatalytic activity in the presence of formaldehyde and formic acid, presenting significant hydrogen production rate of around 25–30 \uf06dmol h-1 m-2 (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S30).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This result is far from being trivial, as it has been reported that other TiO2 polymorphs usually oxidize methanol to formaldehyde, thus stopping the methanol photo-oxidation after the first reaction step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='30 Moreover, it repeatedly emphasizes that a reduced brookite demonstrates a substrate-specific oxidation ability toward methanol molecules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The blank test for photolysis of formaldehyde under AM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5G 1sun illumination produced a very small hydrogen production rate, namely, ~85 nmol h-1 m-2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, the investigated TiO2 samples showed two order-lower alcohol photoreforming activity without Pt loading;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' the data on the samples reduced at different temperatures are reported in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S31 and S32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These data are further supported by electron spin resonance spectroscopy (EPR) investigations measured under dark and light conditions both for dried powders and in a water/methanol medium (in situ conditions), demonstrating the increased reactivity of brookite nanorods reduced at 700°C (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S33–S35).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For instance, in the case of EPR spectra for dried powders of an anisotropic brookite reduced at different temperatures, the most efficient sample in methanol photoreforming was B700, which indeed gave the highest differential EPR signal (light- dark) in comparison with samples with lower activity (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' a pristine brookite and B500).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Interestingly, the most active sample (B700) showed the weakest intensity in the EPR powder spectrum among the series (Fig S33 and discussion in the Supporting Information).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, the 14 number of spins recorded by EPR do not directly correlate with the system reactivity and its overall efficiency in the photocatalytic process, all in agreement with previous reports.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='12,31 In-situ photoluminescence spectroscopy To understand the nature of the methanol oxidation sites, we measured excitation-dependent photoluminescence (PL) spectra at 80 K, obtaining energy-resolved two-dimensional maps of the radiative recombinations occurring in the pristine and the reduced anisotropic brookite both under inert gas atmosphere (N2) and in the presence of methanol (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The PL maps in the presence of the latter (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', a hole scavenger) showed drastic quenching of the signal, demonstrating that the photogenerated holes trapped within the defect sites, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' oxygen vacancies, readily reacted with the surface adsorbed methanol molecules.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Moreover, this also provided evidence that such defect sites must be located on either the surface or sub-surface of the brookite nanocrystals, from where they can react with surface adsorbates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 This is supported by the synchrotron-based photoemission spectra for the Ti 2p region and valence band (see for details the next section).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Comparing the two- dimensional PL maps measured under N2 gas atmosphere for the pristine and the anisotropic brookite reduced at 500, 600, 700, and 800°C (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2A and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S36), we observed a clear variation in the energy position relative to the radiative recombination centers upon high temperature treatment, eventually underlined by a subtle but significant re-organization of structural defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, the reference samples (especially the isotropic anatase, which is more reducible than the isotropic brookite) displayed a similar behavior (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S37-S38 and discussion in the Supporting Information).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Focusing on the reduced anisotropic brookite, we observed a significant blue shift in the PL peak after reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 15 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Energy distribution of defects-related radiative recombinations and lifetime of photogenerated charge carriers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Excitation-emission color maps under N2 and in the presence of methanol (MeOH) for pristine and reduced brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) PL spectra of pristine (blue sky) and reduced brookite (dark blue) under excitation at 340 nm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (C) Time-resolved PL decay curves collected at the corresponding emission maximum of pristine (blue sky) and reduced brookite (dark blue) under excitation at 372 nm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This is better highlighted in the PL spectra generated using a single excitation wavelength (340 nm) and by analyzing the weight of the deconvoluted components set at 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='75, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='53, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27, and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 eV for all the samples (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2B and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S39).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The dominant radiative recombinations for the as- synthesized anisotropic brookite (B-AS) localize at 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 eV, while the components at higher energies are almost negligible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Notably, in the case of the reduced anisotropic brookite (B700), the component at lower energy almost vanished, while the intensity of the radiative recombinations with higher energies (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='75 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='53 eV) became dominant, denoting the formation of shallower hole traps upon hydrogen reduction treatment at high temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Furthermore, we investigated the lifetime of photogenerated charge carriers measured at PL maximum by time- resolved PL spectroscopy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The charge carriers’ lifetime (τ) decreased after the brookite’s B 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 B AS N2 B AS MeOH (eV) intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B AS 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 B700 Excitation energy 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x104 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5x104 PLi 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2x104 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x104 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7x104 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x104 360 440 520 600 680 760 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1x104 Wavelength (nm) B700 N2 C B700 MeOH 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x103 (eV) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6x103 10° B AS Excitation energy 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x103 (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B700 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 Intensity 10 1 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 =5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3ns 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 C=2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0ns 10 2 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 0 5 10 15 20 Emissionenergy (eV) Emission energy (eV) Time (ns) 16 reduction, similarly to the other TiO2 reference samples, from 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 ns to 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 ns (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3C, Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S40 and Table S11), suggesting that the enhanced photocatalytic activity of the reduced anisotropic brookite is not related to the enhanced charge separation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Synchrotron resonant photoemission spectroscopy The investigation by conventional lab scale X-ray photoelectron spectroscopy (XPS) analysis provided similar results for pristine and reduced TiO2 samples (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S41).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, we investigated in more detail the electronic structure of our brookite samples at the VUV- Photoemission beamline (Elettra, Trieste) by synchrotron-based photoemission spectroscopy (PES) for the Ti 2p (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S42), O 1s (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S43, see discussion in the next section), and the valence band (VB) regions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The Ti 2p spectra of both brookite samples contained two components corresponding to the presence of Ti4+, due to the coordination of Ti into the stoichiometric lattice, and Ti3+ species introduced by the oxygen vacancy formation near or at the TiO2 surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The presence of low valence Ti ions in the pristine brookite is a common observation, especially in nanocrystals obtained through hydrothermal synthesis and not subjected to a following heat treatment like in the present case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Next, by using soft X-ray photons with energy that is resonant to the Ti absorption edge, it is possible to highlight electronic states even in samples containing a low amount of defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='33 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3A shows the VB PES spectra for the pristine and the reduced anisotropic brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The main VB edge did not significantly shift upon reduction, while the density of states (DOS) within the bandgap showed a stark difference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The pristine brookite displayed localized mid-gap states peaking at around 1 eV below the Fermi energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In contrast, the reduced brookite revealed an increased electron density showing an intense VB tailing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We also investigated the reduced brookite after 24 h of photocatalytic reaction B700-AR and compared the result with the spectra of the pristine brookite B-AS and the reduced brookite before reaction B700-BR (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S44).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The post-catalytic characterization evidence a spectrum, which features a 17 localize state at around 1 eV below the Fermi level (similarly to B-AS) and an increase density of states –band tailing - at energies closer to the valence band maximum (similarly to B700-BR).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The slight modification of the spectrum can be due both to a partial passivation of the surface defects in B700 during photocatalysis and to the adsorption of methoxy groups / reaction intermediates, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' the sample was not regenerated after reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Density functional theory calculations of the photocatalytic sites In order to understand the origin of the VB tailing in the electronic structure of the reduced brookite, we calculated the energy band structure using ab initio density functional theory (DFT) calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Driven by the XRD results, we focused on the (210) surface of the brookite TiO2 introducing two types of structural defects: (1) oxygen vacancies located at different distance from the surface (denoted by V1–V8 in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3B and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S45), and (2) distortion of TiO6 octahedra (for methods see supplementary materials) by modifying up to ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 Å either the axial or randomly chosen Ti-O distances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 18 Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Experimental and theoretical determination of the electronic structure of the photocatalytic sites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Synchrotron-based photoemission spectra around the valence band (VB) region for the pristine (light blue) and the reduced (dark blue) brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Inset: zoom of the VB region around the Fermi energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) Brookite TiO2 supercell employed for the calculations exposing the (210) surface: Ti atoms plotted in grey, O atoms in red, oxygen vacancies in orange.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The middle part of the slab corresponds to the bulk region of TiO2 enclosed by green planes, while the supercell’s boundaries are marked by the dotted lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (C) Calculated total DOS of the ideal (210) brookite surface, of various defective brookite surfaces with an oxygen vacancy (V in the figure) placed at different locations in the lattice, two distorted brookite surfaces (rdm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' and ax.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' stand for random and axial distortions, respectively).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The energy of the VB maximum of the ideal (210) surface is taken to be zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Spin up/down derived DOS are shown by solid/dashed lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (D) Excess electron density donated by introducing V3 and V5 oxygen vacancies (yellow iso-surface).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The presence of oxygen vacancies introduces localized mid-gap states deriving from the hybridization of O 2p and Ti 3d orbitals (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3C and Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S46) with their energy position that A B /3 V4 V5 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 3 2 V6 1 0 V7 E E (eV) V8 10 8 9 4 2 0 E E (eV) D (210)ax.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='dist.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' V3 DOs (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') (210) rdm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='dist.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' V V5 V (210) A 2 0 2 4 Energy (eV) 19 varies with respect to the defect’s distance from the surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In contrast, the primary effect of the expansion of Ti-O axial distances is to produce strong band tailing near the VB edge (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3C) entering the band gap by ~0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' When we introduced a lattice disorder by random displacements of both Ti and O atoms from their equilibrium positions, both mid-gap states and VB tailing were seen in the DOS (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The computational results confirmed that the DOS envelope of the reduced brookite was formed by mid-gap states and VB band tailing due to the combined effect of oxygen vacancies and lattice distortions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The location of oxygen vacancies in the real samples is represented by a statistical distribution of lattice positions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Each of such defect populations produce different DOS and their convolution, alongside the effect from lattice distortions, results in the formation of the VB tailing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We also examined the differential electron densities due to the introduction of an oxygen vacancy at two different positions in the slab, namely, surface/near-surface (V3) or sub-surface (V5) positions (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 3B and 3D).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In both cases, the excess of charge was spread over many lattice sites and accompanied by the relaxation of the lattice atoms by up to 2–4% of the equilibrium Ti-O bond length, thus denoting the generation of a large electron polaron around the oxygen vacancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We propose that these kind of bound states between oxygen vacancies and large electron polarons represent the substrate-specific photocatalytic active sites for methanol oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The size of this photocatalytic active site and the charge distribution around it make it a well-defined reactive pocket with high specificity toward the methanol molecule rather than to higher alcohols.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The finding of Zhang and co-workers support our results, as they recently observed a similar reactivity pattern in Cu-doped TiO2 nanosheets, where the oxygen vacancies within a strained environment enabled strong chemisorption and activation of molecular N2 and water, resulting in high photocatalytic NH3 evolution under visible-light irradiation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 Diebold and co-workers recently reported the photo-oxidation mechanism of methanol at the surface of anatase TiO2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='34 Values 20 obtained from DFT calculations, scanning tunneling microscopy, and temperature programmed desorption aided by XPS showed the existence of two different, more favorable pathways for activating methanol adsorbed on TiO2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The methanol molecules are first adsorbed onto the surface Ti5c atoms dissociating into methoxy groups and hydrogen atoms, which are then oxidized to formaldehyde (and eventually to formic acid and carbon dioxide) and molecular hydrogen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Methanol molecules must first dissociate into methoxy groups, and after this step, the hole transfer from TiO2 becomes energetically favorable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Methanol can be activated via two pathways (Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S47): (A) by reaction with dissociated H2O forming terminal OH– species bound to surface Ti5c atoms, and (B) by reaction with activated adsorbed O2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='Error!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Reference source not found.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' M echanism (A) begins with the spontaneous dissociative adsorption of water enabled by the extra charge density due to oxygen vacancies and reflected by the formation of hydroxyl ions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='34,35 Interestingly, brookite TiO2(210) (the same crystallographic direction expressed on the lateral facets of our brookite nanorods) has the same structural building block of anatase TiO2(101), but interatomic distances are slightly shorter and the blocks are arranged in a different way.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Selloni and co-workers found that these differences significantly change the reactivity toward adsorption of water (and formic acid), making its dissociation more possible to occur on the brookite surface rather than on the anatase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='36 This may underlie the enhanced specific photocatalytic activity that we observed for the anisotropic brookite over the anatase during methanol photoreforming.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This scenario is corroborated by our synchrotron XPS PES of the O 1s region that shows a significant, 24% increase in the OH– species adsorbed on the reduced surface in comparison with the pristine brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These species may be derived from the dissociative adsorption of water, which is more favored on the reduced brookite due to the extra electrons provided by the subsurface oxygen vacancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 Mechanism (B) is less probable, as our experiments are performed in the absence of oxygen (under Ar atmosphere).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, it should be noted that some traces of peroxide species 21 were detected by EPR,12,37 suggesting that mechanism B may occur even at a lower extent than mechanism A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This could also point to a faster decomposition of hydrogen peroxide to water and bridging oxygen dimer (step (iii) → (iv) in mechanism B) in the most photoactive sample (B700) after illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Finally, besides the pure A and B mechanisms, an intermediate case can be also considered, in which the OH– formation results from the reaction of coadsorbed O2 and H2O.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38 CONCLUSIONS In summary, we demonstrated the concept of enhancing the photocatalytic activity during alcohol photoreforming by engineering the defect sites in an anisotropic brookite in a way that enables substrate-specific oxidation photo-activity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Synchrotron photoemission spectroscopy and in situ photoluminescence investigations aided by DFT calculations showed that creating a low amount of defects (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' oxygen vacancies) in well-defined lattice positions produces a kind of bound states between oxygen vacancies and large electron polarons hosting the photocatalytic active sites, which act as shallow hole traps during alcohol photoreforming.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Our results also demonstrate that the nature of the produced defects/photocatalytic sites varies with respect to the selected TiO2 polymorph and on its crystal shape.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This work highlights the value of analyzing the reaction products of both the reductive and the oxidative pathways during photocatalytic reactions alongside opening new avenues for substrate-selective photocatalytic biomass conversion through the atomic design of the active sites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 22 Acknowledgments: A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' and R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' gratefully acknowledge the support of the Czech Science Foundation (GACR) through the projects no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 20-17636S and 19-27454X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The authors gratefully acknowledge the support by the Operational Programme Research, Development and Education - European Regional Development Fund, project no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' CZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01/0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0/0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0/15_003/0000416 of the Ministry of Education, Youth and Sports of the Czech Republic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' acknowledge financial support from the European Community (projects H2020 – RIA-CE-NMBP-25 Program – Grant No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 862030 – and H2020-LC-SC3-2019-NZE-RES-CC – Grant No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 884444), INSTM consortium and ICCOM-CNR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' and P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' gratefully acknowledge financial support through the project EUROFEL-ROADMAP ESFRI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The authors gratefully acknowledged G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Zoppellaro and O.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Tomanec for EPR discussion and TEM measurements, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Author contributions: Conceptualization: PF, AN Methodology: SMHH, MA, EM, PB Investigation: SMHH, MS, PMS, PM, ZB, SK, EM, PB Visualization: SMHH, PB, AN Funding acquisition: RZ, SK, MO, PF, AN Project administration: AN Supervision: PF, AN Writing – original draft: SMHH, AN Writing – review & editing: SMHH, MA, PM, PB, RZ, MO, PF, AN Competing interests: Authors declare that they have no competing interests.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Data and materials availability: All data are available in the main text or the supplementary materials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 23 REFERENCES 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Ciamician, G.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Schmid, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Di Valentin, C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Selloni, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Diebold, U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Methanol on Anatase TiO2 (101): Mechanistic Insights into Photocatalysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' ACS Catal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 7, 7081–7091.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Selcuk, S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Selloni, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (2016).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Facet-dependent trapping and dynamics of excess electrons at anatase TiO2 surfaces and aqueous interfaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Nature Mater 15, 1107–1112.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Li, W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='-K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Gong, X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='-Q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Lu, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Selloni, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (2008).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Different Reactivities of TiO 2 Polymorphs: Comparative DFT Calculations of Water and Formic Acid Adsorption at Anatase and Brookite TiO 2 Surfaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Chem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' C 112, 6594–6596.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Naldoni, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', D’Arienzo, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Altomare, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Marelli, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Scotti, R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Morazzoni, F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Selli, E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Dal Santo, V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (2013).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Pt and Au/TiO2 photocatalysts for methanol reforming: Role of metal nanoparticles in tuning charge trapping properties and photoefficiency.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Applied Catalysis B: Environmental 130–131, 239–248.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 26 38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Setvin, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Aschauer, U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Hulva, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Simschitz, T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Daniel, B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Schmid, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Selloni, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Diebold, U.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (2016).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Following the Reduction of Oxygen on TiO2 Anatase (101) Step by Step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Journal of the American Chemical Society 138, 9565–9571.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S1 Supporting Information Defect engineering over anisotropic brookite towards substrate-specific photo- oxidation of alcohols S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Hossein Hejazi1, Mahdi Shahrezaei1, Piotr Błoński1, Mattia Allieta2, Polina M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sheverdyaeva3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Paolo Moras3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Zdeněk Baďura1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sergii Kalytchuk1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Elmira Mohammadi1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Radek Zbořil1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Štěpán Kment1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Michal Otyepka1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Alberto Naldoni1*,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Paolo Fornasiero6,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7*,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1Czech Advanced Technology and Research Institute,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Regional Centre of Advanced Technologies and Materials,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Palacký University Olomouc,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Křížkovského 511/8,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 77900 Olomouc,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Czech Republic 2Ronin Institute Montclair,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' NJ 07043 USA 3Istituto di Struttura della Materia-CNR (ISM-CNR),' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' SS 14,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Km 163,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' I-34149,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Trieste,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Italy 4Nanotechnology Centre,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Centre of Energy and Environmental Technologies,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' VŠB–Technical University of Ostrava,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' listopadu 2172/15, 70800 Ostrava-Poruba, Czech Republic 5IT4Innovations, VSB – Technical University of Ostrava, 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' listopadu 2172/15, 708 00 Ostrava- Poruba, Czech Republic 6Department of Chemical and Pharmaceutical Sciences, ICCOM-CNR Trieste Research Unit, INSTM-Trieste, University of Trieste, Via L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Giorgieri 1, 34127 Trieste, Italy 7Center for Energy, Environment and Transport Giacomo Ciamician - University of Trieste, Italy Corresponding authors: alberto.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='naldoni@upol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='cz;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' pfornasiero@units.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='it S2 Preparation of TiO2 photocatalysts Titanium (IV) bis (ammonium lactate) dihydroxide Ti(NH4C3H4O3)2(OH)2 aqueous solution (50 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%, Sigma–Aldrich) (TALH) and urea (ACS reagent, Sigma–Aldrich), were used as precursors for the synthesis of TiO2 nanocrystals using a hydrothermal method, according to the procedure previously reported with some modifications 1–4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A solution containing 45 mL of urea in deionized (DI) water and 5 mL of TALH was stirred until a clear solution was obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The solution was afterwards transferred to a 125 mL Teflon lined autoclave and placed in an oil bath at 180°C and stirred at this temperature with 800 rpm for 20 days.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The autoclave was then cooled down in air and the precipitate was centrifuged and dispersed by sonication in DI water for several times until the pH of supernatant water became ~7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Finally, the precipitate was dried at 80°C for 12 h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To prepare pure brookite and pure anatase samples, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='15M and 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5M urea solution in DI water were used, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Commercial TiO2 brookite was purchased from Sigma-Aldrich (99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='99 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' % purity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To prepare the reduced powders, 20 mg of TiO2 nanopowders were placed in a crucible within a quartz chamber in a tubular furnace (10 °C min-1 heating/cooling ramp in N2 flow rate 10 mL min-1, 1 h dwell in H2 flow rate 10 mL min-1 at predefined temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Before starting the heat treatment, the tube furnace was cleaned up increasing the temperature up to 1000°C in air.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='% platinum nanoparticles were loaded on TiO2 by via photodeposition method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Briefly, 50 mg of TiO2 powder suspended in 25 mL of methanol (ACS reagent, Sigma–Aldrich) and bubbled with Ar for 30 min.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Then, a solution of H2PtCl6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6H2O (ACS reagent, Sigma–Aldrich) was added and stirred for 20 min in the dark to favor Pt adsorption of the TiO2 surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Then the solution was illuminated for 1h using a solar simulator equipped with a 150 W Xe arc lamp and an AM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5G filter and calibrated to deliver a power of 100 mW cm-2 (1 Sun).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Characterization The morphological analyses of the samples were performed by transmission electron microscopy (TEM) JEM-2100 (JEOL, Tokyo, Japan) at 200 kV of accelerating voltage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For TEM measurements, the samples were dispersed in ethanol by sonication for 5 minutes and then the suspensions were dropped on the copper grid with holey carbon film and dried upon air exposure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The average particle size of brookite nanorods were assessed by analyzing TEM micrographs and by considering at least 100 nanorods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The high resolution transmission electron microscopy (HRTEM) analysis were performed using a HRTEM Titan G2 (FEI) with image corrector on accelerating voltage 300 kV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Images were taken with BM UltraScan CCD camera (Gatan).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' X-ray diffraction (XRD) patterns were recorded at room temperature with an Empyrean (PANalytical, Almelo, The Netherlands) diffractometer in the Bragg-Brentano geometry and using Co-Kα radiation (40 kV, 30 mA, λ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1789 nm).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The diffractometer was equipped with a PIXcel3D detector and programmable divergence and diffracted beam anti-scatter slits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The same amount of powders was placed on a zero- background Si slide.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The measurement range was 2θ = 10° - 100°, with a step size of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0167° and acquisition time of 4 s per step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Standards SRM640 (Si) and SRM660 (LaB6) were used to evaluate the line position and the instrumental line broadening, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The identification of crystalline phases was performed using the High Score Plus software that includes the PDF-4+ and ICSD databases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rietveld analysis was performed through the GSAS program 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We use the brookite orthorhombic model of Pbca space group with Ti and two O, namely O1, O2, in 8c position (x,y,z) 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' During the refinement, the background was subtracted using shifted Chebyshev polynomials and the diffraction peak profiles were fitted with a modified pseudo-Voigt function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In the last calculation cycles all the parameters were refined: cell parameters, atomic positional degrees of freedom, isotropic thermal parameters, anisotropic microstrain broadening parameters, background, diffractometer zero point.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To evaluate annealing T evolution ionic charge of Ti from the experimental dTi-O1, dTi-O2 of brookite, we calculated Bond Valence Sum (BVS) by using the tabulated parameters 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Crystallite size of synthesized brookite samples was estimated through the Williamson-Hall (WH) method 8 employing at least 15 reflections for each calculation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Single peak fitting to extract peak positions and profile parameters was performed through the WinPLOTR Software 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The crystallite size of as received and reduced commercial brookite and anatase was calculated from XRD patterns according to the Scherrer equation as follows: S3 𝐷 = 𝐾 × 𝜆 𝛽 × 𝑐𝑜𝑠𝜃 where, D is the mean size of crystallite, K is the dimensionless shape factor, λ is the x-ray wavelength, β is the full width half maximum intensity (FWHM), and θ is the Bragg angle and considering K=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9, λ=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='79 Å (Co).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Raman spectra were collected using a DXR Raman spectrometer (Thermo Scientific, Massachusetts, USA).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The excitation laser operated at the wavelength of 455 nm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The samples were deposited on a silicon wafer and the laser was focused on its surface and tuned to maximize the signal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The laser power on the sample was set to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 mW cm-2 and exposure time was 3 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The reported Raman spectra were averaged over 512 experimental microscans.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The surface area and pore size analyses were performed by means of N2 adsorption/desorption measurements at 77 K on a volumetric gas adsorption analyzer 3 Flex (Micromeritics, Georgia, USA) up to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='965 P/P0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Prior the analysis, the sample was degassed under high vacuum (10-4 Pa) at 130°C for 12 hours, while high purity (99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='999 %) N2 and He gases were used for the measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The Brunauer– Emmett–Teller area (BET) was determined with respect to Rouquerol criteria 10 for N2 isotherm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The ultraviolet-visible diffuse reflectance spectra (UV-Vis DRS) of the fabricated samples were obtained by Specord 250 plus (Analytik Jena, Jena, Germany) spectrophotometer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' An integrating sphere was used to collect the spectrum and a Spectralon reference sample was used to measure the background.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' X-ray photoelectron spectroscopy (XPS) was carried out with a PHI 5000 VersaProbe II (Physical Electronics, Chanhassen, USA) spectrometer using an Al Kα source (15 kV, 50 W).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The obtained data were evaluated with the MultiPak software package (Ulvac-PHI Inc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Chigasaki, Japan).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' High-resolution spectra of C1s peaks were acquired by setting the pass energy to 23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='500 eV and step size to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='200 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The binding energy values were corrected considering the C1s peak at 284.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 eV as a reference.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The spectral analysis included Shirley background subtraction and peak deconvolution using Gaussian functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Photoluminescence spectroscopy (PL) was performed on an FLS980 fluorescence spectrometer (Edinburgh Instruments, Livingston, United Kingdom) equipped with a R928P photomultiplier (Hamamatsu, Japan), with a 450 W xenon arc lamp as the excitation source for steady-state spectra and an EPL-375 picosecond pulsed diode laser (λem= 372 nm with a pulse width of 66.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 ps, a repetition rate of 10 MHz and an average power of 75 μW, Edinburgh Instruments) in conjunction with a time-correlated single-photon counting system for time-resolved photoluminescence measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Spectral correction curves were provided by Edinburgh Instruments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The emission of TRPL spectra were detected at 450 nm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' PL decay curves were fitted using a multi-exponential function: 𝐼(𝑡) = ∑ 𝐵𝑖 exp (− 𝑡 𝜏𝑖) 𝑛 𝑖=1 , ∑ 𝐵𝑖 = 1 𝑛 𝑖=1 , Where, the fit parameter τi represents the decay time constant, Bi represents the normalized amplitude of each component, n is the number of decay times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The amplitude weighted average decay lifetime τave of the entire PL decay process reads as: 𝜏𝑎𝑣𝑒 = ∑ 𝐵𝑖𝜏𝑖 2 ∑ 𝐵𝑖𝜏𝑖 A nitrogen bath cryostat holder Optistat/DNV (Oxford instruments, Abingdon, United Kingdom) was used to control the temperature of sample during measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Since the PL emission of TiO2 is weak at room temperature and due to highly scattering nature of a typical nano-TiO2 sample, the stray excitation light could be wrongly assigned as PL signal 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To avoid this, the PL spectra were measured at 80 K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Using low temperature condition results in slower non-radiative decay and brighter PL 11, which decreases the effect of stray light scattered by the sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The powders in solid were pressed between two flat quartz and put into the chamber.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' N2 and methanol were used to investigate the PL behavior of the TiO2 samples in contact with different environments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The methanol was degassed with argon bubbling for 10 minutes before wetting the sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' An in-depth analysis of the electronic structure of the samples was carried out at the VUV-Photoemission synchrotron beamline (Elettra, Trieste) at room temperature with a Scienta R-4000 electron spectrometer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The O1s and Ti2p core levels were measured with photon b 650 eV with an instrumental energy resolution S4 of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The valence band was probed in near-resonant conditions to the Ti L2,3 edge, in order to enhance the signal of Ti-related states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A photon energy of 468 eV (energy resolution 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='14 eV) was used to avoid the appearance of spurious Ti2p signal in the region of interest (from 4 eV binding energy up to the Fermi level), due to high harmonics contribution from the beamline.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Electron paramagnetic resonance (EPR) spectra were recorded using a continuous wave X-band JEOL JES- X-320 spectrometer operating at \uf07e9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 GHz.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The EPR spectrometer is equipped with a variable temperature control ES 13060DVT5 apparatus.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The cavity Q quality factor was kept above 6000 in all measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Highly pure quartz tubes were used (Suprasil, Wilmad, ≤ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 OD) and accuracy on g-values was obtained against a Mn2+/MgO standard (JEOL standard).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For all experiments the same acquisition conditions were kept.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The microwave power was set to 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 mW, therefore, no power saturation effects was occurring in the EPR traces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The modulation width of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 mT and modulation frequency 100 Hz were used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Experimental temperature was set to 78 K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' All spectra were recorded with 30 ms time constant and 2 minutes sweep time with 3 accumulations, to improve signal to noise ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' HeCd (200 mW) laser with 325 nm wavelength was employed as the UV light source during EPR experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' EPR envelopes were simulated in Matlab software where the spin-Hamiltonian EasySpin simulation package 12 is implemented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' During the measuring the samples in contact with DI water + methanol solution at 80K, the head space of EPR tube was purged by nitrogen to avoid any parasitic oxygen signals coming from the air.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The EPR cavity was kept in constant flow of nitrogen to eliminate the formation of ice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The samples were measured in suspension form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For each experiment 10 mg of the powder and 100 µl of DI water/methanol mixture were used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In all experiments, to make spectra more comparable, the position of the EPR tube inside the cavity was kept the same.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1H-NMR (proton nuclear magnetic resonance) spectra were obtained on a JEOL 400 MHz spectrometer in CD3OD, using dimethyl sulfoxide (DMSO) as the internal standard.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' All the measurements were collected at ambient temperature with a spectral width of 20 ppm, a pulse width of 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 μs (90 °), a relaxation delay of 60 s, and 8 scans.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Chemical shifts (δ) are expressed in ppm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' C, H and N elemental analyses was performed on a Flash EA 1112 instrument (Thermo Finnigan, North Carolina, USA).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Pt loading on TiO2 was determined by ICP-MS (Agilent 7700x, Agilent, USA) at isotope 105 using He mode and an external calibration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Calibration solutions were prepared from a certified reference material with Pt concentration 100,0 +/- 0,2 mg/L (Analytika Ltd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Czech Republic).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A mixture of nitric acid (ACS reagent, 70% , Sigma–Aldrich) and hydrochloric acid (ACS reagent, 37% , Sigma–Aldrich) in a molar ratio of 1:3, was used to digest the Pt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The Pt loading in pristine and reduced brookite nanorods was 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='98 and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='90%, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The hydrodynamic diameter of the brookite B700 was measured by Dynamic Light Scattering (DLS) at 23°C, using a Malvern Nano-ZS instrument (Malvern Ltd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Leamington Spa, UK).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The light source was a laser 633 nm, 4 mW.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The measurement was performed at the beginning (time = 0 h) and after specific times of reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The sample was taken from 10 mL of DI water and methanol (1:1 vol) solution with 2mg of dispersed B700-Pt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' At time = 0h the solution was ultrasonically dispersed for 10 min.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Photocatalytic experiments Photocatalytic activity was measured in a quartz reactor with 10 mL solution of DI water and methanol (volume ratio 1:1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The same conditions and volume ratio were applied for the photocatalytic reactions with ethanol (99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 %, BC Chemservic), isopropanol (ACS reagent, 99.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8%, Sigma–Aldrich), formaldehyde (36- 38%, Penta) and formic acid (99%, Penta).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' After sealing the reactor with a rubber septum, the photocatalysts were sonicated for 10 min to create a homogeneous and dispersed suspension.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Afterwards, the suspension was bubbled with argon for 30 min to remove the unwanted gasses and dissolved oxygen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The samples were irradiated using a solar simulator equipped with a 150 W Xe arc lamp and an AM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5G filter and calibrated to deliver a power of 100 mW cm-2 (1 sun).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A calibrated reference solar cell (Newport, California, USA) was used before and after reaction to check the power of irradiation (1 Sun).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Each sample was irradiated for 24 h under continuous stirring before measuring the amount of evolved hydrogen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The test was repeated three times and the average amount of measured hydrogen was reported.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The photocatalytic S5 hydrogen was detected with a gas chromatograph GCMS-QP2010 SE (Shimadzu, Kyoto, Japan ) and a TCD (Thermal conductivity detector), using Ar as carrier gas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The temperature of the reaction suspension was measured with a thermocouple and was 23°C both before and after 24 h of irradiation under 1 sun illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To identify the wavelength dependence of AQY, the reactor was illuminated with the wavelengths 316 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 mW cm-2), 334 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 mW cm-2), 360 (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 mW cm-2), 369 (8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 mW cm-2), 386 (5 mW cm-2) and 402 nm (17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 mW cm-2) using a tunable diode light source of Zahner CIMPS PP201 system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The illuminated surface area was 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='94 cm2 and the power of each wavelength was measured using an external digital power meter Thorlabs PM100D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The sample was illuminated for 1h and the reacting medium was a 1:1 vol/vol% water:methanol mixture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The apparent quantum yield (AQY) was calculated according to the following equation: 𝐴𝑄𝑌 = 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑟𝑒𝑎𝑐𝑡𝑒𝑑 𝑒𝑙𝑒𝑐𝑡𝑟𝑜𝑛𝑠 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑖𝑛𝑐𝑖𝑑𝑒𝑛𝑡 𝑝ℎ𝑜𝑡𝑜𝑛𝑠 × 100 = 2 × 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑒𝑣𝑜𝑙𝑣𝑒𝑑 𝐻2 𝑚𝑜𝑙𝑒𝑐𝑢𝑙𝑒𝑠 𝑁𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑖𝑛𝑐𝑖𝑑𝑒𝑛𝑡 𝑝ℎ𝑜𝑡𝑜𝑛𝑠 The qNMR (quantitative nuclear magnetic resonance) analysis was used to investigate the rate of methanol consumption during the photocatalytic hydrogen evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For this purpose, a 10 mL mixture of DI water: CD3OD (volume ratio 1:1) was prepared.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To have a detectable signal, 50 μL of non-deuterated methanol (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' CH3OH) was added to the above mixture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The photocatalytic experiment was performed following the same procedure explained above for hydrogen evolution measurements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' At the specified times, 600 μL of solution was taken by syringe and centrifuged at 15000 rpm for 30min to separate the catalyst.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Then the clear and transparent solution was transferred to a quartz NMR tube and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 µL DMSO was added as internal standard.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The NMR spectra of the samples were recorded and the peak area of methanol at 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 ppm was compared to the peak area of internal standard to study the rate of photocatalytic methanol consumption over time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' DFT calculations Calculations were carried out by using the DFT-based Vienna Ab Initio Simulation Package (VASP) 13,14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The projector-augmented-wave (PAW) formalism 15,16 was used to treat the electron–ionic core interactions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A plane-wave basis with a 400 eV energy cutoff was used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Test calculations were also performed with energy cutoff increased to 600 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Exchange and correlation effects were treated within a generalized- gradient approximation (GGA) by using Perdew-Burke-Ernzerhof (PBE) functional 17,18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To counteract the problems of standard density functionals associated with the self-interaction error (SIE) we applied on-site Hubbard corrections 19 to both Ti-d and O-p states 20 with an effective U parameter of 6 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' All computations were performed in spin unrestricted manner.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Brillouin zone samplings were kept restricted to Gamma point only due to the supercell dimensions being sufficiently large.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We modeled the (210) surface of brookite by a bulk-terminated slab of 12 Ti-layers in thickness and 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38 Å × 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='41 Å of surface area and containing 432 atoms (see the structure shown in Figure S41) 21, and with a vacuum layer of length ∼20 Å deployed along the off-planar direction to ward off spurious interactions with the periodic images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Except atoms in the middle part of the slab (area enclosed by green planes in the structure displayed in Figure S41), all other atoms were relaxed until all forces were reduced below 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='025 eV/Å and the change in total energy between successive iteration steps became smaller than 10−6 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Several possible sites for oxygen vacancy formation were considered (and denoted by V1–V8 in the structure in Figure S41) and the system was re-optimized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' For oxygen vacancy defects present in the bulk region of the slab, atoms in the immediate vicinity of the vacancy were allowed to relax too.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The effect of distortion of TiO6 octahedra on the electronic structure of brookite was also considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Two models were considered: (i) Several Ti-O axial distances were modified by up to ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 Å and the change in densities of states with respect to an ideal (210) surface of brookite was monitored.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (ii) Randomly chosen Ti-O distances were modified within ±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 Å and accompanied by a displacement of Ti atoms from its equilibrium positions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S6 Supplementary Text Digital pictures of TiO2 photocatalysts Upon reduction under hydrogen atmosphere at different temperatures, the color of synthesized brookite and anatase samples changed from white to gray and black, while the commercial brookite showed a relatively small color change (Table S1), suggesting its non-reducibility, as also confirmed by the other characterizations reported below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Table S1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Digital photographs of as synthesized brookite (B-AS), as-received commercial brookite (CB- AR), as-synthesized anatase (A-AS) and reduced samples at different temperatures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The numbers after abbreviations stand for reducing temperature in °C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Sample Sample B AS CB AR A AS B500 CB400 A400 B600 CB500 A500 B700 CB600 A600 B800 CB700 A700 B900 CB800 B1000 CHN elemental analysis To exclude the contribution of carbon, nitrogen, and hydrogen impurities in the photocatalytic activity, CHN analysis of TiO2 samples were carried out before and after reduction under hydrogen atmosphere for the most active photocatalysts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' As Table S2 shows, there is no significant difference between carbon, nitrogen, and hydrogen concentration in the samples before and after the thermal treatment in hydrogen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S7 Table S2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' CHN analysis of the pristine and the most photoactive sample for brookite, commercial brookite and anatase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample C (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' %) H (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' %) N (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' %) B-AS 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='25 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='08 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='12 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 B700 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='19 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='07 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01 CB-AR 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='22 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='04 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='83 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='07 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01 CB600 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='73 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='08 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 A-AS 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='06 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='43 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='11 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 A-500 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='39 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='06 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='16 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='06 ± 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 Morphology of TiO2 photocatalysts Figure S1A and Figure S1B show the TEM images of B-AS and B700, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The as-synthesized brookite nanorods have an average length of 90 ± 35 nm that after reduction under hydrogen atmosphere at 700°C decreased to 82 ± 28 nm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, the reduction in high temperature resulted in aggregation of particles due to sintering as well as losing their well-defined facets.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S2A and Figure S2B present the TEM images of CB-AR and CB600, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The particle shape of commercial brookite is rounded (average diameter 29 ± 10 nm) in comparison with the synthesized brookite and showed almost no change in shape and a slightly increase in size after reduction (average diameter 32 ± 7 nm).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The as synthesized anatase is spherical in shape with average diameter of 6 ± 1 nm (Figure S3) and its shape remained unchanged with slighty increase in diameter after reduction (average diameter 8 ± 2 nm).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S8 Figure S1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' TEM images of (A) B-AS and (B) B700 with associated histograms of size distributions (bottom) based on 100 measurements of nanorods length.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' TEM images of (A) CB-AR and (B) CB600 with associated histograms of size distributions (bottom) based on 100 measurements of particle diameter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 100nm 100nm 45 45 B AS B700 Counts 30 30 15 15 0 0 20 50 80 110 140 170 20 50 80 110 140 170 Size (nm) Size (nm)A B 50 nm 50nm 45 CB AR CB600 45 Counts 30 30 15 15 0 0 10 20 30 40 50 60 10 20 30 40 50 60 Size (nm) Size (nm)S9 Figure S3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' TEM images of (A) A-AS and (B) A500 with associated histograms of size distributions (bottom) based on 100 measurements of particle diameter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 40 nm 40nm 50 50 A AS A500 Counts 35 35 20 20 5 5 2 4 6 8 10 12 14 16 2 4 6 8 10 12 14 16 Size (nm) Size (nm)S10 Figure S4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' TEM images of (A) platinized pristine brookite and (B) platinized reduced brookite at 700°C with associated histograms of size distributions of Pt particles (bottom) based on 100 measurements of particle diameter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The loaded reduced brookite present large Pt aggregates and therefore the size distribution refers to the isolated Pt nanoparticles found in the sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The photodeposition of Pt results clearly in different results: pristine brookite present isolated homogeneously dispersed Pt nanoparticles, while reduced brookite show mainly large Pt aggregates and some isolated Pt nanoparticles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 50 nm 50 nm B AS/Pt B700/Pt 39 39 Counts Counts 26 26 13 13 0 0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 Size (nm) Size (nm)S11 Figure S5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A,B) TEM and HR-TEM (C-F) micrographs of pristine brookite nanorods loaded with 1 wt% Pt showing their homogeneous distribution over the TiO2 matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The darker dots are the Pt nanoparticles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A-C) STEM-HAADF images and (D) elemental EDS mapping of (C) for pristine brookite nanorods loaded with 1 wt% Pt showing their homogeneous distribution over the TiO2 matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' B C 200 200 nm nm D nmA B HAADF 50 nm 50nm 60 nm Ti Pt Tilo Pt 60nm 60 nm 60nm 60 nmS12 Figure S7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A-C) TEM and HR-TEM (D) of micrographs reduced brookite nanorods (at 700°C) loaded with 1 wt% Pt showing their aggregation over the TiO2 matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The darker dots and nanostructured aggregates are made by Pt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A-C) TEM and HR-TEM (D) of micrographs reduced brookite nanorods (at 700°C) loaded with 1 wt% Pt showing their aggregation over the TiO2 matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The Pt nanocrystals are the brighter spots.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 200nm 200nm D 50 nm 10nmA B 50 nm 20 nmS13 Figure S9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' STEM-HAADF and elemental mapping images of reduced brookite nanorods (at 700°C) loaded with 1 wt% Pt showing their aggregation over the TiO2 matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' STEM-HAADF and elemental mapping images of reduced brookite nanorods (at 700°C) loaded with 1 wt% Pt showing their aggregation over the TiO2 matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' HAADF Ti 90 nm 90nm 90 nm Pt Tio Pt 90 nm 90nmHAADF Ti 60nm 60nm 60 nm Pt Tio Pt 60nm 60nmS14 Specific surface area measurement Figure S11 shows the nitrogen sorption isotherm profiles of the samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In all cases, the BET surface area decreases after reduction under hydrogen atmosphere at high temperature (Table S3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' N2 adsorption/desorption type IV isotherms (mesoporous solids) at 77K for (A) B-AS and B700, (B) CB-AR and CB600, and (C) A-AS and A500.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Table S3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Brunauer−Emmett−Teller (BET) specific surface area for the pristine and the most photoactive sample of each studied phases of TiO2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample BET surface area (m2 g-1) anataseB- AS 67 B700 47 CB-AR 50 CB600 48 A-AS 273 A-500 189 A 180 B STP) STP) 10 8 135 B AS Adsorption CB AR Adsorption B AS Desoption 6 CB AR Desoption 90 (cm3 4 45 2 Quantity Adsorbed 0 0 8 135 B700 Adsorption CB600 Adsorption B700Desorption 6 CB600 Desorption 90 4 45 2 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 Relative Pressure (p/p°) Relative Pressure (p/p°) C P180 90 45 A As Adsorption 0 A AS Desoption 135 A500Adsorption A500 Desorption 90 45 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 Relative Pressure (p/p°)S15 Structural characterization X-ray diffraction XRD analysis (Figure S12 and Table S4) revealed that the synthesized brookite is crystalline and stable up to 700°C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The sample treated at 800°C, instead, presented around 91 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' % of rutile phase, while at 900°C almost all the rutile is transformed to Magnéli phase Ti9O17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' At 1000°C, the other Magnéli phases Ti4O7 in 94 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' % and Ti5O9 in 6 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' % were generated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The phase stability of commercial brookite is up to 700°C (the same as synthesized brookite) and after that reduction at 800°C induced the complete conversion to rutile (Figure S13 and Table S5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The XRD pattern of as synthesized and reduced anatase (Figure S14) samples indicates that the as synthesized anatase photocatalysts are stable at up to 500°C , while almost full conversion to rutile is obtained at 700°C (Table S6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The average particle sizes obtained using the Scherrer method for commercial brookite and anatase samples are in good agreement with those retrieved from TEM micrographs analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) XRD patterns of brookite samples and reference patterns for brookite (bottom) and rutile (top).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) XRD patterns for reduced brookite at 900 and 1000 °C and reference patterns (bottom) for rutile and various magnéli phases (TixO2x-1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' XRD patterns for commercial brookite samples and reference patterns for brookite (bottom) and rutile (top).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 41 008 7847 Rutile B1000 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B800 B700 B900 B600 (Ti,O1z) 00 050 0791 B500 (Ti,Og)04 005 4465 B AS (Ti,07) 04 005 4521 01 071 6410 (Rutile) 01 071 6410 Brookite 20 40 60 80 20 40 60 80 20 (°), Co kα 20 (°), Co kα(Rutile) 41 008 7847 CB800 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') CB700 CB600 CB500 CB400 CB AR (Brookite) 01 071 641Q 20 40 60 80 20 (°), Co kαS16 Figure S14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' XRD patterns for anatase samples and reference patterns for anatase (bottom) and rutile (top).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Table S4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phase composition of brookite samples retrieved from Rietveld refinement of XRD patterns.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Brookite (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Rutile (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Ti4O7 (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Ti5O9 (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Ti9O17 (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) B-AS 100 - - - - B500 100 - - - - B600 100 - - - - B700 100 - - - - B800 9 91 - - - B900 - 9 - - 91 B1000 - - 94 6 - Table S5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rietveld quantitative phase analysis of commercial brookite samples and crystallite size calculated according to the Scherrer method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Brookite (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Anatase (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Rutile (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Crystallite size (nm) CB-AR 100 - - 27 CB400 100 - - 27 CB500 100 - - 28 CB600 100 - - 31 CB700 100 - - 41 CB800 - - 100 69 41 008 7847 Rutile A700 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') A600 A500 A400 A AS 01 071 6410 Anatase 20 40 60 80 20 (°), Co kαS17 Table S6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rietveld quantitative phase analysis of anatase samples and crystallite size calculated according to the Scherrer method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Anatase (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Rutile (wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='%) Crystallite size (nm) A-AS 100 - 8 A400 100 - 8 A500 100 - 13 A600 68 32 24 A700 - 100 28 To investigate more in depth the structural modifications induced by the reduction treatment, we performed detailed Rietveld refinements for the samples treated up to 700°C (Figure S15).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' All of the patterns are well described by single phase of brookite TiO2 and, within the resolution of our measurements, we did not detect any spurious crystalline phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S1A and B shows the reduction temperature (T) dependence of the average particle size, D (nm), and the average strain as obtained using the Williamson-Hall method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We observed a clear decrease of D for T = 400°C followed by an increase of average particle size above this T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' On the other hand, the average particle strain weakly decreases at T=400°C keeping roughly the same value at higher T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This phenomenon can be associated to particle sintering since the sudden aggregation of particle can result in an increase of D owing to relieve of intraparticle tension by decreasing the overall particle strain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This is confirmed by the annealing temperature evolution of component of empirical extension of anisotropic microstrain broadening tensor refined by Rietveld refinements (Figure S1C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Indeed, we note a progressive convergence of these parameters to the same values indicating that the evolution of Williamson-Hall strain is explained by the tendency to form more isotropic particle aggregates at high annealing temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This morphological observation is in agreement with the TEM micrographs of reduced brookite B700 (Figure S1B), which confirm that brookite nanorods tends to aggregate in isotropic agglomerate upon reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The tendency toward powder aggregation can also explain the disagreement between the average nanorod lengths detected by TEM, both before and after reduction, and the average particle size retrieved by Rietveld refinements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S1D shows the annealing temperature evolution of the refined lattice parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Orthorhombic strain is defined as: 𝜂 = 2(𝑎 − 𝑏) (𝑎 + 𝑏) where a and b are the unit cell axes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We observed that \uf068 remains almost unchanged for all the investigated annealing temperature whereas the c-axis shows clear decrease.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In other words, this indicates that the annealing temperature does not affect the ab plane but induces distortion along the c-axis only.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This anisotropic evolution of structural parameters upon reduction is even better outlined by the interatomic distances related to the TiO6 octahedra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' TiO2 structure is composed of TiO6 octahedra, each with a titanium atom at its center and oxygen atoms at its corners (Figure S1A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In brookite TiO6 are distorted oxygen atoms in two different positions, namely O1, O2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This results in two groups of distances namely dTi-O1, dTi-O2 (Figure S1B, C) which can be regrouped into two axial and four equatorial different interatomic distances which have been averaged out and shown in Figure S1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Averaged axial distance expand upon increasing temperature, whereas the average equatorial distances show a weak contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Both distances tend to the same value and this may indicate that the annealing process induces the TiO6 to be more regular, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' isotropic, and less distorted at high temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To figure out the effect of reduction treatment on the brookite structure we argue that the reduction of TiO2 at high temperature creates oxygen vacancies (𝑉𝑂,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S18 in Kröger–Vink notation) 22,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='23 and induces Ti3+ ions electron trapped in Ti4+ lattice sites ( 𝑇𝑖𝑇𝑖 ′ ) according to the following relation: 𝑂𝑂 𝑥 + 2𝑇𝑖𝑇𝑖 𝑥 + 𝐻2 → 𝑉𝑂 •• + 2𝑇𝑖𝑇𝑖 ′ + 𝐻2𝑂 Two negatively charged 𝑇𝑖𝑇𝑖 ′ species can then couple with one double positive charged 𝑉𝑂 •• promoting the formation < 𝑇𝑖𝑇𝑖 ′ − 𝑉𝑂 •• − 𝑇𝑖𝑇𝑖 ′ > defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The mutual attraction between them can produce a contraction of the structure to account for electron neutrality, which is fully in agreement with the observed c-axis contraction upon reduction at high temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The reduction of Ti valence to produce 𝑇𝑖𝑇𝑖 ′ species, is compatible with a depletion of ≈ - 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5% as evidenced by bond valence sum (BVS) analysis, see for B700 (Figure S1A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Further, the correlation between the BVS and c-axis contraction is shown in Figure S1B, showing a nearly linear relationship between these two parameters and thus indicating that more 𝑉𝑂𝑠 are induced by the reduction and more the c-axis resulted to be contracted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This highlights that reduction treatment introduced an anisotropic and preferential deformation of the brookite lattice along the c-axis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rietveld refinements of brookite samples reduced at different temperatures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Dots are experimental data;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' continuous lines are the calculated profiles;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rietveld agreement factors [R (F2)] between observed and calculated patterns ranged from 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='06 to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='08.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B AS Experimental Calculated Residual Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B400 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B500 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B600 Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B700 20 30 40 50 60 70 80 90 100 20 (), Co kaαS19 Figure S16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Structural parameters retrieved from Rietveld refinements of XRD patterns for as synthesized brookite and brookite reduced at different temperatures (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' annealing T in x axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Reducing temperature dependence of average particle size (D), and (B) crystal structure strain as obtained by Williamson- Hall (WH) method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (C) Annealing temperature evolution of components of empirical extension of anisotropic microstrain broadening tensor (L) refined by Rietveld refinements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Indexes are referring to the following expression: L = L11h2+L22k2+L33l2+2L12hk+2L13hl+2L23kl.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (D) Annealing temperature dependence of orthorhombic strain (see text) and c-axis (inset).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A 390 B 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0014 360 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0012 330 Strain 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0010 300 D WH 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0008 270 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0006 240 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0004 210 0 100 200300400500 600 700 800 0 100 200300400500 600 700 800 Annealing T (°C) Annealing T (°C) C D 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='510 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 33 E 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='509 Orthorombic strain ( 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 13 23 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='508 Microstrain broadening 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='507 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='135 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='506 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='134 100200300 400 500600700800 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 Annealing T (°C) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='505 0 100 200 300 400 500 600 700 800 0 100 200 300 400 500 600 700 800 Annealing T (°C) Annealing T (°C)S20 Figure S17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Representation of octahedra (TiO6) in TiO2 brookite unit cell (Pbca) showing the arrangement of distorted TiO6 resulting in two groups of distances, namely dTi-O1 and dTi-O2, composed by two axial and four equatorial different interatomic distances.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Values refer to structure refined at room temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) Evolution of axial and (C) equatorial interatomic distances retrieved from Rietveld refinements of XRD patterns for as synthesized brookite and brookite reduced at different temperatures (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' annealing T in x axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Solid lines are guide to the eye.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A dT 011.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='913 A T 02 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='918 A Axial .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='Equatorial dT 01=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='943 A Ti 021.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='918A dt 011.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='955 A 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='082A B 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 Axial Lo !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='lp dTi 02 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='00 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='98 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='96 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='94 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='92 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='90 0 200 400 600 800 C Annealing T (°C) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='10 Equatorial 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='05 dti 01 dti 02 di 01 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='00 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='95 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='90 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='85 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='80 0 200 400 600 800 Annealing T (°C)S21 Figure S18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Annealing Temperature dependence of averaged axial and equatorial interatomic retrieved from Rietveld refinements of XRD patterns for as synthesized brookite and brookite reduced at different temperatures (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' annealing T in x axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Annealing Temperature dependence of Ti Bond Valence Sum (BVS) and (B) correlation between Ti BVS and c-axis contraction retrieved from Rietveld refinements of XRD patterns for as synthesized brookite and brookite reduced at different temperatures (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' annealing T in x axis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='97 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='96 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='96 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='95 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='95 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='94 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='94 Aaverage axial dti o 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='93 Aaverage equatorial dti o 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='93 0 100 200 300 400 500 600 700 800 Annealing T (°C)A 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='17 B 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='17 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='16 [B AS 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='15 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='15 TB600 TB400 S 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='14 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' B700 B500 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='13 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='13 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='12 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='12 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='11 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='11 0 100 200 300 400 500 600 700 800 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='134 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='135 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='136 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='137 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='138 Annealing T (°C) c axis (A)S22 Raman spectroscopy The crystal system of brookite is orthorhombic and has eight formula units per unit cell and thirty-six Raman active modes (9A1g+9B1g+9B2g+9B3g) 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The crystal system of anatase is tetragonal and has two formula units per unit cell and six Raman active modes (A1g+2B1g+3Eg) 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The crystal system of rutile is tetragonal and has two formula units per unit cell and four Raman active modes (A1g+B1g+B2g+Eg) 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Raman spectra of synthesized and reduced brookite samples (Figure S20A) confirmed that the synthesized brookite is stable up to 700°C and after that it transforms to rutile, as evidenced by the disappearance of brookite peaks and appearance of rutile peaks in Raman spectra of B700 and B800.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The same Raman modes of rutile remained evident also for B900 and B1000, where an additional phase transition to Magnéli phases is completed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The main Raman peak of as synthesized brookite at 147.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 cm-1 is blue shifted to 146.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 cm-1 after reduction at 700°C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Moreover, there is a peak narrowing in the main peak due to the reduction (FWHMB-AS = 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='82 cm-1, FWHMB700 = 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='81 cm-1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Raman spectroscopy measurements also revealed that the commercial brookite sample is stable under reducing conditions up to 600°C, after which, rutile Raman fingerprint developed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' There is almost no peak shift and no change in FWHM of the main peak (FWHMCB-AR = 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='41 cm-1, FWHMCB600 = 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='64 cm-1) (Figure S20B), suggesting that no significant modifications occurred in the commercial brookite lattice upon reduction at high temperature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S20C shows, instead, that anatase is stable up to 500°C in our reduction conditions showing also a significant blueshift of the main Raman mode from 142.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 cm-1 for as-synthesized anatase to 134.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 cm-1 for anatase reduced at 500°C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The same peak narrowed significantly from FWHMA-AS = 30.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='97 cm-1 to FWHMA500 = 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='80 cm-1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Several phenomena can give rise to TiO2 Raman peak shifting and broadening (or narrowing) 24–28 as follows: (i) the lattice strain 26, (ii) the crystal size that could regulate the phonon confinement and the Raman scattering (increasing in crystal size results in redshift and peak narrowing) 24, and (iii) the oxygen stoichiometry, depending on the phase of TiO2, could affect the position of Raman peaks and also could modify the FWHM 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In the case of synthesized brookite and anatase, we observed a blueshift and peak narrowing of the main Raman peak after reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Upon reduction, we detected a reduction of lattice microstrain in brookite nanorods (Figure S20C) as well as an increase in the overall crystal size due to nanorods aggregation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, we propose that the change in oxygen stoichiometry (as also evidenced by the other characterizations reported) underlies the blue shift and the peak narrowing witnessed for both brookite and anatase 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In contrast, in case of commercial brookite neither peak shifting nor peak narrowing (or broadening) were observed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This result confirms that the commercial brookite was not reduced under reduction conditions as already suggested by UV-vis diffuse reflectance spectra analysis, TPR-MS measurements, and also by the color of the samples, which did not change upon reduction treatment (Table S1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S23 Figure S20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Raman spectra of (A) as-synthesized and reduced anisotropic brookite samples, (B) as-received and reduced commercial brookite samples, and (C) as-synthesized and reduced anatase samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Measurements performed with a 455 nm laser at a power density of 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 mW cm-2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The left part of each panel is the zoomed view of the main Raman peaks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' B Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 3900 CB800 8800 CB70C B700 CB600 B600 CB500 B500 B400 CB400 B AS CB AR 130153100 200 300 400 500 600 700 800 130153100 200 300 400 500 600 700 800 Raman shift (cm 1) Raman shift (cm 1) C Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') A700 A600 A500 A400 A AS 120148100 200 300 400 500 600 700 800 Raman shift (cm 1)S24 Diffuse reflectance spectroscopy The Tauc method 29 is one of the most common procedures for determining the bandgap of materials.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This method makes a relationship between absorption coefficient and optical bandgap of material base on the following formula: (𝛼ℎ𝜈)𝑛 = (ℎ𝜈 − 𝐸𝑔) where, α is the absorption coefficient, h is the Plank constant, ν is the frequency of radiation and Eg is the bandgap of material.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The n factor depends on the nature of the electronic transitions and is equal to 2 for TiO2 as it is an indirect band gap semiconductor 30,31.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This method assumes that the scattering component of the reflected irradiation is zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, in case of nanopowders with high amount of scattering, this component could not be neglected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, the Kubelka-Munk theory is used to make an estimation of absorption from reflectance according to the following formula 32: 𝐹(𝑅) = 𝛼 = 𝐾 𝑆 = (1 − 𝑅)2 2𝑅 where, R is the reflectance of the sample with infinite thickness to avoid any contribution of substrate, K and S are the absorption and scattering coefficients, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The bandgap of TiO2 can be retrieved using the Tauc method as follows: (𝐹(𝑅)ℎ𝜈)1/2 = (ℎ𝜈 − 𝐸𝑔) From the Tauc plot, the x-axis intersection point of the tangent to the linear increase of light absorption in the Tauc plot gives the band gap energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This method is accurate and used here for determining the bandgap energy of pristine TiO2 materials, while for reduced TiO2 powders the baseline method was employed to calculate the bandgap 32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Furthermore, we analyzed the Urbach tail in absorption spectra, as it originates optical transitions involving intragap states related to defects 33–35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The Urbach energy can be calculated as follow 36,37: 𝛼 = 𝛼0 + exp ( 𝐸 𝐸𝑢 ) where α is the absorption coefficient, E is the photon energy equal to hν and Eu is the Urbach energy, which can be retrieved by the reciprocal of the slope of the linear part of the curve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S21 shows the absorption spectra of as synthesized and reduced anisotropic brookite samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' As expected, most of the UV light is absorbed owing to the wide band gap of brookite, which was found to be comprised between 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 and 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='36 eV (Table S7) for all samples containing only the brookite phase (B-AS, B500, B600, B700).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A large shift in the absorption edge of B800 and B900 was observed due to the phase change to rutile, with a corresponding decrease of bandgap values around 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The sample B1000 absorbs almost the entire spectrum and it is not possible to calculate any bandgap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This can be ascribed to a phase composition including several semimetallic (Magnéli) phases 38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The absorption of anisotropic brookite samples in the visible region increases by increasing the temperature of reduction, which is predictable from the color of powders, and it can be assigned to the introduction of oxygen vacancies and Ti3+ electronic states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, visible light has no influence in the photocatalytic activity of the reduced brookite, as discussed in photocatalysis section reported above.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Furthermore, in all of the samples, a change in the Urbach tail due to the reduction at different temperatures was observed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' It varied from 69 to 115 meV passing from B-AS to B700, suggesting an increased population of point defects in TiO2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Reflectance spectra for commercial brookite and synthesized anatase (with isotropic crystal shape) are reported in Figure S22 and Figure S23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In addition, Table S8 and Table S9 provide the results obtained from analysis of bandgap and Urbach energy of commercial brookite and anatase, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' It is apparent from the results that in all cases the bandgap underwent to only a slightly modification after reduction, remaining around 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 and 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2, for commercial brookite and anatase, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' After phase transformation to rutile (at 800°C in commercial brookite and at 600°C in anatase), bandgap values decreased and Urbach energy increased.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Furthermore, no change in color of the commercial brookite samples was observed after reduction at different temperatures (Table S1), while in anatase samples the color change from white to gray and black.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The variations of Urbach energy is in agreement with this observation: for commercial brookite it remained at a stable value of ~55 meV before and after reduction, S25 while for anatase Urbach energy increased from 115 (A-AS) to 205 meV (A500).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These results further confirmed that commercial brookite was hardly reducible, while defects could be introduced in the synthesized anatase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Diffusive reflectance spectra and (B) Tauc plots of as synthesized and reduced anisotropic brookite samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Diffusive reflectance spectra and (B) Tauc plots of as received and reduced commercial brookite samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A 100 B B AS B800 80 B500 B900 Reflectance (%) B600 B1000 B700 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='13eV 60 40 B AS B500 B600 20 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38ev B700 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38eV B800 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='37 eV B900 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 eV B1000 0 300 500 700 900 1100 2 3 4 5 Wavelength (nm) hu (eV)A 100 B CB RT CB400 80 CB500 Reflectance (%) (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') CB600 CB700 CB800 60 CB RT [F(R)hu]1/2 ( CB400 CB500 40 CB600 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='04 eV CB700 CB800 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='34 eV 20 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='33 eV 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='34eV7 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32eV7 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32eV 0 300 500 700 900 1100 2 3 4 5 Wavelength (nm) hu (eV)S26 Figure S23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Diffusive reflectance spectra and (B) Tauc plots of as synthesized and reduced anatase samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Table S7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Optical bandgap and Urbach energy of anisotropic brookite samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Optical bandgap (eV) Urbach energy (meV) B-AS 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 69 B500 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='37 67 B600 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38 104 B700 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='38 115 B800 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='13 155 B900 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='13 - B1000 - - Table S8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Optical bandgap and Urbach energy of commercial brookite samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Optical bandgap (eV) Urbach energy (meV) CB-AR 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 58 CB400 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 55 CB500 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='34 54 CB600 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='32 56 CB700 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='34 39 CB800 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='04 36 A 100 B A AS A AS A400 A400 A500 80 Reflectance (%) A500 A600 A600 A700 A700 60 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09 40 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09eV 20 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='29 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='20 eV 0 300 500 700 900 1100 2 3 4 5 Wavelength (nm) hu (eV)S27 Table S9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Optical bandgap and Urbach energy of anatase samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample Optical bandgap (eV) Urbach energy (meV) A-AS 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='20 115 A400 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='29 154 A500 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='26 205 A600 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09 252 A700 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='09 100 S28 Methanol photoreforming In order to demonstrate the better photo-oxidation acitivty toward methanol of reduced brookite, we performed a series of photocatalytic experiments detecting (1) the methanol consumption rate through 1H- NMR spectroscopy and (2) the hydrogen evolution rate with GC for platinized B-AS and B700 (Figure SS24-S25 and Figure 1 of the main text).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We did not detect any trace of formaldehyde nor formic acid in both liquid phase (through NMR analysis) and gas phase (through GC analysis), suggesting that methanol oxidation proceeded toward CO2, as confimed by the high reactivity of brookite samples toward the oxidation of formaldehyde and formic acid solutions (Figure S27).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1H-NMR spectra of the solutions after photocatalysis at representative reaction times for B- AS/Pt and B700/Pt samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The blank samples were recorded by using solutions containing CD3OD, DI water, and DMSO ((CH3)2SO) as the internal standard.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In the other samples, an aliquot of 50 μL of CH3OH was added to the solution and its photocatalytic consumption rate was measured by assessing the area of its characteristic NMR peak.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' CHD2OH is the impurity presents in the deuterated methanol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' F AF AF B AS/Pt 4h B700/Pt 4h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='05 H 0 0 H CO H H C O H 工 HsC 0~CH3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 工 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 D H C O H H C O H 1 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='00 1 1 B AS/Pt Oh 1 1 1 B700/Pt0h (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='05 1 1 1 1 1 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 1 1 /1 1 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='00 Blank 1 Blank 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='05 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 1 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='00 1 1 AF AF 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='40 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='30 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='20 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='70 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='60 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='40 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='30 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='20 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='70 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='60 ppm wddS29 Table S10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Relative NMR integration values of MeOH signal to internal standard (DMSO) at different reaction times for the pristine (B-AS/Pt) and reduced brookite (B700/Pt) samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Time (h) B-AS/Pt B700/Pt -a 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='04a 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='92a 0b 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03b 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='92b 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='88 4 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='85 6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='83 8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='83 10 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='82 16 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='99 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='78 24 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='96 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='75 aBlank measurements with no photocatalyst, but in the presence of the reagents d4-MeOH (5 mL), H2O (5 mL), MeOH (50 μL), and DMSO (2 μL).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' bResults were obtained after addition of the photocatalysts (B-AS-Pt and B700-Pt) to the solutions and stirring for 30 min in the absence of light to allow for reaching the adsorption/desorption equilibrium.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Dynamic Light Scattering (DLS) measurements analysis showing the hydrodynamic diameter evolution of the B700/Pt catalysts during the reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 200 400 600 800 0 14 28 42 0 14 28 42 0 14 28 42 0 14 28 42 diameter (nm) 0h Intensity (%) 4h 16h 24h S30 Figure S26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Hydrogen evolution kinetics for B-AS/Pt and B700/Pt under one sun illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S27.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Hydrogen amount evolved from five consecutive photocatalytic cycles for B700/Pt during methanol photoreforming under 1 Sun illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 0 5 10 15 20 25 0 500 1000 1500 2000 2500 Amount of H2 (mmol m-2) Time (h) B700/Pt B-AS/Pt 0 24 48 72 96 120 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 Amount of evolved H2 (mmol m-2) Time (h) S31 Figure S28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Specific hydrogen evolution rate obtained for samples loaded with 1 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='% Pt by normalizing the photocatalytic rates by BET specific surface area for the as-received (CB-AR/Pt) and the most active reduced commercial brookite (CB600/Pt), and as-synthesized (A-AS/Pt) and the most active reduced anatase (A500/Pt).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S29.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Photocatalytic hydrogen evolution rate optimized per mass of used photocatalyst for (A) for B-AS/Pt and B700/Pt;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) A-AS/Pt and A500/Pt under one sun illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 9 5 4 3 2 工 0 CB AR/Pt CB600/Pt A AS/Pt A500/PtA B 10 10 B AS Pt A AS Pt B700 Pt A500 Pt 8 (μmol h 1) 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 6 evolution rate 4 ?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2 I/ 0 0 2 4 6 8 10 0 2 4 6 8 10 Amount of photocatalyst (mg) Amount of photocatalyst (mg)S32 Figure S30.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Hydrogen production rate from different intermediates of methanol oxidation (formaldehyde and formic acid) of as-synthesized (light blue) and reduced at 700°C (dark blue) brookite samples loaded with 1 wt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='% Pt.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These experiments confirmed GC analysis of the gas phase (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', we detected only carbon dioxide) and NMR analysis of the liquid phase after reaction (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' we did not detect any signal related to formaldehyde nor formic acid) indicating that the methanol photo-oxidation proceeded to carbon dioxide, due to reactivity of brookite nanorods toward oxidation of the intermediates (formaldehyde and formic acid) of methanol oxidation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Photolysis of formaldehyde under AM 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5G 1sun illumination produced a very small hydrogen production rate, namely, ~85 nmol m-2 h-1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 45 40 2 prod.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' rate (μmol h-1 m*2 35 30 25 20 15 H2 10 5 0 Formaldehyde Formic acidS33 Figure S31.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Co-catalyst free rate of hydrogen evolution of TiO2 samples tested under 1 Sun illumination for 24 h and reduced under pure hydrogen for 1 h: (A) brookite nanorods, (B) brookite nanorods reduced at 700°C for different times, (C) commercial brookite, and (D) synthesized anatase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We report the specific H2 evolution rate only for the most performing sample for each series in Figure S29.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A 50 B 50 40 40 30 30 20 20 10 10 H2 0 B1000 0 B AS B500 B600 B700 B800 B900 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5h 1 h 2 h Timeofreductionat7oo°c C D 40 12 10 26 30 jowm) 8 evolutionrate 20 6 4 10 2 0 0 CB RT CB400 CB500 CB600 CB700 CB800 A AS A400 A500 A600 A700S34 Figure S32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Specific hydrogen evolution rate obtained by normalizing the photocatalytic rates by BET specific surface area for as-synthesized (B-AS) and the most active reduced brookite (B700), as-received (CB-AR) and the most active reduced commercial brookite (CB600), and as-synthesized (A-AS) and the most active reduced anatase (A500).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The specific photocatalytic H2 evolution rates expressed in µmol m-2 h-1 shown in Figure S29 underly that nanorods of reduced brookite (B700) have a specific photocatalytic activity that is 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4-, 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6-, and 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7-fold the ones of as synthesized brookite (B-AS), reduced commercial brookite (CB600), and reduced anatase (A500), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These results demonstrate that higly active sites for photocatalysis are formed in B700 upon reduction under hydrogen atmosphere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Interestingly, when we performed H2 evolution experiments with B700 in H2O/methanol under 1 sun light irradiation and applying a longpass optical filter to cutoff λ ≥ 380 nm, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' cutting optical excitation above bandgap energy, we did not detect any H2 after 24 h of reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This finding suggests that the intragap electronic states due to the introduction of defects in TiO2 upon reduction (see materials characterization and DFT calculations below) do not directly participate to the photocatalytic activity in the H2 evolution reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Further, experiments performed under full 1 sun illumination and using Na2S (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 M) instead of methanol as a hole scavanger, did not produce any H2 suggesting that the H2 evolution activity of our reduced brookite is regulated by its selective methanol photo-oxidation ability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This is supported by the photocatalytic experiments carried out using different alcohols (Figure 1 main text).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 m h 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 (μmol I 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 s CB AR CB600 S A 1 B7 BS35 Electron paramagnetic resonance spectroscopy In order to identify the nature of spin containing sites and their contribution to photocatalysis we used electron paramagnetic resonance (EPR) spectroscopy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Three samples have been tested, which differ in the annealing temperature in hydrogen atmosphere, B-AS, B500, and B700.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We investigated these samples in powder form and in situ under photocatalytic conditions by using a water/methanol (MeOH) matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' X-band EPR spectra (9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 GHz, T = 77 K) of (A) B-AS, (B) B500, and (C) B-700 recorded in powder form and measured in dark (blue lines) and under UV irradiation (red lines).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The EPR spectrum of B-AS in powder form shown in Figure SA exhibits a broad resonance, centered at g \uf07e 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This signal arises from delocalized defects and presence of significant strains in the crystalline lattice, due to the synthetic procedure pursued.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Following irradiation, a new resonant line appears in the spectrum, around g = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='017.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This signal originates from holes/oxygen-based radicals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' From the double integration of the EPR signal recorded in light and dark conditions, we calculated an increase of about 25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6% in the total number of spin contacting sites after illumination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The observed increase in spin concentration indicates that fast electron/hole recombination processes are here hindered;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' thus, the photogenerated states are rather stable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The EPR trace of B500 in powder form, on the contrary, is very strong and it is dominated by a sharp resonant line at g=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='997 (Figure S30B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This resonance arises from localized lattice embedded Ti3+ sites in an octahedral field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Upon the UV irradiation, we witness an increase of the signal in the region of the A B B AS B500 UV On UV On UV Off UV Off 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 g value g value B700 "/dB (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') UV On UV Off 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 g valueS36 spectrum associated to oxygen-based radicals at g=2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='017.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In this case, the double integrated EPR signal shows after UV light exposure and increase in the total number of spins of 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7%.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, the photoexcited states are here less stable than in B-RT and fast e-/h+ recombination processes occur in this sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' X-band EPR spectra (9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 GHz, T = 77 K) of three samples studied (A) B-AS, (B) B500, and (C) B700 dispersed in the frozen solution of DI water and methanol (1:1, volume ratio) recorded in dark (blue lines) and under UV irradiation (red lines).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The sample B700 in powder form in the dark (Figure SC) gives a weaker EPR signal compared to B500, although being qualitatively similar.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The major difference between B700 and B500 appears, in the former, to be linked with a larger distribution in crystal field strain (octahedral to rhombic) associated to the Ti3+ spins due to structural defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Upon UV irradiation, an increase of 56.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6% in spin concentration was observed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This behavior is interpreted as due to the high stability of photoexcited states and slow recombination processes in the material, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' in B700 in powder form we observed the highest increase of paramagnetic species accumulating under irradiation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' It is worthy to point out that the most efficient sample in hydrogen production and methanol consumption is B700, which gives indeed the weakest intensity in the EPR powder spectrum among the series here A B B AS B500 UV On UV On UV Off UV Off 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 g value g value C B700 UV On I/dB (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') UV Off 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 g valueS37 shown.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, the number of spins recorded by EPR do not directly correlate with the system reactivity and its overall efficiency in the catalytic process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To unveil in more detail the reasons underlying the different efficiency in the hydrogen production recorded in this series of tested materials, we performed a set of experiments under in situ photocatalytic conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In our experiments, 10 mg of materials were dispersed in 100 µL of solution of deionized (DI) water and MeOH (50:50).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Under dark conditions the EPR fingerprints in frozen solutions of B-AS, B500, and B700 (Figure S32A-E) appear very similar to those observed in their correspondent powder forms in contact with N2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, upon irradiation, significant differences in the ability of MeOH molecules to quench the photogenerated holes emerged.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In particular, while in B-AS and B700 the interaction of MeOH molecules with photogenerated h+ seems more effective, in B500 is not, as validated from the appearance of a strong peak at g=2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='017 associated to accumulation of holes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Therefore, the decreased catalytic efficiency of B500 compared to B-AS and B700 arises from combination of two factors, i) fast electron/hole quenching during photoexcitation and ii) when holes are formed they do not tend to react with MeOH molecules, which translates into a lower probability of successful delivery of electrons for hydrogen production.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' From time- resolved PL measurements, however, the average lifetime of charge carriers is similar for both B500 (1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 ns) and B700 (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 ns), suggesting how the reaction between holes and methanol is a determining factor addressing the photocatalytic activity trend.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) an illustrative EPR envelope of B700 in contact with N2 at 80K (grey spectrum) together with individual components (C1-C6) derived from simulation and discussed below, (B-E) comparisons of EPR spectra of B700 recorded in different conditions together with theoretically proposed model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The simulation and deconvolution of EPR spectra for samples B700 in light and dark conditions in contact with N2 (in powder form) and DI water: MeOH (1:1, volume ratio) at 80K is shown in Figure S32.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' By deconvolution of EPR spectra we simulated the possible model of paramagnetic species present in the sample B700, which can be applied on all related spectra just by varying the proportions of individual components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' We assigned five main species commented bellow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Component C1: g=2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='059 related to peroxyl radicals (Ti-O-O•) on the surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Component C2: S=1/2 system associated with a trapped hole (O-centre) in the lattice with gx=2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='038, gy=2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='017 and gz=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='999.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B Experiment D Experiment C5 Simulation Simulation C5 C4 C3 B700/N2 B700/DI/MeOH [a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u] Uv off Uv off /dB c Experiment E Experiment Simulation Simulation C2 C1 B700/N2 B700/DI/MeOH Uv On UV On 280 300 320 340 360 B [mT]S38 Component C3: surface exposed Ti3+ centres which are highly disordered, and which give wide resonant line at g=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='935.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Component C4: sharp isotropic signal at g=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='992, we assume that this signal is associated with interstitial Ti3+ sides in pseudo octahedral positions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Component C5: typical axial signal arising from Ti3+ in regular lattice positions with gx,y=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='978 and gz=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='952.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Component C6: Ti3+ in the lattice located in some sublayer under the surface, where are lattice parameters slightly shortened and therefore g value is smaller comparing to C5, to be precise gx,y=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='963 and gz=1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='944.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S39 Photoluminescence (PL) and time-resolved photoluminescence (TRPL) spectroscopy Photoluminescence spectroscopy is a powerful technique for studying the radiative recombination of electrons and holes that populate intragap energy positions and that are due to the presence of structural defects in semiconducting materials 39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Photoluminescence spectroscopy is often used in the literature to reconcile charge carrier recombination phenomena occurring in TiO2 and its photocatalytic activity 40–42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' At first approximation, an higher PL intensity and lower PL lifetime underlie a higher electron and hole recombination rate and consequently a lower photocatalytic activity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, the way radiative recombination processes may bring insight to photocatalytic activity also relates to: (i) the position of structural defects into the TiO2 lattice (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' surface, subsurface, bulk) that, in turn, influences the energy distribution of electronic states due to defects (and therefore also the energy distribution of PL spectra), and (ii) how PL intensity and energy distribution change upon exposure to molecules employed in the photocatalytic tests as a hole scavenger (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' methanol).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' To examine the luminescence behavior of our TiO2 samples, we measured PL map spectra using several excitation wavelengths from 258 to 590 nm (4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 eV down to 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 eV) and monitoring PL emission in the energy range from 364 to 730 nm (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 eV down to 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 eV).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The samples were measured initially in the solid state at the temperature 80 K in contact with N2 atmosphere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The PL maps for as synthesized brookite and B700 (the most active photocatalyst) are reported in the main text (Figure 2), while PL maps for B500, B600 and B800 are illustrated in Figure S36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' From these PL maps, it is evident that PL intensity and energy distribution changed in each sample depending on the reduction temperature, suggesting that recombination centers (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' defects) re-organized and moved within the brookite lattice upon reduction at increasing temperatures 23,43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A similar phenomenon was observed for each set of samples investigated, namely commercial brookite (Figure S37) and anatase (Figure S38).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Within the synthesized brookite series, the most intense PL signal was recorded for B700 ≈ B-AS > B500 > B600 > B800.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' According to the XRD results, the sample B800 is already transformed to rutile phase and for this reason show a very weak PL in the investigated emission energy range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' It is interesting to note that B-AS presents PL signal only when excited with above-bandgap photons, while B700 highlights a complex PL signal even for below-bandgap excitations, demonstrating that reduction modified the electronic structure of reduced brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In order to investigate more in depth this aspect, we deconvoluted the PL spectra of synthesized and reduced brookite (Figure S39) obtained using an excitation wavelength 340 nm (3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 eV, above-bandgap).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The spectra were fitted by 4 components peaking at 450, 490, 545 and 620 nm (2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='75, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='53, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 eV, respectively).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In each case, the peak position and the full width at half maximum (FWHM) of the deconvoluted peaks were kept the same and just the intensity of peaks was free to change.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Generally, it has been shown that anatase and brookite exhibit distinct PL bands in the visible region of the electromagnetic spectrum 44.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The well-accepted interpretative model 39 for these emissions include the presence of the main visible emission is composed of a green component (“type 1 PL” or “green PL”), at higher energies, due to recombinations between shallowly trapped electrons (or conduction band electrons) and deeply trapped holes, and a red component (“type 2 PL” or “red PL”), at lower energies, due to recombinations between valence band holes and deeply trapped electrons 45–49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Spectra deconvolution reported in Figure S39 show that the weight of different PL components in our brookite samples significantly changes upon treatment in hydrogen at increasing temperatures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Importantly, the most intense PL components for B-AS are those at 2 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27 eV, while for B700 (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' the most active photocatalyst), the higher energies PL components become dominant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The experimentally determined valence band photoemission spectra recorded at synchrotron using photon energy in resonance with the titanium x-ray absorption edge (Figure 3A in the main text) show that in case of B-AS,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' the native oxygen vacancies present in the brookite induced a distribution of intragap states acting as deep electronic traps,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' while for B700 a more defective structure induced a valence band tailing,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' offering therefore electronic states that may host deeply/shallowly trapped holes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These findings demonstrates that the PL emissions observed for our samples are in agreement with the proposed mechanism about “green and red PL”.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The different PL behavior in B-AS and B700 therefore remarks that the reduction treatment introduce different defects that have a different PL signatures and influence in different way the photocatalytic activity of brookite samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' These results reflect those of Vequizo et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 50 who also found that the presence of an appropriate depth of S40 the traps can effectively contribute to enhance the overall photocatalytic activity of TiO2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' They found that in case of as synthesized brookite, the moderate depth of electron traps in comparison with the anatase and the rutile phase with shallow and deep electron traps, respectively, help brookite to be active for the both oxidation and reduction reactions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In our case, instead, we provide evidences that recombinations centers in reduced brookite are those defects that regulate the photo-oxidation reaction during H2 evolution from methanol/H2O photoreforming.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Further, PL maps recorded in the presence of methanol (Figure 2 in the main text) show for both B-AS and B700 that the radiative recombinations are almost completely quenched in these conditions, confirming the proposed PL mechanism and the fact that during photocatalysis holes are mainly employed for the photo-oxidation reaction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S40 shows the TRPL of as-synthesized (received) and reduced samples, while Table S10 shows the fitted parameters employed to calculating the average electron life time of each sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In all cases, the amplitude of the slow component (B1) is higher than the amplitude of the fast component (B2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The average electron lifetime (τave) of reduced samples, in all cases, is less than that of the corresponding pristine samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This behavior of reduced TiO2 samples suggests that after reduction, the defective centers are responsible for a faster charge carrier recombination 51.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Importantly, the results from TPRL measurements demonstrates that the improved photocatalytic activity of our reduced TiO2 (B700, A500, CB600) is not due to an improved photo-induced charge separation, as shown previously in other TiO2 systems 52,53.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In contrast, in this case it is regulated by other parameters such as the photo-reactivity of the heterogeneous catalytic sites formed around oxygen vacancies and comprised of several Ti atoms sharing extra charge (see DFT calculations below) and lattice distortions (see XRD analysis).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S36.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' PL maps for (A) B500, (B) B600, and (C) B800.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The measurement temperature was 80 K under N2 atmosphere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x104 B500 N2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5x104 B600 N2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2x104 (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7x104 intensity 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7x104 intensity 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x104 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x104 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1x104 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1x104 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x103 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x103 PL 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 P 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6x103 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6x103 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x103 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x103 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 Emissionenergy(eV) Emission energy (eV) C 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x104 B800 N2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2×104 PL intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7x104 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x104 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1x104 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x103 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6x103 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8x103 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 Emission energy (eV)S41 Figure S37.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' PL maps for (A) as-received commercial brookite and (B) reduced commercial brookite at 600°C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The measurement temperature was 80 K under N2 atmosphere.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3x105 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3x105 (eV) (eV) CB AR 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2x105 CB600 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2x105 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x105 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x105 Tenergy intensitv(a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') lenergy (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x104 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7x10 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7x104 intensity 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x104 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4x104 Excitation Excitation 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 5x104 PL intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 5x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 4x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 3x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 3x104 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 2x104 2x104 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1x104 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1x104 7x103 7x103 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 1.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 Emissionenergy(eV) Emissionenergy(eV) E 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 A700 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 Normalized PL intensity 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='5 Emission energy (eV)S43 Figure S39.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Deconvoluted PL spectra for as-synthesized and reduced brookite samples, using an excitation energy 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) PL peak area related to each component retrieved from deconvolution and centered at 2, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='53, 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='75 eV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Both peak energy and width of each component were kept constant in each sample.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A EmissionEnergy(eV) B B AS 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='10 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='76 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='48 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='25 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='07 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='91 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='77 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='65 B500 B AS B600 13 B700 (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') PL intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 13 B500 area 13 B600 peak B700 Experimentaldata Fitteddata Component4 Component3 Component2 Component1 400450500550600 650700 750 Emissionwavelength(nm) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='75 eV 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='53 eV 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='27 eV 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0eVS44 Figure S40.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Time–resolved photoluminescence spectra of (A) brookite reduced at 500°C and 600°C, (B) as-received and reduced commercial brookite at 600°C, and (C) as-synthesized and reduced anatase at 400, 500, and 600°C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The dots are experimental data and the solid lines are the fitted curve.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The τave is the average electron lifetime extracted from the fitting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B 100 B500 Tave = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 ns 100 CB-AR Tave = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 ns B600 CB600 tave = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 ns Tave = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 ns PL Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') PL Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 10-1 10-1 10-2 10-2 0 5 10 15 20 0 5 10 15 20 Time (ns) Time (ns) c 100 A-AS Tave = 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 ns A400 Tave = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 ns PL Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') A500 tave = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 ns A600 tave = 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 ns 10-1 10-2 0 5 10 15 20 Time (ns)S45 Table S10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Time–resolved photoluminescence fitted parameters for as-synthesized (as-received) and reduced samples at different temperatures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sample B1, % τ1, ns B2, % τ2, ns τave, ns B-AS 85 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 15 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 B500 87 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 13 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 B600 91 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 9 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 B700 90 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 10 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 A-AS 80.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 A400 85.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 A500 84.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='7 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 A600 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 CB-AR 100.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 - - 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 CB600 77.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='9 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='6 S46 Electronic characterization Photoemission spectroscopy We examined the electronic state of elements at the surface of the as-synthesized (received) and the best reduced samples using an XPS laboratory source.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S compares the XPS survey spectra of samples before and after reduction treatment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' An important finding from these survey spectra is that the samples are not contaminated during the reduction process, as already confirmed by CHN analysis (Table S2), since there is no difference between total XPS survey before and after process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This observation supports our hypothesis that all of the changes in photoactivity of the samples are due to the reduction process and not due to materials contamination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The C1s peak at 284.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='8 eV was used as a reference for the energy scale to compensate the charging effect of the samples (all spectra were shifted according to this reference).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' However, the observed difference between XPS spectra of Ti2p and O1s for pristine and reduced samples were not significant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A possible explanation for this might be that the amount of changes in the lattice of TiO2 induced through reduction are below the detection limit of XPS 38 or the reduced species like Ti3+ can be easily oxidized by exposure to the ambient air 54.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Since, no difference was detected in XPS analysis between the samples before and after reduction, we used synchrotron-based XPS (VUV-Photoemission beamline, Elettra) to study them in more detail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S39 shows the synchrotron-based XPS Ti2p spectra of the pristine and the most photoactive sample of brookite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' There is no evidence of an increase in Ti3+ species after reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Additionally, synchrotron-based XPS study of O1s orbital of the pristine and the most photoactive sample of brookite (Figure S40) reveals about 18% increase in OH groups on the surface of TiO2 after reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' This supports the water dissociation on superficial defects created upon reduction treatment, see more details in the mechanism part below.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S47 Figure S41.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) XPS survey spectra of the pristine and the most photoactive sample of brookite (left), commercial brookite (middle) and anatase(right) (B) High resolution XPS spectra of the pristine and the most photoactive sample of brookite (left), commercial brookite (middle) and anatase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (right) of (B) C1s, (C) Ti2p and (D) O1s orbitals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A B AS 01s CB AR 01s A AS 01s B700 CB600 A500 (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') dz !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='↓ Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') dz !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2 AURL.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' dz !' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' S Ti LMM 2 Ti2s STi LMM 2 Intensity ( C 1s 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='3 1000 800 600 400 200 0 1000 800 600 400 200 0 1000 800 600 400 200 0 Binding energy (eV) Binding energy (eV) Binding energy (eV) B (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B AS C 1s Normalized intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') CB AR C 1s Normalized intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') A AS C 1s B700 CB600 A500 Normalized intensity 290 288 286 284 282 281 292 290 288 286 284 282 28 290 288 286 284 282 280 Binding energy (eV) Binding energy (eV) Binding energy (eV) c (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B AS Normalized intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') CB AR Ti 2p Ti 2p A AS Ti 2p B700 CB600 A500 Normalized intensity Normalized intensity ( 468 464 460 456 45 468 464 460 456 45 468 464 460 456 452 Binding energy (eV) Binding energy (eV) D Binding energy (eV) (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') B AS Normalized intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') CB AR (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') A AS 0 1s 0 1s 0 1s B700 CB600 A500 Normalized intensity Normalized intensity ( 536 534 532 530 528 526 536 534 532 530 528 52 536 534 532 530 528 526 Binding energy (eV) Binding energy (eV) Binding energy (eV)S48 Figure S42.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Synchrotron-based XPS spectra in the Ti 2p region of pristine brookite (B-AS), the most photoactive brookite sample (B700).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Figure S43.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Synchrotron-based XPS spectra of the pristine (top) and the most photoactive sample of brookite (bottom), O1s orbital.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 468 466 464 462 460 458 456 Binding energy (eV) B AS Fit Ti4+ Ti3+ 2p3/2 2p3/2 2p1/2 B700 Fit Ti4+ Ti3+ Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 2p1/2 B AS Fitted O 1s (76%) Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') OH (24%) B700 Fitted O 1s (58%) Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') OH (42%) 536 535 534533532531530529 528 527 Binding energy (eV)S49 Figure S44.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Synchrotron-based photoemission spectra around the valence band (VB) region for the pristine brookite B-AS (light blue, full circles), the reduced brookite before reaction B700-BR (dark blue, full circles), and the reduced brookite after 24 h of photocatalytic reaction B700-AR (dark blue, empty circles).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='04 B AS B700 BR 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='03 O—B700 AR Intensity (a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=') 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='02 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='01 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='00 3 2 1 0 E E (eV)S50 Density functional theory calculations Figure S45.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Spin-resolved density of states (DOS) plots of brookite TiO2 supercell exposing the (210) surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The simulated TiO2 structure is shown on the right side of the panel with Ti atoms plotted in grey, O in red, and O vacancies indicated in orange.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The middle part of the slab corresponds to the bulk region of TiO2 enclosed by green planes, and the supercell’s boundaries are indicated by the dotted lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) DOS for a perfect slab, (B–I) is for the same slab including one O vacancy denoted by V1–V8 in the structure on the right.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' All plots are zeroth to the Fermi level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' DOS of V2 and V4 were calculated for a fixed geometry to prevent the migration of the vacancy to the on-surface V1 position.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' The DOS plots clearly show that varying the lattice position (surface, subsurface, bulk) of an oxygen vacancy results in the formation of intragap electronic states with different energy and features.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 200 spin ↑ 0 200 Spin ev) 200 DOS (states / V6 V7 0 V8 200 200 0 200 4 2 0 2 4 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='4 2 0 2 4 4 2 0 2 4 Energy (eV)S51 Figure S46.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) DOS of the surface Ti bilayer and (B) the corresponding O atoms with the missing O atom at V3 position.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (C) DOS of subsurface Ti bilayer and (D) the corresponding O atoms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (E–J) Orbital resolved partial DOS for the surface Ti bilayer (E, G, I) and O atoms (F, H, J).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' All plots are zeroth to EF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' It is interesting to note how intragap states are composed by hybridized electronic contributions belonging both to Ti and O atoms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 60 spd spin sp 0 60 spin 20 L 6 0 (states / eV) 6 5 Pz DOS 5 0 VZ 5 5 p 0 4 2 0 2 4 2 0 2 4 Energy (eV) Energy (eV)S52 Mechanism of methanol photo oxidation Figure S47.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Methanol oxidation mechanism at the TiO2surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (A) Methanol activation by terminal OH–.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In step (i) → (ii) the OH reacts with methanol producing H2O and the methoxy group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In (ii) → (iii) the methoxy group accepts a hole from TiO2 substrate (or donates an electron to TiO2) and converts to methoxy radical, while the water molecule is released from the TiO2 surface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In (iii) → (iv) the methoxy radical decomposes to adsorbed formaldehyde and proton ion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (B) Methanol activation by coadsorbed O2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In step (i) → (ii) The superoxide activates the methanol and to methoxy radical and produces the peroxide radical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Then in step (ii) → (iii) such radicals are converted to adsorbed formaldehyde and hydrogen peroxide, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' In step (iii) → (iv) the hydrogen peroxide decomposes to water (then released from the TiO2 surface) and a bridging oxygen dimer 55.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' A () (ii) (ili) (iv) CH2 CH3 CH3 H H CH H H 0 0 0 0 O Thermally activated Tisc Tisc Tisc Tisc Ti3+ Tise Tisc hx B (i) (ii) (ili) (iv) CH2 CH2 CH, H CH H 0 H 0 H H 02 0 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 0 0 0 0 Thermally activated Tisc Tisc Tisc Tisc Tisc Tisc Tisc Tisc h+S53 References 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Kandiel, T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Feldhoff, A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Robben, L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Dillert, R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Bahnemann, D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (2010).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Tailored titanium dioxide nanomaterials: Anatase nanoparticles and brookite nanorods as highly active photocatalysts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Chem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Mater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 22, 2050–2060.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Zhao, H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Liu, L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Andino, J.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Magn.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Reson.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 178, 42–55.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Kresse, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Furthmuller, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (1996).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Efficient iterative schemes for ab initio total-energy calculations using a plane-wave basis set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' B Condens.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Matter Mater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 54, 11169–11186.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Kresse, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Furthmüller, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (1996).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Efficiency of ab-initio total energy calculations for metals and semiconductors using a plane-wave basis set.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Comput.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Mater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Sci.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 6, 15–50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Blöchl, P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (1994).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Projector augmented-wave method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' B Condens.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Matter Mater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 50, 17953–17979.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Kresse, G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Joubert, D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (1999).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' From ultrasoft pseudopotentials to the projector augmented-wave method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Rev.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' B Condens.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Matter Mater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Phys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 59, 1758–1775.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Perdew, J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Burke, K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', and Ernzerhof, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' (1996).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=' Generalized gradient approximation made simple.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Marelli, M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Fabbri, F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Cappelli, S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Bianchi, C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content='L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} +page_content=', Psaro, R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/r9E3T4oBgHgl3EQfMwkD/content/2301.04375v1.pdf'} 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b/wdE0T4oBgHgl3EQf-ALu/content/tmp_files/2301.02810v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..cf8ffec4d82d832695d6c2e92bc184f6af4d7b55 --- /dev/null +++ b/wdE0T4oBgHgl3EQf-ALu/content/tmp_files/2301.02810v1.pdf.txt @@ -0,0 +1,6669 @@ + +This work is licensed under the Creative Commons Attribution-NonCommercial- +NoDerivatives 4.0 International License. To view a copy of this license, visit +http://creativecommons.org/licenses/by-nc-nd/4.0/ or send a letter to Creative +Commons, PO Box 1866, Mountain View, CA 94042, USA. + +Coping with geometric discontinuities in porous shallow water models +Giada Varra1, Renata Della Morte2, Luigi Cimorelli3, Luca Cozzolino4 + +Abstract +Porosity-based models are a viable alternative to classical two-dimensional (2-d) Shallow water +Equations (SWE) when the interaction of shallow flows with obstacles is modelled. The exact solution +of the Single Porosity (SP) Riemann problem, which is the building block of numerous porosity +models solved with the Finite Volume method, exhibits an interesting feature, namely the multiplicity +of solutions when a supercritical flow impinges on a sudden porosity reduction. In the present paper, +this ambiguity is overcome by systematically comparing the solution of the one-dimensional (1-d) SP +Riemann problem with the corresponding 2-d SWE numerical solutions at local porosity +discontinuities. An additional result of this comparison is that the SP Riemann problem should +incorporate an adequate amount of head loss through porosity discontinuities when strongly +supercritical flows are considered. An approximate Riemann solver, able to pick the physically +congruent solution among the alternatives and equipped with the required head loss amount, shows +promising results when implemented in a 1-d Single Porosity Finite Volume scheme. + +1 Res., Ph. D., Dept. of Engrg., Parthenope Univ., Centro Direzionale di Napoli – Is. C4, 80143 Napoli, Italy. E-mail: +giada.varra@uniparthenope.it +2 Full Prof., Ph. D., Dept. of Engrg., Parthenope Univ., Centro Direzionale di Napoli – Is. C4, 80143 Napoli, Italy. E- +mail: renata.dellamorte@uniparthenope.it +3 Ass Prof., DICEA, Federico II Univ., Via Claudio 21, 80125 Napoli, Italy. E-mail: luigi.cimorelli@unina.it +4 Ass. Prof., Ph. D., Dept. of Engrg., Parthenope Univ., Centro Direzionale di Napoli – Is. C4, 80143 Napoli, Italy. E- +mail: luca.cozzolino@uniparthenope.it + + + + +CC +S +BY +NC +ND +Subject headings: Shallow water Equations; Porous Shallow water Equations; Single Porosity +Shallow water model; urban flooding; Differential equations; Riemann problem. +Corresponding author: Giada Varra +E-mail address: giada.varra@uniparthenope.it +Address: Dipartimento di Ingegneria, Università degli Studi di Napoli Parthenope, Isola C4, 80143 Napoli (Italy) + +1. Introduction +Porosity-based shallow water models have been developed over the last two decades to provide a +viable alternative to classical two-dimensional (2-d) Shallow water Equations (SWE) for partially dry +areas and transitional environments (Defina 2000), large‐scale urban flood modelling (Guinot and +Soares-Frazão 2006, Sanders et al. 2008) and runoff simulation on vegetated hillslopes (Ion et al. +2022). +The available porosity shallow water models differ from each other by the conceptual +formulation and the underlying physical assumptions. However, Varra et al. (2020) have +demonstrated that the Single Porosity (SP) model (Guinot and Soares-Frazão 2006), the Binary Single +Porosity model (BSP, Varra et al. 2020), and the integral formulation of the SWE with obstacles by +Sanders et al. (2008), constitute a family of models which share the same mathematical structure and +features such as hyperbolicity, presence of non-conservative products, and small disturbance +celerities coinciding with those exhibited by the 2-d SWE model. Not surprisingly, the observation +that a common Finite Volume numerical framework can be used for their approximate solution +confirms their common mathematical structure. The Integral Porosity model (IP, Sanders et al. 2008), +the Dual Integral Porosity model (DIP, Guinot et al. 2017), and the numerical schemes by Cozzolino +et al. (2018b) and Cea and Vázquez-Cendón (2010), are all examples of numerical schemes falling in +this framework. +Due to the rapid variations of urban fabric density and flow characteristics through the urban +environment, the numerical fluxes over 2-d Finite Volume cell edges are usually calculated by solving +a local plane SP Riemann problem (Guinot and Soares-Frazão 2006, Sanders et al. 2008, Finaud- +Guyot et al. 2010, Cea and Vázquez-Cendón 2010, Cozzolino et al. 2018b, Jung 2022). The presence +of porosity discontinuities requires the definition of appropriate generalized Rankine-Hugoniot +conditions (LeFloch 1989, Dal Maso et al. 1995), i.e., relationships between the flow variables at the +two sides of the porosity discontinuity that have a strong influence on the Riemann solution. + +Numerical methods should incorporate the Rankine-Hugoniot conditions to reproduce the +corresponding Riemann exact solutions at porosity discontinuities. +Regarding these solutions, previous studies (Cozzolino et al. 2018a, Varra et al. 2020, 2021) +have shown that they present a fundamental ambiguity consisting in the appearance of multiple exact +solutions for certain initial conditions characterized by a supercritical flow impacting on a porosity +reduction. At this point, two problems arise, namely the need i) to solve this ambiguity by finding the +unique physically congruent solution among the alternatives and ii) to construct a numerical scheme +able to reproduce the corresponding relevant solution. The one-dimensional (1-d) SP model formally +coincides with the 1-d SWE in rectangular channels with variable width, where the porosity symbol +substitutes the width symbol (Guinot and Soares-Frazão 2006, Sanders et al. 2008). This physical +analogy is exploited in the present paper to disambiguate the multiple 1-d SP Riemann exact solutions +by means of a systematic comparison with the corresponding 2-d SWE numerical solutions at local +geometric discontinuities, because the 1-d variable-width SWE model is nothing but a crude +simplification of the 2-d SWE model in a rectangular channel. +Besides the effects of friction (Guinot et al. 2018), shallow flows in urban environments may +dissipate energy by means of different mechanisms, such as the drag induced by obstacles (Sanders +et al. 2008), the propagation of bores reflected by buildings (Guinot et al. 2017, 2018), and local +effects at geometric discontinuities (Guinot and Soares-Frazão 2006, Varra et al. 2020). In porosity +models, the adoption of computational cells of greater size than that usually adopted in shallow water +models causes the loss of geometrical and hydraulic information, which in turn causes the +underestimation of the energy dissipated by the flow propagating through the urban fabric (Guinot et +al. 2017, 2018, Varra et al. 2020). To reproduce missing dissipative effects, structural changes have +often been introduced in the original porosity shallow water models, for example altering the physical +momentum fluxes via reduction coefficients (Guinot et al. 2017, 2018). +Laboratory (Akers and Bokhove 2008, Defina and Viero 2010) and 2-d SWE numerical +experiments (Varra et al. 2020) show that supercritical flows suffer intense head loss across channel + +contractions, implying that a corresponding energy dissipation must be experienced through rapid +porosity reductions. In the present work, this energy dissipation is considered by appropriately +reformulating the generalized Rankine-Hugoniot conditions in a head-balance form. The introduction +of an interface head loss through the definition itself of porosity discontinuity has the advantage of +leaving the structure of the mathematical model unchanged and it can be very naturally used to take +into account, at least partly, the drag forces through urban fabrics. However, the amount of head loss +to be introduced across the discontinuity needs to be evaluated in a proper way, depending on the +flow characteristics across the geometric transition. Also in this case, a systematic study of 2-d SWE +numerical results at isolated geometric discontinuities is conducted to supply the general conditions +under which this energy dissipation is present and how it can be evaluated. +With the aim of reproducing the effects that in 2-d shallow water models are caused by the +flow interaction with isolated geometric discontinuities, the present work proposes a novel +approximate Riemann solver that discriminates the existence of multiple solutions and considers +adequate head loss in case of supercritical flows at porosity discontinuities. This solver is +implemented in a 1-d Finite Volume scheme adopting the Single Porosity formulation of SWE +(Guinot and Soares-Frazão 2006). The capability of the 1-d numerical model with porosity of +reproducing the effects that in 2-d models are caused by the interaction between the flow and a +geometric transition is assessed against several Riemann problems by comparing the corresponding +results with the ones provided by a reference 2-d SWE numerical model. +The present paper is organized as follows. The structure of the SP Riemann problem solution, +where the definition by Cozzolino et al. (2018b) is used for generalized Rankine-Hugoniot conditions, +is discussed in Section 2. This solution is validated in Section 3 using 2-d SWE numerical +experiments, and a novel definition of porosity discontinuity is given in Section 4 to better reproduce +the 2-d SWE numerical results. In Section 5, it is shown how it is possible to construct a numerical +model able to discriminate multiple solutions and introduce the requested head loss amount. These +findings are discussed in Section 6. Finally, the paper is closed by a Conclusions section. + + +2. Mathematical model +In the present Section, the plane Riemann problem for the SP model is reviewed, showing that it +reduces to a 1-d SP Riemann problem. The corresponding solution requires the definition of +generalized Rankine-Hugoniot conditions to be used through porosity discontinuities. Exploiting the +analogy between the 1-d SP model and the 1-d SWE in rectangular channels with variable width +(Guinot and Soares-Frazão 2006, Sanders et al. 2008), we introduce and discuss a head-balance form +defining this relationship. + +2.1 The 1-d SP model +The plane SP model considered here is an augmented 1-d system obtained from the 2-d SP model +(Guinot and Soares-Frazão 2006) by setting to zero the derivatives with respect to the y-axis and +neglecting the flow resistance components (Ferrari et al. 2017, Varra et al. 2020): + +(1) +2 +2 +2 +0 +0 +2 +2 +0 +h +hu +t +x +hu +gh +gh +hu +t +x +x +hv +huv +t +x + + + + + + + + + + + ++ += +  + + + + + + + + ++ ++ +− += + + + + + + + + + + + ++ += +  + + +. + + + + + + +The solution of the corresponding Riemann problem is the building block for the computation +of interface numerical fluxes in shock capturing Finite Volume schemes (Godlewski and Raviart +1996). In Eq. (1), the symbols have the following meaning: x and y are the space independent variables +of the inertial reference frame Oxy, while t is the time variable; h(x, y, t) is the flow depth; u(x, y, t) +and v(x, y, t) are the vertically averaged components of the flow velocity along x and y, respectively; +g is the gravity acceleration; and the porosity (x, y)  [0, 1] represents the fraction of urban area not +occupied by buildings and obstacles (storage porosity). In the following, the dependence of the + +variables on y will be omitted because all the quantities should be considered constant along y (plane +problem). The effects of variable bed elevation are neglected here because the focus of the present +work is on obstacle modelling. +Despite a distinction is often made in the urban hydrology literature between storage porosity + and conveyance porosity  (Lhomme 2006, Guinot and Delenne 2014, Guinot et al. 2017), the last +being related to the mass and momentum transport (Dewals et al. 2021), the two definitions are +genuinely different only in porosity models written in integral form while they coincide in differential +models (Varra et al. 2020). This result, which derives from a classical proof developed in the theory +of fluid motion in porous media (Whitaker 1969), states that the geometric parameter  in Eq. (1) +should always be interpreted not only as a storage but also as a conveyance porosity. +In Finite Volume schemes for the approximate solution of the 2-d SP model, the system of +Eq. (1), where x is a local reference normal to the cell interface, is solved using initial discontinuous +conditions (Guinot and Soares-Frazão 2006, Soares-Frazão et al. 2008, Sanders et al. 2008, Cea and +Vázquez-Cendón 2010, Finaud-Guyot et al. 2010, Özgen et al. 2016b, Özgen et al. 2017, Guinot et +al. 2017). The presence of the non-conservative product +2 +0.5 + + + +gh +x , which models the force per +unit-width exerted by the obstacles on the flow through the cell interface, requires careful +mathematical and numerical treatment because it cannot be recast in divergence form (Cozzolino et +al. 2018b). This point is central to the present discussion, and it will be further clarified in the +following. +The first two relations of Eq. (1) do not contain the conserved variable hv and can be decoupled +from the third (Varra et al. 2021), leading to the 1-d SP model (Sanders et al. 2008, Cozzolino et al. +2018b) + +(2) +( ) +( ) +0 + + + + + + ++ ++ += + + + +t +x +x +f u +u +h u +. + + +In Eq. (2), the meaning of the symbols is as follows: +( +) += +T +h +hu +u + and +( ) ( +) +2 +2 +0.5 += ++ +T +hu +gh +hu +f u + are the vectors of the conserved variables and fluxes, respectively, of +the 1-d SWE model; T is the matrix transpose symbols; +( ) ( +) +2 +0 +0.5 += +− +T +gh +h u + is a vector +representing the hydrostatic thrust per unit-width exerted by obstacles on the flow. +The 1-d system of Eq. (2) is at the core of the solution to the plane Riemann problem for Eq. +(1). In fact, once that h and hu are known from Eq. (2), hv in Eq. (1) is readily computed with the +passive tracer equation (Varra et al. 2021): + +(3) +0 + + ++ += + + +v +v +u +t +x +. + +2.1.1 Porosity Riemann problem +In the Riemann problem of the 1-d SP model, Eq. (2) is solved under the following discontinuous +flow initial conditions and porosity + +(4) ( +) +, +0 +,0 +, +0 + + +=  + + +L +R +x +x +x +u +u +u +, +( ) +, +0 +, +0 + + + + + +=  + + +L +R +x +x +x +, + +where +( +) += +T +L +L +L +L +h +h u +u + and +( +) += +T +R +R +R +R +h +h u +u + are the states initially to the left and right of the +geometric discontinuity in x = 0, respectively, while L and R are the corresponding porosities. The +solution of Eq. (2) with the initial conditions of Eq. (4) is self-similar and consists of a sequence of +constant states, the leftmost and rightmost of which are +L +u and +R +u . All these states are in turn +connected by standing or moving waves (Varra et al. 2021). Being the solution self-similar, it exists +a vector function +( ) + +w + of the scalar parameter  such that the Riemann problem solution can be + +expressed as +( +) +( +) +, += +x t +x t +u +w +. This implies that the states +( +) +1 +1 +1 +1 += +T +h +h u +u + and +( +) +2 +2 +2 +2 += +T +h +h u +u + +immediately to the left and right of the geometric discontinuity, respectively, are constant in time +because they can be expressed as +( +) +( ) +1 +0 , +0 +− +− += += +t +u +u +w + and +( +) +( ) +2 +0 , +0 ++ ++ += += +t +u +u +w +. +Based on the initial conditions of Eq. (4), the porosity is uniform to the left and right of the +geometric discontinuity in x = 0, implying that the non-conservative product +2 +0.5 + + + +gh +x is null +and the system of Eq. (2) is conservative for x < 0 and x > 0. It follows that the moving waves (shock +or rarefactions) coincide with those of the classic 1-d SWE model and that the shocks are defined by +the classic Rankine-Hugoniot conditions (Varra et al. 2021). Vice versa, the non-conservative product +2 +0.5 + + + +gh +x is active through x = 0, implying that the classic Rankine-Hugoniot conditions cannot +be used at porosity discontinuities. For this reason, the generalized Rankine-Hugoniot conditions +introduced by LeFloch (1989) and Dal Maso et al. (1995) must be used to define an appropriate +relationship between u1 and u2. In the SP Riemann problem, the self-similarity of the solution implies +that this relationship is constant in time because u1 and u2 are constant in time. + +2.1.2 Generalized Rankine-Hugoniot conditions at porosity discontinuities +Following the definition introduced by Dal Maso et al. (1995) for hyperbolic systems of differential +equations with non-conservative products, the generalized Rankine-Hugoniot conditions across the +porosity discontinuity in Eq. (2) reduce to (Cozzolino et al. 2018b, Varra et al. 2020) + +(5.a) +2 +2 +1 1 +0 + + +− += +R +L +h u +hu +, +(5.b) +( +) +2 +2 +2 +2 +2 +2 +2 +1 +1 1 +1 +2 +, +, +, +2 +2 + + +  + + + + + ++ +− ++ += + + + + + + + + +R +L +L +R +g +g +h +h u +h +hu +S +u u +, + +where +( +) +1 +2 +, +, +, +  + +L +R +S +u u + is the force exerted on the flow by the obstacles across the unit-width porosity +discontinuity in x = 0. Eq. (5.a) states that the unit-width discharge + += +Q +hu is invariant through the + +discontinuity, while Eq. (5.b) states that the total thrusts to the left and right of the discontinuity are +balanced by the force +( +) +1 +2 +, +, +, +  + +L +R +S +u u +. +The relationship between the states u1 and u2 is completely defined if a functional expression +for +( +) +1 +2 +, +, +, +  + +L +R +S +u u + is given. However, this expression is somehow problematic because very +natural assumptions such as stagnant water and hydrostatic pressure distribution for the computation +of +( +) +1 +2 +, +, +, +  + +L +R +S +u u + (Guinot and Soares-Frazão 2006, Sanders et al. 2008, Mohamed 2014, Guinot +et al. 2017) may lead to unphysical conditions where the flow acquires energy through the porosity +discontinuity (see the discussion in Chow 1959 and Cozzolino et al. 2018b). +To simplify the expression of the relationship between u1 and u2, we conveniently reformulate +the generalized Rankine-Hugoniot conditions. Appendix A shows that the force balance of Eqs. (5.a) +and (5.b) can be rewritten in the following head-balance form + +(6) +( +) +( +) +( +) +2 +2 +1 1 +2 +1 +1 +2 +0 +, +, +, + + +  +− += +− +=  +R +L +L +R +h u +hu +H +H +H +u +u +u u +, + + +where +( ) +( +) +2 +2 += ++ +H +h +u +g +u + is the head corresponding to the generic state u and +( +) +1 +2 +, +, +, +  + +L +R +H +u u + +is the head loss through the porosity discontinuity. The relationship between the head loss +( +) +1 +2 +, +, +, +  + +L +R +H +u u + and the force +( +) +1 +2 +, +, +, +  + +L +R +S +u u + is given by (see Appendix A) + +(7) +( +) +( +) +2 +2 +1 +2 +2 +1 +1 +2 +2 +1 +1 +2 +2 +1 +1 2 +1 +1 +, +, +, +3 +3 +, +, +, +4 +2 + + + + +  +  + + +  + + + ++ + += ++ +− +− ++ + + + + +L +R +R +L +L +R +L +R +R +L +L +R +h +h +h +h +H +h +h +S +h +h +g +h h +u u +u u +, + +implying that the choice of +( +) +1 +2 +, +, +, +  + +L +R +S +u u + in Eq. (5.b) is equivalent to the choice of +( +) +1 +2 +, +, +, +  + +L +R +H +u u + in Eq. (6), and vice versa. + +From the mathematical point of view, the head-balance form is equivalent to the force-balance +form, but Eq. (6) is more convenient because it allows to easily verify the physical congruence of +( +) +1 +2 +, +, +, +  + +L +R +H +u u +. In fact, the flow energy cannot increase through the porosity discontinuity, +implying that the entropic condition + +(8) +( +) +1 +2 +, +, +, +0 +  + + +L +R +Q H +u u +, + +where +2 +2 +1 1 + + += += +R +L +Q +h u +hu , must be verified. The head-balance approach allows in principle to easily +introduce local effects at geometric discontinuities that do not explicitly appear in Eq. (1), such as +non-hydrostatic flow, viscosities, velocity variability along the vertical direction, flow depth and +velocity variability along the transverse directions, and the shape of obstacles. Not surprisingly, +existing definitions of channel internal boundary conditions such as width discontinuities and +junctions from the technical literature are usually given in terms of head loss (Formica 1955, Austin +et al. 1970, Cunge et al. 1980, Hager 2010). +However, the system of Eq. (2) does not provide additional information to compute the head +loss +( +) +1 +2 +, +, +, +  + +L +R +H +u u +, implying that the hydraulic modeller should use external physical +knowledge for its definition. This will be discussed in the following subsection, where the internal +structure of the porosity discontinuity between x = 0- and x = 0+ will be examined. + + +2.2 Channel analogy and porosity discontinuity definition +The 1-d SP model of Eq. (2) coincides with the 1-d SWE model in a rectangular channel with variable +width and horizontal bed, where the porosity symbol  takes the place of the width symbol B (Guinot +and Soares-Frazão 2006, Sanders et al. 2008, Varra et al. 2021). Like the porosity models written in +differential form, where the storage and conveyance porosity must coincide, the width B in + +rectangular channels can be regarded both as i) the channel base-area per unit length (storage) and ii) +the transverse space available for the flow (conveyance). In addition, the non-conservative product +2 +0.5 + + + +gh +x in Eq. (2), which represents the force per unit-width exerted by the obstacles on the +flow along x, acts like the corresponding term in the 1-d variable-width SWE model, where it +represents the force exerted on the flow by the channel walls. In the following, this channel analogy +will be exploited to supply a convenient expression for the head loss +( +) +1 +2 +, +, +, +  + +L +R +H +u u + through the +porosity discontinuity. + +2.2.1 Porosity variation through the discontinuity +Consider the bottom of Figure 1a, where a strip of unitary width modelling a simplified urban area +with obstacles is depicted. The strip is subdivided into two cells, left and right, respectively, with +different obstacle densities represented by the porosities L and R . Obstacles are also present +through the cell interface in x = 0, with a density intermediate between those of the two adjacent cells. +The corresponding rectangular channel analogue is represented by the top channel of Figure 1a, where +the widths at the left and right ends are represented by L and R , while a monotonic width variation +(channel contraction or expansion) connects the left and right reaches. In this case, it is natural to +assume that the porosity  through the discontinuity between x = 0- and x = 0+ is described by a +monotonic function +( ) + s in the interval s  [0, 1], with +( ) +0 + + + += +L and +( ) +1 + + + += +R . In Figure 2a, +the internal structure of the porosity discontinuity between x = 0- and x = 0+ is exploded to show the +relationship between +( ) + s and the parameter + + +0,1 + +s +. +A similar situation is depicted in Figure 1b, but now the obstacles density at the cells interface +is greater than those of the two adjacent cells. The corresponding rectangular channel analogue is +represented by the top channel of Figure 1b, where a non-monotonic width variation (channel + +constriction) connects the left and right reaches and the porosity +( ) + s through the discontinuity +varies non-monotonically between L and R . + +Remark 1. In Finite Volume schemes, a homogeneous porosity is assigned to each computational +cell and the actual obstacles distribution along the interface between two contiguous cells is canceled. +This implies that the simplest application of the channel analogy is to consider a rectangular channel +that is normal to the cell interface and symmetrical with respect to its longitudinal axis (as made in +Figures 1 and 2). + +Thanks to the channel analogy, both the monotonic and non-monotonic choices of +( ) + s are +physically viable and lead to numerically stable computations. Examples of models with monotonic +porosity variation through the discontinuity are contained in the works by Guinot and Soares-Frazão +(2006), Soares-Frazão et al. (2008), Cea and Vázquez-Cendón (2010), Finaud-Guyot et al. (2010), +Ferrari et al. (2017), and Cozzolino et al. (2018a,b), while examples with a non-monotonic variation +are the models by Sanders et al. (2008), Özgen et al. (2017), Bruwier et al. (2017), and Guinot et al. +(2017, 2018, 2022). +The preceding discussion suggests that the choice of the porosity discontinuity internal +structure can be made considering the underlying urban geometry at each cell interface. This simple +observation, which supplies a physically congruent framework, contradicts the unproven statement +from the literature (Bruwier et al. 2017, Guinot et al. 2017, 2018, 2022) that only non-monotonic +descriptions of the porosity variation through the discontinuity are viable and stable (see the +corresponding discussion in Varra et al. 2020). + +Remark 2. For the sake of simplicity, only monotonic porosity variations through the discontinuity +with  + + +L +R will be considered in the rest of the paper (monotonic variations with  + + +L +R can be + +discussed by simply mirroring the local reference framework). Having defined the aspect ratio + + += +L +R +AR +, this implies that +1 + +AR + will be assumed in the following developments. + + +Figure 1. Physical interpretation of the porosity discontinuity between L and R : monotonic (a) and +non-monotonic porosity variation (b). + +2.2.2 Flow depth and velocity variation through the discontinuity +To complete the internal description of the porosity discontinuity, it is necessary to specify the +variation of flow depth and velocity between x = 0- and x = 0+. It is assumed that this description is + +a) +R +X +x +b) +PRsupplied by the function ( ) +( +) + + + += +T +s +h +h u +v +, where +( ) +h +s and +( ) + +u +s , with s  [0, 1], are the flow +depth and velocity through the discontinuity, respectively. The function ( ) +s +v + is characterized by the +obvious congruency conditions ( ) +1 +0 = +v +u and ( ) +2 +1 = +v +u . In Figures 2b and 2c, the internal structure +of the porosity discontinuity between x = 0- and x = 0+ is exploded to show two examples of the +relationship between the inner flow depth +( ) +h +s and the parameter + + +0,1 + +s +. +Cozzolino et al. (2017) have proposed that the function ( ) +s +v + is a stationary weak solution of +Eq. (2) through the porosity discontinuity, namely a solution of + +(9) +( ) +( ) +0 + + + + ++ += +d +d +ds +ds +f v +h v + + +in the interval + + +0,1 + +s +. If the solution of Eq. (9) exhibits no hydraulic jump (see the example of +Figure 2b, where +( ) +h +s smoothly varies in the interval + + +0,1 + +s +), the relationship between the states +1 +u and +2 +u reduces to the conditions of discharge and total head invariance (see Appendix B) + +(10) +( +) +( +) +2 +2 +1 1 +2 +1 +0 +0 +R +L +h u +hu +H +H + + +− += +− += +u +u +, + +which is equivalent to set +( +) +1 +2 +, +, +, +0 +  + += +L +R +H +u u + in the head-balance form of Eq. (6). In the case that +the porosity varies monotonically between L and R , the existence of a state u1 connected to u2 by +means of Eq. (10) depends on the aspect ratio AR  1 and on +( +) +2 +F u +, where +( ) = +F +u +gh +u + is the +Froude number related to the generic state u. The corresponding discussion is reported in Appendix +C. + + +If the solution of Eq. (9) exhibits a hydraulic jump that reverts the incoming supercritical flow +into subcritical (see the example of Figure 2c), the total head is not invariant through the porosity +discontinuity and the corresponding head loss depends on the position of the hydraulic jump (see +Appendices C and D in Varra et al. 2021). The corresponding relationship between the states +1 +u and +2 +u , which recovers the head-balance form of Eq. (6) with +( +) +1 +2 +, +, +, +0 +  + + +L +R +Q H +u u +, is not as simple +as that of Eq. (10) and it is not reported here for the sake of brevity. + + +Figure 2. Internal description of the porosity discontinuity: plan view of the monotonic porosity +variation (a); profile view of smooth flow depth variation (b); profile view of flow depth variation +with hydraulic jump (c). + +2.2.3 Definition of the Generalized Rankine-Hugoniot conditions + +0 +1 +(a) +Td +PR +1 +0' +0+ +x +0 +1 +S +(b) +hr (s) +h +h +1 +hr (s) +(c) +h, +0' +0*Having discussed the internal structure of the porosity discontinuity in the preceding sections, we +assume the following definition for the generalized Rankine-Hugoniot conditions: + +Definition 1. The relationship between u1 and u2, with +1 + + += + +L +R +AR +, is defined by the head- +balance form of Eq. (6) with the following internal description of the porosity discontinuity: +D1) the porosity varies monotonically between L and R ; +D2) the variation of flow depth and velocity through the porosity discontinuity is defined by a weak +solution of Eq. (9) in the interval + + +0,1 + +s +, with ( ) +1 +0 = +v +u and ( ) +2 +1 = +v +u . + +This definition automatically satisfies the entropic condition of Eq. (8), while this is not true +for other porosity discontinuity definitions (Guinot and Soares-Frazão 2006, Sanders et al. 2008, +Mohamed 2014, Guinot et al. 2017) available in the literature (see the discussion in Cozzolino et al. +2018b). In addition, Varra et al. (2021) have demonstrated that the solution to the Riemann problem +of Eqs. (2) and (4) always exists if Definition 1 is used to establish the generalized Rankine-Hugoniot +conditions. This fundamental result is not granted for alternative porosity discontinuity definitions +from the literature. + + +2.3 Multiple solutions to the porosity Riemann problem +The solution to the 1-d SP Riemann problem of Eqs. (2) and (4), complemented by the generalized +Rankine-Hugoniot conditions of Section 2.2.3, always exists but there are cases, depending on the +initial conditions +L +u and +R +u , where the solution is triple (Varra et al. 2021). The field of occurrence +of multiple solutions will be explored in the following for the case +1 + + += + +L +R +AR + only (a similar +discussion for the case +1 + +AR + can be drawn by mirroring the reference framework). + +The necessary (but not sufficient) condition for the existence of multiple solutions to the 1-d +SP Riemann problem with +1 + +AR + is that the right state uR is directed from right to left (uR < 0) and +( +) + +R +sp +F +K +AR , where +( +) += +R +R +F +F u + is the Froude number corresponding to uR while the function +( +) +sp +K +AR is defined in Appendix C. In this condition, the right supercritical flow uR impinging the +porosity reduction has energy greater than the minimum required to pass through the geometric +discontinuity. For this reason, it is possible to consider not only a solution where the right flow freely +passes through the discontinuity, but also solutions where the head of the incoming flow is partially +dissipated by means of a standing hydraulic jump through the porosity transition or by a shock that +moves backwards (Viero and Defina 2017, Varra et al. 2021) +The theoretical limit curve +( +) += +R +sp +F +K +AR , called lower boundary (LB) of the hysteresis +domains (Viero and Defina 2017), is represented in the plane ( +R +F , AR) of Figure 3 with a black +continuous line. The necessary condition +( +) + +R +sp +F +K +AR for the existence of multiple solutions is +satisfied by the points falling in the regions denoted with B and C to the right of the LB curve in +Figure 3. The regions B and C are separated by the curve +( +) += +R +jump +F +K +AR , called upper boundary +(UB) of the hysteresis domains (Viero and Defina 2017), which is represented with a dashed line. +The dimensionless function +( +) +jump +K +AR , which is characterised by +( +) +( +) + +jump +sp +K +AR +K +AR for every +1 + +AR +, is defined in Appendix C. +In the regions B and C, one or three different solutions to the 1-d SP Riemann problem of Eqs. +(2) and (4) are possible, depending on the initial left state uL (Varra et al. 2021). When uL is such that +three alternative solutions (here called T1, T2, and T3) are possible, the solutions differ from each +other by the flow condition through the porosity discontinuity, as follows: +(T1) the state u2 immediately to the right of the porosity discontinuity coincides with the +supercritical flow uR, while the state u1 is supercritical and it is connected to u2 by means of Eq. (10), +namely by the conditions of discharge and total head invariance across the discontinuity (Figure 4a); + +(T2) the state u2 coincides with uR but a hydraulic jump is present through the porosity +discontinuity, and the state u1 is subcritical or critical, with H(u1) < H(u2) (Figure 4b); +(T3) the supercritical flow uR is reverted into the subcritical state u2 by means of a backward +moving shock, with head loss; the state u1 is subcritical or critical and it is connected to u2 by means +of Eq. (10) (Figure 4c). +When u1 is subcritical in the solutions T2 and T3, the flow through the geometric discontinuity +is submerged, i.e., it is dominated by the tailwater h1. The main difference between the regions B and +C in Figure 3 is the behaviour of the solutions to the Riemann problem when the state uL coincides +with the dry bed, i.e., when +0 += +Lh + and there is no tailwater. In the domain B, three distinct solutions +(T1, T2, and T3) are always possible for +0 += +Lh +, while a unique solution T1 occurs in the domain C +for +0 += +Lh +. In other words, a triple solution is possible in the domain B even if there is not a +downstream tailwater able to force the establishing of a subcritical flow through the geometric +discontinuity (submerged flow), while such a tailwater is required for the existence of a triple solution +in the field C. In a sense, the incoming flow falling in region C has always energy sufficient to flush +the hydraulic jump of Figure 4b out of the porosity discontinuity when the flow depth downstream is +null. +The discussion is completed observing that the region A to the left of the curve LB, +characterised by +( +) +1 + +R +sp +F +K +AR , refers to flow conditions where the Riemann problem always +admits a unique solution. In this case, the supercritical flow uR has not sufficient energy to pass +through the porosity reduction and the solution T3 must occur. + + + +Figure 3. Field of occurrence of multiple solutions to the porosity Riemann problem for right +supercritical flows uR impinging a porosity reduction with +1 + + += + +L +R +AR +. Lower (continuous line) +and upper (dashed line) boundaries of the hysteresis domains. Hysteresis domains: A (no multiple +solutions), B (multiple solutions even in the case hL = 0), C (multiple solutions only for hL > 0). + + +Figure 4. Flow conditions through the porosity discontinuity when multiple solutions to the purely +1-d SP Riemann problem are possible: profile view of solutions T1 (a), T2 (b) and T3 (c). + + +3. Validation of the channel analogy + +Lowerboundary(LB)ofthehysteresisdomain +0.8- +Upper boundary (UB) of the hysteresis domain +0.6- +R +c +0.4 - +UB +0.2- +B +A +LB +0 +1 +FR +20T1 +T2 +1 +(a) +1 +1 +(b) +ui +ui +1 +U=UR +n= +1 +supercritical +subcritical/ +supercritical +critical +supercritical +0+ +0' +0- +0+ +T3 +u2 +(c) +1 +uj +subcritical +UR +subcritical/l +1 +critical +1 +supercritical +777777 +0' +0+The comparison between 1-d SP and 2-d SWE solutions is justified because the 1-d SP Riemann +problem is the main ingredient of 2-d SP Finite Volume schemes, which in turn are intended to +approximate the solution of 2-d SWE models with obstacles. For this reason, the generalized Rankine- +Hugoniot conditions of Section 2.2.3 are validated in the present section by comparing several 1-d +SP exact Riemann solutions with the corresponding 2-d SWE numerical solutions in a frictionless +horizontal rectangular channel with variable width, where a 2-d contraction is used to model the 1-d +sudden porosity reduction. All the Riemann problems, whose initial conditions uL and uR with the +corresponding Froude numbers FL and FR are reported in Table 1, refer to porosity values +0.6 +L + = + +and +1 +R + = . The exact Riemann solutions are computed with the methods discussed in Varra et al. +(2021). + +Table 1. Initial flow conditions of the validation Riemann problems. +Example +hL (m) +uL (m/s) +FL (-) +hR (m) +uR (m/s) +FR (-) +1 +1.00 +2.00 +0.64 +1.00 +-0.50 +-0.16 +2 +1.00 +2.00 +0.64 +1.00 +2.00 +0.64 +3 +1.00 +5.00 +1.60 +1.00 +2.00 +0.64 +4 +0.30 +-10.00 +-5.83 +1.00 +2.00 +0.64 +5 +1.00 +-2.00 +-0.64 +1.00 +-9.40 +-3.00 +6 +1.00 +7.00 +2.23 +1.00 +-13.00 +-4.15 +7 +1.00 +-11.00 +-3.51 +1.00 +-13.00 +-4.15 +8 +0.30 +-4.00 +-2.33 +0.30 +-11.00 +-6.41 + +The rectangular channel considered for the 2-d SWE computations has length L = 200 m with +a left reach of width BL = 0.60 m and a right reach of width BR = 1.00 m (see Figure 5). The left and +right channel reaches are separated by a symmetric linear expansion whose length is Lc = 0.20 m. The +2-d SWE computations are accomplished using the Finite Volume scheme described in Cozzolino et +al. (2017) on unstructured triangular grid whose average side is s = 0.50 m at the channel ends and +s = 0.05 m at the linear expansion. The flow depth h computed at time t = 5 s with the 1-d SP exact + +solution (continuous black line) is compared in Figures 6, 8, 9, and 10, with the corresponding 2-d +shallow water numerical results (white dots). + + +Figure 5. Plan view of the channel considered for 2-d SWE numerical simulations. Distorted +representation (measures in metres). + +The results of Riemann problem 1 are represented in Figure 6a. The 1-d exact solution presents +two shocks moving to the left and right of the geometric discontinuity, respectively, while subcritical +flow conditions that preserves discharge and energy invariance are established through x = 0. Figure +6a shows a good correspondence between the 1-d exact and 2-d numerical solutions. In particular, +the 1-d model accurately captures the strength of the wave at x = 0, together with the strength and +position of the shocks. The intermediate states u1 and u2 immediately to the left and right of the +porosity discontinuity computed with the 1-d exact solution nicely correspond to those provided by +the 2-d SWE model. +A slightly different picture can be drawn for the solution of Riemann problem 2, represented +in Figure 6b. The 1-d exact solution exhibits a resonant condition where a rarefaction is attached to +the left of the porosity discontinuity, while a shock and a rarefaction are both moving to the right. +The state u1 immediately to the left of x = 0 is critical and accelerates through the rapid geometric +transition becoming supercritical with preservation of energy and discharge invariance. In turn, the +supercritical state u2 issuing from the channel expansion pushes the slowly moving shock to the right + +Lc = 0.20 +1.00 += 0.60 +II +- +R +B +B +- +x=-100 +x=0 +x= 100of x = 0. With reference to the left rarefaction, Figure 6b shows a good correspondence between the +1-d exact and 2-d numerical results. This representation is less satisfactory with reference to the right +moving shock, whose shape in the 2-d model is strongly influenced by its vicinity to the channel +expansion. Similarly, the 2-d rarefaction moving on the right is quite smoothed with respect to the 1- +d exact solution. Despite these discrepancies, the intermediate state between the shock and the +rarefaction computed with the 1-d exact solution satisfactorily corresponds to the 2-d numerical +solution. + + +Figure 6. Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions +(dots) for the flow depth at time t = 5 s. Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with +initial conditions in Table 1. + +In the 1-d exact solution of Riemann problem 3, the supercritical states u1 and u2 are connected +by the conditions of discharge and head invariance while the state u2 is separated from uR by means + +1.6 +1.2 +(a) +1 +(b) +1.2 +0.8 +(u) +0.8 +h +h +0.4 +0.4 - +I +- +- +I +0 +0 +-20 +0 +20 +-10 +0 +10 +20 +30 +× (m) +x (m) +1.6 +1.2 +(c) +- +(d) +1.2 +0.8 +(w) +(w) +0.8 +h +h +0.4 +0.4 +& +0 +-40 +-20 +0 +20 +40 +-80 +-40 +0 +40 +() x +() xof an intermediate state and two moving shocks. The comparison with the 2-d SWE results shows +that the strength and position of the right moving shock and the left shock position are satisfactorily +captured by the 1-d exact solution, while the flow depth of the state between the two shocks supplied +by the1-d model is not too far from the 2-d solution. The 2-d free surface profile view in Figure 6c +exhibits a complex pattern whose plane view is represented in Figure 7, which shows that the +supercritical flow accelerating through the expansion originates a system of transverse oblique +shocks. The 1-d exact solution represents this pattern with a single average flow depth, and this +explains the discrepancies between 1-d and 2-d models. Nonetheless, the 1-d model captures the +general picture of the 2-d SWE solution. + + +Figure 7. Plan view of the 2-d SWE numerical solution for Riemann problem 3 with initial conditions +in Table 1. Flow depth contours at time t = 5 s. + +In Figure 6d, the results of Riemann problem 4 are represented. The 1-d exact solution consists +of two rarefactions to the left of x = 0, with the formation of dry bed between the waves, and of an +additional rarefaction to the right of the discontinuity. The subcritical flow immediately to the right +of x = 0 (state u2) accelerates through the discontinuity becoming critical immediately to the left (state +u1) and preserving the invariance of discharge and energy. The comparison between the 1-d exact +and 2-d SWE numerical results shows that the former captures the strength of the 2-d waves, together +with the flow depth of the states encompassed by the waves. + +0.5 +h (m) +1.3 +1.1 +(m) +0 +0.8 +0.55 +0.3 +-0.5 +0 +7 +3 +0.05 +x (m)The example of Figure 8 is particularly interesting because it corresponds to Riemann problem +5 with three exact solutions, where AR and +R +F fall in the hysteresis domain B of Figure 3. In Figure +8a, b, c, the three exact solutions T1, T2, and T3, respectively, are represented (see Section 2.3). In +Figure 8d, the superposition between the exact solution T3 and the 2-d SWE numerical results shows +a good agreement. This demonstrates that the under-determination of the 1-d Riemann problem can +be eliminated by resorting to the 2-d SWE model, which takes into account the transverse flow +variability. + + +Figure 8. Example Riemann problem 5 with initial conditions in Table 1. Profile view for the flow +depth solution at time t = 5 s. 1-d SP exact solutions T1 (a), T2 (b) and T3 (c). Comparison between +the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d). + +The example of Figure 9 corresponds to Riemann problem 6 with three exact solutions, where +AR and +R +F fall into the hysteresis domain C of Figure 3. In Figure 9a, b, c, the three exact solutions +T1, T2, and T3, respectively, are represented (see Section 2.3). In Figure 9d, the superposition + +4 +(a) +3 +h +2 +4 +1 +(d) +0 +4 +3 +I +(b) +E +h +h +2 +2 +- +1 +1 +1 +I +1 +0 +1 +- +4 +1 +(c) +1 +3 +h +1 +2 +0 +-60 +-40 +-20 +0 +20 +1 +x (m) +1 +0 +09- +-40 +-20 +0 +20 +x (m)between the T3 exact solution and the 2-d SWE numerical results shows again a good agreement. +The comparison between figures 8d and 9d shows that the 2-d SWE model preferably picks up the +solution with a shock moving backwards when three exact solutions are possible. + + +Figure 9. Example Riemann problem 6 with initial conditions in Table 1. Profile view for the flow +depth solution at time t = 5 s. 1-d SP exact solutions T1 (a), T2 (b) and T3 (c). Comparison between +the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d). + +In the example of Figure 10a, the state uL is such that Riemann problem 7 has one exact +solution of type T1, despite AR and +R +F fall in the hysteresis domain C of Figure 3. Correspondingly, +the 2-d SWE solution is characterised by a strong interaction with the geometric discontinuity and by +a supercritical flow to the left of x = 0. The comparison between 1-d and 2-d solutions shows that the +number of moving waves supplied by the 1-d exact solution is correct, but their strength and position +is very different from those of the 2-d numerical solution. In addition, the flow depth of the +supercritical states to the left of x = 0 is poorly captured by the 1-d exact solution. The 2-d SWE + +6 +(a) +E +4 +h +6 +(d) +0 +6 +1 +1 +(b) +4 +1 +(w) +1 +4 +1 +h +1 +1 +2 +h +1 +1 +1 +2 +0 +1 +6 +(c) +1 +4 +h +1 +0 +2 +-60 +-40 +-20 +0 +20 +x (m) +0 +-60 +-40 +-20 +0 +20 +x (m)numerical solution exhibits a strong interaction with the channel walls in x = 0, with the formation of +a system of oblique shocks whose plan view is represented in Figure 11. These shocks, which are +typical of supercritical flows in contractions (Ippen and Dawson 1951, Akers and Bokhove 2008, +Defina and Viero 2010), introduce intense head loss that explains the discrepancies between 1-d and +2-d solutions. + +Similar observations can be made for Riemann problem 8, for which AR and +R +F fall in the +hysteresis domain C of Figure 3. The 1-d exact solution is unique and characterized by flow +conditions T1 through the porosity reduction (Figure 10b), while the corresponding 2-d SWE solution +exhibits a supercritical flow to the left of x = 0 and a strong interaction with the contraction (Figure +12) where intense head loss is produced. + +From the validation process above, some considerations can be made. The exact solutions to +the 1-d SP Riemann problem, computed with the monotonic porosity discontinuity model of Section +2.2.3, compare well with the corresponding 2-d SWE numerical solutions in case of subcritical flow +through the porosity discontinuity (Figures 6a,d). Overall, the head loss through the discontinuity +seems negligible when the flow is subcritical, but a caveat to this observation will be discussed in the +next Section. +Similarly, the 1-d exact model shows a good behaviour in both the multiplicity domains B and +C when three exact solutions are possible. In this case, the solution characterized by subcritical flow +through the porosity discontinuity satisfactorily agrees with the 2-d SWE numerical results (Figures +8d and 9d). +A minor discrepancy is present when the supercritical flow accelerates through a porosity +increase. In this case, the 2-d SWE numerical solution is somehow distorted with respect to the 1-d +exact solution (Figures 6b,c). +A very different picture is evident when the 1-d exact model predicts a single solution +characterized by supercritical flow through a porosity reduction (Figures 10a,b). In this case, the 2-d +SWE model exhibits a supercritical flow through the contraction, but the head loss introduced by a + +2-d system of oblique shocks makes the 1-d and 2-d solutions very different. This dissipative +mechanism has been discussed by Varra et al. (2020) for the first time in the context of Riemann +problems on dry bed, but it has been verified here for the general Riemann problem on wet bed. +The validation process accomplished in this section suggests that the results of a 2-d SWE +numerical model could be systematically used to disambiguate multiple Riemann problem solutions +and evaluate the head loss caused by a supercritical flow passing through a porosity reduction, +improving the Definition 1 of the generalized Rankine-Hugoniot conditions. This will be made in the +next section. + + +Figure 10. Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions +(dots) for the flow depth at time t = 5 s. Example Riemann problems 7 (a) and 8 (b) with initial +conditions in Table 1. + +6 +(a) +2 +(b) +7 +1.5 - +4 +- +(m) +一 +:f +1 +d +h +(w) +2 +h +0.5 +一 +ul +一 +1 +0 +0 +-80 +-40 +0 +-80 +-60 +-40 +-20 +0 +20 +x (m) +x (m) + +Figure 11. Plan view of the 2-d SWE numerical solution for Riemann problem 7 with initial +conditions in Table 1. Flow depth contours at time t = 5 s. + + +Figure 12. Plan view of the 2-d SWE numerical solution for Riemann problem 8 with initial +conditions in Table 1. Flow depth contours at time t = 5 s. + + +4. Construction of novel generalized Rankine-Hugoniot conditions +Consider a horizontal frictionless rectangular channel L = 60 m long with a single width discontinuity +at its centre. The channel consists of a right and a left reach of different widths, connected by a linear +contraction whose walls are inclined by 45° with respect to the channel axis (see Figure 13). The + +0.5 +h (m) +4.4 +3.8 +(m) +3.2 +2.6 +2 +1.4 +-0.5 +0.8 +-2 +-1.5 +-0.5 +0 +0.5 +x (m)0.5 +h (m) +2.4 +2 +1.6 +1.2 +0.8 +0.4 +-0.5 +0 +-2 +-1.5 +-1 +-0.5 +0 +0.5 +x (m)contraction is short enough to be regarded as a true geometric discontinuity. In order to perform 2-d +SWE simulations with different aspect ratio AR = BL/ BR values, the right reach width is fixed to BR += 1 m, while the left reach width BL (with BL < BR) is varied in each test. Free-slip boundary conditions +are imposed at the channel walls, while the left and right ends are open. A non-uniform unstructured +triangular mesh is used for simulations, with average side s = 0.20 m at the channel ends and s = +0.02 m in the vicinity of the geometric transition. + + +Figure 13. Plane view of the channel used for 2-d SWE numerical tests with supercritical flows. +Distorted representation (measures in metres). + +The 2-d Finite Volume SWE numerical model by Cozzolino et al. (2017) is used for +approximating the solution of 159 different 2-d Riemann problems in the channel of Figure 13, where +AR  [0.1, 0.9]. The tests are characterized by supercritical flow uR (with uR < 0) approaching the +contraction and Froude number + + +1.5,25 +R +F  +. In all the tests, the right flow depth is hR = 1 m and +the corresponding velocity uR varies accordingly to FR, while the initial left state uL coincides with +the dry bed. Simulations are run until steady state conditions are reached through the contraction +(generally after t = 20 s). +The 1-d SP exact solution is triple (T1, T2, or T3) for the initial conditions falling in region B +of Figure 3, while a single T1 solution is predicted for points falling in region C. The examination of +numerical results shows that two distinct types of 2-d SWE solutions occur: + +II +R +B +30 +30 +- +x= -30 +x=0 +x= 30(G1) The supercritical flow entering the geometric discontinuity passes with the formation of +a complicate system of oblique shocks through the contraction like in Figures 10a,b; this set of +numerical solutions exhibits a behavior that is somehow in between the exact solutions T1 and T2 +defined in Section 2.3 (Figures 4a,b), because supercritical flow conditions are present at the outlet +of the contraction as in T1, but there is also head loss as in T2. +(G2) The flow through the contraction is subcritical, while a moving shock propagates +upstream; since the channel bed downstream is initially dry, critical flow conditions are established +through the contraction outlet; this set of numerical solutions clearly recalls the exact solutions of +type T3 in Section 2.3 (Figure 4c), where u1 is critical. + +4.1 Modified upper boundary of the hysteresis domain +In Figure 14, the 2-d numerical cases corresponding to solution types G1 (black triangles) and G2 +(white squares) are plotted in the plane ( +R +F , AR), where the upper hysteresis domain limit is also +represented. Figure 14 shows that, for a given value of the aspect ratio AR, it exists a limit Froude +number +( +) +* +K +AR such that a G2 solution is obtained for +( +) +* + +R +F +K +AR , while a G1 solution is +obtained for +( +) +* + +R +F +K +AR . The locus of the points separating the fields of G1 and G2 solutions is +the modified upper boundary curve with equation +( +) +* += +R +F +K +AR . Ideally, this curve represents the +situations for which a standing hydraulic jump is present at the entrance of the contraction. For +( +) +* + +R +F +K +AR , the incoming flow has energy sufficient to push the jump through the contraction, +where it is broken into a complicate pattern of transverse standing waves (Figures 11 and 12). +Conversely, the incoming flow is not able to sustain the hydraulic jump for +( +) +* + +R +F +K +AR , and a +shock moves backwards. +The modified upper boundary curve, represented in Figure 14 with a thick black line, is very +close to the UB curve defined in Section 2.3 (dashed line curve in Figure 14) for moderate width + +jumps (AR > 0.5), whereas it departs from the UB curve for strong width jumps (AR  0.5). This is +not surprising, because the 1-d theory for width and porosity transitions is expected to work better +when AR is close to one. The polynomial interpolation of data supplies for the limit +( +) +* += +R +F +K +AR +the expression + +(11) +( +) +( +) +6 +* +1 += += + +i +jump +i +i +K +AR +K +AR +m AR , + + +whose coefficients mi are reported in Table 2. +We observe that +( +) +( +) +* + +jump +K +AR +K +AR for AR > 0.5, meaning that the incoming flow requires +greater energy to push the hydraulic jump through the porosity discontinuity with respect to the case +without energy loss. This effect, which is due to the modest head loss related to the subcritical flow +through the geometric transition in G2 solutions, will be taken into account numerically without a +direct evaluation of the energy losses in subcritical conditions. + + + + +Figure 14. 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 1 m impinging +a contraction: G1 configuration (black triangles), G2 configuration (white squares); upper hysteresis +domain limit (dashed line); modified upper boundary (thick black line). + +Table 2. Coefficients for the polynomial interpolation of Eq. (11). +m1 +m2 +m3 +m4 +m5 +m6 +0.9448 +9.8030 +-24.2944 +20.1172 +-3.7583 +-1.8122 + + +4.2 Head loss for supercritical flows at contractions +The 2-d SWE solutions of type G1 exhibit a head loss H* through the channel contraction. This head +loss is evaluated as +( +) +* +* +1 + += +− +R +H +H +H +u +, where +* +1 +H is an estimate of the head corresponding to the +state immediately to the left of the contraction. The quantity +* +1 +H is indirectly deduced by evaluating +the supercritical flow depth to the left of the contraction. + +0.8 +Upper boundary (UB) +- Modified upper boundary (MUB) +A^^ 2-d SWE numerical Gl solution +0.6 - + 2-d SWE numerical G2 solution +R +0.4 - +口 +0.2 +口 +口 +口 +口 +口口口 +口 +一 +UB +口 +口 +口 +口 +MUB +0 +25The relative head loss +( +) +* +* + =  +R +H +H u + corresponding to the 2-d SWE solutions of type G1 +is represented with black triangles in the plane ( +* +2 +, + +R +F ) of Figure 15, where the data corresponding +to the same AR value are connected by a dashed line. Figure 15 shows that the relative head loss +* + +moderately varies with +2 +R +F for a given value of AR. This implies that +* + mainly depends on the +characteristics of the geometric transition, allowing to use a simplified expression in the form +( +) +* +* + =  +AR , where a single +* + value has been attributed to each AR value by picking the numerical +data closer to the modified upper boundary of Figure 14. These points are connected by a continuous +grey line in Figure 15. + + + +Figure 15. Relative head losses for supercritical flows through a contraction: 2-d SWE numerical +results for G1 configuration (black triangles); limit relative head loss (continuous black line); +envelope of G1 data closer to the modified upper boundary of Figure 14 (continuous grey line). + + +^ 2-d SWE numerical Gl solution +0.8 +AA +AR= 0.1 +0.6 +△AR=0.2 +△AR = 0.3 +* +AR = 0.4 +△AR= 0.5 +0.4 - +AR = 0.6 +0.2 - +AR = 0.75 +AR = 0.8 +AR = 0.9 +0 +10 +F,2 +100 +1000 +1 +RIn the same figure, the limit relative head loss +( +) +# +# + =  +R +H +H u + is also represented with a +thick black line. The quantity +# +H is the head loss through the shock in the exact solution of type T3 +(see Figure 4c) when the celerity of the shock is null (standing hydraulic jump) and the state u1 is +critical, i.e., when +( +) += +R +jump +F +K +AR . In Appendix D, it is shown that the limit relative head loss +# + +depends on AR only and the exact expression of +( +) +# +# + =  +AR is given. The ratio +# +* + + is +represented in Figure 16 for different values of AR2. This leads to the following polynomial +interpolation + +(12) +( +) +( +) +2 +* +2 +0 +# += + +=  + +i +i +i +AR +AR +m AR , + + +with interpolation coefficients in Table 3. + +Recalling that +2 = +R +u +u in the G1 solutions, from the position +( +) +* +1 +2 +, +, +, +  + +=  +L +R +H +H +u u + it +follows that the head loss in Eq. (6) for supercritical flow through a channel contraction, equivalent +to a porosity reduction, can be rewritten as + +(13) +( +) +( +) +( +) +* +1 +2 +2 +, +, +, +  + + + += + +L +R +L +R +H +H +u u +u +. + +Table 3. Coefficients for the polynomial interpolation of Eq. (12). +m0 +m1 +m2 +1.536 +0.403 +0.668 + + + +Figure 16. Polynomial interpolation of the relative head loss data. Triangles represent the +experimental cases enveloped by a thin grey line in Figure 15. + +4.3 Novel generalized Rankine-Hugoniot conditions +From the preceding discussion, it is possible to give a novel convenient relationship between u1 and +u2 at porosity discontinuities. + +Definition 2. The relationship between u1 and u2, with +1 + + += + +L +R +AR +, is defined by the head- +balance form of Eq. (6) with the following internal description of the porosity discontinuity: +D1) the porosity varies monotonically between L and R ; +D2) the variation of flow depth and velocity through the porosity discontinuity is defined by a weak +solution of Eq. (9) in the interval + + +0,1 + +s +, with ( ) +1 +0 = +v +u and ( ) +2 +1 = +v +u ; +D3) the state u2 with u2 < 0 is supercritical only if +( +) +( +) +* +2 + +F +K +AR +u +; in this case, the relationship +between u1 and u2 is defined by Eq. (6) where +( +) +1 +2 +, +, +, +  + +L +R +H +u u + is defined by Eq. (13). + + +2.4 - +2 - +1.6 +△# +* +1.2 +0.8 +0.4 - +0 +0.2 +0.4 +0.6 +0.8 +1 +AR2To demonstrate the viability of the Definition 2, the exact solution to Riemann problems 7 and 8 of +Table 1 is now found using the novel generalized Rankine-Hugoniot conditions. The 1-d exact +solutions are represented with a black line in Figure 17, where the corresponding 2-d solution is +represented with dots. The comparison with Figure 10, where the exact solutions are obtained with +null energy loss, shows that introducing an appropriate definition of +( +) +1 +2 +, +, +, +  + +L +R +H +u u + reduces the +discrepancy between the exact 1-d SP exact solution and the corresponding 2-d SWE numerical +solution. + + + +Figure 17. Profile view of the 1-d SP exact solution with head loss through the geometric +discontinuity (continuous black line) and 2-d SWE numerical solution (dots) for the flow depth at +time t = 5 s. Example Riemann problems 7 (a) and 8 (b) with initial conditions in Table 1. + + +5. Numerical model +In the present Section, the solution of the 1-d SP system of Eq. (2), where the initial conditions +( +) +( ) +x +x +0 +0, +u +u += + and the porosity distribution (x) are specified, is approximated by means of the Finite + +6 +(a) +2 +(b) +一 +1.5 - +4 +一: +一 +(m) +一 +l +1 +d +h + (m) +() +2 +h +0.5 +c:l +0 +0 +-80 +-40 +0 +-80 +-60 +-40 +-20 +0 +20 +x (m) +x (m)Volume method. Having partitioned the 1-d physical domain into non-overlapping cells + + +2 +1 +2 +1 , ++ +− += +i +i +i +x +x +C + of uniform length +2 +1 +2 +1 +− ++ +− += + +i +i +x +x +x +, we assume that the averaged quantities + +(14) +( ) +( +) +( ) ( +) +1 +1 +, +, + + + += += += + + + + +i +i +T +n +n +n +n +n +i +i +i +i +i +C +C +i +x dx +h +h u +I x +x t +dx +x +x +u +u + + +are approximations in Ci of (x) and ( +) +, n +x t +u +, respectively, where +t +n +t n + += + is the time level. In +Figure 18a, the cell-averaged constant values of (x) and ( +) +, n +x t +u + are conceptually depicted, showing +the geometric and flow discontinuity at cells interface. +If +1 +n +n +i +i +t +t +t ++ + = +− + is the time step length, the solution is advanced in the generic cell by means +of the following explicit first-order scheme + +(15) +( +) +( +) +1 +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +, +, + + + + ++ +− ++ +− ++ ++ +− ++ ++ ++ +− +− +− +− ++ + + + + + + += +− +− ++ ++ + + + + + + +n +n +i +i +i +i +i +i +i +i +i +i +i +i +t +t +x +x +u +u +g u +u +g u +u +s +s + + +where the symbols are defined as follows: +1 2 +i + + + is a numerical approximation of the porosity at the +interface i+1/2 between Ci and Ci+1; ( +) +, +g u v is a numerical flux corresponding to the 1-d SWE model +in a constant width channel; finally, +( +) +1 2 +1 2 +1 2 +1 2 +T +i +i +i +i +h +h +u +− +− +− +− ++ ++ ++ ++ += +u +and +( +) +1 2 +1 2 +1 2 +1 2 +T +i +i +i +i +h +h +u ++ ++ ++ ++ ++ ++ ++ ++ += +u + are +flow variables reconstructed to the left and right of the interface i+1/2, respectively, which are +involved in the computation of numerical fluxes and non-conservative product approximations. The +quantities +( +) +1 2 +1 2 +0 ++ ++ +− +− += +T +i +is +s + and +( +) +1 2 +1 2 +0 +− +− ++ ++ += +T +i +is +s + in Eq. (15) are the contributions to Ci of the +non-conservative products arising from the porosity gradient through the interfaces in xi-1/2 and xi+1/2, +respectively, and their computation depends on the variable reconstruction adopted. The 1-d SWE + +numerical flux ( +) +, +g u v is approximated here by means of the HLLE Riemann solver (Cozzolino et +al. 2014), although a different exact or approximate SWE Riemann solver could be used as well. +In its essence, the numerical scheme above consists of the following procedure. First, the +porosity and flow interface variables are reconstructed from the cell-averaged values. Second, the +numerical fluxes and porosity gradients contributions at interfaces are computed. Finally, the cell- +averaged variables are advanced in time by means of Eq. (15). Clearly, the algorithm used to calculate +the reconstructed interface variables from the cell-averaged values determines the properties of the +scheme. +In the following, we assume without loss of generality that +1 + + + + +i +i , corresponding to +1 +1 +  + += + +i +i +AR + (the procedure for the case +1 + + + + +i +i is easily obtained by mirroring the local +reference framework). The basic variable reconstruction by Castro et al. (2007) is first recalled, and +then it is modified to introduce head losses through porosity discontinuities and cope with the case of +multiple solutions. Finally, the results of the 1-d SP numerical scheme, with both the basic and novel +interface variable reconstructions, are compared with the corresponding 2-d SWE numerical results. + + +Figure 18. Side view of two neighbouring cells in the 1-d computational domain: cell-averaged +quantities at a generic time level n (a); interface reconstructed variables used in the basic +reconstruction by Castro et al. (2007) (b); interface and in-cell reconstructed variables in the novel +reconstruction approach (c). + +5.1 Basic reconstruction (Castro et al. 2007) + +(a) +- +1 +u' +1 +βi+1 +Pi +Xi-1/2 +xi +Xi+1/2 +Xi+1 +Xi+3/2 +x +1 +u,+1/2l u+1/2 +1 +(b) +- +u" +1 +1 +1Wi+1/2 +Pi+1 +Pi +X;-1/2 +1x +Xi+1/2 +Xi+1 +Xi+3/2 +x +1 +- +u,+1/2l u+1/2 +1 +(c) +- +R + +- +1 +1 +ui +1 +1 +4i+1/2 +Pi+1 +Pi +X;-1/2 +Xi +Xi+1/2 +Xi+1 +Xi+3/2 +x +Ci+1 +C,The well-balanced reconstruction by Castro et al. (2007), originally implemented for the 1-d variable- +width SWE model, is intended to capture steady state solutions where the discharge and head are +uniform through the space domain. Aiming at this, the interface variables +1 2 +− ++ +iu +, +1 2 ++ ++ +iu +, and +1 2 + + +i +, are +connected to the cell-averaged variables by means of Eq. (10), keeping the character of the flow +(subcritical or supercritical). The reconstruction approach is schematically depicted in Figure 18b, +where the porosity discontinuity internal structure is zoomed in to show the variables used for +computations. +Given the right state +1 ++ +n +iu +, the following inequalities are checked (see Appendix C): + +(16) +( +) +( +) +1 ++ + +n +i +sb +F +K +AR +u +, +( +) +( +) +1 ++ + +n +i +sp +F +K +AR +u +. + + + +With reference to these checks, two options are possible, as follows. + +CR.1) If one of the two inequalities in Eq. (16) is satisfied, the right state +1 ++ +n +iu + can be +connected to a state on the interface left side by the conditions of discharge and head +invariance (see Section 2.2.2). In this case, the interface porosity +1 2 + + ++ += +i +i is assumed, +and the state +( +) +1 2 +1 2 +1 2 +1 2 +T +i +i +i +i +h +h +u ++ ++ ++ ++ ++ ++ ++ ++ += +u + is easily found by solving the system + +(17) +( +) +( +) +1 +1 +1 +1 2 +1 2 +1 2 +1 +1 2 +0 +0 + + ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +− += +− += +n +n +i +i +i +i +i +i +n +i +i +h u +h +u +H +H +u +u +, + + +which is obtained by assuming in Eq. (10) the positions +1 2 + + + += +L +i +, +1 + + + += +R +i , +1 +1 2 ++ ++ += +i +u +u +, and +2 +1 ++ += +n +i +u +u +. The system of Eq. (17) admits two exact solutions, one corresponding to +a subcritical state and the other to a supercritical state (see Valiani and Caleffi 2008 for + +the corresponding exact expressions). The first is chosen if the state +1 ++ +n +iu + is subcritical, +otherwise the supercritical one is kept. Finally, the position +1 2 +− ++ += +n +i +i +u +u is made. + +CR.2) If the inequalities of Eq. (16) are not satisfied, the system of Eq. (17) admits no +solution with +1 2 + + ++ += +i +i . In this case, +1 2 ++ ++ +iu + is found by means of Eq. (17) where the +interface porosity +1 2 + + +i + is defined as + +(18) +( +) +( +) +3 2 +1 2 +1 +1 +2 +1 +3 +2 + + ++ ++ ++ ++ + + + + += + + ++ + + +n +i +i +i +n +i +F +F +u +u +. + + + +This choice is equivalent to imposing that +1 2 ++ ++ +iu + is critical (see Appendix C). The state +1 2 +− ++ +iu + is calculated by means of + +(19) +( +) +( +) +1 2 +1 2 +1 2 +1 2 +0 +0 + + +− +− ++ ++ ++ +− ++ +− += +− += +n +n +i +i +i +i +i +i +n +i +i +h +u +h u +H +H +u +u +, + + +which is obtained by assuming in Eq. (10) the positions  + += +L +i , +1 2 + + + += +R +i +, +1 = +n +i +u +u , +and +2 +1 2 +− ++ += +i +u +u +. The subcritical solution is kept if the state +n +iu is subcritical, otherwise the +supercritical solution is chosen. The state +1 2 +− ++ +iu + certainly exists because +1 2 + + + + +i +i + (see +Appendix C). + + +From the preceding, it is evident that the reconstruction by Castro et al. (2007) satisfies the +inequality + + + + +1 +1 2 +1 +min +, +max +, +  + +  ++ ++ ++ + + +i +i +i +i +i +, i.e., it ensures the monotonicity of the porosity +variation through the discontinuity. +The algorithm is completed by using Eqs. (5.a)-(5.b) to express +1 2 ++ +− +is + and +1 2 +− ++ +is + as + +(20) +( +) +( +) +( +) +( +) +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 + + + + ++ ++ +− +− +− +− +− ++ ++ ++ += +− += +− +n +i +i +i +i +i +n +i +i +i +i +i +s +f u +f u +s +f u +f u +. + + +5.2 Novel variable reconstruction +The novel variable reconstruction differs from that by Castro et al. (2007) because the case of a +supercritical flow impinging on a porosity reduction is treated in a separate way, congruently with +the novel definition of Rankine-Hugoniot conditions given in Section 4.3. This is accomplished by +computing an in-cell additional reconstructed state +( +) +, +, +, +, +1 2 +1 2 +1 2 +1 2 ++ ++ ++ ++ ++ ++ ++ ++ += +T +R +R +R +R +i +i +i +i +h +h +u +u + to manage the case of +a backwards moving shock between the geometric transition and the state +1 ++ +n +iu + when a T3 solution +(Figure 4c) occurs. In addition, appropriate head loss is introduced to compute the state +1 2 ++ ++ +iu + if the +flow through the porosity reduction is supercritical. The novel reconstruction approach is +schematically depicted in Figure 18c, showing the in-cell additional reconstructed variable +, +1 2 ++ ++ +R +iu +. +Given the right state +1 ++ +n +iu +, the cases +1 +0 ++  +n +iu + and +1 +0 ++  +n +iu + are treated separately. + +NR.1) If +1 +0 ++  +n +iu +, the procedure by Castro et al. (2007) is used to find +1 2 + + +i +, +1 2 +− ++ +iu +, and +1 2 ++ ++ +iu + (see points CR.1 and CR.2 of Section 5.1). In this case, there is no backwards moving +shock and the position +, +1 2 +1 ++ ++ ++ += +R +n +i +i +u +u + is made. + + +NR.2) If +1 +0 ++  +n +iu +, the quantity +( +) +1 ++ +n +i +F u + is compared to +( +) +sb +K +AR and +( +) +* +jump +K +AR . Three +cases are possible: + +NR.2.1) If +( +) +( +) +1 ++ + +n +i +sb +F +K +AR +u + occurs, the energy of the subcritical flow is sufficient to +pass through the porosity reduction, and the point CR.1 of Section 5.1 supplies +1 2 + + +i +, +1 2 +− ++ +iu +, and +1 2 ++ ++ +iu +. The position +, +1 2 +1 ++ ++ ++ += +R +n +i +i +u +u + is made because there is no backwards moving shock. + +NR.2.2) If +( +) +( +) +* +1 ++ + +n +i +jump +F +K +AR +u +, the energy of the supercritical flow is sufficient to pass +through the porosity reduction with head losses (see Section 4.2). In this case, the interface +porosity +1 2 + + ++ += +i +i is assumed and the state +1 2 ++ ++ +iu + is easily found by picking the +supercritical solution of the system + +(21) +( +) +( +) +( +) +1 +1 +1 +1 2 +1 2 +1 2 +1 +1 2 +1 2 +1 +1 2 +1 +0 +, +, +, + + + + ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +− += +− +=  +n +n +i +i +i +i +i +i +n +n +i +i +i +i +i +i +h u +h +u +H +H +H +u +u +u +u +, + + +which is obtained by assuming in Eq. (10) the positions +1 2 + + + += +L +i +, +1 + + + += +R +i , +1 +1 2 ++ ++ += +i +u +u +, +and +2 +1 ++ += +n +i +u +u +. The head loss in Eq. (21) is computed using the Eqs. (12) and (13). Finally, +the positions +1 2 +− ++ += +n +i +i +u +u and +, +1 2 +1 ++ ++ ++ += +R +n +i +i +u +u + are made. + +NR.2.3) If +( +) +( +) +( +) +* +1 ++ + + +n +sb +i +jump +K +AR +F +K +AR +u +, the energy of the state +1 ++ +n +iu + is either +insufficient to pass through the porosity reduction or a multiple solution is possible. In both +the cases, the Riemann problem solution is characterized by a backwards moving shock + +radiating from the geometric discontinuity. The occurrence of this shock is forced by +posing +1 2 + + ++ += +i +i and assuming that the states +1 2 ++ ++ +iu + and +, +1 2 ++ ++ +R +iu + have the same discharge of +the state +1 ++ +n +iu +. The state +1 2 ++ ++ +iu + is critical, obtaining + +(22) +1 +1 +1 +1 2 +1 2 +1 2 +1 2 +1 2 +0 + + ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +− += += − +n +n +i +i +i +i +i +i +i +i +h u +h +u +u +gh +, + + +while the state +, +1 2 ++ ++ +R +iu + is subcritical with ( +) +( +) +, +* +1 2 ++ ++ += − +R +i +jump +F +K +AR +u +, obtaining + +(23) +( +) +, +, +1 +1 +1 2 +1 2 +, +, +* +1 2 +1 2 +0 ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +− += += − +n +n +R +R +i +i +i +i +R +R +i +i +jump +h u +h +u +u +gh +K +AR +. + + +Finally, the position +1 2 +− ++ += +n +i +i +u +u is made. + +The novel reconstruction satisfies the inequality + + + + +1 +1 2 +1 +min +, +max +, +  + +  ++ ++ ++ + + +i +i +i +i +i +, +ensuring the monotonicity of the porosity discontinuity inner description. Having introduced the in- +cell additional reconstructed state +, +1 2 ++ ++ +R +iu +, the definition of +1 2 ++ +− +is + in Eq. (20) changes as follows: + +(24) +( +) +( +) +, +1 2 +1 2 +1 2 +1 2 +R +i +i +i +i +i + + ++ ++ ++ +− +− +− +− += +− +s +f u +f u +. + +A similar reconstruction approach has been proposed by Varra et al. (2022), where an iterative +procedure is used. Nonetheless, the present reconstruction is an improvement because (i) the iterative +procedure is avoided and (ii) it is possible to consider the cases where +( +) +( +) +* + +jump +sp +K +AR +K +AR . In +addition, adequate head loss is introduced for supercritical flows through abrupt porosity reductions. + + +5.3 Numerical experiments +The 1-d numerical model of Eq. (15), equipped with the variable reconstructions described in +Sections 5.1 and 5.2, respectively, is used to approximate the solution of the Riemann problems with +initial conditions in Table 1. For the sake of simplicity, +x + = 0.20 m and +t + = 0.005 s in all the +numerical experiments. + +5.3.1 Numerical experiments with the reconstruction by Castro et al. (2007) +Figure 19 shows the numerical results (flow depth) to the Riemann problems 1-4 supplied by the 1-d +SP model with the reconstruction by Castro et al. (2007) (continuous black line), while the +corresponding 2-d SWE results are represented with white dots. For all these problems, the algorithm +by Castro et al. (2007) captures the essentials of the 2-d SWE solution, namely the number of waves +and their strength, and the flow depth of the intermediate states. The discrepancies between the 1-d +and 2-d solutions in Figures 19b and 19c (Riemann problems 2 and 3, respectively) correspond to +those discussed with reference to the comparison between Riemann exact solution and 2-d numerical +solution (compare with Figures 6c and 6d). + + + +Figure 19. Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model +with the variable reconstruction by Castro et al. (2007) (continuous black line) and 2-d SWE model +(dots). Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with initial conditions in Table 1. + +The numerical results to Riemann problems 5-8 are represented in Figure 20. These cases, +characterized by a supercritical flow through a porosity reduction, show that the 1-d SP numerical +solution with the basic reconstruction by Castro et al. (2007) greatly differs from the corresponding +2-d SWE reference solution. +The Figures 20a,b refer to Riemann problems (5 and 6, respectively) admitting multiple +solutions. While the 2-d SWE model exhibits a backwards moving shock originated from the porosity +discontinuity that causes flow energy dissipation, the 1-d SP numerical model with variable + +1.6 +1.2 +(a) +(b) +1.2 +3RXIX EOVYX +0.8 +(w) +0.8- +h +h +0.4 +0.4 - +0 +-20 +0 +20 +-10 +0 +10 +20 +30 +(u) x +x (m) +1.6 +1.2 +1 +(c) +(d) +1.2 +0.8 +h +h +0.4 - +0.4 +1 +1 +0 +0 +-40 +-20 +0 +20 +40 +-80 +-40 +0 +40 +x (m) +x (m)reconstruction by Castro et al. (2007) captures the solution with supercritical flow through the +discontinuity. This is expected because the reconstruction by Castro et al. (2007) keeps the +supercritical character of the flow impinging on the porosity reduction (point CR.1 in Section 5.1). +From the preceding, it follows that the numerical scheme by Castro et al. (2007) overestimates the +discharge through the geometric discontinuity and the celerity of the advancing shock on the left, +while completely neglects the energy dissipation mechanism connected with the backwards moving +shock generated by the interaction of the propagating flow with obstacles (Guinot et al. 2017). Varra +et al. (2020) have demonstrated that the same defect is shared by other Riemann solvers such as those +by Cozzolino et al. (2018b) and Guinot et al. (2017). +The Figures 20c,d refer to Riemann problems (7 and 8, respectively) where a supercritical +flow impinges on a porosity reduction, but the solution is unique. In these cases, the 1-d SP numerical +model misses to capture the 2-d SWE model solution because it lacks an appropriate dissipation +mechanism. Interestingly, this is the same discrepancy found when comparing the 1-d exact solution +and the 2-d SWE numerical solution (see Figures 10a,b). + + + +Figure 20. Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model +with the basic variable reconstruction by Castro et al. (2007) (continuous black line) and 2-d SWE +model (dots). Example Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table +1. + + +5.3.2 Numerical experiments with the novel reconstruction +The numerical experiments presented in the preceding subsection are repeated using the 1-d SP +numerical model with with the novel reconstruction of Section 5.2. For the Riemann problems 1-4, +the numerical results supplied by the novel reconstruction, which are not reported here for the sake +of brevity, coincide with those supplied by the basic reconstruction by Castro et al. (2007). This is + +4 +6 +(a) +(b) +1 +1: +9 +4 +三2 +(w) +h +h +2 +1 +1 +1 +0 +0 +-60 +-40 +-20 +0 +20 +-60 +-40 +-20 +0 +20 +(u) x +x (m) +6 +1 +(c) +2 +(d) +- +1 +1 +1.5 +1 +4 +1 +1 +(w) +(u) +- +d +h +h +:3 +0.5 +:1 +0 +0 +-80 +-40 +0 +-80 +-60 +-40 +-20 +0 +20 +x (m) +x (m)expected, because these Riemann problems do not refer to cases where a supercritical flow impinges +on a porosity reduction. +The Figures 21a,b refer to the Riemann problems 5 and 6, respectively, which admit multiple +solutions. Contrary to the algorithm by Castro et al. (2007), the novel variable reconstruction captures +the solution with the backwards moving shock exhibited by the 2-d SWE model. It is clear that the +introduction of the in-cell subcritical state +, +1 2 ++ ++ +R +iu + between the geometric transition and the right state +n +iu , together with the computation of the interface reaction term by means of Eq. (24), is the ingredient +allowing the computation of the physically congruent shock immediately to the discontinuity right- +side. +The comparison between the 1-d SP numerical results obtained with the novel variable +reconstruction and the 2-d SWE results for Riemann problems 7 and 8, is represented in Figures +21c,d, respectively. The inspection of these figures, referring to cases where the supercritical flow +impinging on the porosity reduction remains supercritical with loss of energy, shows that the novel +variable reconstruction satisfactorily reproduces the 2-d SWE model results because the required +amount of head loss through the geometric discontinuity is introduced. + + + + +Figure 21. Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model +with the novel variable reconstruction (continuous black line) and 2-d SWE model (dots). Example +Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table 1. + + +6. Discussion + + +In this section, the model presented in the preceding sections is discussed with reference to alternative +numerical and conceptual approaches available in the literature, and with reference to the robustness +of Eqs. (11) and (12). + + +4 +6 +(a) +(b) +3 - +4 +三2 +(w) +h +h +2 +1 +1 +一 +0 +0 +-60 +-40 +-20 +0 +20 +-60 +-40 +-20 +0 +20 +(w) x +x (m) +6 +1 +(c) +2 +1 +(d) +1 +- +- +1 +1.5 +1 +4 +1 +1 +(w) +(u) +h +h +:3 +0.5 +:1 +1 +0 +0 +-80 +-40 +0 +-80 +-60 +-40 +-20 +0 +20 +x (m) +x (m)6.1 Comparison with the transient momentum dissipation approach +The momentum dissipation approach introduced with the DIP numerical model by Guinot et al. +(2017) is a numerical device intended to introduce the transient energy dissipation generated by bore +reflection at obstacles during transient propagation. In the 1-d case, the DIP model can be written as + +(25) +( +) +( +) +1 +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +, +1 2 +, +1 2 +, +, + + + + ++ +− ++ +− ++ ++ +− ++ ++ ++ ++ +− +− +− +− +− ++ + + + + + + += +− +− ++ ++ + + + + + + +n +n +i +i +i +i +i +i +i +i +i +i +sta i +sta i +i +i +t +t +x +x +u +u +M +g u +u +M +g u +u +s +s +, + +where M is a momentum dissipation matrix defined as (Guinot et al. 2017) + +(26) +1 +0 +0 +1 + + + +=  + +− + + +M +, + +with  > 0 in case +1 ++  +n +n +i +i +h +h , while  = 0 otherwise. The momentum dissipation coefficient  +appearing in the matrix M of Eq. (26) must be calibrated using fine grid 2-d SWE simulations and it +is strongly dependent on the urban fabric structure and flow conditions (Guinot et al. 2017). +In Eq. (25), the interface porosity +1 2 + + +i + is evaluated from the underlying urban fabric with a +non-monotonic approach, which enforces the condition +( +) +1 2 +1 +min +, + +  ++ ++ + +i +i +i + (see Section 2.2.1); the +interface contributions +, +1 2 ++ +− +sta i +s + and +, +1 2 +− ++ +sta i +s + of the non-conservative products are computed under the +assumption of in-cell stagnant water (Guinot and Soares-Frazão 2006) as + +(27) +( +) +( +) ( +) +( +) +( +) ( +) +2 +, +1 2 +1 2 +2 +, +1 2 +1 2 +0 +1 +2 +0 +1 +2 + + + + ++ +− +− +− ++ ++ += +− += +− +T +n +sta i +i +i +i +T +n +sta i +i +i +i +g h +g h +s +s +. + + +Finally, the reconstructed variables are defined as: + +(28) +( +) +( +) +1 2 +1 2 +1 2 +1 +1 +1 +1 +1 2 + + + + +− ++ ++ ++ ++ ++ ++ ++ ++ ++ += += +T +n +n +n +i +i +i +i +i +i +T +n +n +n +i +i +i +i +i +i +h +h u +h +h u +u +u +. + +We reinterpret the momentum dissipation approach observing that the 1-d DIP numerical +model of Eq. (25) can be rewritten in the form of Eq. (15) by defining the interface contributions of +the non-conservative products as + +(29) +( +) ( +) +( +) ( +) +1 2 +, +1 2 +1 2 +1 2 +1 2 +1 2 +1 2 +, +1 2 +1 2 +1 2 +1 2 +1 2 +, +, + + ++ ++ +− ++ +− +− +− +− +− +− +− +− +− ++ ++ ++ ++ ++ ++ ++ += ++ +− += ++ +− +i +sta i +i +i +i +i +i +sta i +i +i +i +i +s +s +M +I g u +u +s +s +I +M +g u +u +. + +According to this reinterpretation, the momentum dissipation approach is equivalent to +evaluating the forces exerted by obstacles at cell interfaces by adding or subtracting a dynamic +contribution to the stagnant water hydrostatic thrusts +, +1 2 ++ +− +sta i +s + and +, +1 2 +− ++ +sta i +s +. A slightly different +definition of the matrix M has been subsequently given in Guinot et al. (2018), but the role of M as +a modulator of the forces exerted by obstacles at cell interfaces remains unchanged. +The reinterpretation supplied by Eq. (29) allows to recognize the common numerical +framework of the DIP model (Guinot et al. 2017) and of the numerical model presented here. +Nonetheless, the exact solution of the 1-d SP Riemann problem has been exploited in the present +paper to introduce a mechanism of energy dissipation caused by the reflection of advancing waves at +porosity discontinuities. This approach, which has been accomplished by isolating a single local +porosity discontinuity and comparing the corresponding 1-d SP and 2-d SWE Riemann solutions (see +Section 3), avoids the intricacies caused by the mutual interaction of waves radiating from the +obstacles of complex urban fabrics and allows to consider the local geometry. In addition, it avoids + +the introduction of a momentum dissipation mechanism of unclear physical meaning, whose +parameters need calibration on a case-by-case basis (Guinot et al. 2017). + +6.2 Disambiguation of the porosity Riemann problem +The issue of disambiguating multiple solutions to the Riemann problem where a geometric +discontinuity is present has been tackled by researchers considering different types of geometric +discontinuities or different fluid models (SWE or Euler equations). It is interesting to compare the +results obtained in the present paper with those available in the literature. + +The exact solution to the Riemann problem for the 1-d SWE model with variable bed elevation +exhibits two classes of triple solutions (for convenience, the solutions are called here S1, S2, and S3) +when a supercritical flow impinges on a positive bed step (Han and Warnecke 2014, Aleksyuk et al. +2022). In the first class of triple solutions, S1 is characterised by a supercritical flow that jumps over +the bed step remaining supercritical, while S2 is characterised by a hydraulic jump located through +the discontinuity that reverts the incoming supercritical flow into subcritical. Finally, S3 is +characterised by a backward shock while subcritical flow conditions are established over the bed step. +The second class of triple solutions differs from the first one because the solution S3 is characterised +by a backward shock with blockage of the flow at the bed step (step higher than the free surface level). +Cozzolino et al. (2014) used a mix of steady state laboratory data (Karki et al. 1972, Hager and +Sinniger 1985) and physical reasoning to establish a disambiguation criterion based on discharge +minimization. Following this criterion, the physically relevant solution is S3 (backward shock) in +both the classes of triple solutions. Aleksyuk and Belikov (2019) found the same result by considering +a mathematical argument based on the continuous dependence of solutions on the initial conditions. +Han et al. (2013) considered the Riemann problem for the 1-d Euler equations in a +compressible duct flow, where triple solutions may occur when a supersonic flow impinges on a pipe +diameter reduction. They compared some examples of 1-d exact multiple solutions with the numerical +results supplied by a higher dimensions axisymmetric Euler equations model (longitudinal and radial + +direction), founding that the physically relevant solutions were those characterized by a backward +shock. +A pattern seems to emerge from these results. In all the examples considered, multiple +solutions occur when a supercritical flow (SWE model) or a supersonic flow (Euler equations) impact +on a cross-section reduction. Despite the variety of mathematical models and means applied for the +disambiguation of multiple exact solutions (laboratory and/or numerical experiments, mathematical +arguments), the common output to the different procedures is that the physically relevant solution +among the alternatives is the one characterised by a backward shock. In SWE models, this is also the +solution which minimizes the discharge through the geometric discontinuity. +The results presented in Section 4, which confirm this pattern for the 1-d SP model, can be +reinterpreted using an argument based on the continuous dependence of the Riemann problem +solution on the initial conditions. In fact, when the tailwater is null (hL = 0), the 1-d SP Riemann +problem exhibits three exact solutions (T1, T2, and T3) in the region B of Figure 3, which is bounded +by the curves LB and UB, and one exact solution in regions A and C (T3 and T1, respectively). A +solution with backward shock (T3 of Figure 4c) in region B of Figure 3 can move through LB to a +solution T3 of region A by decreasing the initial Froude number +R +F . On the other side, the same T3 +solution in region B can move through UB to a T1 solution of region C by increasing +R +F , flushing +the hydraulic jump and establishing supercritical flow conditions through the porosity discontinuity. +In conclusion, T3 solutions should be considered to the left of UB, and T1 solutions to the right. Of +course, the head loss generated by transverse shocks through the porosity discontinuity does not +significantly changes this picture. In this case, the limit curve UB is distorted, becoming the modified +limit curve MUB of Figure 14. Indeed, the initial conditions to the left of the MUB curve characterize +solutions with a backward shock (G2 solutions in Section 4.1), while the initial conditions to the right +characterize supercritical flows through the porosity discontinuity (G1 solutions). + + +6.3 Influence of flow depth and channel width on the porosity discontinuity definition +The numerical experiments of Section 4 have been conducted considering a fixed depth hR = 1 m of +the flow impinging on a channel contraction and fixed width BR = 1 m of the right channel reach. The +reader may wonder if these results can be extended to different values of hR and BR. The answer to +this question is affirmative but it requires a brief discussion. +Recalling that viscosity and density are not modelled by the incompressible SWE model, the +most general way to write the expression of the head loss H* suffered by a supercritical flow uR +through the contraction is + +(30) +( +) +* +, +, +, +, , + += +L +R +R +R +c +H +f B +B +h u +g L +. + +We observe that n = 7 physical quantities are involved in Eq. (30), and we want to ascertain +if the physical equation can be simplified. Aiming at this, we additionally see that only k = 2 +fundamental mechanics units, namely length and time, are involved because there is not dependency +on density. Recalling the Vaschy-Buckingham theorem (Vaschy 1892, Buckingham 1914), it follows +that Eq. (30) can be rewritten as an expression involving n – k = 5 dimensionless independent +quantities. The dimensionless quantities chosen are + +(31) +( +) +* +* +2 +, +, +, +, +2 + + +− + += += + = += += ++ +L +R +R +R +L +R +R +R +R +R +R +c +R +B +u +h +B +B +H +AR +F +B +h +u +g +B +L +gh +, + +and it is easy to verify that they are mutually independent, i.e., it is not possible to build one of the +dimensionless quantities starting from the others. This justifies why it is possible to simplify Eq. (30) +as + +(32) +( +) +* +2 +, +, +, + + + = +R +R +f +AR F +. + + +In a similar manner, a very general way to describe the boundary MUB between the G1 and +G2 solutions discussed in Section 4 is to introduce a limit velocity +* +R +u discriminating the two types of +solution and expressing this velocity as + +(33) +( +) +* +, +, +, , += +R +L +R +R +c +u +f B +B +h +g L +. + +This physical equation involves n = 6 physical quantities and k = 2 fundamental units, +implying that it can be simplified as + +(34) +( +) +* +, +, + + += +R +K +f +AR + + +where +* +* += +R +R +K +u +gh . +We observe that the dependence on  does not need to be explicited because this parameter is +constant in all the 2-d SWE simulations, since the contraction walls are always inclined by 45° with +respect to the channel axis. With reference to the parameter  R , the comparison between Eq. (32) +and (12), and between Eq. (34) and (11), respectively, show that the expressions found in Section 4 +are valid in the case +1 + = +R + because hR = 1 m and BR = 1 m in all the numerical experiments. +Nonetheless, we demonstrate that the parameter R is superfluous because the expressions of Eqs. +(32) and (34) can be safely simplified in the form of Eqs. (12) and (11), respectively. + +Consider the steady state 1-d SWE in a channel of variable width B = B(x), with solution u = +u(x) for given right boundary condition uR: + +(35) +( ) +( ) +0 ++ += +dB +dB +dx +dx +f u +h u +. + + +Despite Eq. (35) is a simplification of the 2-d flow through the contraction, it supplies a +sufficient insight for the present discussion. We observe that the multiplication of Eq. (35) by the +constant k allows to write + +(36) +( ) +( ) +0 + + ++ += + + + + +dB +dB +k +dx +dx +f u +h u +, + +which is still satisfied by the solution u = u(x) of Eq. (35). Of course, k can be moved inside the +derivative symbols, leading to + +(37) +( ) +( ) +' +' +0 ++ += +dB +dB +dx +dx +f u +h u +, + +where B’(x) = kB(x). In other words, the solution u = u(x) of Eq. (35) for given boundary condition +uR does not change if the width is uniformly amplified by a constant k. The uniform amplification of +the width affects the parameter  = +R +R +R +h +B but does not affect the parameters += +L +R +AR +B +B and += +R +R +R +F +u +gh , implying that Eqs. (32) and (34) depend on AR and +2 +R +F but not on  R . + +To evaluate the robustness of this theoretical approach, we consider twelve additional 2-d +SWE simulations with initial and geometrical conditions as follows: AR = 0.3, 0.6; +R +F = 3.6, 6, 8, +11; hR = 0.1, 0.5, 1 m, and BR = 1 m (see Table 4). The values chosen for hR correspond to the three +different values ( R = 0.1, 0.5, and 1) of the dimensionless parameter  R . Six of the chosen flow +conditions correspond to points slightly to the left of the MUB curve and six to the right (see Figure +22). Table 4 reports, for each simulation, the dimensionless head loss * if the solution is of type G1, +while a hyphen indicates a G2-type solution. The inspection of these results shows that the solution + +types (G1 or G2) expected based on the position with respect to the MUB curve are those actually +occurring in the 2-d simulations, while the dependence of the relative head loss * on  R is +negligible. These observations confirm the theoretical arguments above and justify the application of +the formulas in Section 4 to conditions with  R  1. + +Table 4. Supercritical 2-d flow impinging on a contraction for BR = 1 m and hR = 0.1, 0.5, and 1 m: +relative head losses * for the cases of flow passing through the discontinuity (G1). A hyphen +indicates the cases where a backwards moving shock is produced (G2 configurations). + +hR (m) +AR +0.30 +0.60 +FR +FR +8 +11 +3.6 +6 +0.1 +- +0.57 +- +0.38 +0.5 +- +0.57 +- +0.38 +1 +- +0.57 +- +0.38 + + + +0.8 + Modified upper boundary (MUB) +A^^ 2-d SWE numerical Gl solution +hr (m) = 0.1 - 0.5 - 1 + 2-d SWE numerical G2 solution +0.6 - +R +0.4 +hr (m) = 0.1 - 0.5 - 1 +0.2 +0 +FR +25Figure 22. 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 0.1, 0.5, and 1 +m impinging a contraction: G1 configuration (black triangles), G2 configuration (white squares); +modified upper boundary (thick black line). + +7. Conclusions +The solution of the Riemann problem associated to the Single Porosity (SP) Shallow water Equations +(SWE) model by Guinot and Soares-Frazão (2006) is the main ingredient for the computation of +interface fluxes and obstacle reaction terms in the Binary SP model (Varra et al. 2020) and in the +integral approach (Sanders et al. 2008, Guinot et al. 2017). Previous studies (Cozzolino et al. 2018a, +Varra et al. 2020, 2021) have shown that the SP Riemann problem presents a fundamental ambiguity +consisting in the appearance of multiple exact solutions for certain initial conditions characterized by +a supercritical flow impacting on a porosity reduction. This observation prompts the definition of the +unique physically congruent Riemann solution among the alternatives and the construction of a +numerical scheme able to reproduce this relevant solution. +Having recognized that the 1-d SP model is nothing but a crude simplification of the 2-d SWE +model in a variable width rectangular channel, the channel analogy (Guinot and Soares-Frazão 2006, +Sanders et al. 2008) has been exploited in this paper to disambiguate the multiple 1-d SP Riemann +solutions by means of a systematic comparison with the corresponding 2-d SWE numerical solutions +at local geometric discontinuities. The conclusion, which corresponds to other similar results obtained +in the literature for different mathematical models (Han et al. 2013, Cozzolino et al. 2014, Aleksyuk +and Belikov 2019), is that the solution with a backwards moving shock is physically congruent when +multiple solutions are possible. Laboratory (Akers and Bokhove 2008, Defina and Viero 2010) and +2-d SWE numerical experiments (Varra et al. 2020) show that supercritical flows in channels suffer +intense head loss through a width contraction, which corresponds to a porosity reduction. This +phenomenon is an additional cause of energy dissipation in porosity models with respect to those +already described in the literature (Guinot et al. 2017, 2018). Also in this case, the systematic study + +of 2-d SWE numerical results at isolated geometric discontinuities has supplied the general conditions +under which this energy dissipation is present and how it can be evaluated. +Based on a modification of the generalized hydrostatic reconstruction by Castro et al. (2007), +we have also built an approximate Riemann solver that discriminates the existence of multiple +solutions and is able to add adequate head loss in the case of supercritical flow through porosity +discontinuities. The comparison between the numerical results supplied by the novel 1-d SP model +and the 2-d SWE model shows that the former can reproduce the effects that in 2-d models are caused +by the interaction between a supercritical flow and a contraction. This promising numerical approach +could be extended to other cases of hyperbolic systems of differential equations where multiple +solutions arise such as the SWE and the porous SWE with variable topography. + +Aknowledgements +Renata Della Morte and Luca Cozzolino want to acknowledge the financial support from the project +"Floods in cities: new insights for integrating pluvial flooding into flood risk management plans +(INSPIRING)", funded by the Italian Ministry of University and Research under the national +programme PRIN2020. + +Appendix A. Head-balance form of the porosity discontinuity +If +1 1 +2 2 + + += += +L +R +Q +hu +h u is the unit-width discharge flowing through the porosity discontinuity, the +velocities at the two sides of the geometric transition can be rewritten as + +(A.1) +1 +2 +1 +2 +, + + + += += +L +R +Q +Q +u +u +h +h . + +The substitution of Eq. (A.1) into Eq. (5.b) leads to + + +(A.2) +( +) +2 +2 +2 +2 +2 +1 +1 +2 +2 +1 +, +, +, +2  + +  + + + + + +− ++ +− += + + +R +L +L +R +R +L +g +Q +Q +h +h +S +h +h +u u +, + +while the substitution into the second of Eq. (6) supplies + +(A.3) +( +) +( +) +( +) +2 +2 +1 +2 +2 +1 +2 +2 +2 +1 +, +, +, +2 +2 +  + + + + + += ++ +− ++ + + + + + + +L +R +R +L +Q +Q +H +h +h +g +h +g +h +u u +. + +The elimination of Q2 between Eqs. (A.2) and (A.3) finally supplies Eq. (7). + +Appendix B. Smooth stationary weak solutions of Eq. (2) +If the time derivatives are null, Eq. (2) can be rewritten as + +(B.1) +2 +2 +2 +0 +0 +2 +2 + + + + += + + + +− += + + + + +d hu +ds +d +gh +d hu +gh d +ds +ds +ds +. + +If the porosity and the flow variables are smooth (i.e., continuous with their derivatives), the +second of Eq. (B.1) can be rewritten as + +(B.2) +2 +2 +2 +0 +2 +2 +2 + + + + + + + ++ ++ ++ +− += + + + + +dh +gh d +d +u +d hu +gh d +gh +h +u +ds +ds +ds +ds +ds +. + +Finally, the substitution of the first of Eq. (B.1) into Eq. (B.2) and the cancellation of the terms +with opposite sign leads to + + + +(B.3) +2 +0 +2 + + ++ += + + + + +d +u +h +ds +g +, + +which states that the total head is uniform. + + +Appendix C. Discussion of Eq. (10) and of the corresponding Froude limits +This Appendix reports in a condensed form the discussion present in classic (Yarnell 1934, Chow +1959) and recent (Defina and Susin 2006, Castro et al. 2007, Akers and Bokhove 2008, Varra et al. +2021) literature with reference to 1-d flows in channels with variable width. Given the formal analogy +between 1-d SWE model with variable width and 1-d porous SWE model, the discussion can be +extended to porous models where the porosity symbol replaces the width symbol while the discharge +is intended as unit-width discharge. +The parametric family of the flow states +( +) += +T +h +hu +u + with given width B and discharge += +Q +Bhu is defined by ( +) +( +) +, , += +T +Q B h +h +Q B +u +, where the flow depth h is the parameter. The total +head corresponding to the states of this family is a function of the parameter h only, and it is defined +by + +(C.1) +( +) +( +) +( +) +( +) +2 +2 +, , +, , +2 += += ++ +Q +H Q B h +H +Q B h +h +g Bh +u +. + + +The function H(Q, B, h) in Eq. (C.1) is convex with respect to h > 0, it is positive and it has a +unique minimum in +( +) +, += +c +h +h Q B . The critical depth +( +) +, +ch +Q B and the corresponding critical head +( +) +( +) +( +) +, +, , +, += +c +c +H +Q B +H Q B h Q B + are defined by (Chow 1959) + + +(C.2) +( +) +( +) +2 +2 +3 +3 +2 +2 +3 +, +, +, +2 += += +c +c +Q +Q +h Q B +H +Q B +gB +gB +. + +The states u with +( +) +, + +c +h +h Q B are characterized by +( ) +1 + +F u + and are called supercritical. +The states with +( +) +, + +c +h +h Q B are characterized by +( ) +0 +1 + + +F u + and are called subcritical. From the +preceding discussion, it follows that a state u with discharge Q has energy sufficient to pass through +the cross-section whose width is B only if the corresponding head is not minor than +( +) +, +c +H +Q B . +This observation has consequences for the application of Eq. (10), expressing the invariance +of discharge and head. Let BL and BR be the channel widths at the left and right ends, respectively, of +a geometric transition, and let +( +) +2 +2 +2 +2 += +T +h +h u +u + be the state corresponding to the flow at the right +end. It is possible to find the left end state +( +) +1 +1 +1 1 += +T +h +hu +u + connected to u2 by means of the discharge +and head invariance only if +( +) +( +) +1 +, + +c +L +H +H +Q B +u +, namely only if + +(C.3) +( +) +2 +3 +1 +2 +3 +2 + +L +Q +H +gB +u +, + +where +1 1 += +L +Q +B hu is the discharge corresponding to the right state +1 +u . The invariance of discharge +and head is expressed by +2 2 +1 1 += +R +L +B h u +B hu and +( +) +( +) +2 +1 += +H +H +u +u +, implying that the condition of Eq. +(C.3) can be rewritten as + +(C.4) +( +) +( +) +2 +2 +2 +3 +2 +2 +3 +1 +2 + +h u +H +AR +g +u +, + + + +where += +L +R +AR +B +B is the aspect ratio. If the Eq. (C.4) is satisfied, it exists the state u1 connected to +u2 by the invariance of discharge and head with aspect ratio AR. +The Eq. (C.4) can be rewritten in dimensionless form as (Yarnell 1934, Chow 1959, Defina +and Susin 2006, Akers and Bokhove 2008) + +(C.5) +( +) +( +) +2 + +AR +f +F u +, + + +where +( +) +2 +2 +2 += +F +u +gh +u + is the Froude number of the state u2 and the function f(x) is defined as + +(C.6) +( ) +3 2 +2 +3 +, +0 +2 + + += + + + ++ + + +f x +x +x +x +. + + +The function f(x) of Eq. (C.6) is non-negative, strictly increasing for + + +0,1 + +x +, strictly +decreasing for +1 + +x +, and it has a maximum in +1 += +x + with +( ) +1 +1 += +f +. The properties of the function f(x) +have the following implications. + +Case +1 + +AR +. In case of +1 + +AR +, Eq. (C.5) is satisfied for every +( +) +2 +F u +. In other words, it +always exists the state u1 connected to u2 by the invariance of discharge and head when there is a +width increase. + +Case +1 + +AR +. In case of +1 + +AR +, Eq. (C.5) is satisfied by + +(C.7) +( +) +( +) +2 + +sb +F +K +AR +u +, +( +) +( +) +2 + +sp +F +K +AR +u +, + +where the limit Froude numbers +( +) +sb +K +AR and +( +) +sp +K +AR are defined as (Varra et al. 2021) + + +(C.8) +( +) +( +) +( +) +( +) +( +) +( +) +3 +2 +1 2 +2 +3 +2 +1 2 +2 +1 +2cos +arctan +1 +3 +3 +5 +1 +2cos +arctan +1 +3 +3 + + +− +− +− +− + + + + += +− +− + + + + + + + + + + + + += +− +− + + + + + + + + +sp +sb +K +AR +AR +AR +K +AR +AR +AR +. + + +The Froude limits defined by Eq. (C.8) are characterised by +( +) +1 + +sp +K +AR + (supercritical) and +( +) +1 + +sb +K +AR + (subcritical) for every +1 + +AR +. +In conclusion, the present discussion shows that two different situations are possible with +reference to Eq. (10) where +1 + + += + +L +R +AR +: +a) Given the state u1, it is always possible to find the corresponding state u2. +b) Given the state u2, it is possible to find the corresponding state u1 only if one of the two +inequalities of Eq. (C.7) is satisfied. In this case, the invariance of the total head through +the porosity transition implies that u1 is subcritical [supercritical] if u2 is subcritical +[supercritical], and vice versa. When +( +) +( +) +2 += +sb +F +K +AR +u + or +( +) +( +) +2 += +sp +F +K +AR +u +, the +state u1 is critical. +For +1 + + += + +L +R +AR +, it is possible to define an additional limit +( +) +jump +K +AR for the Froude +number, as follows. Let the left state u1 be critical and the right state u2 be subcritical with +( +) +( +) +2 = − +sb +F +K +AR +u + (flow from right to left). The supercritical state +# +2 +u to the right of the subcritical +state u and connected to it by a standing hydraulic jump is characterized by Froude number +( +) +( +) +# +2 = − +jump +F +K +AR +u +, where + +(C.9) +( +) +( +) +( +) +( +) +3 +2 +2 +8 +1 +1 8 +− += +− + ++ +jump +sb +sb +K +AR +K +AR +K +AR +. + + +Appendix D. Head loss through a standing hydraulic jump +The flow depth +# +Rh corresponding to the state +( +) +# +# +# +# += +T +R +R +R +R +h +h u +u + connected to uR by means of a +hydraulic jump in a rectangular channel is (Chow 1959) + +(D.1) +( +) +2 +# +1 +1 8 +2 += +− + ++ +R +R +R +h +h +F +, + +where +2 +R +F is the squared Froude number corresponding to the state uR. From Eq. (D.1), the ratio +# +R +R +h +h depends on +2 +R +F only. +The discharge is conserved through the hydraulic jump, implying that +# +# = +R +R +R +R +h u +h u . For this +reason, the head +# +R +H corresponding to the state +# +R +u is + +(D.2) +( +) +# +# +# +# +# +2 +3 +2 +# +2 +1 +2 +2 + + + + + + + + += += ++ += ++ + + + + + + + + + + + + +R +R +R +R +R +R +R +R +R +R +u +h +F +h +H +H +h +h +g +h +h +u +. + +Once that Eq. (D.1) is substituted into Eq. (D.2), the relative head loss +( +) +# +# +# + =  += +− +R +R +R +R +H +H +H +H +H can be easily calculated as + +(D.3) +1 +# +# +# +# +3 +2 +2 +1 +1 +1 +2 +2 +− + + + + + + +− + + + = += − ++ ++ + + + + + +  + + + + + +R +R +R +R +R +R +R +R +R +H +H +h +F +h +F +H +h +h +, + +where +( +) += +R +R +H +H u + is the head corresponding to the state uR. From Eqs. (D.1) and (D.3), it is evident +that the relative head loss +# + through the hydraulic jump depends on +2 +R +F only. + +In the case that the supercritical state uR is connected to the subcritical state u2 by a hydraulic +jump (i.e., when +# +2 = +R +u +u ) and u1 is critical (see Figure 4c), +2 +R +F coincides with +( +) +2 +jump +K +AR (see +Appendix C) and the relative head loss +# + depends on AR only. + + +References +Akers B., Bokhove O. (2008) Hydraulic flow through a channel contraction: multiple steady +states, Physics of Fluids 20, 056601. Doi: 10.1063/1.2909659. +Aleksyuk A.I., Belikov V.V. (2019) The uniqueness of the exact solution of the Riemann +problem for the shallow water equations with discontinuous bottom, Journal of Computational +Physics 390, 232-248. Doi: 10.1016/j.jcp.2019.04.001. +Aleksyuk A.I., Malakhov M.A., Belikov V.V. 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Initial flow conditions of the validation Riemann problems. +Table 2. Coefficients for the polynomial interpolation of Eq. (11). +Table 3. Coefficients for the polynomial interpolation of Eq. (12). +Table 4. Supercritical 2-d flow impinging on a contraction for BR = 1 m and hR = 0.1, 0.5, and 1 m: +relative head losses * for the cases of flow passing through the discontinuity (G1). A hyphen +indicates the cases where a backwards moving shock is produced (G2 configurations). + +Figures List +Figure 1. Physical interpretation of the porosity discontinuity between L and R : monotonic (a) +and non-monotonic porosity variation (b). +Figure 2. Internal description of the porosity discontinuity: plan view of the monotonic porosity +variation (a); profile view of smooth flow depth variation (b); profile view of flow depth +variation with hydraulic jump (c). +Figure 3. Field of occurrence of multiple solutions to the porosity Riemann problem for right +supercritical flows uR impinging a porosity reduction with +1 + + += + +L +R +AR +. Lower (continuous +line) and upper (dashed line) boundaries of the hysteresis domains. Hysteresis domains: A (no +multiple solutions), B (multiple solutions even in the case hL = 0), C (multiple solutions only +for hL > 0). +Figure 4. Flow conditions through the porosity discontinuity when multiple solutions to the purely 1- +d SP Riemann problem are possible: profile view of solutions T1 (a), T2 (b) and T3 (c). +Figure 5. Plan view of the channel considered for 2-d SWE numerical simulations. Distorted +representation (measures in metres). + +Figure 6. Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions +(dots) for the flow depth at time t = 5 s. Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) +with initial conditions in Table 1. +Figure 7. Plan view of the 2-d SWE numerical solution for Riemann problem 3 with initial conditions +in Table 1. Flow depth contours at time t = 5 s. +Figure 8. Example Riemann problem 5 with initial conditions in Table 1. Profile view for the flow +depth solution at time t = 5 s. 1-d SP exact solutions T1 (a), T2 (b) and T3 (c). Comparison +between the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d). +Figure 9. Example Riemann problem 6 with initial conditions in Table 1. Profile view for the flow +depth solution at time t = 5 s. 1-d SP exact solutions T1 (a), T2 (b) and T3 (c). Comparison +between the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d). +Figure 10. Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions +(dots) for the flow depth at time t = 5 s. Example Riemann problems 7 (a) and 8 (b) with initial +conditions in Table 1. +Figure 11. Plan view of the 2-d SWE numerical solution for Riemann problem 7 with initial +conditions in Table 1. Flow depth contours at time t = 5 s. +Figure 12. Plan view of the 2-d SWE numerical solution for Riemann problem 8 with initial +conditions in Table 1. Flow depth contours at time t = 5 s. +Figure 13. Plane view of the channel used for 2-d SWE numerical tests with supercritical flows. +Distorted representation (measures in metres). +Figure 14. 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 1 m impinging +a contraction: G1 configuration (black triangles), G2 configuration (white squares); upper +hysteresis domain limit (dashed line); modified upper boundary (thick black line). +Figure 15. Relative head losses for supercritical flows through a contraction: 2-d SWE numerical +results for G1 configuration (black triangles); limit relative head loss (continuous black line); +envelope of G1 data closer to the modified upper boundary of Figure 14 (continuous grey line). + +Figure 16. Polynomial interpolation of the relative head loss data. Triangles represent the +experimental cases enveloped by a thin grey line in Figure 15. +Figure 17. Profile view of the 1-d SP exact solution with head loss through the geometric discontinuity +(continuous black line) and 2-d SWE numerical solution (dots) for the flow depth at time t = 5 +s. Example Riemann problems 7 (a) and 8 (b) with initial conditions in Table 1. +Figure 18. Side view of two neighbouring cells in the 1-d computational domain: cell-averaged +quantities at a generic time level n (a); interface reconstructed variables used in the basic +reconstruction by Castro et al. (2007) (b); interface and in-cell reconstructed variables in the +novel reconstruction approach (c). +Figure 19. Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with +the variable reconstruction by Castro et al. (2007) (continuous black line) and 2-d SWE model +(dots). Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with initial conditions in Table +1. +Figure 20. Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with +the basic variable reconstruction by Castro et al. (2007) (continuous black line) and 2-d SWE +model (dots). Example Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in +Table 1. +Figure 21. Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with +the novel variable reconstruction (continuous black line) and 2-d SWE model (dots). Example +Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table 1. +Figure 22. 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 0.1, 0.5, and 1 +m impinging a contraction: G1 configuration (black triangles), G2 configuration (white +squares); modified upper boundary (thick black line). + + + + diff --git a/wdE0T4oBgHgl3EQf-ALu/content/tmp_files/load_file.txt b/wdE0T4oBgHgl3EQf-ALu/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..d562c177480c10129fbc39e8996b709b839a8294 --- /dev/null +++ b/wdE0T4oBgHgl3EQf-ALu/content/tmp_files/load_file.txt @@ -0,0 +1,1696 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf,len=1695 +page_content='This work is licensed under the Creative Commons Attribution-NonCommercial- NoDerivatives 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='0 International License.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' To view a copy of this license, visit http://creativecommons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='org/licenses/by-nc-nd/4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='0/ or send a letter to Creative Commons, PO Box 1866, Mountain View, CA 94042, USA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Coping with geometric discontinuities in porous shallow water models Giada Varra1, Renata Della Morte2, Luigi Cimorelli3, Luca Cozzolino4 Abstract Porosity-based models are a viable alternative to classical two-dimensional (2-d) Shallow water Equations (SWE) when the interaction of shallow flows with obstacles is modelled.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The exact solution of the Single Porosity (SP) Riemann problem, which is the building block of numerous porosity models solved with the Finite Volume method, exhibits an interesting feature, namely the multiplicity of solutions when a supercritical flow impinges on a sudden porosity reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the present paper, this ambiguity is overcome by systematically comparing the solution of the one-dimensional (1-d) SP Riemann problem with the corresponding 2-d SWE numerical solutions at local porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' An additional result of this comparison is that the SP Riemann problem should incorporate an adequate amount of head loss through porosity discontinuities when strongly supercritical flows are considered.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' An approximate Riemann solver, able to pick the physically congruent solution among the alternatives and equipped with the required head loss amount, shows promising results when implemented in a 1-d Single Porosity Finite Volume scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1 Res.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Dept.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' of Engrg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Parthenope Univ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Centro Direzionale di Napoli – Is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' C4, 80143 Napoli, Italy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' E-mail: giada.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='varra@uniparthenope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='it 2 Full Prof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Dept.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' of Engrg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Parthenope Univ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Centro Direzionale di Napoli – Is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' C4, 80143 Napoli, Italy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' E- mail: renata.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='dellamorte@uniparthenope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='it 3 Ass Prof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', DICEA, Federico II Univ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Via Claudio 21, 80125 Napoli, Italy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' E-mail: luigi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='cimorelli@unina.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='it 4 Ass.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Prof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Dept.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' of Engrg.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Parthenope Univ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', Centro Direzionale di Napoli – Is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' C4, 80143 Napoli, Italy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' E- mail: luca.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='cozzolino@uniparthenope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='it CC S BY NC ND Subject headings: Shallow water Equations;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Porous Shallow water Equations;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Single Porosity Shallow water model;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' urban flooding;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Differential equations;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Riemann problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Corresponding author: Giada Varra E-mail address: giada.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='varra@uniparthenope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='it Address: Dipartimento di Ingegneria, Università degli Studi di Napoli Parthenope, Isola C4, 80143 Napoli (Italy) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Introduction Porosity-based shallow water models have been developed over the last two decades to provide a viable alternative to classical two-dimensional (2-d) Shallow water Equations (SWE) for partially dry areas and transitional environments (Defina 2000), large‐scale urban flood modelling (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008) and runoff simulation on vegetated hillslopes (Ion et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The available porosity shallow water models differ from each other by the conceptual formulation and the underlying physical assumptions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' However, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2020) have demonstrated that the Single Porosity (SP) model (Guinot and Soares-Frazão 2006), the Binary Single Porosity model (BSP, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020), and the integral formulation of the SWE with obstacles by Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2008), constitute a family of models which share the same mathematical structure and features such as hyperbolicity, presence of non-conservative products, and small disturbance celerities coinciding with those exhibited by the 2-d SWE model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Not surprisingly, the observation that a common Finite Volume numerical framework can be used for their approximate solution confirms their common mathematical structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The Integral Porosity model (IP, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008), the Dual Integral Porosity model (DIP, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017), and the numerical schemes by Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2018b) and Cea and Vázquez-Cendón (2010), are all examples of numerical schemes falling in this framework.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Due to the rapid variations of urban fabric density and flow characteristics through the urban environment, the numerical fluxes over 2-d Finite Volume cell edges are usually calculated by solving a local plane SP Riemann problem (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Finaud- Guyot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2010, Cea and Vázquez-Cendón 2010, Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018b, Jung 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The presence of porosity discontinuities requires the definition of appropriate generalized Rankine-Hugoniot conditions (LeFloch 1989, Dal Maso et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1995), i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', relationships between the flow variables at the two sides of the porosity discontinuity that have a strong influence on the Riemann solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Numerical methods should incorporate the Rankine-Hugoniot conditions to reproduce the corresponding Riemann exact solutions at porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Regarding these solutions, previous studies (Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018a, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020, 2021) have shown that they present a fundamental ambiguity consisting in the appearance of multiple exact solutions for certain initial conditions characterized by a supercritical flow impacting on a porosity reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' At this point, two problems arise, namely the need i) to solve this ambiguity by finding the unique physically congruent solution among the alternatives and ii) to construct a numerical scheme able to reproduce the corresponding relevant solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The one-dimensional (1-d) SP model formally coincides with the 1-d SWE in rectangular channels with variable width, where the porosity symbol substitutes the width symbol (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This physical analogy is exploited in the present paper to disambiguate the multiple 1-d SP Riemann exact solutions by means of a systematic comparison with the corresponding 2-d SWE numerical solutions at local geometric discontinuities, because the 1-d variable-width SWE model is nothing but a crude simplification of the 2-d SWE model in a rectangular channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Besides the effects of friction (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018), shallow flows in urban environments may dissipate energy by means of different mechanisms, such as the drag induced by obstacles (Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008), the propagation of bores reflected by buildings (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, 2018), and local effects at geometric discontinuities (Guinot and Soares-Frazão 2006, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In porosity models, the adoption of computational cells of greater size than that usually adopted in shallow water models causes the loss of geometrical and hydraulic information, which in turn causes the underestimation of the energy dissipated by the flow propagating through the urban fabric (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, 2018, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' To reproduce missing dissipative effects, structural changes have often been introduced in the original porosity shallow water models, for example altering the physical momentum fluxes via reduction coefficients (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, 2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Laboratory (Akers and Bokhove 2008, Defina and Viero 2010) and 2-d SWE numerical experiments (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020) show that supercritical flows suffer intense head loss across channel contractions, implying that a corresponding energy dissipation must be experienced through rapid porosity reductions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the present work, this energy dissipation is considered by appropriately reformulating the generalized Rankine-Hugoniot conditions in a head-balance form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The introduction of an interface head loss through the definition itself of porosity discontinuity has the advantage of leaving the structure of the mathematical model unchanged and it can be very naturally used to take into account, at least partly, the drag forces through urban fabrics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' However, the amount of head loss to be introduced across the discontinuity needs to be evaluated in a proper way, depending on the flow characteristics across the geometric transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Also in this case, a systematic study of 2-d SWE numerical results at isolated geometric discontinuities is conducted to supply the general conditions under which this energy dissipation is present and how it can be evaluated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' With the aim of reproducing the effects that in 2-d shallow water models are caused by the flow interaction with isolated geometric discontinuities, the present work proposes a novel approximate Riemann solver that discriminates the existence of multiple solutions and considers adequate head loss in case of supercritical flows at porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This solver is implemented in a 1-d Finite Volume scheme adopting the Single Porosity formulation of SWE (Guinot and Soares-Frazão 2006).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The capability of the 1-d numerical model with porosity of reproducing the effects that in 2-d models are caused by the interaction between the flow and a geometric transition is assessed against several Riemann problems by comparing the corresponding results with the ones provided by a reference 2-d SWE numerical model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The present paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The structure of the SP Riemann problem solution, where the definition by Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2018b) is used for generalized Rankine-Hugoniot conditions, is discussed in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This solution is validated in Section 3 using 2-d SWE numerical experiments, and a novel definition of porosity discontinuity is given in Section 4 to better reproduce the 2-d SWE numerical results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Section 5, it is shown how it is possible to construct a numerical model able to discriminate multiple solutions and introduce the requested head loss amount.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' These findings are discussed in Section 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the paper is closed by a Conclusions section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Mathematical model In the present Section, the plane Riemann problem for the SP model is reviewed, showing that it reduces to a 1-d SP Riemann problem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The corresponding solution requires the definition of generalized Rankine-Hugoniot conditions to be used through porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Exploiting the analogy between the 1-d SP model and the 1-d SWE in rectangular channels with variable width (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008), we introduce and discuss a head-balance form defining this relationship.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 The 1-d SP model The plane SP model considered here is an augmented 1-d system obtained from the 2-d SP model (Guinot and Soares-Frazão 2006) by setting to zero the derivatives with respect to the y-axis and neglecting the flow resistance components (Ferrari et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020): (1) 2 2 2 0 0 2 2 0 h hu t x hu gh gh hu t x x hv huv t x \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf0b6 \uf0b6 \uf0ec + = \uf0ef \uf0b6 \uf0b6 \uf0ef \uf0e6 \uf0f6 \uf0b6 \uf0b6 \uf0b6 \uf0ef + + − = \uf0ed \uf0e7 \uf0f7 \uf0b6 \uf0b6 \uf0b6 \uf0e8 \uf0f8 \uf0ef \uf0ef\uf0b6 \uf0b6 + = \uf0ef \uf0b6 \uf0b6 \uf0ee .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The solution of the corresponding Riemann problem is the building block for the computation of interface numerical fluxes in shock capturing Finite Volume schemes (Godlewski and Raviart 1996).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1), the symbols have the following meaning: x and y are the space independent variables of the inertial reference frame Oxy, while t is the time variable;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' h(x, y, t) is the flow depth;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' u(x, y, t) and v(x, y, t) are the vertically averaged components of the flow velocity along x and y, respectively;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' g is the gravity acceleration;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' and the porosity \uf06a(x, y) \uf0ce [0, 1] represents the fraction of urban area not occupied by buildings and obstacles (storage porosity).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the following, the dependence of the variables on y will be omitted because all the quantities should be considered constant along y (plane problem).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The effects of variable bed elevation are neglected here because the focus of the present work is on obstacle modelling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Despite a distinction is often made in the urban hydrology literature between storage porosity \uf06a and conveyance porosity \uf079 (Lhomme 2006, Guinot and Delenne 2014, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017), the last being related to the mass and momentum transport (Dewals et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021), the two definitions are genuinely different only in porosity models written in integral form while they coincide in differential models (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This result, which derives from a classical proof developed in the theory of fluid motion in porous media (Whitaker 1969), states that the geometric parameter \uf06a in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1) should always be interpreted not only as a storage but also as a conveyance porosity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Finite Volume schemes for the approximate solution of the 2-d SP model, the system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1), where x is a local reference normal to the cell interface, is solved using initial discontinuous conditions (Guinot and Soares-Frazão 2006, Soares-Frazão et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Cea and Vázquez-Cendón 2010, Finaud-Guyot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2010, Özgen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2016b, Özgen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The presence of the non-conservative product 2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 \uf06a \uf0b6 \uf0b6 gh x , which models the force per unit-width exerted by the obstacles on the flow through the cell interface, requires careful mathematical and numerical treatment because it cannot be recast in divergence form (Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This point is central to the present discussion, and it will be further clarified in the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The first two relations of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1) do not contain the conserved variable hv and can be decoupled from the third (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021), leading to the 1-d SP model (Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018b) (2) ( ) ( ) 0 \uf06a \uf06a \uf06a \uf0b6 \uf0b6 \uf0b6 + + = \uf0b6 \uf0b6 \uf0b6 t x x f u u h u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2), the meaning of the symbols is as follows: ( ) = T h hu u and ( ) ( ) 2 2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 = + T hu gh hu f u are the vectors of the conserved variables and fluxes, respectively, of the 1-d SWE model;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' T is the matrix transpose symbols;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ( ) ( ) 2 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 = − T gh h u is a vector representing the hydrostatic thrust per unit-width exerted by obstacles on the flow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) is at the core of the solution to the plane Riemann problem for Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In fact, once that h and hu are known from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2), hv in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1) is readily computed with the passive tracer equation (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021): (3) 0 \uf0b6 \uf0b6 + = \uf0b6 \uf0b6 v v u t x .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 Porosity Riemann problem In the Riemann problem of the 1-d SP model, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) is solved under the following discontinuous flow initial conditions and porosity (4) ( ) , 0 ,0 , 0 \uf03c \uf0ec = \uf0ed \uf03e \uf0ee L R x x x u u u , ( ) , 0 , 0 \uf06a \uf06a \uf06a \uf03c \uf0ec = \uf0ed \uf03e \uf0ee L R x x x , where ( ) = T L L L L h h u u and ( ) = T R R R R h h u u are the states initially to the left and right of the geometric discontinuity in x = 0, respectively, while \uf06aL and \uf06aR are the corresponding porosities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The solution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) with the initial conditions of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (4) is self-similar and consists of a sequence of constant states, the leftmost and rightmost of which are L u and R u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' All these states are in turn connected by standing or moving waves (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Being the solution self-similar, it exists a vector function ( ) \uf078 w of the scalar parameter \uf078 such that the Riemann problem solution can be expressed as ( ) ( ) , = x t x t u w .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This implies that the states ( ) 1 1 1 1 = T h h u u and ( ) 2 2 2 2 = T h h u u immediately to the left and right of the geometric discontinuity, respectively, are constant in time because they can be expressed as ( ) ( ) 1 0 , 0 − − = = t u u w and ( ) ( ) 2 0 , 0 + + = = t u u w .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Based on the initial conditions of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (4), the porosity is uniform to the left and right of the geometric discontinuity in x = 0, implying that the non-conservative product 2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 \uf06a \uf0b6 \uf0b6 gh x is null and the system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) is conservative for x < 0 and x > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' It follows that the moving waves (shock or rarefactions) coincide with those of the classic 1-d SWE model and that the shocks are defined by the classic Rankine-Hugoniot conditions (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Vice versa, the non-conservative product 2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 \uf06a \uf0b6 \uf0b6 gh x is active through x = 0, implying that the classic Rankine-Hugoniot conditions cannot be used at porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For this reason, the generalized Rankine-Hugoniot conditions introduced by LeFloch (1989) and Dal Maso et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1995) must be used to define an appropriate relationship between u1 and u2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the SP Riemann problem, the self-similarity of the solution implies that this relationship is constant in time because u1 and u2 are constant in time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Generalized Rankine-Hugoniot conditions at porosity discontinuities Following the definition introduced by Dal Maso et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1995) for hyperbolic systems of differential equations with non-conservative products, the generalized Rankine-Hugoniot conditions across the porosity discontinuity in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) reduce to (Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018b, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020) (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='a) 2 2 1 1 0 \uf06a \uf06a − = R L h u hu , (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='b) ( ) 2 2 2 2 2 2 2 1 1 1 1 2 , , , 2 2 \uf06a \uf06a \uf06a \uf06a \uf047 \uf0e9 \uf0f9 \uf0e9 \uf0f9 + − + = \uf0ea \uf0fa \uf0ea \uf0fa \uf0eb \uf0fb \uf0eb \uf0fb R L L R g g h h u h hu S u u , where ( ) 1 2 , , , \uf06a \uf06a \uf047 L R S u u is the force exerted on the flow by the obstacles across the unit-width porosity discontinuity in x = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='a) states that the unit-width discharge \uf06a = Q hu is invariant through the discontinuity, while Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='b) states that the total thrusts to the left and right of the discontinuity are balanced by the force ( ) 1 2 , , , \uf06a \uf06a \uf047 L R S u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The relationship between the states u1 and u2 is completely defined if a functional expression for ( ) 1 2 , , , \uf06a \uf06a \uf047 L R S u u is given.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' However, this expression is somehow problematic because very natural assumptions such as stagnant water and hydrostatic pressure distribution for the computation of ( ) 1 2 , , , \uf06a \uf06a \uf047 L R S u u (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Mohamed 2014, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017) may lead to unphysical conditions where the flow acquires energy through the porosity discontinuity (see the discussion in Chow 1959 and Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' To simplify the expression of the relationship between u1 and u2, we conveniently reformulate the generalized Rankine-Hugoniot conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Appendix A shows that the force balance of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='a) and (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='b) can be rewritten in the following head-balance form (6) ( ) ( ) ( ) 2 2 1 1 2 1 1 2 0 , , , \uf06a \uf06a \uf06a \uf06a − = − = \uf044 R L L R h u hu H H H u u u u , where ( ) ( ) 2 2 = + H h u g u is the head corresponding to the generic state u and ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u is the head loss through the porosity discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The relationship between the head loss ( ) 1 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' \uf06a \uf06a \uf044 L R H u u and the force ( ) 1 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' \uf06a \uf06a \uf047 L R S u u is given by (see Appendix A) (7) ( ) ( ) 2 2 1 2 2 1 1 2 2 1 1 2 2 1 1 2 1 1 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 3 3 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 4 2 \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf047 \uf0e9 \uf0f9 + \uf044 = + − − + \uf0ea \uf0fa \uf0eb \uf0fb L R R L L R L R R L L R h h h h H h h S h h g h h u u u u ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' implying that the choice of ( ) 1 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' \uf06a \uf06a \uf047 L R S u u in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='b) is equivalent to the choice of ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6), and vice versa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From the mathematical point of view, the head-balance form is equivalent to the force-balance form, but Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) is more convenient because it allows to easily verify the physical congruence of ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In fact, the flow energy cannot increase through the porosity discontinuity, implying that the entropic condition (8) ( ) 1 2 , , , 0 \uf06a \uf06a \uf044 \uf0a3 L R Q H u u , where 2 2 1 1 \uf06a \uf06a = = R L Q h u hu , must be verified.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The head-balance approach allows in principle to easily introduce local effects at geometric discontinuities that do not explicitly appear in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1), such as non-hydrostatic flow, viscosities, velocity variability along the vertical direction, flow depth and velocity variability along the transverse directions, and the shape of obstacles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Not surprisingly, existing definitions of channel internal boundary conditions such as width discontinuities and junctions from the technical literature are usually given in terms of head loss (Formica 1955, Austin et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1970, Cunge et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1980, Hager 2010).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' However, the system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) does not provide additional information to compute the head loss ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u , implying that the hydraulic modeller should use external physical knowledge for its definition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This will be discussed in the following subsection, where the internal structure of the porosity discontinuity between x = 0- and x = 0+ will be examined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Channel analogy and porosity discontinuity definition The 1-d SP model of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) coincides with the 1-d SWE model in a rectangular channel with variable width and horizontal bed, where the porosity symbol \uf06a takes the place of the width symbol B (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Like the porosity models written in differential form, where the storage and conveyance porosity must coincide, the width B in rectangular channels can be regarded both as i) the channel base-area per unit length (storage) and ii) the transverse space available for the flow (conveyance).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In addition, the non-conservative product 2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 \uf06a \uf0b6 \uf0b6 gh x in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2), which represents the force per unit-width exerted by the obstacles on the flow along x, acts like the corresponding term in the 1-d variable-width SWE model, where it represents the force exerted on the flow by the channel walls.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the following, this channel analogy will be exploited to supply a convenient expression for the head loss ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u through the porosity discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 Porosity variation through the discontinuity Consider the bottom of Figure 1a, where a strip of unitary width modelling a simplified urban area with obstacles is depicted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The strip is subdivided into two cells, left and right, respectively, with different obstacle densities represented by the porosities \uf06aL and \uf06aR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Obstacles are also present through the cell interface in x = 0, with a density intermediate between those of the two adjacent cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The corresponding rectangular channel analogue is represented by the top channel of Figure 1a, where the widths at the left and right ends are represented by \uf06aL and \uf06aR , while a monotonic width variation (channel contraction or expansion) connects the left and right reaches.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, it is natural to assume that the porosity \uf06a through the discontinuity between x = 0- and x = 0+ is described by a monotonic function ( ) \uf06a\uf047 s in the interval s \uf0ce [0, 1], with ( ) 0 \uf06a \uf06a \uf047 = L and ( ) 1 \uf06a \uf06a \uf047 = R .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 2a, the internal structure of the porosity discontinuity between x = 0- and x = 0+ is exploded to show the relationship between ( ) \uf06a\uf047 s and the parameter \uf05b \uf05d 0,1 \uf0ce s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A similar situation is depicted in Figure 1b, but now the obstacles density at the cells interface is greater than those of the two adjacent cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The corresponding rectangular channel analogue is represented by the top channel of Figure 1b, where a non-monotonic width variation (channel constriction) connects the left and right reaches and the porosity ( ) \uf06a\uf047 s through the discontinuity varies non-monotonically between \uf06aL and \uf06aR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Remark 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Finite Volume schemes, a homogeneous porosity is assigned to each computational cell and the actual obstacles distribution along the interface between two contiguous cells is canceled.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This implies that the simplest application of the channel analogy is to consider a rectangular channel that is normal to the cell interface and symmetrical with respect to its longitudinal axis (as made in Figures 1 and 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Thanks to the channel analogy, both the monotonic and non-monotonic choices of ( ) \uf06a\uf047 s are physically viable and lead to numerically stable computations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Examples of models with monotonic porosity variation through the discontinuity are contained in the works by Guinot and Soares-Frazão (2006), Soares-Frazão et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2008), Cea and Vázquez-Cendón (2010), Finaud-Guyot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2010), Ferrari et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017), and Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2018a,b), while examples with a non-monotonic variation are the models by Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2008), Özgen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017), Bruwier et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017), and Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017, 2018, 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The preceding discussion suggests that the choice of the porosity discontinuity internal structure can be made considering the underlying urban geometry at each cell interface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This simple observation, which supplies a physically congruent framework, contradicts the unproven statement from the literature (Bruwier et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, 2018, 2022) that only non-monotonic descriptions of the porosity variation through the discontinuity are viable and stable (see the corresponding discussion in Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For the sake of simplicity, only monotonic porosity variations through the discontinuity with \uf06a \uf06a \uf0a3 L R will be considered in the rest of the paper (monotonic variations with \uf06a \uf06a \uf03e L R can be discussed by simply mirroring the local reference framework).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Having defined the aspect ratio \uf06a \uf06a = L R AR , this implies that 1 \uf0a3 AR will be assumed in the following developments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Physical interpretation of the porosity discontinuity between \uf06aL and \uf06aR : monotonic (a) and non-monotonic porosity variation (b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Flow depth and velocity variation through the discontinuity To complete the internal description of the porosity discontinuity, it is necessary to specify the variation of flow depth and velocity between x = 0- and x = 0+.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' It is assumed that this description is a) R X x b) PRsupplied by the function ( ) ( ) \uf047 \uf047 \uf047 = T s h h u v , where ( ) \uf047h s and ( ) \uf047 u s , with s \uf0ce [0, 1], are the flow depth and velocity through the discontinuity, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The function ( ) s v is characterized by the obvious congruency conditions ( ) 1 0 = v u and ( ) 2 1 = v u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figures 2b and 2c, the internal structure of the porosity discontinuity between x = 0- and x = 0+ is exploded to show two examples of the relationship between the inner flow depth ( ) \uf047h s and the parameter \uf05b \uf05d 0,1 \uf0ce s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017) have proposed that the function ( ) s v is a stationary weak solution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) through the porosity discontinuity, namely a solution of (9) ( ) ( ) 0 \uf06a \uf06a \uf047 \uf047 + = d d ds ds f v h v in the interval \uf05b \uf05d 0,1 \uf0ce s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' If the solution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (9) exhibits no hydraulic jump (see the example of Figure 2b, where ( ) \uf047h s smoothly varies in the interval \uf05b \uf05d 0,1 \uf0ce s ), the relationship between the states 1 u and 2 u reduces to the conditions of discharge and total head invariance (see Appendix B) (10) ( ) ( ) 2 2 1 1 2 1 0 0 R L h u hu H H \uf06a \uf06a − = − = u u , which is equivalent to set ( ) 1 2 , , , 0 \uf06a \uf06a \uf044 = L R H u u in the head-balance form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the case that the porosity varies monotonically between \uf06aL and \uf06aR , the existence of a state u1 connected to u2 by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) depends on the aspect ratio AR \uf0a3 1 and on ( ) 2 F u , where ( ) = F u gh u is the Froude number related to the generic state u.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The corresponding discussion is reported in Appendix C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' If the solution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (9) exhibits a hydraulic jump that reverts the incoming supercritical flow into subcritical (see the example of Figure 2c), the total head is not invariant through the porosity discontinuity and the corresponding head loss depends on the position of the hydraulic jump (see Appendices C and D in Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The corresponding relationship between the states 1 u and 2 u , which recovers the head-balance form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) with ( ) 1 2 , , , 0 \uf06a \uf06a \uf044 \uf03c L R Q H u u , is not as simple as that of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) and it is not reported here for the sake of brevity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Internal description of the porosity discontinuity: plan view of the monotonic porosity variation (a);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' profile view of smooth flow depth variation (b);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' profile view of flow depth variation with hydraulic jump (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content="3 Definition of the Generalized Rankine-Hugoniot conditions 0 1 (a) Td PR 1 0' 0+ x 0 1 S (b) hr (s) h h 1 hr (s) (c) h, 0' 0*Having discussed the internal structure of the porosity discontinuity in the preceding sections, we assume the following definition for the generalized Rankine-Hugoniot conditions: Definition 1." metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The relationship between u1 and u2, with 1 \uf06a \uf06a = \uf0a3 L R AR , is defined by the head- balance form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) with the following internal description of the porosity discontinuity: D1) the porosity varies monotonically between \uf06aL and \uf06aR ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' D2) the variation of flow depth and velocity through the porosity discontinuity is defined by a weak solution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (9) in the interval \uf05b \uf05d 0,1 \uf0ce s , with ( ) 1 0 = v u and ( ) 2 1 = v u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This definition automatically satisfies the entropic condition of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (8), while this is not true for other porosity discontinuity definitions (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Mohamed 2014, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017) available in the literature (see the discussion in Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In addition, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2021) have demonstrated that the solution to the Riemann problem of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) and (4) always exists if Definition 1 is used to establish the generalized Rankine-Hugoniot conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This fundamental result is not granted for alternative porosity discontinuity definitions from the literature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 Multiple solutions to the porosity Riemann problem The solution to the 1-d SP Riemann problem of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) and (4), complemented by the generalized Rankine-Hugoniot conditions of Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3, always exists but there are cases, depending on the initial conditions L u and R u , where the solution is triple (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The field of occurrence of multiple solutions will be explored in the following for the case 1 \uf06a \uf06a = \uf0a3 L R AR only (a similar discussion for the case 1 \uf03e AR can be drawn by mirroring the reference framework).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The necessary (but not sufficient) condition for the existence of multiple solutions to the 1-d SP Riemann problem with 1 \uf0a3 AR is that the right state uR is directed from right to left (uR < 0) and ( ) \uf03e R sp F K AR , where ( ) = R R F F u is the Froude number corresponding to uR while the function ( ) sp K AR is defined in Appendix C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this condition, the right supercritical flow uR impinging the porosity reduction has energy greater than the minimum required to pass through the geometric discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For this reason, it is possible to consider not only a solution where the right flow freely passes through the discontinuity, but also solutions where the head of the incoming flow is partially dissipated by means of a standing hydraulic jump through the porosity transition or by a shock that moves backwards (Viero and Defina 2017, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021) The theoretical limit curve ( ) = R sp F K AR , called lower boundary (LB) of the hysteresis domains (Viero and Defina 2017), is represented in the plane ( R F , AR) of Figure 3 with a black continuous line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The necessary condition ( ) \uf03e R sp F K AR for the existence of multiple solutions is satisfied by the points falling in the regions denoted with B and C to the right of the LB curve in Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The regions B and C are separated by the curve ( ) = R jump F K AR , called upper boundary (UB) of the hysteresis domains (Viero and Defina 2017), which is represented with a dashed line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The dimensionless function ( ) jump K AR , which is characterised by ( ) ( ) \uf0b3 jump sp K AR K AR for every 1 \uf0a3 AR , is defined in Appendix C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the regions B and C, one or three different solutions to the 1-d SP Riemann problem of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) and (4) are possible, depending on the initial left state uL (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' When uL is such that three alternative solutions (here called T1, T2, and T3) are possible, the solutions differ from each other by the flow condition through the porosity discontinuity, as follows: (T1) the state u2 immediately to the right of the porosity discontinuity coincides with the supercritical flow uR, while the state u1 is supercritical and it is connected to u2 by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10), namely by the conditions of discharge and total head invariance across the discontinuity (Figure 4a);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (T2) the state u2 coincides with uR but a hydraulic jump is present through the porosity discontinuity, and the state u1 is subcritical or critical, with H(u1) < H(u2) (Figure 4b);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (T3) the supercritical flow uR is reverted into the subcritical state u2 by means of a backward moving shock, with head loss;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' the state u1 is subcritical or critical and it is connected to u2 by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) (Figure 4c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' When u1 is subcritical in the solutions T2 and T3, the flow through the geometric discontinuity is submerged, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', it is dominated by the tailwater h1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The main difference between the regions B and C in Figure 3 is the behaviour of the solutions to the Riemann problem when the state uL coincides with the dry bed, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', when 0 = Lh and there is no tailwater.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the domain B, three distinct solutions (T1, T2, and T3) are always possible for 0 = Lh , while a unique solution T1 occurs in the domain C for 0 = Lh .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In other words, a triple solution is possible in the domain B even if there is not a downstream tailwater able to force the establishing of a subcritical flow through the geometric discontinuity (submerged flow), while such a tailwater is required for the existence of a triple solution in the field C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In a sense, the incoming flow falling in region C has always energy sufficient to flush the hydraulic jump of Figure 4b out of the porosity discontinuity when the flow depth downstream is null.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The discussion is completed observing that the region A to the left of the curve LB, characterised by ( ) 1\uf0a3 \uf0a3 R sp F K AR , refers to flow conditions where the Riemann problem always admits a unique solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the supercritical flow uR has not sufficient energy to pass through the porosity reduction and the solution T3 must occur.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Field of occurrence of multiple solutions to the porosity Riemann problem for right supercritical flows uR impinging a porosity reduction with 1 \uf06a \uf06a = \uf0a3 L R AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Lower (continuous line) and upper (dashed line) boundaries of the hysteresis domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Hysteresis domains: A (no multiple solutions), B (multiple solutions even in the case hL = 0), C (multiple solutions only for hL > 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow conditions through the porosity discontinuity when multiple solutions to the purely 1-d SP Riemann problem are possible: profile view of solutions T1 (a), T2 (b) and T3 (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Validation of the channel analogy Lowerboundary(LB)ofthehysteresisdomain 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8- Upper boundary (UB) of the hysteresis domain 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6- R c 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - UB 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content="2- B A LB 0 1 FR 20T1 T2 1 (a) 1 1 (b) ui ui 1 U=UR n= 1 supercritical subcritical/ supercritical critical supercritical 0+ 0' 0- 0+ T3 u2 (c) 1 uj subcritical UR subcritical/l 1 critical 1 supercritical 777777 0' 0+The comparison between 1-d SP and 2-d SWE solutions is justified because the 1-d SP Riemann problem is the main ingredient of 2-d SP Finite Volume schemes," metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' which in turn are intended to approximate the solution of 2-d SWE models with obstacles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For this reason, the generalized Rankine- Hugoniot conditions of Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 are validated in the present section by comparing several 1-d SP exact Riemann solutions with the corresponding 2-d SWE numerical solutions in a frictionless horizontal rectangular channel with variable width, where a 2-d contraction is used to model the 1-d sudden porosity reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' All the Riemann problems, whose initial conditions uL and uR with the corresponding Froude numbers FL and FR are reported in Table 1, refer to porosity values 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 L \uf06a = and 1 R \uf06a = .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The exact Riemann solutions are computed with the methods discussed in Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Initial flow conditions of the validation Riemann problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example hL (m) uL (m/s) FL (-) hR (m) uR (m/s) FR (-) 1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='64 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='50 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='16 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='64 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='64 3 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='60 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='64 4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='30 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='83 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='64 5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='64 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='40 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='23 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='15 7 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='51 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='15 8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='30 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='33 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='30 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='41 The rectangular channel considered for the 2-d SWE computations has length L = 200 m with a left reach of width BL = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='60 m and a right reach of width BR = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 m (see Figure 5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The left and right channel reaches are separated by a symmetric linear expansion whose length is Lc = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='20 m.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 2-d SWE computations are accomplished using the Finite Volume scheme described in Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017) on unstructured triangular grid whose average side is \uf044s = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='50 m at the channel ends and \uf044s = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='05 m at the linear expansion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The flow depth h computed at time t = 5 s with the 1-d SP exact solution (continuous black line) is compared in Figures 6, 8, 9, and 10, with the corresponding 2-d shallow water numerical results (white dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the channel considered for 2-d SWE numerical simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Distorted representation (measures in metres).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The results of Riemann problem 1 are represented in Figure 6a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d exact solution presents two shocks moving to the left and right of the geometric discontinuity, respectively, while subcritical flow conditions that preserves discharge and energy invariance are established through x = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 6a shows a good correspondence between the 1-d exact and 2-d numerical solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In particular, the 1-d model accurately captures the strength of the wave at x = 0, together with the strength and position of the shocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The intermediate states u1 and u2 immediately to the left and right of the porosity discontinuity computed with the 1-d exact solution nicely correspond to those provided by the 2-d SWE model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A slightly different picture can be drawn for the solution of Riemann problem 2, represented in Figure 6b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d exact solution exhibits a resonant condition where a rarefaction is attached to the left of the porosity discontinuity, while a shock and a rarefaction are both moving to the right.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The state u1 immediately to the left of x = 0 is critical and accelerates through the rapid geometric transition becoming supercritical with preservation of energy and discharge invariance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In turn, the supercritical state u2 issuing from the channel expansion pushes the slowly moving shock to the right Lc = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='20 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='00 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='60 II R B B x=-100 x=0 x= 100of x = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' With reference to the left rarefaction, Figure 6b shows a good correspondence between the 1-d exact and 2-d numerical results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This representation is less satisfactory with reference to the right moving shock, whose shape in the 2-d model is strongly influenced by its vicinity to the channel expansion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Similarly, the 2-d rarefaction moving on the right is quite smoothed with respect to the 1- d exact solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Despite these discrepancies, the intermediate state between the shock and the rarefaction computed with the 1-d exact solution satisfactorily corresponds to the 2-d numerical solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions (dots) for the flow depth at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the 1-d exact solution of Riemann problem 3, the supercritical states u1 and u2 are connected by the conditions of discharge and head invariance while the state u2 is separated from uR by means 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 (a) 1 (b) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 (u) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 h h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - I I 0 0 20 0 20 10 0 10 20 30 × (m) x (m) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 (c) (d) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 (w) (w) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 h h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 & 0 40 20 0 20 40 80 40 0 40 () x () xof an intermediate state and two moving shocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison with the 2-d SWE results shows that the strength and position of the right moving shock and the left shock position are satisfactorily captured by the 1-d exact solution, while the flow depth of the state between the two shocks supplied by the1-d model is not too far from the 2-d solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 2-d free surface profile view in Figure 6c exhibits a complex pattern whose plane view is represented in Figure 7, which shows that the supercritical flow accelerating through the expansion originates a system of transverse oblique shocks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d exact solution represents this pattern with a single average flow depth, and this explains the discrepancies between 1-d and 2-d models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Nonetheless, the 1-d model captures the general picture of the 2-d SWE solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the 2-d SWE numerical solution for Riemann problem 3 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow depth contours at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 6d, the results of Riemann problem 4 are represented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d exact solution consists of two rarefactions to the left of x = 0, with the formation of dry bed between the waves, and of an additional rarefaction to the right of the discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The subcritical flow immediately to the right of x = 0 (state u2) accelerates through the discontinuity becoming critical immediately to the left (state u1) and preserving the invariance of discharge and energy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison between the 1-d exact and 2-d SWE numerical results shows that the former captures the strength of the 2-d waves, together with the flow depth of the states encompassed by the waves.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 h (m) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 (m) 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='55 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0 7 3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='05 x (m)The example of Figure 8 is particularly interesting because it corresponds to Riemann problem 5 with three exact solutions, where AR and R F fall in the hysteresis domain B of Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 8a, b, c, the three exact solutions T1, T2, and T3, respectively, are represented (see Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 8d, the superposition between the exact solution T3 and the 2-d SWE numerical results shows a good agreement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This demonstrates that the under-determination of the 1-d Riemann problem can be eliminated by resorting to the 2-d SWE model, which takes into account the transverse flow variability.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problem 5 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view for the flow depth solution at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1-d SP exact solutions T1 (a), T2 (b) and T3 (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Comparison between the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The example of Figure 9 corresponds to Riemann problem 6 with three exact solutions, where AR and R F fall into the hysteresis domain C of Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 9a, b, c, the three exact solutions T1, T2, and T3, respectively, are represented (see Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 9d, the superposition 4 (a) 3 h 2 4 1 (d) 0 4 3 I (b) E h h 2 2 1 1 1 I 1 0 1 4 1 (c) 1 3 h 1 2 0 60 40 20 0 20 1 x (m) 1 0 09- 40 20 0 20 x (m)between the T3 exact solution and the 2-d SWE numerical results shows again a good agreement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison between figures 8d and 9d shows that the 2-d SWE model preferably picks up the solution with a shock moving backwards when three exact solutions are possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problem 6 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view for the flow depth solution at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1-d SP exact solutions T1 (a), T2 (b) and T3 (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Comparison between the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the example of Figure 10a, the state uL is such that Riemann problem 7 has one exact solution of type T1, despite AR and R F fall in the hysteresis domain C of Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Correspondingly, the 2-d SWE solution is characterised by a strong interaction with the geometric discontinuity and by a supercritical flow to the left of x = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison between 1-d and 2-d solutions shows that the number of moving waves supplied by the 1-d exact solution is correct, but their strength and position is very different from those of the 2-d numerical solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In addition, the flow depth of the supercritical states to the left of x = 0 is poorly captured by the 1-d exact solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 2-d SWE 6 (a) E 4 h 6 (d) 0 6 1 1 (b) 4 1 (w) 1 4 1 h 1 1 2 h 1 1 1 2 0 1 6 (c) 1 4 h 1 0 2 60 40 20 0 20 x (m) 0 60 40 20 0 20 x (m)numerical solution exhibits a strong interaction with the channel walls in x = 0, with the formation of a system of oblique shocks whose plan view is represented in Figure 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' These shocks, which are typical of supercritical flows in contractions (Ippen and Dawson 1951, Akers and Bokhove 2008, Defina and Viero 2010), introduce intense head loss that explains the discrepancies between 1-d and 2-d solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Similar observations can be made for Riemann problem 8, for which AR and R F fall in the hysteresis domain C of Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d exact solution is unique and characterized by flow conditions T1 through the porosity reduction (Figure 10b), while the corresponding 2-d SWE solution exhibits a supercritical flow to the left of x = 0 and a strong interaction with the contraction (Figure 12) where intense head loss is produced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From the validation process above, some considerations can be made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The exact solutions to the 1-d SP Riemann problem, computed with the monotonic porosity discontinuity model of Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3, compare well with the corresponding 2-d SWE numerical solutions in case of subcritical flow through the porosity discontinuity (Figures 6a,d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Overall, the head loss through the discontinuity seems negligible when the flow is subcritical, but a caveat to this observation will be discussed in the next Section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Similarly, the 1-d exact model shows a good behaviour in both the multiplicity domains B and C when three exact solutions are possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the solution characterized by subcritical flow through the porosity discontinuity satisfactorily agrees with the 2-d SWE numerical results (Figures 8d and 9d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A minor discrepancy is present when the supercritical flow accelerates through a porosity increase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the 2-d SWE numerical solution is somehow distorted with respect to the 1-d exact solution (Figures 6b,c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A very different picture is evident when the 1-d exact model predicts a single solution characterized by supercritical flow through a porosity reduction (Figures 10a,b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the 2-d SWE model exhibits a supercritical flow through the contraction, but the head loss introduced by a 2-d system of oblique shocks makes the 1-d and 2-d solutions very different.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This dissipative mechanism has been discussed by Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2020) for the first time in the context of Riemann problems on dry bed, but it has been verified here for the general Riemann problem on wet bed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The validation process accomplished in this section suggests that the results of a 2-d SWE numerical model could be systematically used to disambiguate multiple Riemann problem solutions and evaluate the head loss caused by a supercritical flow passing through a porosity reduction, improving the Definition 1 of the generalized Rankine-Hugoniot conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This will be made in the next section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions (dots) for the flow depth at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 7 (a) and 8 (b) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 6 (a) 2 (b) 7 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 - 4 (m) 一 :f 1 d h (w) 2 h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 一 ul 一 1 0 0 80 40 0 80 60 40 20 0 20 x (m) x (m) Figure 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the 2-d SWE numerical solution for Riemann problem 7 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow depth contours at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the 2-d SWE numerical solution for Riemann problem 8 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow depth contours at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Construction of novel generalized Rankine-Hugoniot conditions Consider a horizontal frictionless rectangular channel L = 60 m long with a single width discontinuity at its centre.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The channel consists of a right and a left reach of different widths, connected by a linear contraction whose walls are inclined by 45° with respect to the channel axis (see Figure 13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 h (m) 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 (m) 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 x (m)0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 h (m) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 x (m)contraction is short enough to be regarded as a true geometric discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In order to perform 2-d SWE simulations with different aspect ratio AR = BL/ BR values, the right reach width is fixed to BR = 1 m, while the left reach width BL (with BL < BR) is varied in each test.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Free-slip boundary conditions are imposed at the channel walls, while the left and right ends are open.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A non-uniform unstructured triangular mesh is used for simulations, with average side \uf044s = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='20 m at the channel ends and \uf044s = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='02 m in the vicinity of the geometric transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plane view of the channel used for 2-d SWE numerical tests with supercritical flows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Distorted representation (measures in metres).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 2-d Finite Volume SWE numerical model by Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017) is used for approximating the solution of 159 different 2-d Riemann problems in the channel of Figure 13, where AR \uf0ce [0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The tests are characterized by supercritical flow uR (with uR < 0) approaching the contraction and Froude number \uf05b \uf05d 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5,25 R F \uf0ce .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In all the tests, the right flow depth is hR = 1 m and the corresponding velocity uR varies accordingly to FR, while the initial left state uL coincides with the dry bed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Simulations are run until steady state conditions are reached through the contraction (generally after t = 20 s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d SP exact solution is triple (T1, T2, or T3) for the initial conditions falling in region B of Figure 3, while a single T1 solution is predicted for points falling in region C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The examination of numerical results shows that two distinct types of 2-d SWE solutions occur: II R B 30 30 x= -30 x=0 x= 30(G1) The supercritical flow entering the geometric discontinuity passes with the formation of a complicate system of oblique shocks through the contraction like in Figures 10a,b;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' this set of numerical solutions exhibits a behavior that is somehow in between the exact solutions T1 and T2 defined in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 (Figures 4a,b), because supercritical flow conditions are present at the outlet of the contraction as in T1, but there is also head loss as in T2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (G2) The flow through the contraction is subcritical, while a moving shock propagates upstream;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' since the channel bed downstream is initially dry, critical flow conditions are established through the contraction outlet;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' this set of numerical solutions clearly recalls the exact solutions of type T3 in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 (Figure 4c), where u1 is critical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 Modified upper boundary of the hysteresis domain In Figure 14, the 2-d numerical cases corresponding to solution types G1 (black triangles) and G2 (white squares) are plotted in the plane ( R F , AR), where the upper hysteresis domain limit is also represented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 14 shows that, for a given value of the aspect ratio AR, it exists a limit Froude number ( ) K AR such that a G2 solution is obtained for ( ) \uf0a3 R F K AR , while a G1 solution is obtained for ( ) \uf03e R F K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The locus of the points separating the fields of G1 and G2 solutions is the modified upper boundary curve with equation ( ) = R F K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Ideally, this curve represents the situations for which a standing hydraulic jump is present at the entrance of the contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For ( ) \uf03e R F K AR , the incoming flow has energy sufficient to push the jump through the contraction, where it is broken into a complicate pattern of transverse standing waves (Figures 11 and 12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Conversely, the incoming flow is not able to sustain the hydraulic jump for ( ) \uf03c R F K AR , and a shock moves backwards.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The modified upper boundary curve, represented in Figure 14 with a thick black line, is very close to the UB curve defined in Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 (dashed line curve in Figure 14) for moderate width jumps (AR > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5), whereas it departs from the UB curve for strong width jumps (AR \uf0a3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This is not surprising, because the 1-d theory for width and porosity transitions is expected to work better when AR is close to one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The polynomial interpolation of data supplies for the limit ( ) = R F K AR the expression (11) ( ) ( ) 6 1 = = \uf0e5 i jump i i K AR K AR m AR , whose coefficients mi are reported in Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' We observe that ( ) ( ) \uf03e jump K AR K AR for AR > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, meaning that the incoming flow requires greater energy to push the hydraulic jump through the porosity discontinuity with respect to the case without energy loss.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This effect, which is due to the modest head loss related to the subcritical flow through the geometric transition in G2 solutions, will be taken into account numerically without a direct evaluation of the energy losses in subcritical conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 1 m impinging a contraction: G1 configuration (black triangles), G2 configuration (white squares);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' upper hysteresis domain limit (dashed line);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' modified upper boundary (thick black line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Coefficients for the polynomial interpolation of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (11).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' m1 m2 m3 m4 m5 m6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='9448 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8030 24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2944 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1172 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='7583 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8122 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Head loss for supercritical flows at contractions The 2-d SWE solutions of type G1 exhibit a head loss \uf044H* through the channel contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This head loss is evaluated as ( ) 1 \uf044 = − R H H H u , where 1 H is an estimate of the head corresponding to the state immediately to the left of the contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The quantity 1 H is indirectly deduced by evaluating the supercritical flow depth to the left of the contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 Upper boundary (UB) Modified upper boundary (MUB) A^^ 2-d SWE numerical Gl solution 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 - 2-d SWE numerical G2 solution R 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - 口 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 口 口 口 口 口口口 口 一 UB 口 口 口 口 MUB 0 25The relative head loss ( ) \uf044 = \uf044 R H H u corresponding to the 2-d SWE solutions of type G1 is represented with black triangles in the plane ( 2 , \uf044 R F ) of Figure 15, where the data corresponding to the same AR value are connected by a dashed line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 15 shows that the relative head loss \uf044 moderately varies with 2 R F for a given value of AR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This implies that \uf044 mainly depends on the characteristics of the geometric transition, allowing to use a simplified expression in the form ( ) \uf044 = \uf044 AR , where a single \uf044 value has been attributed to each AR value by picking the numerical data closer to the modified upper boundary of Figure 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' These points are connected by a continuous grey line in Figure 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Relative head losses for supercritical flows through a contraction: 2-d SWE numerical results for G1 configuration (black triangles);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' limit relative head loss (continuous black line);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' envelope of G1 data closer to the modified upper boundary of Figure 14 (continuous grey line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ^ 2-d SWE numerical Gl solution 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 AA AR= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 △AR=0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 △AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 △AR= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 - AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='75 AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='9 0 10 F,2 100 1000 1 RIn the same figure, the limit relative head loss ( ) # # \uf044 = \uf044 R H H u is also represented with a thick black line.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The quantity # \uf044H is the head loss through the shock in the exact solution of type T3 (see Figure 4c) when the celerity of the shock is null (standing hydraulic jump) and the state u1 is critical, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', when ( ) = R jump F K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Appendix D, it is shown that the limit relative head loss # \uf044 depends on AR only and the exact expression of ( ) # # \uf044 = \uf044 AR is given.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The ratio # \uf044 \uf044 is represented in Figure 16 for different values of AR2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This leads to the following polynomial interpolation (12) ( ) ( ) 2 2 0 # = \uf044 = \uf044 \uf0e5 i i i AR AR m AR , with interpolation coefficients in Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Recalling that 2 = R u u in the G1 solutions, from the position ( ) 1 2 , , , \uf06a \uf06a \uf044 = \uf044 L R H H u u it follows that the head loss in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) for supercritical flow through a channel contraction, equivalent to a porosity reduction, can be rewritten as (13) ( ) ( ) ( ) 1 2 2 , , , \uf06a \uf06a \uf06a \uf06a \uf044 = \uf044 L R L R H H u u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Coefficients for the polynomial interpolation of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' m0 m1 m2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='536 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='403 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='668 Figure 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Polynomial interpolation of the relative head loss data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Triangles represent the experimental cases enveloped by a thin grey line in Figure 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 Novel generalized Rankine-Hugoniot conditions From the preceding discussion, it is possible to give a novel convenient relationship between u1 and u2 at porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The relationship between u1 and u2, with 1 \uf06a \uf06a = \uf0a3 L R AR , is defined by the head- balance form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) with the following internal description of the porosity discontinuity: D1) the porosity varies monotonically between \uf06aL and \uf06aR ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' D2) the variation of flow depth and velocity through the porosity discontinuity is defined by a weak solution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (9) in the interval \uf05b \uf05d 0,1 \uf0ce s , with ( ) 1 0 = v u and ( ) 2 1 = v u ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' D3) the state u2 with u2 < 0 is supercritical only if ( ) ( ) 2 \uf03e F K AR u ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' in this case, the relationship between u1 and u2 is defined by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) where ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u is defined by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - 2 - 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 △# 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - 0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 1 AR2To demonstrate the viability of the Definition 2, the exact solution to Riemann problems 7 and 8 of Table 1 is now found using the novel generalized Rankine-Hugoniot conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d exact solutions are represented with a black line in Figure 17, where the corresponding 2-d solution is represented with dots.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison with Figure 10, where the exact solutions are obtained with null energy loss, shows that introducing an appropriate definition of ( ) 1 2 , , , \uf06a \uf06a \uf044 L R H u u reduces the discrepancy between the exact 1-d SP exact solution and the corresponding 2-d SWE numerical solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the 1-d SP exact solution with head loss through the geometric discontinuity (continuous black line) and 2-d SWE numerical solution (dots) for the flow depth at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 7 (a) and 8 (b) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Numerical model In the present Section, the solution of the 1-d SP system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2), where the initial conditions ( ) ( ) x x 0 0, u u = and the porosity distribution \uf06a(x) are specified, is approximated by means of the Finite 6 (a) 2 (b) 一 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 - 4 一: 一 (m) 一 l 1 d h (m) () 2 h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 c:l 0 0 80 40 0 80 60 40 20 0 20 x (m) x (m)Volume method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Having partitioned the 1-d physical domain into non-overlapping cells \uf05b \uf05d 2 1 2 1 , + − = i i i x x C of uniform length 2 1 2 1 − + − = \uf044 i i x x x , we assume that the averaged quantities (14) ( ) ( ) ( ) ( ) 1 1 , , \uf06a \uf06a \uf06a = = = \uf044 \uf044 \uf0f2 \uf0f2 i i T n n n n n i i i i i C C i x dx h h u I x x t dx x x u u are approximations in Ci of \uf06a(x) and ( ) , n x t u , respectively, where t n t n \uf044 = is the time level.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Figure 18a, the cell-averaged constant values of \uf06a(x) and ( ) , n x t u are conceptually depicted, showing the geometric and flow discontinuity at cells interface.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' If 1 n n i i t t t + \uf044 = − is the time step length,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' the solution is advanced in the generic cell by means of the following explicit first-order scheme (15) ( ) ( ) 1 1 2 1 2 1 2 1 2 1 2 1 2 1 2 1 2 ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' \uf079 \uf079 \uf06a \uf06a + − + − + + − + + + − − − − + \uf044 \uf044 \uf0e9 \uf0f9 \uf0e9 \uf0f9 = − − + + \uf0eb \uf0fb \uf0eb \uf0fb \uf044 \uf044 n n i i i i i i i i i i i i t t x x u u g u u g u u s s where the symbols are defined as follows: 1 2 i \uf079 + is a numerical approximation of the porosity at the interface i+1/2 between Ci and Ci+1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' ( ) , g u v is a numerical flux corresponding to the 1-d SWE model in a constant width channel;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' finally, ( ) 1 2 1 2 1 2 1 2 T i i i i h h u − − − − + + + + = u and ( ) 1 2 1 2 1 2 1 2 T i i i i h h u + + + + + + + + = u are flow variables reconstructed to the left and right of the interface i+1/2, respectively, which are involved in the computation of numerical fluxes and non-conservative product approximations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The quantities ( ) 1 2 1 2 0 + + − − = T i is s and ( ) 1 2 1 2 0 − − + + = T i is s in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (15) are the contributions to Ci of the non-conservative products arising from the porosity gradient through the interfaces in xi-1/2 and xi+1/2, respectively, and their computation depends on the variable reconstruction adopted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The 1-d SWE numerical flux ( ) , g u v is approximated here by means of the HLLE Riemann solver (Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2014), although a different exact or approximate SWE Riemann solver could be used as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In its essence, the numerical scheme above consists of the following procedure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' First, the porosity and flow interface variables are reconstructed from the cell-averaged values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Second, the numerical fluxes and porosity gradients contributions at interfaces are computed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the cell- averaged variables are advanced in time by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (15).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Clearly, the algorithm used to calculate the reconstructed interface variables from the cell-averaged values determines the properties of the scheme.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the following, we assume without loss of generality that 1 \uf06a \uf06a + \uf0a3 i i , corresponding to 1 1 \uf06a \uf06a + = \uf0a3 i i AR (the procedure for the case 1 \uf06a \uf06a + \uf03e i i is easily obtained by mirroring the local reference framework).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The basic variable reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) is first recalled, and then it is modified to introduce head losses through porosity discontinuities and cope with the case of multiple solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the results of the 1-d SP numerical scheme, with both the basic and novel interface variable reconstructions, are compared with the corresponding 2-d SWE numerical results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Side view of two neighbouring cells in the 1-d computational domain: cell-averaged quantities at a generic time level n (a);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' interface reconstructed variables used in the basic reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (b);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' interface and in-cell reconstructed variables in the novel reconstruction approach (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 Basic reconstruction (Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2007) (a) 1 u\' 1 βi+1 Pi Xi-1/2 xi Xi+1/2 Xi+1 Xi+3/2 x 1 u,+1/2l u+1/2 1 (b) u" 1 1 1Wi+1/2 Pi+1 Pi X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='-1/2 1x Xi+1/2 Xi+1 Xi+3/2 x 1 u,+1/2l u+1/2 1 (c) R + 1 1 ui 1 1 4i+1/2 Pi+1 Pi X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='-1/2 Xi Xi+1/2 Xi+1 Xi+3/2 x Ci+1 C,The well-balanced reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007), originally implemented for the 1-d variable- width SWE model, is intended to capture steady state solutions where the discharge and head are uniform through the space domain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Aiming at this, the interface variables 1 2 − + iu , 1 2 + + iu , and 1 2 \uf079 + i , are connected to the cell-averaged variables by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10), keeping the character of the flow (subcritical or supercritical).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The reconstruction approach is schematically depicted in Figure 18b, where the porosity discontinuity internal structure is zoomed in to show the variables used for computations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Given the right state 1 + n iu , the following inequalities are checked (see Appendix C): (16) ( ) ( ) 1 + \uf03c n i sb F K AR u , ( ) ( ) 1 + \uf03e n i sp F K AR u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' With reference to these checks, two options are possible, as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' CR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) If one of the two inequalities in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (16) is satisfied, the right state 1 + n iu can be connected to a state on the interface left side by the conditions of discharge and head invariance (see Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the interface porosity 1 2 \uf079 \uf06a + = i i is assumed, and the state ( ) 1 2 1 2 1 2 1 2 T i i i i h h u + + + + + + + + = u is easily found by solving the system (17) ( ) ( ) 1 1 1 1 2 1 2 1 2 1 1 2 0 0 \uf06a \uf079 + + + + + + + + + + + − = − = n n i i i i i i n i i h u h u H H u u , which is obtained by assuming in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) the positions 1 2 \uf06a \uf079 + = L i , 1 \uf06a \uf06a + = R i , 1 1 2 + + = i u u , and 2 1 + = n i u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (17) admits two exact solutions, one corresponding to a subcritical state and the other to a supercritical state (see Valiani and Caleffi 2008 for the corresponding exact expressions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The first is chosen if the state 1 + n iu is subcritical, otherwise the supercritical one is kept.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the position 1 2 − + = n i i u u is made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' CR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) If the inequalities of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (16) are not satisfied, the system of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (17) admits no solution with 1 2 \uf079 \uf06a + = i i .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, 1 2 + + iu is found by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (17) where the interface porosity 1 2 \uf079 + i is defined as (18) ( ) ( ) 3 2 1 2 1 1 2 1 3 2 \uf079 \uf06a + + + + \uf0e6 \uf0f6 \uf0e7 \uf0f7 = \uf0e7 \uf0f7 + \uf0e8 \uf0f8 n i i i n i F F u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This choice is equivalent to imposing that 1 2 + + iu is critical (see Appendix C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The state 1 2 − + iu is calculated by means of (19) ( ) ( ) 1 2 1 2 1 2 1 2 0 0 \uf079 \uf06a − − + + + − + − = − = n n i i i i i i n i i h u h u H H u u , which is obtained by assuming in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) the positions \uf06a \uf06a = L i , 1 2 \uf06a \uf079 + = R i , 1 = n i u u , and 2 1 2 − + = i u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The subcritical solution is kept if the state n iu is subcritical, otherwise the supercritical solution is chosen.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The state 1 2 − + iu certainly exists because 1 2 \uf06a \uf079 + \uf03c i i (see Appendix C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From the preceding, it is evident that the reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) satisfies the inequality \uf07b \uf07d \uf07b \uf07d 1 1 2 1 min , max , \uf06a \uf06a \uf079 \uf06a \uf06a + + + \uf0a3 \uf0a3 i i i i i , i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', it ensures the monotonicity of the porosity variation through the discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The algorithm is completed by using Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='a)-(5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='b) to express 1 2 + − is and 1 2 − + is as (20) ( ) ( ) ( ) ( ) 1 2 1 2 1 2 1 2 1 2 1 2 \uf06a \uf079 \uf079 \uf06a + + − − − − − + + + = − = − n i i i i i n i i i i i s f u f u s f u f u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Novel variable reconstruction The novel variable reconstruction differs from that by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) because the case of a supercritical flow impinging on a porosity reduction is treated in a separate way, congruently with the novel definition of Rankine-Hugoniot conditions given in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This is accomplished by computing an in-cell additional reconstructed state ( ) , , , , 1 2 1 2 1 2 1 2 + + + + + + + + = T R R R R i i i i h h u u to manage the case of a backwards moving shock between the geometric transition and the state 1 + n iu when a T3 solution (Figure 4c) occurs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In addition, appropriate head loss is introduced to compute the state 1 2 + + iu if the flow through the porosity reduction is supercritical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The novel reconstruction approach is schematically depicted in Figure 18c, showing the in-cell additional reconstructed variable , 1 2 + + R iu .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Given the right state 1 + n iu , the cases 1 0 + \uf03c n iu and 1 0 + \uf0b3 n iu are treated separately.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' NR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) If 1 0 + \uf0b3 n iu , the procedure by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) is used to find 1 2 \uf079 + i , 1 2 − + iu , and 1 2 + + iu (see points CR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 and CR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 of Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, there is no backwards moving shock and the position , 1 2 1 + + + = R n i i u u is made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' NR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) If 1 0 + \uf03c n iu , the quantity ( ) 1 + n i F u is compared to ( ) sb K AR and ( ) jump K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Three cases are possible: NR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) If ( ) ( ) 1 + \uf03c n i sb F K AR u occurs, the energy of the subcritical flow is sufficient to pass through the porosity reduction, and the point CR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 of Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 supplies 1 2 \uf079 + i , 1 2 − + iu , and 1 2 + + iu .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The position , 1 2 1 + + + = R n i i u u is made because there is no backwards moving shock.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' NR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) If ( ) ( ) 1 + \uf03e n i jump F K AR u , the energy of the supercritical flow is sufficient to pass through the porosity reduction with head losses (see Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the interface porosity 1 2 \uf079 \uf06a + = i i is assumed and the state 1 2 + + iu is easily found by picking the supercritical solution of the system (21) ( ) ( ) ( ) 1 1 1 1 2 1 2 1 2 1 1 2 1 2 1 1 2 1 0 , , , \uf06a \uf079 \uf079 \uf06a + + + + + + + + + + + + + + + + − = − = \uf044 n n i i i i i i n n i i i i i i h u h u H H H u u u u , which is obtained by assuming in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) the positions 1 2 \uf06a \uf079 + = L i , 1 \uf06a \uf06a + = R i , 1 1 2 + + = i u u , and 2 1 + = n i u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The head loss in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (21) is computed using the Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (12) and (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the positions 1 2 − + = n i i u u and , 1 2 1 + + + = R n i i u u are made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' NR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) If ( ) ( ) ( ) 1 + \uf0a3 \uf0a3 n sb i jump K AR F K AR u , the energy of the state 1 + n iu is either insufficient to pass through the porosity reduction or a multiple solution is possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In both the cases, the Riemann problem solution is characterized by a backwards moving shock radiating from the geometric discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The occurrence of this shock is forced by posing 1 2 \uf079 \uf06a + = i i and assuming that the states 1 2 + + iu and , 1 2 + + R iu have the same discharge of the state 1 + n iu .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The state 1 2 + + iu is critical, obtaining (22) 1 1 1 1 2 1 2 1 2 1 2 1 2 0 \uf06a \uf079 + + + + + + + + + + + + − = = − n n i i i i i i i i h u h u u gh , while the state , 1 2 + + R iu is subcritical with ( ) ( ) , 1 2 + + = − R i jump F K AR u , obtaining (23) ( ) , , 1 1 1 2 1 2 , , 1 2 1 2 0 + + + + + + + + + + − = = − n n R R i i i i R R i i jump h u h u u gh K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the position 1 2 − + = n i i u u is made.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The novel reconstruction satisfies the inequality \uf07b \uf07d \uf07b \uf07d 1 1 2 1 min , max , \uf06a \uf06a \uf079 \uf06a \uf06a + + + \uf0a3 \uf0a3 i i i i i , ensuring the monotonicity of the porosity discontinuity inner description.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Having introduced the in- cell additional reconstructed state , 1 2 + + R iu , the definition of 1 2 + − is in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (20) changes as follows: (24) ( ) ( ) , 1 2 1 2 1 2 1 2 R i i i i i \uf06a \uf079 + + + − − − − = − s f u f u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A similar reconstruction approach has been proposed by Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2022), where an iterative procedure is used.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Nonetheless, the present reconstruction is an improvement because (i) the iterative procedure is avoided and (ii) it is possible to consider the cases where ( ) ( ) \uf03e jump sp K AR K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In addition, adequate head loss is introduced for supercritical flows through abrupt porosity reductions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 Numerical experiments The 1-d numerical model of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (15), equipped with the variable reconstructions described in Sections 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 and 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2, respectively, is used to approximate the solution of the Riemann problems with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For the sake of simplicity, x \uf044 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='20 m and t \uf044 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='005 s in all the numerical experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 Numerical experiments with the reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) Figure 19 shows the numerical results (flow depth) to the Riemann problems 1-4 supplied by the 1-d SP model with the reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (continuous black line), while the corresponding 2-d SWE results are represented with white dots.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For all these problems, the algorithm by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) captures the essentials of the 2-d SWE solution, namely the number of waves and their strength, and the flow depth of the intermediate states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The discrepancies between the 1-d and 2-d solutions in Figures 19b and 19c (Riemann problems 2 and 3, respectively) correspond to those discussed with reference to the comparison between Riemann exact solution and 2-d numerical solution (compare with Figures 6c and 6d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with the variable reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (continuous black line) and 2-d SWE model (dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The numerical results to Riemann problems 5-8 are represented in Figure 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' These cases, characterized by a supercritical flow through a porosity reduction, show that the 1-d SP numerical solution with the basic reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) greatly differs from the corresponding 2-d SWE reference solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The Figures 20a,b refer to Riemann problems (5 and 6, respectively) admitting multiple solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' While the 2-d SWE model exhibits a backwards moving shock originated from the porosity discontinuity that causes flow energy dissipation, the 1-d SP numerical model with variable 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 (a) (b) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 3RXIX EOVYX 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 (w) 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8- h h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - 0 20 0 20 10 0 10 20 30 (u) x x (m) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 1 (c) (d) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 h h 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 - 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 1 1 0 0 40 20 0 20 40 80 40 0 40 x (m) x (m)reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) captures the solution with supercritical flow through the discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This is expected because the reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) keeps the supercritical character of the flow impinging on the porosity reduction (point CR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 in Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From the preceding, it follows that the numerical scheme by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) overestimates the discharge through the geometric discontinuity and the celerity of the advancing shock on the left, while completely neglects the energy dissipation mechanism connected with the backwards moving shock generated by the interaction of the propagating flow with obstacles (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2020) have demonstrated that the same defect is shared by other Riemann solvers such as those by Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2018b) and Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The Figures 20c,d refer to Riemann problems (7 and 8, respectively) where a supercritical flow impinges on a porosity reduction, but the solution is unique.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In these cases, the 1-d SP numerical model misses to capture the 2-d SWE model solution because it lacks an appropriate dissipation mechanism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Interestingly, this is the same discrepancy found when comparing the 1-d exact solution and the 2-d SWE numerical solution (see Figures 10a,b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with the basic variable reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (continuous black line) and 2-d SWE model (dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Numerical experiments with the novel reconstruction The numerical experiments presented in the preceding subsection are repeated using the 1-d SP numerical model with with the novel reconstruction of Section 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For the Riemann problems 1-4, the numerical results supplied by the novel reconstruction, which are not reported here for the sake of brevity, coincide with those supplied by the basic reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This is 4 6 (a) (b) 1 1: 9 4 三2 (w) h h 2 1 1 1 0 0 60 40 20 0 20 60 40 20 0 20 (u) x x (m) 6 1 (c) 2 (d) 1 1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 1 4 1 1 (w) (u) d h h :3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 :1 0 0 80 40 0 80 60 40 20 0 20 x (m) x (m)expected, because these Riemann problems do not refer to cases where a supercritical flow impinges on a porosity reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The Figures 21a,b refer to the Riemann problems 5 and 6, respectively, which admit multiple solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Contrary to the algorithm by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007), the novel variable reconstruction captures the solution with the backwards moving shock exhibited by the 2-d SWE model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' It is clear that the introduction of the in-cell subcritical state , 1 2 + + R iu between the geometric transition and the right state n iu , together with the computation of the interface reaction term by means of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (24), is the ingredient allowing the computation of the physically congruent shock immediately to the discontinuity right- side.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison between the 1-d SP numerical results obtained with the novel variable reconstruction and the 2-d SWE results for Riemann problems 7 and 8, is represented in Figures 21c,d, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The inspection of these figures, referring to cases where the supercritical flow impinging on the porosity reduction remains supercritical with loss of energy, shows that the novel variable reconstruction satisfactorily reproduces the 2-d SWE model results because the required amount of head loss through the geometric discontinuity is introduced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with the novel variable reconstruction (continuous black line) and 2-d SWE model (dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Discussion In this section, the model presented in the preceding sections is discussed with reference to alternative numerical and conceptual approaches available in the literature, and with reference to the robustness of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (11) and (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 4 6 (a) (b) 3 - 4 三2 (w) h h 2 1 1 一 0 0 60 40 20 0 20 60 40 20 0 20 (w) x x (m) 6 1 (c) 2 1 (d) 1 1 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 1 4 1 1 (w) (u) h h :3 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 :1 1 0 0 80 40 0 80 60 40 20 0 20 x (m) x (m)6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 Comparison with the transient momentum dissipation approach The momentum dissipation approach introduced with the DIP numerical model by Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2017) is a numerical device intended to introduce the transient energy dissipation generated by bore reflection at obstacles during transient propagation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the 1-d case, the DIP model can be written as (25) ( ) ( ) 1 1 2 1 2 1 2 1 2 1 2 1 2 1 2 1 2 , 1 2 , 1 2 , , \uf079 \uf079 \uf06a \uf06a + − + − + + − + + + + − − − − − + \uf044 \uf044 \uf0e9 \uf0f9 \uf0e9 \uf0f9 = − − + + \uf0eb \uf0fb \uf0eb \uf0fb \uf044 \uf044 n n i i i i i i i i i i sta i sta i i i t t x x u u M g u u M g u u s s , where M is a momentum dissipation matrix defined as (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017) (26) 1 0 0 1 \uf06d \uf0e6 \uf0f6 = \uf0e7 \uf0f7 − \uf0e8 \uf0f8 M , with \uf06d > 0 in case 1 + \uf03e n n i i h h , while \uf06d = 0 otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The momentum dissipation coefficient \uf06d appearing in the matrix M of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (26) must be calibrated using fine grid 2-d SWE simulations and it is strongly dependent on the urban fabric structure and flow conditions (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (25), the interface porosity 1 2 \uf079 + i is evaluated from the underlying urban fabric with a non-monotonic approach, which enforces the condition ( ) 1 2 1 min , \uf079 \uf06a \uf06a + + \uf0a3 i i i (see Section 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' the interface contributions , 1 2 + − sta i s and , 1 2 − + sta i s of the non-conservative products are computed under the assumption of in-cell stagnant water (Guinot and Soares-Frazão 2006) as (27) ( ) ( ) ( ) ( ) ( ) ( ) 2 , 1 2 1 2 2 , 1 2 1 2 0 1 2 0 1 2 \uf06a \uf079 \uf079 \uf06a + − − − + + = − = − T n sta i i i i T n sta i i i i g h g h s s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the reconstructed variables are defined as: (28) ( ) ( ) 1 2 1 2 1 2 1 1 1 1 1 2 \uf06a \uf079 \uf06a \uf079 − + + + + + + + + + = = T n n n i i i i i i T n n n i i i i i i h h u h h u u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' We reinterpret the momentum dissipation approach observing that the 1-d DIP numerical model of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (25) can be rewritten in the form of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (15) by defining the interface contributions of the non-conservative products as (29) ( ) ( ) ( ) ( ) 1 2 , 1 2 1 2 1 2 1 2 1 2 1 2 , 1 2 1 2 1 2 1 2 1 2 , , \uf079 \uf079 + + − + − − − − − − − − − + + + + + + + = + − = + − i sta i i i i i i sta i i i i i s s M I g u u s s I M g u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' According to this reinterpretation, the momentum dissipation approach is equivalent to evaluating the forces exerted by obstacles at cell interfaces by adding or subtracting a dynamic contribution to the stagnant water hydrostatic thrusts , 1 2 + − sta i s and , 1 2 − + sta i s .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A slightly different definition of the matrix M has been subsequently given in Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2018), but the role of M as a modulator of the forces exerted by obstacles at cell interfaces remains unchanged.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The reinterpretation supplied by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (29) allows to recognize the common numerical framework of the DIP model (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017) and of the numerical model presented here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Nonetheless, the exact solution of the 1-d SP Riemann problem has been exploited in the present paper to introduce a mechanism of energy dissipation caused by the reflection of advancing waves at porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This approach, which has been accomplished by isolating a single local porosity discontinuity and comparing the corresponding 1-d SP and 2-d SWE Riemann solutions (see Section 3), avoids the intricacies caused by the mutual interaction of waves radiating from the obstacles of complex urban fabrics and allows to consider the local geometry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In addition, it avoids the introduction of a momentum dissipation mechanism of unclear physical meaning, whose parameters need calibration on a case-by-case basis (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 Disambiguation of the porosity Riemann problem The issue of disambiguating multiple solutions to the Riemann problem where a geometric discontinuity is present has been tackled by researchers considering different types of geometric discontinuities or different fluid models (SWE or Euler equations).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' It is interesting to compare the results obtained in the present paper with those available in the literature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The exact solution to the Riemann problem for the 1-d SWE model with variable bed elevation exhibits two classes of triple solutions (for convenience, the solutions are called here S1, S2, and S3) when a supercritical flow impinges on a positive bed step (Han and Warnecke 2014, Aleksyuk et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In the first class of triple solutions, S1 is characterised by a supercritical flow that jumps over the bed step remaining supercritical, while S2 is characterised by a hydraulic jump located through the discontinuity that reverts the incoming supercritical flow into subcritical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, S3 is characterised by a backward shock while subcritical flow conditions are established over the bed step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The second class of triple solutions differs from the first one because the solution S3 is characterised by a backward shock with blockage of the flow at the bed step (step higher than the free surface level).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2014) used a mix of steady state laboratory data (Karki et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1972, Hager and Sinniger 1985) and physical reasoning to establish a disambiguation criterion based on discharge minimization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Following this criterion, the physically relevant solution is S3 (backward shock) in both the classes of triple solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Aleksyuk and Belikov (2019) found the same result by considering a mathematical argument based on the continuous dependence of solutions on the initial conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Han et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2013) considered the Riemann problem for the 1-d Euler equations in a compressible duct flow, where triple solutions may occur when a supersonic flow impinges on a pipe diameter reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' They compared some examples of 1-d exact multiple solutions with the numerical results supplied by a higher dimensions axisymmetric Euler equations model (longitudinal and radial direction), founding that the physically relevant solutions were those characterized by a backward shock.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A pattern seems to emerge from these results.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In all the examples considered, multiple solutions occur when a supercritical flow (SWE model) or a supersonic flow (Euler equations) impact on a cross-section reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Despite the variety of mathematical models and means applied for the disambiguation of multiple exact solutions (laboratory and/or numerical experiments, mathematical arguments), the common output to the different procedures is that the physically relevant solution among the alternatives is the one characterised by a backward shock.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In SWE models, this is also the solution which minimizes the discharge through the geometric discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The results presented in Section 4, which confirm this pattern for the 1-d SP model, can be reinterpreted using an argument based on the continuous dependence of the Riemann problem solution on the initial conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In fact, when the tailwater is null (hL = 0), the 1-d SP Riemann problem exhibits three exact solutions (T1, T2, and T3) in the region B of Figure 3, which is bounded by the curves LB and UB, and one exact solution in regions A and C (T3 and T1, respectively).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A solution with backward shock (T3 of Figure 4c) in region B of Figure 3 can move through LB to a solution T3 of region A by decreasing the initial Froude number R F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' On the other side, the same T3 solution in region B can move through UB to a T1 solution of region C by increasing R F , flushing the hydraulic jump and establishing supercritical flow conditions through the porosity discontinuity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In conclusion, T3 solutions should be considered to the left of UB, and T1 solutions to the right.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Of course, the head loss generated by transverse shocks through the porosity discontinuity does not significantly changes this picture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the limit curve UB is distorted, becoming the modified limit curve MUB of Figure 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Indeed, the initial conditions to the left of the MUB curve characterize solutions with a backward shock (G2 solutions in Section 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1), while the initial conditions to the right characterize supercritical flows through the porosity discontinuity (G1 solutions).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3 Influence of flow depth and channel width on the porosity discontinuity definition The numerical experiments of Section 4 have been conducted considering a fixed depth hR = 1 m of the flow impinging on a channel contraction and fixed width BR = 1 m of the right channel reach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The reader may wonder if these results can be extended to different values of hR and BR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The answer to this question is affirmative but it requires a brief discussion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Recalling that viscosity and density are not modelled by the incompressible SWE model, the most general way to write the expression of the head loss \uf044H* suffered by a supercritical flow uR through the contraction is (30) ( ) , , , , , \uf044 = L R R R c H f B B h u g L .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' We observe that n = 7 physical quantities are involved in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (30), and we want to ascertain if the physical equation can be simplified.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Aiming at this, we additionally see that only k = 2 fundamental mechanics units, namely length and time, are involved because there is not dependency on density.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Recalling the Vaschy-Buckingham theorem (Vaschy 1892, Buckingham 1914), it follows that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (30) can be rewritten as an expression involving n – k = 5 dimensionless independent quantities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The dimensionless quantities chosen are (31) ( ) 2 , , , , 2 \uf073 \uf06c − \uf044 = = \uf044 = = = + L R R R L R R R R R R c R B u h B B H AR F B h u g B L gh , and it is easy to verify that they are mutually independent, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', it is not possible to build one of the dimensionless quantities starting from the others.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This justifies why it is possible to simplify Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (30) as (32) ( ) 2 , , , \uf073 \uf06c \uf044 = R R f AR F .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In a similar manner, a very general way to describe the boundary MUB between the G1 and G2 solutions discussed in Section 4 is to introduce a limit velocity R u discriminating the two types of solution and expressing this velocity as (33) ( ) , , , , = R L R R c u f B B h g L .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This physical equation involves n = 6 physical quantities and k = 2 fundamental units, implying that it can be simplified as (34) ( ) , , \uf073 \uf06c = R K f AR where = R R K u gh .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' We observe that the dependence on \uf06c does not need to be explicited because this parameter is constant in all the 2-d SWE simulations, since the contraction walls are always inclined by 45° with respect to the channel axis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' With reference to the parameter \uf073 R , the comparison between Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (32) and (12), and between Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (34) and (11), respectively, show that the expressions found in Section 4 are valid in the case 1 \uf073 = R because hR = 1 m and BR = 1 m in all the numerical experiments.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Nonetheless, we demonstrate that the parameter\uf073 R is superfluous because the expressions of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (32) and (34) can be safely simplified in the form of Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (12) and (11), respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Consider the steady state 1-d SWE in a channel of variable width B = B(x), with solution u = u(x) for given right boundary condition uR: (35) ( ) ( ) 0 + = dB dB dx dx f u h u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Despite Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (35) is a simplification of the 2-d flow through the contraction, it supplies a sufficient insight for the present discussion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' We observe that the multiplication of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (35) by the constant k allows to write (36) ( ) ( ) 0 \uf0e6 \uf0f6 + = \uf0e7 \uf0f7 \uf0e8 \uf0f8 dB dB k dx dx f u h u , which is still satisfied by the solution u = u(x) of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (35).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=" Of course, k can be moved inside the derivative symbols, leading to (37) ( ) ( ) ' ' 0 + = dB dB dx dx f u h u , where B’(x) = kB(x)." metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In other words, the solution u = u(x) of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (35) for given boundary condition uR does not change if the width is uniformly amplified by a constant k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The uniform amplification of the width affects the parameter \uf073 = R R R h B but does not affect the parameters = L R AR B B and = R R R F u gh , implying that Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (32) and (34) depend on AR and 2 R F but not on \uf073 R .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' To evaluate the robustness of this theoretical approach, we consider twelve additional 2-d SWE simulations with initial and geometrical conditions as follows: AR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' R F = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6, 6, 8, 11;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' hR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, 1 m, and BR = 1 m (see Table 4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The values chosen for hR correspond to the three different values (\uf073 R = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, and 1) of the dimensionless parameter \uf073 R .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Six of the chosen flow conditions correspond to points slightly to the left of the MUB curve and six to the right (see Figure 22).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 4 reports, for each simulation, the dimensionless head loss \uf044* if the solution is of type G1, while a hyphen indicates a G2-type solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The inspection of these results shows that the solution types (G1 or G2) expected based on the position with respect to the MUB curve are those actually occurring in the 2-d simulations, while the dependence of the relative head loss \uf044* on \uf073 R is negligible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' These observations confirm the theoretical arguments above and justify the application of the formulas in Section 4 to conditions with \uf073 R \uf0b9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Supercritical 2-d flow impinging on a contraction for BR = 1 m and hR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, and 1 m: relative head losses \uf044* for the cases of flow passing through the discontinuity (G1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A hyphen indicates the cases where a backwards moving shock is produced (G2 configurations).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' hR (m) AR 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='30 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='60 \uf07cFR\uf07c \uf07cFR\uf07c 8 11 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='57 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='38 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='57 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='38 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='57 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='38 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8 Modified upper boundary (MUB) A^^ 2-d SWE numerical Gl solution hr (m) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 - 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 - 1 2-d SWE numerical G2 solution 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6 - R 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4 hr (m) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1 - 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5 - 1 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2 0 FR 25Figure 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, and 1 m impinging a contraction: G1 configuration (black triangles), G2 configuration (white squares);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' modified upper boundary (thick black line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Conclusions The solution of the Riemann problem associated to the Single Porosity (SP) Shallow water Equations (SWE) model by Guinot and Soares-Frazão (2006) is the main ingredient for the computation of interface fluxes and obstacle reaction terms in the Binary SP model (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020) and in the integral approach (Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008, Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Previous studies (Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2018a, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020, 2021) have shown that the SP Riemann problem presents a fundamental ambiguity consisting in the appearance of multiple exact solutions for certain initial conditions characterized by a supercritical flow impacting on a porosity reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This observation prompts the definition of the unique physically congruent Riemann solution among the alternatives and the construction of a numerical scheme able to reproduce this relevant solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Having recognized that the 1-d SP model is nothing but a crude simplification of the 2-d SWE model in a variable width rectangular channel, the channel analogy (Guinot and Soares-Frazão 2006, Sanders et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2008) has been exploited in this paper to disambiguate the multiple 1-d SP Riemann solutions by means of a systematic comparison with the corresponding 2-d SWE numerical solutions at local geometric discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The conclusion, which corresponds to other similar results obtained in the literature for different mathematical models (Han et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2013, Cozzolino et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2014, Aleksyuk and Belikov 2019), is that the solution with a backwards moving shock is physically congruent when multiple solutions are possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Laboratory (Akers and Bokhove 2008, Defina and Viero 2010) and 2-d SWE numerical experiments (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2020) show that supercritical flows in channels suffer intense head loss through a width contraction, which corresponds to a porosity reduction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This phenomenon is an additional cause of energy dissipation in porosity models with respect to those already described in the literature (Guinot et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2017, 2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Also in this case, the systematic study of 2-d SWE numerical results at isolated geometric discontinuities has supplied the general conditions under which this energy dissipation is present and how it can be evaluated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Based on a modification of the generalized hydrostatic reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007), we have also built an approximate Riemann solver that discriminates the existence of multiple solutions and is able to add adequate head loss in the case of supercritical flow through porosity discontinuities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The comparison between the numerical results supplied by the novel 1-d SP model and the 2-d SWE model shows that the former can reproduce the effects that in 2-d models are caused by the interaction between a supercritical flow and a contraction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This promising numerical approach could be extended to other cases of hyperbolic systems of differential equations where multiple solutions arise such as the SWE and the porous SWE with variable topography.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Aknowledgements Renata Della Morte and Luca Cozzolino want to acknowledge the financial support from the project "Floods in cities: new insights for integrating pluvial flooding into flood risk management plans (INSPIRING)", funded by the Italian Ministry of University and Research under the national programme PRIN2020.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Head-balance form of the porosity discontinuity If 1 1 2 2 \uf06a \uf06a = = L R Q hu h u is the unit-width discharge flowing through the porosity discontinuity, the velocities at the two sides of the geometric transition can be rewritten as (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) 1 2 1 2 , \uf06a \uf06a = = L R Q Q u u h h .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The substitution of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='b) leads to (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) ( ) 2 2 2 2 2 1 1 2 2 1 , , , 2 \uf06a \uf06a \uf06a \uf06a \uf06a \uf06a \uf047 \uf0e9 \uf0f9 − + − = \uf0eb \uf0fb R L L R R L g Q Q h h S h h u u , while the substitution into the second of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (6) supplies (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) ( ) ( ) ( ) 2 2 1 2 2 1 2 2 2 1 , , , 2 2 \uf06a \uf06a \uf06a \uf06a \uf0e9 \uf0f9 \uf044 = + − + \uf0ea \uf0fa \uf0ea \uf0fa \uf0eb \uf0fb L R R L Q Q H h h g h g h u u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The elimination of Q2 between Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) and (A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) finally supplies Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Appendix B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Smooth stationary weak solutions of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) If the time derivatives are null, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2) can be rewritten as (B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) 2 2 2 0 0 2 2 \uf06a \uf06a \uf06a \uf06a = \uf0e6 \uf0f6 + − = \uf0e7 \uf0f7 \uf0e8 \uf0f8 d hu ds d gh d hu gh d ds ds ds .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' If the porosity and the flow variables are smooth (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=', continuous with their derivatives), the second of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) can be rewritten as (B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) 2 2 2 0 2 2 2 \uf06a \uf06a \uf06a \uf06a \uf06a \uf0e6 \uf0f6 + + + − = \uf0e7 \uf0f7 \uf0e8 \uf0f8 dh gh d d u d hu gh d gh h u ds ds ds ds ds .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Finally, the substitution of the first of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) and the cancellation of the terms with opposite sign leads to (B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) 2 0 2 \uf0e6 \uf0f6 + = \uf0e7 \uf0f7 \uf0e8 \uf0f8 d u h ds g , which states that the total head is uniform.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Appendix C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Discussion of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) and of the corresponding Froude limits This Appendix reports in a condensed form the discussion present in classic (Yarnell 1934, Chow 1959) and recent (Defina and Susin 2006, Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2007, Akers and Bokhove 2008, Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021) literature with reference to 1-d flows in channels with variable width.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Given the formal analogy between 1-d SWE model with variable width and 1-d porous SWE model, the discussion can be extended to porous models where the porosity symbol replaces the width symbol while the discharge is intended as unit-width discharge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The parametric family of the flow states ( ) = T h hu u with given width B and discharge = Q Bhu is defined by ( ) ( ) , , = T Q B h h Q B u , where the flow depth h is the parameter.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The total head corresponding to the states of this family is a function of the parameter h only, and it is defined by (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) ( ) ( ) ( ) ( ) 2 2 , , , , 2 = = + Q H Q B h H Q B h h g Bh u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The function H(Q, B, h) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) is convex with respect to h > 0, it is positive and it has a unique minimum in ( ) , = c h h Q B .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The critical depth ( ) , ch Q B and the corresponding critical head ( ) ( ) ( ) , , , , = c c H Q B H Q B h Q B are defined by (Chow 1959) (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) ( ) ( ) 2 2 3 3 2 2 3 , , , 2 = = c c Q Q h Q B H Q B gB gB .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The states u with ( ) , \uf03c c h h Q B are characterized by ( ) 1 \uf03e F u and are called supercritical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The states with ( ) , \uf03e c h h Q B are characterized by ( ) 0 1 \uf03c \uf03c F u and are called subcritical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From the preceding discussion, it follows that a state u with discharge Q has energy sufficient to pass through the cross-section whose width is B only if the corresponding head is not minor than ( ) , c H Q B .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' This observation has consequences for the application of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10), expressing the invariance of discharge and head.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Let BL and BR be the channel widths at the left and right ends, respectively, of a geometric transition, and let ( ) 2 2 2 2 = T h h u u be the state corresponding to the flow at the right end.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' It is possible to find the left end state ( ) 1 1 1 1 = T h hu u connected to u2 by means of the discharge and head invariance only if ( ) ( ) 1 , \uf0b3 c L H H Q B u , namely only if (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) ( ) 2 3 1 2 3 2 \uf0b3 L Q H gB u , where 1 1 = L Q B hu is the discharge corresponding to the right state 1 u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The invariance of discharge and head is expressed by 2 2 1 1 = R L B h u B hu and ( ) ( ) 2 1 = H H u u , implying that the condition of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) can be rewritten as (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4) ( ) ( ) 2 2 2 3 2 2 3 1 2 \uf0b3 h u H AR g u , where = L R AR B B is the aspect ratio.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' If the Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4) is satisfied, it exists the state u1 connected to u2 by the invariance of discharge and head with aspect ratio AR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='4) can be rewritten in dimensionless form as (Yarnell 1934, Chow 1959, Defina and Susin 2006, Akers and Bokhove 2008) (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5) ( ) ( ) 2 \uf0b3 AR f F u , where ( ) 2 2 2 = F u gh u is the Froude number of the state u2 and the function f(x) is defined as (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6) ( ) 3 2 2 3 , 0 2 \uf0e6 \uf0f6 = \uf0b3 \uf0e7 \uf0f7 + \uf0e8 \uf0f8 f x x x x .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The function f(x) of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='6) is non-negative, strictly increasing for \uf05b \uf05b 0,1 \uf0ce x , strictly decreasing for 1 \uf03e x , and it has a maximum in 1 = x with ( ) 1 1 = f .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The properties of the function f(x) have the following implications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Case 1 \uf03e AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In case of 1 \uf03e AR , Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5) is satisfied for every ( ) 2 F u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In other words, it always exists the state u1 connected to u2 by the invariance of discharge and head when there is a width increase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Case 1 \uf0a3 AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In case of 1 \uf0a3 AR , Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5) is satisfied by (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='7) ( ) ( ) 2 \uf0a3 sb F K AR u , ( ) ( ) 2 \uf0b3 sp F K AR u , where the limit Froude numbers ( ) sb K AR and ( ) sp K AR are defined as (Varra et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2021) (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8) ( ) ( ) ( ) ( ) ( ) ( ) 3 2 1 2 2 3 2 1 2 2 1 2cos arctan 1 3 3 5 1 2cos arctan 1 3 3 \uf070 \uf070 − − − − \uf0e9 \uf0f9 \uf0e6 \uf0f6 = − − \uf0e7 \uf0f7 \uf0ea \uf0fa \uf0e8 \uf0f8 \uf0eb \uf0fb \uf0e9 \uf0f9 \uf0e6 \uf0f6 = − − \uf0e7 \uf0f7 \uf0ea \uf0fa \uf0e8 \uf0f8 \uf0eb \uf0fb sp sb K AR AR AR K AR AR AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The Froude limits defined by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='8) are characterised by ( ) 1 \uf0b3 sp K AR (supercritical) and ( ) 1 \uf0a3 sb K AR (subcritical) for every 1 \uf0a3 AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In conclusion, the present discussion shows that two different situations are possible with reference to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (10) where 1 \uf06a \uf06a = \uf0a3 L R AR : a) Given the state u1, it is always possible to find the corresponding state u2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' b) Given the state u2, it is possible to find the corresponding state u1 only if one of the two inequalities of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='7) is satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' In this case, the invariance of the total head through the porosity transition implies that u1 is subcritical [supercritical] if u2 is subcritical [supercritical], and vice versa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' When ( ) ( ) 2 = sb F K AR u or ( ) ( ) 2 = sp F K AR u , the state u1 is critical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For 1 \uf06a \uf06a = \uf0a3 L R AR , it is possible to define an additional limit ( ) jump K AR for the Froude number, as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Let the left state u1 be critical and the right state u2 be subcritical with ( ) ( ) 2 = − sb F K AR u (flow from right to left).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The supercritical state # 2 u to the right of the subcritical state u and connected to it by a standing hydraulic jump is characterized by Froude number ( ) ( ) # 2 = − jump F K AR u , where (C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='9) ( ) ( ) ( ) ( ) 3 2 2 8 1 1 8 − = − + + jump sb sb K AR K AR K AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Appendix D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Head loss through a standing hydraulic jump The flow depth # Rh corresponding to the state ( ) # # # # = T R R R R h h u u connected to uR by means of a hydraulic jump in a rectangular channel is (Chow 1959) (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) ( ) 2 # 1 1 8 2 = − + + R R R h h F , where 2 R F is the squared Froude number corresponding to the state uR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1), the ratio # R R h h depends on 2 R F only.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' The discharge is conserved through the hydraulic jump, implying that # # = R R R R h u h u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' For this reason, the head # R H corresponding to the state # R u is (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2) ( ) # # # # # 2 3 2 # 2 1 2 2 \uf0e9 \uf0f9 \uf0e6 \uf0f6 \uf0e6 \uf0f6 \uf0ea \uf0fa = = + = + \uf0e7 \uf0f7 \uf0e7 \uf0f7 \uf0ea \uf0fa \uf0e8 \uf0f8 \uf0e8 \uf0f8 \uf0eb \uf0fb R R R R R R R R R R u h F h H H h h g h h u .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Once that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) is substituted into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='2), the relative head loss ( ) # # # \uf044 = \uf044 = − R R R R H H H H H can be easily calculated as (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3) 1 # # # # 3 2 2 1 1 1 2 2 − \uf0e9 \uf0f9 \uf0e6 \uf0f6 \uf0e9 \uf0f9 − \uf0ea \uf0fa \uf044 = = − + + \uf0e7 \uf0f7 \uf0ea \uf0fa \uf0ea \uf0fa \uf0eb \uf0fb \uf0e8 \uf0f8 \uf0eb \uf0fb R R R R R R R R R H H h F h F H h h , where ( ) = R R H H u is the head corresponding to the state uR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' From Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1) and (D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='3), it is evident that the relative 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Whitaker S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1969) Advances in the theory of fluid motion in porous media, Industrial and Engineering Chemistry 61(12), 14-28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Doi: 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1021/ie50720a004.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Yarnell D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (1934) Bridge piers as channel obstructions, Technical Bulletin 444, US Department of Agriculture, Washington.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' https://naldc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='nal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='usda.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='gov/download/CAT86200436/PDF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Tables List Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Initial flow conditions of the validation Riemann problems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Coefficients for the polynomial interpolation of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (11).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Coefficients for the polynomial interpolation of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Table 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Supercritical 2-d flow impinging on a contraction for BR = 1 m and hR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, and 1 m: relative head losses \uf044* for the cases of flow passing through the discontinuity (G1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' A hyphen indicates the cases where a backwards moving shock is produced (G2 configurations).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figures List Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Physical interpretation of the porosity discontinuity between \uf06aL and \uf06aR : monotonic (a) and non-monotonic porosity variation (b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Internal description of the porosity discontinuity: plan view of the monotonic porosity variation (a);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' profile view of smooth flow depth variation (b);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' profile view of flow depth variation with hydraulic jump (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Field of occurrence of multiple solutions to the porosity Riemann problem for right supercritical flows uR impinging a porosity reduction with 1 \uf06a \uf06a = \uf0a3 L R AR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Lower (continuous line) and upper (dashed line) boundaries of the hysteresis domains.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Hysteresis domains: A (no multiple solutions), B (multiple solutions even in the case hL = 0), C (multiple solutions only for hL > 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow conditions through the porosity discontinuity when multiple solutions to the purely 1- d SP Riemann problem are possible: profile view of solutions T1 (a), T2 (b) and T3 (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the channel considered for 2-d SWE numerical simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Distorted representation (measures in metres).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions (dots) for the flow depth at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the 2-d SWE numerical solution for Riemann problem 3 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow depth contours at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problem 5 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view for the flow depth solution at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1-d SP exact solutions T1 (a), T2 (b) and T3 (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Comparison between the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problem 6 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view for the flow depth solution at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 1-d SP exact solutions T1 (a), T2 (b) and T3 (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Comparison between the T3 exact solution (continuous line) and the 2-d SWE numerical solution (dots) (d).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the 1-d SP exact (continuous black line) and 2-d SWE numerical solutions (dots) for the flow depth at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 7 (a) and 8 (b) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the 2-d SWE numerical solution for Riemann problem 7 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow depth contours at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plan view of the 2-d SWE numerical solution for Riemann problem 8 with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Flow depth contours at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Plane view of the channel used for 2-d SWE numerical tests with supercritical flows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Distorted representation (measures in metres).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 1 m impinging a contraction: G1 configuration (black triangles), G2 configuration (white squares);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' upper hysteresis domain limit (dashed line);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' modified upper boundary (thick black line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Relative head losses for supercritical flows through a contraction: 2-d SWE numerical results for G1 configuration (black triangles);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' limit relative head loss (continuous black line);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' envelope of G1 data closer to the modified upper boundary of Figure 14 (continuous grey line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Polynomial interpolation of the relative head loss data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Triangles represent the experimental cases enveloped by a thin grey line in Figure 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the 1-d SP exact solution with head loss through the geometric discontinuity (continuous black line) and 2-d SWE numerical solution (dots) for the flow depth at time t = 5 s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 7 (a) and 8 (b) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Side view of two neighbouring cells in the 1-d computational domain: cell-averaged quantities at a generic time level n (a);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' interface reconstructed variables used in the basic reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (b);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' interface and in-cell reconstructed variables in the novel reconstruction approach (c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with the variable reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (continuous black line) and 2-d SWE model (dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 1 (a), 2 (b), 3 (c) and 4 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with the basic variable reconstruction by Castro et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' (2007) (continuous black line) and 2-d SWE model (dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Profile view of the numerical solution for the flow depth at time t = 5 s: 1-d SP model with the novel variable reconstruction (continuous black line) and 2-d SWE model (dots).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Example Riemann problems 5 (a), 6 (b), 7 (c) and 8 (d) with initial conditions in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' Figure 22.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' 2-d SWE numerical results for supercritical flows with BR = 1 m and hR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='1, 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content='5, and 1 m impinging a contraction: G1 configuration (black triangles), G2 configuration (white squares);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} +page_content=' modified upper boundary (thick black line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/wdE0T4oBgHgl3EQf-ALu/content/2301.02810v1.pdf'} diff --git a/x9AzT4oBgHgl3EQfQvs-/content/tmp_files/2301.01203v1.pdf.txt b/x9AzT4oBgHgl3EQfQvs-/content/tmp_files/2301.01203v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..a510d5c4f99afb65dd8c6b2f1db0f88d2cf731c6 --- /dev/null +++ b/x9AzT4oBgHgl3EQfQvs-/content/tmp_files/2301.01203v1.pdf.txt @@ -0,0 +1,3370 @@ +Quantum simulation of exact electron dynamics can be +more efficient than classical mean-field methods +Ryan Babbush,1, ∗ William J. Huggins,1 Dominic W. Berry,2 Shu Fay Ung,3 Andrew Zhao,1, 4 +David R. Reichman,3 Hartmut Neven,1 Andrew D. Baczewski,5 and Joonho Lee1, 3, † +1Google Quantum AI, Venice, CA, United States +2Department of Physics and Astronomy, Macquarie University, Sydney, NSW, Australia +3Department of Chemistry, Columbia University, New York, NY, United States +4Department of Physics and Astronomy, University of New Mexico, Albuquerque, NM, United States +5Quantum Algorithms and Applications Collaboratory, Sandia National Laboratories, Albuquerque NM, United States +(Dated: January 4, 2023) +Quantum algorithms for simulating electronic ground states are slower than popular classical +mean-field algorithms such as Hartree-Fock and density functional theory, but offer higher accuracy. +Accordingly, quantum computers have been predominantly regarded as competitors to only the most +accurate and costly classical methods for treating electron correlation. However, here we tighten +bounds showing that certain first quantized quantum algorithms enable exact time evolution of +electronic systems with exponentially less space and polynomially fewer operations in basis set size +than conventional real-time time-dependent Hartree-Fock and density functional theory. Although +the need to sample observables in the quantum algorithm reduces the speedup, we show that one can +estimate all elements of the k-particle reduced density matrix with a number of samples scaling only +polylogarithmically in basis set size. We also introduce a more efficient quantum algorithm for first +quantized mean-field state preparation that is likely cheaper than the cost of time evolution. We +conclude that quantum speedup is most pronounced for finite temperature simulations and suggest +several practically important electron dynamics problems with potential quantum advantage. +Introduction +Quantum computers were first proposed as tools for +dynamics by Feynman [1] and later shown to be univer- +sal for that purpose by Lloyd et al. [2]. Like those early +papers, most work on this topic assumes that the ad- +vantage of quantum computers for dynamics is that they +provide an approach to simulation with systematically +improvable precision but without scaling exponentially. +Here, we advance and analyze a different idea: certain +(exact) quantum algorithms for dynamics may be more +efficient than even classical methods that make uncon- +trolled approximations. We examine this in the context +of simulating interacting fermions – systems of relevance +in fields such as chemistry, physics, and materials science. +It is often the case that practically relevant ground +state problems in chemistry and materials science do not +exhibit strong correlation. +For those problems, many +classical heuristic methods work well [3–5]. +Even for +some strongly correlated systems, there are successful +polynomial-scaling classical methods [6]. +Here, we ar- +gue that even if electronic systems are well described +by mean-field theory, quantum algorithms can achieve +speedup over classical algorithms for simulating the time +evolution of such systems. +We focus on comparing to +mean-field methods such as real-time time-dependent +Hartree-Fock and density functional theory due to their +popularity and well-defined scaling. Nonetheless, many +∗ corresponding author: ryanbabbush@gmail.com +† corresponding author: linusjoonho@gmail.com +of our arguments translate to advantages over other +known classical approaches to dynamics that are more +expensive but more accurate than mean-field methods. +This is a sharp contrast to prior studies of quantum +algorithms, which have focused on strongly correlated +ground state problems such as FeMoCo [7–11], P450 +[12], chromium dimers [13] and jellium [14–17], assess- +ing quantum advantage over only the most accurate and +costly classical algorithms. +Quantum algorithms competitive with efficient clas- +sical algorithms for dynamics have been analyzed in +contexts outside of fermionic simulation. For example, +work by Somma [18] showed that certain one-dimensional +quantum systems, such as harmonic oscillators, could be +simulated with sublinear complexity in system size. Ex- +perimentally motivated work by Geller et al. [19] also pro- +posed simulating quantum systems in a single-excitation +subspace, a task for which they suggested a constant fac- +tor speedup was plausible. However, neither work is con- +nected to the context studied here. +We begin by analyzing the cost of classical mean-field +dynamics and recent exact quantum algorithms in first +quantization, focusing on explaining why there is often a +quantum speedup in the number of basis functions over +classical mean-field methods. Next, we analyze the over- +heads associated with measuring quantities of interest on +a quantum computer and introduce more efficient meth- +ods for measuring the one-particle reduced density ma- +trix in first quantization (which characterizes all mean- +field observables). Then, we discuss the costs of prepar- +ing mean-field states on the quantum computer and de- +scribe new methods that make this cost likely negligible +compared to the cost of time evolution. Finally, we con- +arXiv:2301.01203v1 [quant-ph] 3 Jan 2023 + +2 +clude with a discussion of systems where these techniques +might lead to practical quantum advantage over classical +mean-field simulations. +Classical mean-field dynamics +Here we will discuss mean-field classical algorithms for +simulating the dynamics of interacting systems of elec- +trons and nuclei. Thus, we will focus on the ab initio +Hamiltonian with η particles discretized using N basis +functions, which can be expressed as +H = +N +� +µν +hµνa† +µaν + 1 +2 +N +� +µνλσ +(µν|λσ) a† +µa† +λaσaν +(1) +where a(†) +µ +is the fermionic annihilation (creation) opera- +tor for the µ-th orbital and integral values are given by +hµν = +� +dr φ∗ +µ (r) +� +−∇2 +2 + V (r) +� +φν (r) , +(2) +(µν|λσ) = +� +dr1dr2 +φ∗ +µ (r1) φν (r1) φ∗ +λ (r2) φσ (r2) +|r1 − r2| +. (3) +Here, V (r) is the external potential (perhaps arising from +the nuclei) and φµ(r) represents a spatial orbital. +Exact quantum dynamics is encoded by the time- +dependent Schr¨odinger equation given by +i ∂ +∂t |ψ (t)⟩ = H |ψ (t)⟩ . +(4) +Mean-field dynamics, such as real-time time-dependent +Hartree-Fock +(RT-TDHF) +[20], +employs +a +time- +dependent variational principle within the space of sin- +gle Slater determinants (i.e., anti-symmetrized product +states) to approximate Eq. (4). +Other methods with +similar cost such as real-time time-dependent density +functional theory (RT-TDDFT) rely on a relationship +between the interacting system and an auxiliary non- +interacting system to define dynamics within a space +of single Slater determinants [20–22]. In both methods, +there are η occupied orbitals, each expressed as a linear +combination of N basis functions using the coefficient +matrix, Cocc. The dimension of Cocc is N × η. These +orbitals then constitute a Slater determinant (i.e., anti- +symmetric product states), det(Cocc). Storing Cocc on a +classical computer has space complexity O(Nη log(1/ϵ)). +As a result of this approximation, we solve the follow- +ing effective time-dependent equation for the occupied +orbital coefficients that specify the Slater determinant +Cocc(t) at a given moment in time: +i∂Cocc (t) +∂t += F (t) Cocc (t) +(5) +where the effective one-body mean-field operator F(t), +also known as the time-dependent Fock matrix, is +Fµν(t) = hµν + +N +� +λσ +� +(µν|λσ) − (µσ|λν) +2 +� +Pσλ(t) +(6) +with P(t) = Cocc(t)(Cocc(t))†. While F(t) is an N × N +dimensional matrix, we can apply it to Cocc(t) without +explicitly constructing it, thus avoiding a space complex- +ity of O(N 2 log(1/ϵ)). Using the most common methods +of applying this matrix to update each of η occupied or- +bitals in Cocc(t) requires � +O(N 2η) total operations1. +However, a recent technique referred to as occ-RI-K by +Head-Gordon and co-workers [23], and similarly “Adap- +tively Compressed Exchange” (ACE) [24, 25] by Lin and +co-workers, further reduces this cost. +These methods +leverage the observation that, when restricted to the sub- +space of the η occupied orbitals, the effective rank of the +Fock operator scales as O(η). This gives an approach to +updating the Fock operator that requires only +� +O(N η2) +(7) +operations. Below we will use gate complexity and the +number of operations interchangeably when discussing +the scaling of classical algorithms. Although these tech- +niques are not implemented in every quantum chemistry +code, we regard them as the main point of comparison +to quantum algorithms. We also note that RT-TDDFT +with hybrid functionals [26] has the same scaling as RT- +TDHF. Simpler RT-TDDFT methods (i.e., those without +exact exchange) can achieve better scaling, � +O(Nη) in a +plane wave basis, but are often less accurate. +For finite-temperature simulation, one often needs to +track M > η orbitals with appreciable occupations, in- +creasing the space complexity to O(NM log(1/ϵ)). This +increases the cost of occ-RI-K or ACE mean-field up- +dates to � +O(NM 2). At temperatures well above the Fermi +energy, most orbitals have appreciable occupations so +M ≃ N. More expensive methods for dynamics that in- +clude electron correlation in the dynamics tend to scale +at least linearly in the cost of ground state simulation +at that level of theory. Thus, speedup over mean-field +methods implies speedup over more expensive methods. +In recent years, by leveraging the “nearsightedness” +of electronic systems [27], “linear-scaling” methods have +been developed that achieve updates scaling as O(N) +[28]. +For RT-TDHF and RT-TDDFT, linear-scaling +comes from the fact that the off-diagonal elements of P +fall off quickly with distance for the ground state [29] +and some low-lying excited states [30] in a localized basis. +One can show that for gapped ground states, the decay +rate is exponential, whereas for metallic ground states, +1 Throughout the paper we will use the convention that � +O(·) im- +plies big-O notation suppressing polylogarithmic factors. + +3 +it is algebraic [27]. However, often such asymptotic be- +havior only onsets for very large systems, and the onset +can be highly system-dependent. +This should be con- +trasted with the scaling analyzed above and the scaling +of quantum algorithms (vide infra) that onsets already +at modest system sizes. Furthermore, the nearsighted- +ness of electrons does not necessarily hold for dynamics +of highly excited states and at high temperatures. Due to +these limitations, we do not focus on comparing quantum +algorithms and classical linear scaling methods. +It has also been suggested that one can exploit a low- +rank structure of occupied orbitals using the quantized +tensor train format [31]. Assuming the compression of +orbitals in real space is efficient such that the rank does +not grow with system size or the number of grid points, +the storage cost is reduced to ˜O(η), and the update cost is +˜O(η2). It is unclear how well compression can be realized +for dynamics problems and finite-temperature problems, +and to our knowledge, it has been never been deployed +for those purposes. Accordingly, we do not consider this +approach as the point of comparison. +We now discuss how many time steps are required +to perform time evolution using classical mean-field ap- +proaches. The number of time steps will depend on the +target precision as well as the total unitless time +T = max +Cocc ∥F∥ t, +(8) +where t is duration of time-evolution and ∥ · ∥ denotes +the spectral norm. This dependence on the norm of F is +similar to what would be obtained in the case of linear +differential equations despite the dependence on Cocc; +see Appendix A for a derivation. We can upper bound T +by considering its scaling in a local basis, and with open +boundary conditions. We find +max +Cocc∥F∥= O +�η2/3 +δ ++ 1 +δ2 +� += O +� +N 1/3η1/3+ N 2/3 +η2/3 +� +, +(9) +where δ = O((η/N)1/3) is the minimum grid spacing. +The first term comes from the Coulomb operator, and +the second comes from the kinetic energy operator. This +scaling for δ comes from taking the computational cell +volume proportional to η. +We briefly describe how this scaling for the norm is +obtained and refer the reader to Appendix A for more +details. The 1/δ2 term is obtained from the kinetic en- +ergy term in hµν. When diagonalized, that term will be +non-zero only when µ = ν with entries scaling as O(1/δ2) +due to the ∇2 in the expression for hµν. +That upper +bounds the spectral norm for this diagonal matrix, and +the spectral norm is unchanged under change of basis. +The η2/3/δ comes from the sum in the expression for +Fµν. To bound the tensor norm of (µν|λσ) − (µσ|λν)/2 +we can bound the norms of the two terms separately. For +each, the tensor norm can be upper bounded by noting +that the summing over µν, λσ with normalized vectors +corresponds to transformations of the individual orbitals +in the integral defining (µν|λσ). Since orbitals cannot be +any more compact than width δ, the 1/|r1 − r2| in the +integral averages to give O(1/δ). There is a further fac- +tor of η2/3 when accounting for η electrons that cannot +be any closer than η1/3δ on average. +The number of time steps required to effect evolution +to within error ϵ depends on the choice of time integra- +tor. Many options are available [32–34], and the optimal +choice depends on implementation details like the basis +set and pseudization scheme, as well as the desired accu- +racy [35]. In Appendix A, we argue that the minimum +number of time steps t/∆t one could hope for by using +an arbitrarily high order integration scheme of this sort +is T 1+o(1)/ϵo(1). +In particular, for an order k integra- +tor, the error can be bounded as O((∥F∥∆t)k+1), with +a possibly k-dependent constant factor that is ignored +in this expression. That means the error for t/∆t time +steps is O(t∥F∥k+1∆tk). To obtain error no more than +ϵ, take (t/∆t)k = O((t∥F∥k+1/ϵ), so the number of time +steps is t/∆t = O(T 1+1/k/ϵ1/k). Plugging Eq. (9) into +Eq. (8) and multiplying the update cost in Eq. (7) by +T 1+o(1)/ϵo(1) time steps, we find the number of opera- +tions required for classical mean-field time-evolution is +� +N 4/3η7/3t + N 5/3η4/3t +� �Nt +ϵ +�o(1) +. +(10) +Finally, when performing mean-field dynamics, the +central quantity of interest is often the one-particle re- +duced density matrix (1-RDM). The 1-RDM is an N ×N +matrix defined as a function of time with matrix elements +ρµν (t) = ⟨ψ (t)| a† +µaν |ψ (t)⟩ . +(11) +The 1-RDM is the central quantity of interest because +it can be used to reconstruct any observable associated +with a Slater determinant efficiently. For more general +states, one would also need higher order RDMs; however, +all higher order RDMs can be exactly computed from the +1-RDM via Wick’s theorem when the wavefunction is a +single Slater determinant [36]. +Thus, when mean-field +approximations work well, the time-dependent 1-RDM +can also be used to compute multi-time correlators such +as Green’s functions and spectral functions. +Exact quantum dynamics in first quantization +One of the key advantages of some quantum algorithms +over mean-field classical methods is the ability to per- +form dynamics using the compressed representation of +first quantization. First quantized quantum simulations +date back to [37–40]. They were first applied to fermionic +systems in [38] and developed for molecular systems in +[41, 42]. +In first quantization, one encodes the wave- +function using η different registers (one for each occupied +orbital), each of size log N (to index the basis functions +comprising each occupied orbital). The space complexity +of first quantized quantum algorithms is O(η log N). + +4 +As described previously, mean-field classical methods +require space complexity of O(Nη log(1/ϵ)) where ϵ is +the target precision. +Thus, these quantum algorithms +require exponentially less space in N. +Usually, when +one thinks of quantum computers more efficiently en- +coding representations of quantum systems, the advan- +tage comes from the fact that the wavefunction might +be specified by a Hilbert space vector of dimension +�N +η +� +and could require as much space to represent explicitly +on a classical computer. However, this alone cannot give +exponential quantum advantage in storage in N over clas- +sical mean-field methods since mean-field methods only +resolve entanglement arising from anti-symmetry and do +not attempt to represent wavefunction in the full Hilbert +space. Instead, the scaling advantage these quantum al- +gorithms have over mean-field methods is related to the +ability to store the distribution of each occupied orbital +over N basis functions, using only log N qubits. +But +quantum algorithms require more than the compressed +representations of first quantization in order to realize a +scaling advantage over classical mean-field methods; they +must also have sufficiently low gate complexity in the ba- +sis size and other parameters. +Here we will review and tighten bounds for the most +efficient known quantum algorithms for simulating the +dynamics of interacting electrons. +Early first quan- +tized algorithms for simulating chemistry dynamics such +as [41, 42] were based on Trotterization of the time- +evolution operator in a real space basis and utilized the +quantum Fourier transform to switch between a repre- +sentation where the potential operator was diagonal and +the kinetic operator was diagonal. +This enabled Trot- +ter steps with gate complexity � +O(η2) but the number of +Trotter steps required for the approach of those papers +scaled worse than linearly in N, η, the simulation time t +and the desired inverse error in the evolution, 1/ϵ. +Leveraging recent techniques for bounding Trotter er- +ror [43–45], in Appendix B we show that using sufficiently +high order Trotter formulas, the overall gate complexity +of these algorithms can be reduced to +� +N 1/3η7/3t + N 2/3η4/3t +� �Nt +ϵ +�o(1) +. +(12) +This is the lowest reported scaling of any Trotter based +first quantized quantum chemistry simulation. +We re- +mark that the N 1/3η7/3t scaling is dominant whenever +N < Θ(η3). +In that regime, it represents a quartic +speedup in basis size for propagation over the classical +mean-field scaling given in Eq. (10). +The first algorithms to achieve sublinear scaling in N +were those introduced by Babbush et al. [46]. That work +focused on first quantized simulation in a plane wave +basis and leveraged the interaction picture simulation +scheme of [47] to give gate complexity scaling as +� +O +� +N 1/3η8/3t +� +. +(13) +When N > Θ(η4), this algorithm is more efficient than +the Trotter based approach. Since that is also the regime +where the second term in Eq. (10) dominates that scal- +ing, this represents a quintic speedup in N, coupled with +a quadratic slowdown in η, over mean-field classical algo- +rithms. The work of Su et al. [48] analyzed the constant +factors in the scaling of this algorithm for use in ground +state preparation via quantum phase estimation [49]. In +Appendix C of this work we analyze the constant factors +in the scaling of this algorithm when deployed for time- +evolution. Su et al. [48] also introduced algorithms with +the same scaling as Eq. (13) but in a grid representation +(see Appendix K therein). +A key component of the algorithms of [46, 48] is the +realization of block encodings [50] with just � +O(η) gates. +The difficult part of the block encoding is the preparation +of a superposition state with amplitudes proportional to +the square root of the Hamiltonian term coefficients. A +novel quantum algorithm is devised for this purpose in +[46] which scales only polylogarithmically in basis size. +The N 1/3 dependence of Eq. (13) enters via the number +of times the block encoding must be repeated to perform +time evolution, related to the norm of the potential oper- +ator. Under certain assumptions, the norm of the poten- +tial term can be reduced to a polylogarithmic dependence +on N (see Appendix D for more details). In that case, +exponential quantum advantage in N is possible. +We note that second quantized algorithms outperform +first quantized quantum algorithms in gate complexity +when N < Θ(η2). This is because while the best scal- +ing Trotter steps in first quantization require � +O(η2) gates +[42], the best scaling Trotter steps in second quantization +require � +O(N) gates. As recently shown in [45], such ap- +proaches lead to a total gate complexity for Trotter based +second quantized algorithms scaling as +� +N 4/3η1/3t + N 5/3 +η2/3 t +� �Nt +ϵ +�o(1) +. +(14) +In the limit that η = Θ(N), this approach has O(N 5/3) +gate complexity, which is significantly less than the +O(N 8/3) gate complexity of Trotter based first quantized +quantum algorithms mentioned here, or the O(N 11/3) +gate complexity of classical mean-field algorithms. (See +Appendix E for discussion on the overall quantum +speedup in different regimes of how N scales in η.) How- +ever, these second quantized approaches generally require +at least O(N) qubits. The approach used in [45] to im- +plement Trotter steps involves the fast multipole method +[51], which requires O(N log N) qubits as well as the re- +striction to a grid-like basis. When using such basis sets, +we expect N ≫ η, and so this space complexity would +be prohibitive for quantum computers. +Methods such as fast multipole [51], Barnes-Hut [52], +or particle-mesh Ewald [53] compute the Coulomb poten- +tial in time � +O(η) when implemented within the classical +random access memory model. If the Coulomb potential +could be computed with that complexity on a quantum +computer it would speed up the first quantized Trotter + +5 +algorithms discussed here by a factor of O(η). However, +it is unclear whether such algorithms extend to the quan- +tum circuit model with the same complexity without un- +favorable assumptions such as QRAM [54, 55], or with- +out restricting the maximum number of electrons within +a region of space (see Appendix E for details). Thus, we +exclude such approaches from our comparisons here. +Quantum measurement costs +In contrast to classical mean-field simulations, on a +quantum computer, all observables must be sampled +from the quantum simulation. +There are a variety of +techniques for doing this, with the optimal choice de- +pending on the target precision in the estimated observ- +able as well as the number and type of observables one +wishes to measure. For example, when measuring W unit +norm observables to precision ϵ one could use algorithms +introduced in [56] which require � +O( +√ +W/ϵ) state prepa- +rations and O(W log(1/ϵ)) ancillae. +Thus, to measure +all W = O(N 2) elements of the 1-RDM to a fixed addi- +tive error in each element, this approach would require +� +O(N/ϵ) circuit repetitions. While scaling optimally in ϵ +for quantum algorithms, this linear scaling in N would +decrease the speedup over classical mean-field algorithms. +Instead, here we will focus on measuring the 1-RDM +with a new variation of the classical shadows method. +Classical shadows were introduced in [57] and adapted +for second quantized fermionic systems in [58–61]. Our +approach is to apply a separate random Clifford channel +to each of the η different log N sized registers represent- +ing an occupied orbital. Applying a random Clifford on +log N qubits requires O(log2N) gates; thus, O(η log2N) +gates comprise the full channel (a negligible cost relative +to time-evolution). In Appendix F we prove that repeat- +ing this procedure � +O(η/ϵ2) times enables estimation of all +1-RDM elements to within additive error ϵ. More gen- +erally, we prove that this same procedure allows for es- +timating all higher order k-particle RDMs elements with +� +O(kkηk/ϵ2) circuit repetitions. In the next section and in +Appendix G, we describe a way to map second quantized +representations to first quantization, effectively extend- +ing the applicability of these classical shadows techniques +to second quantization as well. +To give some intuition for how this works, we consider +the 1-RDM elements in first quantization: +ρµν (t) = ⟨ψ (t)| +� +� +η +� +j=1 +|µ⟩⟨ν|j +� +� |ψ (t)⟩ , +(15) +where the subscript j indicates which of the η registers +the orbital-ν to orbital-µ transition operator acts upon. +Due to the antisymmetry of the occupied orbital regis- +ters in first quantization, we could also obtain the 1-RDM +by measuring the expectation value of an operator such +as η |p⟩⟨q|1, which acts on just one of the η registers. +Because η |p⟩⟨q|1 has the Hilbert-Schmidt norm of O(η), +the standard classical shadows procedure applied to this +log N sized register would require � +O(η2/ϵ2) repetitions. +But we can parallelize the procedure by also collecting +classical shadows on the other η − 1 registers simultane- +ously. One way of interpreting the results we prove in +Appendix F is that, due to antisymmetry, these regis- +ters are anticorrelated. As a result, collecting shadows +on all η registers simultaneously reduces the overall cost +by at least a factor of η. To obtain W elements of the +1-RDM one will need to perform an offline classical inver- +sion of the Clifford channel that will scale as � +O(Wη2/ϵ2); +of course, any quantum or classical algorithm for estimat- +ing W quantities must have gate complexity of at least +W. However, this only needs to be done once and does +not scale in t. As a comparison, the cost of computing +1-RDM classically without exploiting sparsity is O(Wη). +When simulating systems that are well described by +mean-field theory, all observables can be efficiently ob- +tained from the time-dependent 1-RDM. However, for +observables such as the energy that have a norm growing +in system size or basis size, targeting fixed additive er- +ror in the 1-RDM elements will not be sufficient for fixed +additive error in the observable. In such situations, it +could be preferable to estimate the observable of inter- +est directly using a combination of block encodings [50] +and amplitude amplification [62] (see e.g., [63]). Assum- +ing the cost of block encoding the observable is negligible +to the cost of time-evolution (true for many observables, +including energy), this results in needing O(λ/ϵ) circuit +repetitions, where λ is the 1-norm associated with the +block encoding of the observable. For example, whereas +there are many correlation functions with λ = O(1), for +the energy λ = O(N 1/3η5/3 + N 2/3η1/3) [46]. Multiply- +ing that to the cost of quantum time-evolution further +reduces the quantum speedup. +The final measurement cost to consider is that of re- +solving observables in time. In some cases, e.g., when +computing scattering cross sections or reaction rates, one +might be satisfied measuring the state of the simulation +at a single point in time t. However, in other situations, +one might wish to simulate time-evolution up to a maxi- +mum duration of t, but sample quantities at L different +points in time. Most quantum simulation methods that +accomplish this goal scale as O(L) (O(Lt) in the case +where the points are evenly spaced in time). However, +the work of [56] shows that this cost can be reduced to +O( +√ +Lt), but with an additional additive space complex- +ity of � +O(L). Either way, this is another cost that plagues +quantum but not classical algorithms. +Quantum state preparation costs +Initial state preparation can be as simple or as complex +as the state that one desires to begin the simulation in. +Since the focus of this paper is outperforming mean-field +calculations, we will discuss the cost of preparing Slater + +6 +determinants within first quantization. For example, one +may wish to start in the Hartree-Fock state (the lowest +energy Slater determinant). Classical approaches to com- +puting the Hartree-Fock state scale as roughly � +O(Nη2) in +practice [23, 24]. This is a one-time additive classical cost +that is not multiplied by the duration of time-evolution +so it is likely subdominant to other costs. +Quantum algorithms for preparing Slater determinants +have focused on the “Givens rotation” approach intro- +duced in [64] for second quantization. That algorithm +requires O(Nη) “Givens rotation” unitaries. Such uni- +taries can be implemented with O(η log N) gates in first +quantization [48, 65], hence combining that with the se- +quence of rotations called for in [64] gives an approach to +preparing Slater determinants in first quantization with +� +O(Nη2) gates in total, a relatively high cost. Unlike the +offline cost to compute the occupied orbital coefficients, +this state preparation cost would be multiplied by the +number of measurement repetitions. +Here, we develop a new algorithm to prepare arbi- +trary Slater determinants in first quantization with only +� +O(Nη) gates. +The approach is to first generate a su- +perposition of all of the configurations of occupied or- +bitals in the Slater determinant while making sure that +electron registers holding the label of the occupied or- +bitals are always sorted within each configuration so +that they are in ascending order. This is necessary be- +cause without such structure (or guarantees of something +similar), the next step (anti-symmetrization) could not +be reversible. +For this next step, we apply the anti- +symmetrization procedure introduced in [66], which re- +quires only O(η log η log N) gates (a negligible additive +cost). Note that if one did not need the property that +the configurations were ordered by the electron register, +then it would be relatively trivial to prepare an arbitrary +Slater determinant as a product state of η different reg- +isters, each in an arbitrary superposition over log N bits +(e.g., using the brute-force state preparation of [67]). +A high level description of how the superposition of +“ordered” configurations comprising the Slater determi- +nant is prepared now follows, with details given in Ap- +pendix G. The idea is to generate the Slater determi- +nant in second quantization in an ancilla register us- +ing the Givens rotation approach of [64], while mapping +the second quantized representation to a first quantized +representation one second quantized qubit (orbital) at a +time. +One can get away with storing only η non-zero +qubits (orbitals) at a time in the second quantized rep- +resentation because the Givens rotation algorithm grad- +ually produces qubits that do not require further rota- +tions. Whenever one produces a new qubit in the second +quantized representation that does not require further +rotations, one can convert it to the first quantized repre- +sentation, which zeros that qubit. Thus, the procedure +only requires O(η) ancilla qubits – a negligible additive +space overhead. +A total of O(Nη log N) gates are re- +quired because for each of O(N) steps one accesses all +O(η log N) qubits of the first quantized representation. +In Appendix G, we show the Toffoli complexity can be +further reduced to O(Nη) with some additional tricks. +Finally, we note that quantum algorithms can also per- +form finite temperature simulation by sampling initial +states from a thermal density matrix in each realization +of the circuit. For example, if the system is in a regime +that is well treated by mean-field theory, one can initial- +ize the system in a Slater determinant that is sampled +from the thermal Hartree-Fock state [68]. Since the out- +put of quantum simulations already needs to be sampled +this does not meaningfully increase the number of quan- +tum repetitions required. Such an approach would also +be viable classically (and would allow one to perform +simulations that only ever treat η occupied orbitals de- +spite having finite temperature), but would introduce a +multiplicative O(1/ϵ2) sampling cost. For either proces- +sor there is the cost of classically computing the thermal +Hartree-Fock state, but this is a one-time cost not mul- +tiplied by the duration of time-evolution or O(1/ϵ2). +Discussion +We have reviewed and provided new analysis of the +costs associated with both classical mean-field methods +and state-of-the-art exact quantum algorithms for dy- +namics. We introduced new and more efficient strategies +for initializing Slater determinants in first quantization, +and for measuring RDMs via classical shadows. We com- +pare these costs in Table I. Relative to classical mean- +field methods, we see that when the goal is to sample +the output of quantum dynamics at zero temperature, +the best quantum algorithms deliver a seventh power +speedup in particle number when N < Θ(η2), quartic in +basis size when Θ(η2) < N < Θ(η3), super-quadratic in +basis size when Θ(η3) < N < Θ(η4) and quintic in basis +size but with a quadratic slowdown in η when N > Θ(η4). +In the extremal regimes of N < Θ(η5/4) and N > Θ(η4), +the overall speedup in system size is super-quadratic +(see Appendix E for details). +These are large enough +speedups that quantum advantage may persist even de- +spite quantum error-correction overhead [69]. Note that +our analyses are based on derivable upper bounds for +both classical and quantum algorithms over all possible +input states. Tighter bounds derived over restricted in- +puts would give asymptotically fewer time steps required +for both classical and quantum Trotter algorithms [70]. +The story becomes more nuanced when we wish to es- +timate ϵ-accurate quantities via sampling the quantum +simulation output at L different time points. For observ- +ables with norm scaling as O(1) (e.g., simple correlation +functions or single RDM elements), or those pertaining +to amplitudes of the state (e.g. +scattering amplitudes +or reaction rates) the scaling advantages in system and +basis size are maintained but at the cost of the quan- +tum algorithm slowing down by a multiplicative factor +of at least O( +√ +L/ϵ). When targeting the 1-RDM (which +characterizes all observables within mean-field theory) we + +7 +Processor +Algorithm +Observable +Space +Gate complexity +classical +T = 0 mean-field with occ-RI-K/ACE [23, 24] +anything +� +O(Nη) +(N 4/3η7/3t + N 5/3η4/3t)( Nt +ϵ )o(1) +classical +T > 0 mean-field (density matrix) with [23, 24] +anything +� +O(NM) +(N 4/3M 2η1/3t+ N5/3M2t +η2/3 +)( Nt +ϵ )o(1) +classical T > 0 mean-field (sampled trajectories) with [23, 24] +anything +� +O(Nη) +( N4/3η7/3t +ϵ2 ++ N5/3η4/3t +ϵ2 +)( Nt +ϵ )o(1) +quantum +second quantized Trotter grid algorithm [45] +sample |ψ(t)⟩ O(N log N) +(N 4/3η1/3t + N5/3t +η2/3 )( Nt +ϵ )o(1) +quantum +first quantized Trotter grid algorithm here +sample |ψ(t)⟩ +O(η log N) +(N 1/3η7/3t +N 2/3η4/3t)( Nt +ϵ )o(1) +quantum +interaction picture plane wave algorithm [46] +sample |ψ(t)⟩ +O(η log N) +� +O(N 1/3η8/3t) +quantum +grid basis algorithm from Appendix K of [48] +sample |ψ(t)⟩ +O(η log N) +� +O(N 1/3η8/3t) +quantum +new shadows procedure here +k-RDM(t) +O(η log N) +� +O(kkηkL Csamp/ϵ2) +quantum +gradient measurement [56] +⟨ψ(t)| O |ψ(t)⟩ +� +O(η + L) +� +O( +√ +L Csamp λ/ϵ) +quantum +gradient measurement [56] +⟨ψ(t)| H |ψ(t)⟩ +� +O(η + L) +� +O( +√ +LCsampt(N1/3η5/3+N2/3η1/3) +ϵ +) +TABLE I. Costs of exact quantum algorithms and mean-field classical algorithms for simulating fermionic dynamics. N is the +number of basis functions, η is the number of particles, ϵ is target precision, M is the number of appreciably occupied orbitals +in a finite temperature (T) simulation (M ≃ N for high T), O is any observable having norm λ that can be block encoded +with cost less than time-evolution, t is the duration of evolution, L is the number of time points at which we wish to resolve +quantities and Csamp is the cost of sampling |ψ(t)⟩ with a quantum algorithm. For classical algorithms, gate complexity means +the number of floating point operations. We are not accounting for the additive time-independent costs of state preparation +( � +O(ηN) gates using the procedure of Appendix G), of classically computing initial occupied orbital coefficients, or of classically +reconstructing the k-RDM given measurement outcomes. Thus, this table reports gate complexities for long-time t simulations. +In Appendix E we provide a table clarifying which algorithm has optimal gate complexity as a function of N/η. +maintain speedup in N but at the cost of an additional +linear slowdown in η. When measuring the total energy, +the overall speedup becomes tenuous. Thus, the viability +of quantum advantage with respect to zero temperature +classical mean-field methods depends sensitively on the +target precision and particular observables of interest. +In terms of applications, we expect RT-TDHF to pro- +vide qualitatively correct dynamics whenever electron +correlation effects are not pronounced. RT-TDDFT in- +cludes some aspects of electron correlation but the adi- +abatic approximation often creates issues [71] and the +method suffers from self-interaction error [72]. When the +adiabatic approximation is accurate, self-interaction er- +ror is not pronounced, and the system does not exhibit +strong correlation, we expect RT-TDDFT to generate +qualitatively correct dynamics. +When there are many +excited states to consider for spectral properties, it is of- +ten beneficial to resort to real-time dynamics methods +instead of linear-response methods. Furthermore, we are +often interested in real-time non-equilibrium electronic +dynamics. This is the case for photo-excited molecules +near metal surfaces [73]. +The time evolution of elec- +tron density (i.e., the diagonal of the 1-RDM) near the +molecule is of particular interest due to its implications +for chemical reactivity and kinetics in the context of het- +erogeneous catalysis [74]. In this application, the simu- +lation of nuclear degrees of freedom may be equally im- +portant, which we will leave for future analysis. +We see from Table I that prospects for quantum ad- +vantage are considerably increased at finite tempera- +tures. Thus, a promising class of problems to consider +for speedup over mean-field methods is the electronic +dynamics of either warm dense matter (WDM) [75–78] +or hot dense matter (HDM) [79]. +The WDM regime +(where thermal energy is comparable to the Fermi en- +ergy) is typified by temperatures and densities that re- +quire the accurate treatment of both quantum and ther- +mal effects [80, 81]. These conditions occur in planetary +interiors, experiments involving high-intensity lasers, and +in inertial confinement fusion experiments as the ablator +and fuel are compressed into the conditions necessary for +thermonuclear ignition. Ignition occurs in the hot dense +matter (HDM) regime (where thermal energy far exceeds +the Fermi energy). While certain aspects of these systems +are conspicuously classical, they still present spectra that +can be challenging to model [82, 83]. +Simulations in either the WDM or HDM regime typ- +ically rely on large plane wave basis sets and the inclu- +sion of ten to one-hundred times more partially occupied +orbitals per atom than would be required at lower tem- +peratures. Often, the attendant costs are so great that +it is impractical to implement RT-TDDFT with hybrid +functionals. Therefore, many calculations necessarily use +adiabatic semi-local approximations, even on large classi- +cal high-performance computing systems [75]. Thus, the +level of practically achievable accuracy can be quite low, +and the prospect of exactly simulating the dynamics on +a quantum computer is particularly compelling. +Although we have focused on assessing quantum +speedup over mean-field theory, we view the main con- +tribution of this work as more general. In particular, if +exact quantum simulations are sometimes more efficient +than classical mean-field methods, then all levels of the- +ory in between mean-field and exact diagonalization are +in scope for possible quantum advantage. Targeting sys- +tems that require more correlated calculations narrows +the application space but improves prospects for quan- +tum advantage due to the unfavorable scaling of the req- + +8 +uisite classical algorithms. Thus, it may turn out that the +domain of systems requiring, say, coupled cluster dynam- +ics [84–87], might be an even more ideal regime for prac- +tical quantum advantage, striking a balance in the trade- +off between the breadth of possible applications and the +cost of the classical competition. +Acknowledgments +The authors thank Alina Kononov, Garnet Kin-Lic +Chan, Robin Kothari, Alicia Magann, Fionn Malone, +Jarrod McClean, +Thomas O’Brien, +Nicholas Rubin, +Henry Schurkus, Rolando Somma, and Yuan Su for help- +ful discussions and feedback. +We thank Lin Lin for +bringing our attention to the quantized tensor train for- +mat in [31] and thank Yuehaw Khoo for a discussion +related to this. +DWB worked on this project under a +sponsored research agreement with Google Quantum AI. +DWB is supported by Australian Research Council Dis- +covery Projects DP190102633 and DP210101367. 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Appl. 21, 229–266 (2015). +Appendix A: Norms and scaling for the nonlinear differential equation governing mean-field evolution +We have the differential equation +i∂Cocc (t) +∂t += F (t) Cocc (t) +(A1) +where +Fµν(t) = hµν + +N +� +λσ +� +(µν|λσ) − (µσ|λν) +2 +� +Pσλ(t) +(A2) +with P(t) = Cocc(t)Cocc(t)†. If F were independent of Cocc, then it would imply that taking the nth derivative gives +(i)n ∂nCocc (t) +∂tn += FnCocc (t) . +(A3) +That means the norm of the nth derivative would scale as ∥F∥n (with Cocc normalized). +Then higher-order methods will typically have an error that scales as the norm of the higher-order derivatives. For +example, if one were to use a Taylor series up to order k to approximate a time step, then the error for a time step +of length δt would scale as +1 +(k + 1)!∥F∥k+1δtk+1. +(A4) +This means that if the size of the time step is taken as proportional to 1/∥F∥, then the error may be made exponentially +small in k. As a result, the total number of time steps used scales as O(∥F∥t). Similar considerations hold for other +higher-order methods for integration. The dependence of the complexity on ∥F∥ can also be expected from principles +of scaling, where if F is divided by ∥F∥ but t is also multiplied by ∥F∥, then the same differential equation is obtained. +In our case where F is dependent on Cocc, the situation is more complicated. This is because taking higher-order +derivatives of Cocc yields more terms due to the derivatives of Cocc in F. To describe this, let us write, omitting hµν +for simplicity, +Fµν(t) = VµνσλCσaC∗ +λa, +(A5) + +12 +with Cσa the matrix entries of Cocc. We are taking a convention that Greek indices are over all orbitals, English +letters are over electrons, and repeated indices are summed over. Then we would give the derivative as +i∂Cµb +∂t += VµνσλCσaC∗ +λaCνb. +(A6) +We can define an η-norm of V as +∥V∥η = max +x,y,z Vµνσλxµy∗ +νzσλ, +(A7) +with ∥x∥ = ∥y∥ = ∥z∥ = 1 (i.e., spectral norms are normalized), and z of rank η. To bound this norm, we can +consider the first term for Vµνσλ, which is +(µν|λσ) = +� +dr1 dr2 +φ∗ +µ (r1) φν (r1) φ∗ +λ (r2) φσ (r2) +|r1 − r2| +. +(A8) +The multiplication by xµ and sum over µ corresponds to a transformation of φµ to a new orbital, and similarly, +the sum over ν transforms φν to another new orbital. Since z is of rank η, the sum over λ and σ corresponds to +transforming the orbital basis for both φλ and φσ, and summing over η of these basis states. +That is, we can write +η +� +a=1 +� +dr1 dr2 +φ∗ (r1) χ (r1) ψ∗ +a (r2) θa (r2) +|r1 − r2| +, +(A9) +for some transformed orbitals φ, χ, ψa, θa. We can then use the fact that |φ∗χ| ≤ |φ|2 + |χ|2, and similarly for ψa and +θa to upper bound this expression by +4 +η +� +a=1 +� +dr1 dr2 +|φ (r1) |2|ψa (r2) |2 +|r1 − r2| +, +(A10) +for some choice of φ and ψa. This integral can be maximized when the ψa are orbitals that are clustered as close as +possible to φ. With neighboring grid points separated by δ, the smallest the average separation can be is O(η1/3δ). +Then the factor of 1/|r1 − r2| in the integrals will give O(1/[η1/3δ]). Multiplying the sum by η gives O(η2/3/δ). +The second term for Vµνσλ is (µσ|λν). This is similar to (µν|λσ), but with ν and σ swapped. Then the transfor- +mation of orbitals gives +η +� +a=1 +� +dr1 dr2 +φ∗ (r1) χa (r1) ψ∗ +a (r2) θ (r2) +|r1 − r2| +, +(A11) +for some choice of φ, χa, ψa, θ. The same argument holds, where the sum is maximized with orbitals over a region of +volume ηδ3 so there are contributions from all η terms in the sum, but 1/|r1 − r2| averages to give O(1/[η1/3δ]). This +gives the same scaling for the second term for Vµνσλ, and so +∥V∥η = O(η2/3/δ). +(A12) +What this means is that, whenever we have a contraction of the σ, λ indices in Vµνσλ with a normalized matrix of +rank η, the remaining matrix has norm O(η2/3/δ). That immediately implies that ∥F∥ has this norm. Then applying +F to the normalized matrix Cocc gives an upper bound on the first derivative O(η2/3/δ). +Taking the second derivative then yields an expression with 3 terms, where each has V appearing twice and Cocc +appearing five times. In particular, +−∂2Cµb +∂t2 += Vµνσλ[(VσϵζηCζcC∗ +ηc)CϵaC∗ +λa]Cνb ++ Vµνσλ[Cσa(VλϵζηC∗ +ζcCηc)C∗ +ϵa]Cνb ++ (VµνσλCσaC∗ +λa)(VνϵζηCζcC∗ +ηc)Cϵb +(A13) +Only the third line has a simple interpretation as F squared times Cocc (indicated by the brackets). +The first line has V contracted with Cocc using ζ, η, so the expression in round brackets is a matrix with norm +O(η2/3/δ). Then in matrix terms, it is multiplied by CϵaC∗ +λa (summed over a), which is a matrix of norm 1 and rank + +13 +η. As a result, the expression in square brackets is of norm O(η2/3/δ) and rank η. We can then see that the first V is +contracted over σ, λ with a matrix of rank η and norm O(η2/3/δ). That implies that the norm of the resulting matrix +is upper bounded by the square of O(η2/3/δ). That is then multiplied by Cνb which is of norm 1, resulting in the +overall norm of this line being upper bounded by the square of O(η2/3/δ). Similar considerations hold for the second +line, so we can upper bound the entire second derivative by an order scaling that is the square of that for ∥F∥. +In this, the general principle is that wherever we have something of the form CσaC∗ +λa, it is a matrix of norm 1 and +rank η, and taking the derivative of it yields something that is still of rank η, but with a norm upper bounded by +O(η2/3/δ). Because we have bounded the norm when contracting V with a general matrix of rank η, that yields a +factor of O(η2/3/δ) on whatever result we had for the lower-order derivative. The other scenario is where we take the +derivative of Cνb, which is effectively like multiplying it by F which increases the norm (but not the rank). +This reasoning holds in general whenever we take the derivative of an expression for the derivative of some order +to give the derivative of higher order. The norm is multiplied by O(η2/3/δ) for each of the terms. The number of +terms will increase exponentially with the order. The third derivative has 3×5 terms, where each of the three original +terms yields five due to the derivatives of Cocc at each location. Then the fourth-order derivative has 3 × 5 × 7 terms +and so on. In describing the scaling we can ignore this exponential number of terms, and give the upper bound on +the nth order derivative as O(η2/3/δ) to the power of n. This implies that the appropriate scaling of the time should +again be T = ∥F∥t. +Finally we bound the norm of ∥h∥. When using a plane wave basis, hµν will be non-zero only when µ = ν with +entries scaling as O(1/δ2) due to the ∇2 in the expression for hµν. That gives the scaling of the spectral norm for this +component, which would be unchanged under a unitary transformation, such as the Fourier transform which maps +plane waves to an approximately local basis. +For the dependence of hµν on V (r), the potential will come from nuclei, and for charge-neutral systems the total +nuclear charge will be the same as the number of electrons. If the nuclear charge were entirely at one location and we +have a charge-neutral system, then the largest contribution to hµν would be for an approximately local basis, where +the contribution would scale as η/δ, with the factor of η from the nuclear charge and 1/δ from the inverse distance. +In most cases that we would be interested in, there would be a more even distribution of nuclear charges through +the volume. In that case, if the volume scales as η, there would be an average distance O(η1/3). That would result in +a contribution to hµν of O(η2/3). An orbital localized near one nucleus would give a contribution of O(1/δ) just from +that nucleus, which may be larger than O(η2/3) if N > η3 but may be ignored in comparison to 1/δ2. +As a result of these considerations, we can give the upper bound on F in the case without V (r) as +∥F∥ = O +�η2/3 +δ ++ 1 +δ2 +� +. +(A14) +In the case with nuclei we obtain the same result, provided the nuclear charges are not clustered any closer than the grid +spacing. Here δ = O((η/N)1/3) is the minimum grid spacing. This scaling for δ comes from taking the computational +cell volume proportional to η (a reasonable assumption for both condensed-phase and molecular systems). Thus, the +scaling becomes +∥F∥ = O +� +N 1/3η1/3 + N 2/3 +η2/3 +� +. +(A15) +In this case we can see that the first term is dominant unless N > η3. +Appendix B: Proving sublinear gate complexity in basis size for Trotter based methods +Here we derive the complexity for quantum simulation of the electronic structure problem given in Eq. (12). We +consider the simulation of the electronic structure problem defined on a spatial grid in first quantization. Such a + +14 +Hamiltonian can be expressed as +H = T + U + V + +L +� +ℓ̸=κ=1 +ζℓζκ +2 ∥Rℓ − Rκ∥ +(B1) +T ≈ +η +� +i=1 +QFTj +� +�� +p∈G +∥kp∥2 +2 +|p⟩⟨p|j +� +� QFT† +j +(B2) +U = − +η +� +j=1 +L +� +ℓ=1 +� +p∈G +ζℓ +∥Rℓ − rp∥ |p⟩⟨p|j +(B3) +V = +η +� +j̸=k=1 +� +p,q∈G +1 +2 ∥rp − rq∥ |p⟩⟨p|j |q⟩⟨q|k +(B4) +where QFTj is the usual quantum Fourier transform applied to register j. We emphasize that T is only approximately +given by the expression involving the QFT. This relation is exact in the continuum limit where N → ∞. For finite- +sized grids N, it cannot be the case that the QFT completely diagonalizes the momentum operator. Instead, writing +T this way represents something similar to the approximations made by so-called “discrete value representation” +methods. Using the QFT means that the evolution can be broken into a product of the evolution under T and the +one under U + V . +In the above expression, ℓ and κ index nuclear degrees of freedom; thus, Rℓ represents the positions of nuclei and ζℓ +the atomic numbers of nuclei. In this appendix, we use L to denote the number of nuclei in our simulation (elsewhere, +L is the number of time points). Furthermore, we have the following definition of grid points and their frequencies in +the dual space defined by the QFT: +rp = p Ω1/3 +N 1/3 +kp = 2πp +Ω1/3 +p ∈ G +G = +� +−N 1/3 − 1 +2 +, N 1/3 − 1 +2 +�3 +⊂ Z3 , +(B5) +where Ω is the volume of the simulation cell and N is the number of grid points in the cell. Although it is defined +here in more precise terms, this is essentially the same representation used in the first work on quantum simulating +chemistry in first quantization, by Kassal et al. [42], well over a decade ago. +We consider simulation performed using high-order product formulas with a split-operator Trotter step. What we +mean by the latter is that we will alternate evolution under T (using the QFT) and evolution under U + V . In fact, +the implementation of each Trotter step that we will pursue is essentially identical to the Trotter steps proposed by +Kassal et al. [42]. The Trotter step requires � +O(η2) gates, with the complexity being dominated by computing the +O(η2) different interactions in the two-electron term. Recently, Low et al. [45] have shown that the number of Trotter +steps required in second quantization using arbitrarily high order formulas can be as low as +� +N 1/3η1/3 + N 2/3 +η2/3 +� t1+o(1)N o(1) +ϵo(1) +. +(B6) +We note that, curiously, this also closely matches our bound for the norm of the Fock operator (see Eq. (A15)) proved +in Appendix A. The first term in brackets similarly corresponds to a contribution to the potential from electrons +grouped as closely as possible in real space, but the reason why this quantity is relevant is very different between the +two calculations. +The results for the Trotter error in second quantization also hold for first quantization. As a general principle, we +can consider the effect of � +j |p⟩ ⟨q|j on a computational basis state consisting of an anti-symmetric combination of +lists of electron positions. This removes an electron from orbital q and places it in p. This is performed for every part +of the anti-symmetric state, preserving its sign. However, for the starting anti-symmetric state the sign is based on +whether the permutation is even or odd (as compared to ascending order). If moving an electron from q to p passes +over an odd number of electrons, then the parity of each permutation flips. That means that there is an overall sign +flip in the basis state. +Similarly, if we consider the action of a† +paq on a state a† +q1 · · · a† +qη |0⟩, then the aq can be anti-commuted to the +right to give several sign flips corresponding to the number of a† +qj operators that are anti-commuted through. This +corresponds to the number of occupied orbitals before q. Then aqa† +q gives the identity. Next, anti-commute a† +p to the +appropriate location in the list of operators. The sign that is obtained corresponds to the number of a† +qj operators + +15 +that are anti-commuted through, which is the number of electrons before p. There is an overall sign flip if there is an +odd number of electrons between p and q. +This can then be extended to products such as +� +j +|p⟩ ⟨q|j +� +k +|r⟩ ⟨s|k . +(B7) +The first sum corresponds to a† +paq in second quantization, and the second sum corresponds to a† +ras. This means that +we have the equivalence +� +pqrs +Vpqrs +� +j +|p⟩ ⟨q|j +� +k +|r⟩ ⟨s|k ≡ +� +pqrs +Vpqrsa† +paqa† +ras. +(B8) +The action on an anti-symmetric computational basis state in first quantization has exactly the same effects as that on +the corresponding second-quantization state with η electrons. Moreover, the action of the operators always preserves +the electron number in second quantization, so there is a corresponding state in first quantization. Similarly, because +we are using anti-symmetric states in first quantization, it is impossible to obtain a state with multiple electrons on +the same orbital. That is because two registers with the same orbital number will give cancellation of terms. +As a result all operators and states in second-quantization map directly to first quantization, preserving the norms, +and in particular the error bounds derived in second-quantization hold for first quantization. Therefore, multiplying +the number of steps in Eq. (B6) by the � +O(η2) gate complexity required of the first quantized Trotter step from [42] +gives the following gate complexity for the product formula based time evolution in first quantization: +� +N 1/3η7/3 + N 2/3η4/3� t1+o(1)N o(1) +ϵo(1) +. +(B9) +This is the complexity given in Eq. (12). +Appendix C: Constant factors for time-evolution in the interaction-picture plane-wave algorithm +Here we analyze the constant factors in the scaling of the interaction picture based plane wave algorithm from +Babbush at al. [46] which was analyzed in detail for use in phase estimation by Su et al. [48]. As explained on page 30 +of [48], the number of steps to give total time T using the time evolution approach is λBT/ ln 2, but with a factor of +3 overhead for amplitude amplification. Using the qubitization approach the number of steps is eλBT. That means +simulating the time evolution gives an overhead of 3/(e ln 2) ≈ 1.59 over the qubitization. Then in Eq. (154) of +[48], the total time of evolution is approximately π/(2ϵpha) to give precision ϵpha of the phase estimation. There is +moreover a (small) term O((λU + λV )2∆E2) in the expression for the number of steps N in [48] that originates from +the nonlinearity of the sine function in phase estimation, which is not used here. +As a result, the complexity given in Theorem 5 of [48] can be modified to be appropriate for time evolution simply +by replacing the formula for the number of steps in Eq. (174) of [48] with +N = 3T(λ1 +U + λ1 +V /(1 − 1/η)) +Peq ln 2 ++ O(1) . +(C1) +Here we have replaced π/(2ϵpha) with T, replaced e with e/ ln 2, and removed O((λU + λV )2∆E2). Note that in this +expression +λU = η � +ℓ ζℓ +πΩ1/3 λν, +(C2) +λV = η(η − 1) +2πΩ1/3 λν, +(C3) +λν = +� +ν∈G0 +1 +∥ν∥2 ≤ 4πN 1/3, +(C4) +λ1 +U ≈ λU, λ1 +V ≈ λV , and Peq is close to 1. This expression together with an appropriate choice of constant factor +in Ω ∝ η gives the constant factor for the number of steps to use for time evolution. It needs to be multiplied by +a further complicated expression in Theorem 5 of [48] for the gate complexity of a single step to provide the full +constant factor for the gate complexity in Eq. (13). + +16 +Appendix D: Smoothing the Coulomb operator to exponentially suppresses quantum scaling in basis size +Here we discuss the fact that if one is willing to introduce a slight systematic bias into the Coulomb operator, it is +possible to further improve the speedup in N of the quantum algorithm. The N 1/3 dependence enters into the cost +from the 1-norm of the two-body Coulomb operator, which scales as λ = O(η2Vmax) where Vmax is the maximum +value of the electron-electron interaction for a single pair of electrons. +For typical plane wave or grid discretizations we have that Vmax = O(N 1/3/Ω1/3) where Ω is the size of the +computational cell (for the purpose of the analysis in this paper we assume that Ω = O(η), since that is explicitly the +case in condensed phase simulations). But we could also take steps to smooth out the cusp in the Coulomb operator +and thus, lower the energy scale of Vmax. For example, this could be accomplished by taking Vmax to be a constant +and modifying the real-space form of the two-body Coulomb operator as +1 +|r1 − r2| → +1 +|r1 − r2| + Vmax +. +(D1) +Such a strategy has been explored in the context of first quantized quantum algorithms in real space in papers by +Kivlichan et al. [88] and Childs et al. [54]. +In principle, one could choose Vmax = O(log N) and this would lead to the quantum algorithm scaling exponentially +better than classical algorithms in N. This would also slightly reduce the cost of classical mean-field algorithms from +scaling as N 4/3 to scaling as N. +Of course, using such a drastic cutoff will introduce a significant bias into the +overall dynamics. In order to avoid this, papers such as [89, 90] have sought to develop Richardson extrapolation type +schemes where simulations are run with a series of smoothing or cutoff parameters in order to extrapolate the value +of the observable with zero cutoff. However, questions remain about the convergence of such procedures and it seems +likely to re-introduce some polynomial dependence on N in order to reach convergence with the continuum limit. +Nevertheless, the context of this paper is that one might be interested in getting a speedup over low accuracy +classical algorithms. In that spirit, one could probably make the case that if merely trying to improve in speed over +mean-field algorithms, the error introduced in imposing a cutoff in the Coulomb operator might be less significant +than the error due to making the mean-field approximation. Thus, this is perhaps a valid approach when competing +with such classical methods, and thus might provide an exponential speedup. +Appendix E: Gate complexity and speedup in various regimes +Processor +Algorithm for sampling |ψ(t)⟩ +Regime of optimality +Space +Effective gate complexity +classical zero temp mean-field with occ-RI-K/ACE [23, 24] +N ≤ Θ(η3) +� +O(Nη) +N 4/3η7/3t(Nt/ϵ)o(1) +classical zero temp mean-field with occ-RI-K/ACE [23, 24] +N ≥ Θ(η3) +� +O(Nη) +N 5/3η4/3t(Nt/ϵ)o(1) +quantum +second quantized Trotter grid algorithm [45] +N ≤ Θ(η2) +O(N log N) +N 4/3η1/3t(Nt/ϵ)o(1) +quantum +first quantized Trotter grid algorithm here +Θ(η2) ≤ N ≤ Θ(η3) +O(η log N) +N 1/3η7/3t(Nt/ϵ)o(1) +quantum +first quantized Trotter grid algorithm here +Θ(η3) ≤ N < Θ(η4) +O(η log N) +N 2/3η4/3t(Nt/ϵ)o(1) +quantum +qubitization algorithms from [46] or [48] +N = Θ(η4) +O(η log N) +� +O(N 2/3η4/3t) +quantum +interaction picture algorithms from [46] or [48] +N > Θ(η4) +O(η log N) +� +O(N 1/3η8/3t) +TABLE II. Best known gate complexities of exact quantum algorithms and classical mean-field algorithms for sampling the +output of time-evolution, by ratio of basis size to particle number. Here we use the asymptotic Θ(·) notation, which implies the +union of both an asymptotic upper-bound and an asymptotic lower-bound on the scaling. N is number of basis functions, η is +number of particles, ϵ is target precision, and t is duration of evolution. “Effective gate complexity” is the leading order scaling +in the stated regime. All quantum algorithms discussed here require either a plane wave or grid basis. For those basis sets, the +large space overhead of second quantization likely makes second quantized approaches infeasible in practice. When N = η4, +the quantum algorithms with the best asymptotic scaling are the plane wave or grid basis qubitization algorithms from [46] or +[48], respectively, as opposed to the interaction picture algorithms of those same works. This is due to lower polylogarithmic +factors in the scaling that are suppressed by the � +O(·) notation. +Another way to express the results of Table II is as a formula for the leading order scaling if assume that N = Θ(ηα). +Then, for the classical algorithm we have that the leading gate complexity of the best approach is +� +ηβt +� �Nt +ϵ +�o(1) +where +N = Θ (ηα) +and +β = +� +4α+7 +3 +α ≤ 3 +5α+4 +3 +α ≥ 3 . +(E1) + +17 +FIG. 1. +Plot showing the numerical values of the speedup exponent ratio given in Eq. (E3). We see that a super-quadratic +speedup of exact quantum algorithms over mean-field classical algorithms is realized when α < 5/4 and when α > 4. +By contrast, for the quantum algorithm we have that the leading order gate complexity of the best approach is +� +ηβt +� �Nt +ϵ +�o(1) +where +N = Θ (ηα) +and +β = +� +� +� +� +� +� +� +� +� +4α+1 +3 +α ≤ 2 +α+7 +3 +2 ≤ α ≤ 3 +2α+4 +3 +3 ≤ α ≤ 4 +α+8 +3 +α ≥ 4 +. +(E2) +For both classical and quantum expressions, these complexities are sometimes loose by sub-polynomial factors. Finally, +we compare the speedup that exact quantum algorithms offer over classical mean-field algorithms. We report this as +exponent of η scaling of classical complexity +exponent of η scaling of quantum complexity = +� +� +� +� +� +� +� +� +� +(4α + 7) / (4α + 1) +α ≤ 2 +(4α + 7) / (α + 7) +2 ≤ α ≤ 3 +(5α + 4) / (2α + 4) +3 ≤ α ≤ 4 +(5α + 4) / (α + 8) +α ≥ 4 +if +N = Θ (ηα) . +(E3) +We plot numerical values of this speedup in Figure 1. +Finally, we discuss the hope that Trotter based first quantized algorithms might be sped up by a factor of � +O(η) by +developing more efficient Trotter steps. The bottleneck for Trotter steps is the computation of the Coulomb operator +since the simulation of the kinetic operator scales as � +O(η). Thus, it seems promising that fast-multipole [51] Barnes- +Hut [52], or particle-mesh Ewald [53] type algorithms for computing the Coulomb potential require � +O(η) operations +in the classical random access memory (RAM) model. By contrast, the standard way of computing the Coulomb +potential (involving summing up all +�η +2 +� +pairs of electrons) scales as � +O(η2). Thus, if one can figure out how to extend +these better scaling methods to first quantization with � +O(η) operations in the reversible circuit model (the cost model +of relevance for this subroutine if executed on a quantum computer), the quantum algorithm would scale as +� +N 1/3η4/3t + N 2/3η1/3t +� �Nt +ϵ +�o(1) +. +(E4) +We note that it is straightforward to adapt these algorithms to second quantization with � +O(N) gate complexity +[45, 47]. However, translating such algorithms to first quantization with � +O(N) gate complexity in the quantum circuit +model is highly non-trivial. This is due to nuances of how adaptive tree-like data structures are constructed and used +in these algorithms, and it is why the work of [54] decided to invoke the impractical assumption of QRAM in order to +leverage the fast multipole algorithms. Note further that some of these algorithms such as the original fast multipole +[51] and particle-mesh Ewald [53] make further assumptions on the state. In particular, if space is partitioned into +O(η) boxes, then these methods require that no more than k electrons are present in any box, in any configuration + +2.4 +2.3 +2.2 + speedup ratio +2.1 +quadratic speedup threshold +2.0 +1.9 +1.8 +1.7 +2 +3 +4 +5 +1 +6 +value of α in N= (n~)18 +on which the wavefunction has support. Since electrons tend to repel one another this is often a good assumption +at low energies, but it is not true for general states. It seems possible to implement a first quantized algorithm with +� +O(η k) space complexity and � +O(η poly(k)) gate complexity by keeping k electron registers for each of these O(η) +boxes of space. But there also exist versions of these algorithms, e.g. described in [91], which use RAM and an +adaptive tree structure to give � +O(η) complexity without any assumptions on the state. Such approaches appear quite +challenging to port to the quantum circuit model with the same complexity. However, if possible, the first quantized +fast multipole-based Trotter would scale better than all other known approaches as long as N < η7. When N > η7, +the first quantized interaction picture algorithm has better scaling. +Appendix F: Efficient reduced density matrix estimation using classical shadows in first quantization +1. +Problem statement +We consider a system of η identical fermions occupying N ≫ η orbitals. In first-quantization, we represent the +state of such a system as a wavefunction on η registers of n = ⌈log(N)⌉ qubits. We demand that this wavefunction is +antisymmetric under the exchange of any two registers in order for it to represent a valid physical state. +Most physically interesting observables of such a system are captured by the few-body marginals, the reduced +density matrices. In this section, we concern ourselves with efficiently estimating elements of the k-body reduced +density matrix (k-RDM) of the first-quantized state |ψ⟩ defined on η identical fermion particles, +kDj1,...,jk +i1,...,ik = +η! +(η − k)! tr +� +|ψ⟩⟨ψ| +k +� +ℓ=1 +|iℓ⟩⟨jℓ|ℓ +� +, +(F1) +where |i⟩⟨j|ℓ indicates the tensor product of |i⟩⟨j| on the ℓth register with the identity on the other η − 1 registers. We +can write an equivalent definition (equivalent due to the antisymmetry of the wavefunction), +kDj1,...,jk +i1,...,ik = +� +x∈Sη +k +tr +� +|ψ⟩⟨ψ| +k +� +ℓ=1 +|iℓ⟩⟨jℓ|xℓ +� +, +(F2) +where Sη +k is the set composed of all possible sequences of length k generating by drawing without replacement from +[η] := {1, . . . , η}. +Our goal is to use measurements of the state |ψ⟩ to obtain a classical description of the state with enough information +to approximate all N 2k elements of the k-RDM. We would like all of these estimates to accurate up to some additive +error ϵ with probability at least 1 − δ. +Ideally, our protocol will be efficient not only in terms of the number +of measurements, but also in terms of the (gate) complexity of implementing each measurement and the classical +complexity of the required post-processing. +We will accomplish our goal by applying the classical shadows formalism of Ref. 57. We propose and analyze a +protocol that requires at most +m = 64e3 log (N/δ) k (2k + 2e)k ηkϵ−2 +(F3) +measurements to estimate the k-RDM. Performing these measurements requires acting on each of the particle registers +with a randomly sampled Clifford circuit and performing a measurement in the computational basis. These circuits +can be implemented using O(ηn2) one- and two-qubit Clifford gates on a linearly connected array of qubits in depth +O(n). Each element of the k-RDM requires performing a number of classical operations that scales as +m′ = O +�� +n4 + log (1/δ) +� +η2k2kϵ−2� +. +(F4) +2. +The measurement protocol +The classical shadows formalism of Huang et al. works by choosing an ensemble of random unitaries U on n qubits +and defining a measurement channel +M(σ) := EU∼U +� +b∈{0,1}n +U † |b⟩⟨b| U ⟨b|UσU †|b⟩ . +(F5) + +19 +For specific choices of U, the channel M is analytically invertible. Operationally, we obtain the classical shadow of σ by +repeatedly sampling a unitary U from U, applying the sampled U to a copy of σ, and measuring in the computational +basis (obtaining the bitstring b). If we collect m such samples, then we call the (potentially unphysical) state +ˆσ := 1 +m +m +� +i=1 +M−1 � +U † +i |bi⟩⟨bi| Ui +� +(F6) +a classical shadow of σ. For an arbitrary observable O, we can define an estimator ˆo of the quantity tr [Oρ] using the +classical shadow of ρ, +ˆo := tr [Oˆρ] . +(F7) +In expectation, we have that +⟨ˆσ⟩ = EU∼U +� +b∈{0,1}n +M−1 � +U † |b⟩⟨b| U +� +⟨b|UσU †|b⟩ = M−1 (M (σ)) = σ. +(F8) +When we take U to be the uniform distribution over the Clifford group on n qubits, the classical shadows measurement +channel and its inverse have particularly simple forms [57],2 +M(A) = +1 +2n + 1A + tr [A] +2n + 1I, +(F9) +M−1(A) = (2n + 1)A − tr [A] I. +(F10) +Here, and throughout our analysis of the measurement protocol, we use the symbol I to denote the identity operator +on a Hilbert space whose dimension is appropriate for the context. +In this work, we propose and analyze the impact of using an ensemble U that consists of a tensor product of η +copies of the uniform distribution over n qubit Clifford circuits, +U = +η +� +j=1 +Cl(2n). +(F11) +That is to say, we perform our measurements by independently sampling η n-qubit Clifford unitaries, applying one +to each particle register, and measuring in the computational basis. We can consider the action of the corresponding +classical shadow measurement channel and its inverse on an operator X1⊗· · ·⊗Xη that factorizes across the η registers. +The channel is defined on the whole Hilbert space by linear extension. For the classical shadow measurement channel, +we have +M(X1 ⊗ · · · ⊗ Xη) = +η +� +j=1 +� +�EUj∼Cl(2n) +� +bj∈{0,1}n +U † +j |bj⟩⟨bj| Uj ⟨bj|UjXjU † +j |bj⟩ +� +� +(F12) += +η +� +j=1 +�Xj + tr [Xj] I +2n + 1 +� +. +(F13) +The inverse, similarly, is given by +M−1(X1 ⊗ · · · ⊗ Xη) = +η +� +j=1 +((2n + 1) Xj − tr [Xj] I) . +(F14) +Due to the antisymmetry of the wavefunction, we have the freedom to choose between a number of different +observables when estimating the elements of the k-RDM. Consider an arbitrary operator O, and the operator POP †, +where P is an operator that permutes the particle registers. The expectation values of O and POP † with respect +to a first-quantized wavefunction are the same (to see this, observe that any sign picked up by acting P † on the ket +2 Actually, a substantial constant factor savings in the number of +gates can be obtained by using the canonical form of Ref. 92 and +simply dropping the permutation at the end of the circuit. See, +e.g., Ref. 93. + +20 +is cancelled out by a corresponding sign obtained from acting P on the bra). We can use this degree of freedom +to minimize the variance of our measurement protocol. Using the observable from Eq. (F1) to construct a classical +shadow estimator of a k-RDM element would lead to an unnecessarily large variance, essentially because the observable +doesn’t take advantage of all of the information present in the state. In contrast, Eq. (F2) defines the k-RDM element +in terms of a sum over many different permutations of the registers. We conjecture that a measurement protocol +based on the observable in Eq. (F2) would perform well, but the analysis could be tedious due to the many different +cases that would arise. +Rather than using the observables implied by either Eq. (F1) or Eq. (F2) in our classical shadow measurement +procedure, we instead choose to estimate the k-RDM elements using an observable that involves a sum over a simpler +set of permutations. Essentially, we break the η registers up into k groups of size η/k and measure the k-RDM element +using registers from each group. For ease of notation, let us assume that η is divisible by k.3 Formally, we can define +a set of sequences +Rk = {1, . . . , η/k} × {η/k + 1, . . . , 2η/k} × · · · × {(k − 1) η/k + 1, . . . , η} . +(F15) +Due to the antisymmetry of the wavefunction, we have that +kDj1,...,jk +i1,...,ik = +kk (η!) +ηk (η − k)! +� +x∈Rk +tr +� +|ψ⟩⟨ψ| +k +� +ℓ=1 +|iℓ⟩⟨jℓ|xℓ +� +. +(F16) +We define an estimator ˆd for the k-RDM element kDj1,...,jk +i1,...,ik using the classical shadow ˆρ of |ψ⟩, +ˆd = +kk (η!) +ηk (η − k)! +� +x∈Rk +tr +� +ˆρ +k +� +ℓ=1 +|iℓ⟩⟨jℓ|xℓ +� +. +(F17) +In Appendix F 4, we prove that the single-shot variance of this estimator is bounded by +Var( ˆd) ≤ e3ηk (2k + 2e)k . +(F18) +In order to guarantee that our estimates are close to the true value of the k-RDM elements with high probability, +we need to proceed along the same lines as Ref. 57 and construct a median-of-means estimator to obtain the desired +rigorous guarantees [94]. To be precise, using Proposition 12 from Ref. 94, we can consider an estimator that divides +the m total classical shadow samples into K groups of size b, and takes the median of the sample mean obtained by +averaging the estimates within each group. The probability that this median of means estimator has an error larger +than 2 +� +Var( ˆd)/b is at most e−K/8. To bound the error in our estimate by ϵ with a success probability of at least +1 − δ, this implies that we need +b = 4 Var( ˆd)/ϵ2, +(F19) +K = 8 log (1/δ) . +(F20) +The overall number of measurements claimed in Eq. (F3) follows directly from applying a union bound over the failure +probabilities for estimating all N 2k k-RDM elements. +The measurement protocol can be summarized as follows. We take a classical shadow of |ψ⟩ with the U defined in +Eq. (F11) using a number of samples m chosen according to Eq. (F3). For each sample, we evaluate the expectation +values of the (η/k)k different terms in the sum over Rk (see Eq. (F17)) using generalizations of Gottesman-Knill +theorem that account for the phase of the quantities involved [95–97]. Breaking the samples into K groups of size b, +averaging within the groups, and then taking the median of these means then yields the final estimate. The classical +post-processing costs quoted in Eq. (F4) come from counting the number of n-qubit sized Clifford circuits that need +to be simulated classically to carry out this procedure. +3 In the event that η is not exactly divisible by k, one could modify +the protocol to either use groups of slightly different sizes or to +only perform the measurements using η′ = k⌊η/k⌋ registers. + +21 +3. +Notation and preliminaries +Before we proceed to bound the variance of the estimator ˆd for an arbitrary k-RDM element, it is helpful to recall +a few useful expressions and prove some identities that we will use later. +We will make use of a formula for the two-fold twirl over the Clifford group and partial trace obtained from Ref. 57, +EU∼Cl(2n)U † |x⟩⟨x| U ⟨x|UAU †|x⟩ = A + tr(A)I +2n(2n + 1) . +(F21) +For the three-fold twirl and partial trace, we find it convenient to use the identity +EU∼Cl(2n)U † |x⟩⟨x| U ⟨x|UBU †|x⟩ ⟨x|UCU †|x⟩ = +1 +2n (2n + 1) (2n + 2) (I (tr [BC] + tr [B] tr [C]) + B tr [C] + C tr [B] + BC + CB) . +(F22) +This equation is different from the corresponding one considered in previous work (Eq. (S36) of Ref. 57), in that it +allows for B and C to have non-zero trace. It can be obtained directly from the analysis of Ref. 98.4 +Another small departure we make from some prior work is that we directly consider the variance of estimators for +the expectation values of non-Hermitian observables. For a classical shadow ˆρ of a state ρ and an estimator ˆo = tr [ˆρO] +of the expectation value of a (not necessarily Hermitian) operator O, we have +Var(ˆo) = tr +� +ρ +� +b +EU∼UU † |b⟩⟨b| U ⟨b|UM−1(O)U †|b⟩ ⟨b|UM−1(O†)U †|b⟩ +� +− |tr [Oρ]|2 +(F23) +≤ tr +� +ρ +� +b +EU∼UU † |b⟩⟨b| U ⟨b|UM−1(O)U †|b⟩ ⟨b|UM−1(O†)U †|b⟩ +� +. +(F24) +This expression can be arrived at from the definition of the variance of a complex-valued random variable applied to +the classical shadow formalism. We refer the reader to Ref. 59 for a thorough discussion. +In the course of calculating the variance for the higher-order RDMs, we will find that we repeatedly need to simplify +certain expressions. Before describing those expressions and showing how they may be simplified, let us define some +notation used for convenience throughout the rest of our analysis: +Px = |x⟩⟨x| , +(F25) +Pxy = |x⟩⟨y| , +(F26) +EU = EU∼Cl(2n), +(F27) +� +b += +� +b∈{0,1}n +. +(F28) +One class of expressions that we will need to simplify are of the form +A = EU +� +b +U †PbU ⟨b|UM−1(Pij)U †|b⟩ . +(F29) +We can use Eq. (F10) and Eq. (F21) to simplify Eq. (F29), +A = EU +� +b +U †PbU ⟨b|UM−1(Pij)U †|b⟩ +(F30) += EU +� +b +U †PbU ⟨b|U ((2n + 1) Pij − δi,jI) U †|b⟩ +(F31) += Pij. +(F32) +4 Note that while the proof of Lemma 7 in Ref. 98 is technically +for Hermitian matrices, the same proof holds exactly in the non- +Hermitian case. + +22 +Another kind of expression that we will need to simplify is of the form +A = EU +� +b +U †PbU ⟨b|UM−1(Pij)U †|b⟩ ⟨b|UM−1(Pkl)U †|b⟩ . +(F33) +Let us consider the first case, and simplify A as defined below, +A = EU +� +b +U †PbU ⟨b|UM−1(Pi)U †|b⟩ ⟨b|UM−1(Pi)U †|b⟩ . +(F34) +We have +M−1 (Pi) = (2n + 1) Pi − I +(F35) +by an application of Eq. (F10). Now we can apply Eq. (F22) with B = C = (2n + 1) Pi − I. +Let us simplify the pieces of Eq. (F22) separately before combining them. We have +BC = CB = ((2n + 1) Pi − I)2 +(F36) += (2n + 1) (2n − 1) Pi + I, +(F37) +tr [BC] = tr [CB] = 2n(2n + 1) − 1, +(F38) +tr [B] = tr [C] = 1. +(F39) +As a result, +I (tr [BC] + tr [B] tr [C]) + B tr [C] + C tr [B] + BC + CB +(F40) += 2n (2n + 1) I + 2 (2n + 1) Pi − 2I + 2 (2n + 1) (2n − 1) Pi + 2I +(F41) += 2n (2n + 1) (I + 2Pi) . +(F42) +Putting everything together, we have +A = EU +� +b +U †PbU ⟨b|UM−1(Pi)U †|b⟩ ⟨b|UM−1(Pi)U †|b⟩ +(F43) += +2n +2n + 2 (I + 2Pi) . +(F44) +Now we consider simplifying the expression +A = EU +� +b +U †PbU ⟨b|UM−1(Pij)U †|b⟩ ⟨b|UM−1(Pji)U †|b⟩ . +(F45) +In this case, we can again use Eq. (F22) with +B = M−1(Pij) = (2n + 1) Pij, +(F46) +C = M−1(Pji) = (2n + 1) Pji. +(F47) +Working out some of the pieces, we have +BC = (2n + 1)2 Pi, +(F48) +CB = (2n + 1)2 Pj, +(F49) +tr [BC] = (2n + 1)2 , +(F50) +tr [B] = tr [C] = 0. +(F51) +Therefore, +I (tr [BC] + tr [B] tr [C]) + B tr [C] + C tr [B] + BC + CB +(F52) += (2n + 1)2 (I + Pi + Pj) . +(F53) +Finally, we have +A = EU +� +b +U †PbU ⟨b|UM−1(Pij)U †|b⟩ ⟨b|UM−1(Pji)U †|b⟩ +(F54) += 2n + 1 +2n + 2 (I + Pi + Pj) . +(F55) + +23 +4. +Variance of the k-RDM with a restricted sum +Now we are ready to turn to the task of bounding the variance ˆd as defined in Eq. (F17). For now, we neglect the +coefficient in order to simplify the presentation. Let +O = +� +x∈Rk +Ox, +(F56) +Ox = +k +� +ℓ=1 +|iℓ⟩⟨jℓ|xℓ . +(F57) +The variance of the classical shadow estimator ˆo of ⟨O⟩ is bounded by +Var(ˆo) ≤ +� +x∈Rk +� +y∈Rk +tr [|ψ⟩⟨ψ| Axy] , +(F58) +Axy = +� +b +EU∼UU † |b⟩⟨b| U ⟨b|UM−1(Ox)U †|b⟩ ⟨b|UM−1(O† +y)U †|b⟩ . +(F59) +Because the inverse channel, the random unitaries, and the Ox all factorize across the registers, we can rewrite Axy +as a tensor product, +Axy = +η +� +z=1 +Az +xy, +(F60) +where Az +xy takes one of three forms depending on whether neither, one of, or both of Ox and Oy act non-trivially on +the zth register. If z /∈ x and z /∈ y, then +Az +xy = I. +(F61) +If exactly one of z ∈ x or z ∈ y is true, then we can use Eq. (F32) to simplify our expression for Az +xy. The cases +are symmetric between z ∈ x and z ∈ y, so we can treat only the first case without loss of generality. Let ℓ denote +the index of z in x (i.e., xℓ = z). We have +Az +xy = +� +b +EU∼UU † |b⟩⟨b| U ⟨b|UM−1(|iℓ⟩⟨jℓ|)U †|b⟩ +(F62) += |iℓ⟩⟨jℓ|z . +(F63) +If z ∈ y we instead have Az +xy = |jℓ⟩⟨iℓ|z. +The third case we must consider is where z ∈ x and z ∈ y. Let ℓ denote the index of z in x and y (they must be +the same because of the way we construct x and y). In this case, +Az +xy = +� +b +EU∼UU † |b⟩⟨b| U ⟨b|UM−1(|iℓ⟩⟨jℓ|)U †|b⟩ U ⟨b|UM−1(|jℓ⟩⟨iℓ|)U †|b⟩ . +(F64) +If iℓ = jℓ we can simplify this expression using Eq. (F44), otherwise we can use Eq. (F55). The combination of these +two formulas lets us write +Az +xy = +� +b +EU∼UU † |b⟩⟨b| U ⟨b|UM−1(|iℓ⟩⟨jℓ|)U †|b⟩ U ⟨b|UM−1(|jℓ⟩⟨iℓ|)U †|b⟩ +(F65) += 2n + 1 − δiℓ,jℓ +2n + 2 +(I + |iℓ⟩⟨iℓ| + |jℓ⟩⟨jℓ|) . +(F66) +Now we will use the antisymmetry of |ψ⟩ to bound the quantity |tr [|ψ⟩⟨ψ| Axy]|. Let +a = |x ∩ y|, +b = 2k − 2a. +(F67) +The operator Axy acts non-trivially on a + b registers. On a registers, it acts with an operator of the form given in +Eq. (F66). On the other b registers, it acts as |c⟩⟨d| for some c, d (that can vary per register). Due to the antisymmetry +of |ψ⟩, we can freely permute the registers without affecting the expectation value. + +24 +We can therefore rewrite the expectation value of interest as +|tr [|ψ⟩⟨ψ| Axy]| = +����� ⟨ψ| +� a +� +ℓ=1 +2n + 1 − δcℓ,dℓ +2n + 2 +(I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) +a+b +� +ℓ=a+1 +|cℓ⟩⟨dℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ +����� +(F68) +≤ +����� ⟨ψ| +� a +� +ℓ=1 +(I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) +a+b +� +ℓ=a+1 +|cℓ⟩⟨dℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ +����� . +(F69) +a. +Removing the off-diagonal terms +We can simplify the bound in Eq. (F69) by replacing the off-diagonal matrix elements with projectors. To do so, +we will need the following lemma. +Lemma 1. Let |ψ⟩ be an arbitrary normalized pure quantum state on n qubits. +Let O be an arbitrary positive +semidefinite operator on a qubits, and let |α⟩ and |β⟩ be arbitrary orthonormal quantum states on n − a qubits. Then, +| ⟨ψ|(O ⊗ |α⟩⟨β|)|ψ⟩| ≤ | ⟨ψ|(O ⊗ |φ⟩⟨φ|)|ψ⟩| +(F70) +for |φ⟩ = |α⟩ or |φ⟩ = |β⟩. +Proof. To begin the proof, expand |ψ⟩ as +|ψ⟩ = +� +ij +cij |i⟩ |j⟩ , +(F71) +where the states {|i⟩} form an eigenbasis for O and the states {|j⟩} are an orthonormal basis such that |α⟩ , |β⟩ ∈ {|j⟩}. +Then +| ⟨ψ|(O ⊗ |α⟩⟨β|)|ψ⟩| = +����� +� +i +c∗ +iαciβOii +����� +(F72) += +� +i +k∗ +iαkiβ, +(F73) +where Oii denotes the eigenvalue of O corresponding to the eigenvector |i⟩ and kij is defined implicitly as kij = cij +√Oii. +We can consider the quantity in Eq. (F73) as the inner product of two vectors ⃗kα and ⃗kβ. The Cauchy-Schwarz +inequality tells us that +����� +� +i +k∗ +iαkiβ +����� ≤ +� +� +� +� +�� +i +k∗ +iαkiα +� �� +i +k∗ +iβkiβ +� +. +(F74) +We can choose γ ∈ {α, β} such that +����� +� +i +k∗ +iγkiγ +����� ≥ +����� +� +i +k∗ +iαkiα +����� and +����� +� +i +k∗ +iγkiγ +����� ≥ +����� +� +i +k∗ +iβkiβ +����� . +(F75) +Therefore, we have that +| ⟨ψ|(O ⊗ |α⟩⟨β|)|ψ⟩| ≤ +����� +� +i +k∗ +iγkiγ +����� +(F76) += +����� +� +i +c∗ +iγciγOii +����� +(F77) += ⟨ψ|(O ⊗ |γ⟩⟨γ|)|ψ⟩ +(F78) +for either |γ⟩ = |α⟩ or |γ⟩ = |β⟩ We can remove the absolute value bars in the final line because O ⊗|γ⟩⟨γ| is a positive +semidefinite operator. + +25 +Now we can return to our bound from Eq. (F69), +|tr [|ψ⟩⟨ψ| Axy]| ≤ +����� ⟨ψ| +� a +� +ℓ=1 +(I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) +a+b +� +ℓ=a+1 +|cℓ⟩⟨dℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ +����� . +(F79) +By rearranging the registers, we can apply Lemma 1. Taking |α⟩ to be �a+b +ℓ=a+1 |cℓ⟩ and ⟨β| to be �a+b +ℓ=a+1 ⟨dℓ|, we +can show that either +|tr [|ψ⟩⟨ψ| Axy]| ≤ ⟨ψ| +� a +� +ℓ=1 +(I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) +a+b +� +ℓ=a+1 +|cℓ⟩⟨cℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ +(F80) +holds, or an equivalent expression with |dℓ⟩⟨dℓ| instead of |cℓ⟩⟨cℓ| in the second set of registers. Both cases are identical, +so we will proceed using the label gℓ for whichever choice is valid in each register. +We can also simplify the expression in the first registers. We claim that, for each register, we can replace the term +|cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ| with either 2 |cℓ⟩⟨cℓ| or 2 |dℓ⟩⟨dℓ| without making the expectation value any smaller. This can be seen +by proceeding register by register, using the linearity of the expectation value. Here again, the choice of cℓ or dℓ in +each register is immaterial, so we use the label gℓ to denote whichever one is appropriate for each register. Making +this simplification, we have that +|tr [|ψ⟩⟨ψ| Axy]| ≤ ⟨ψ| +� a +� +ℓ=1 +(I + 2 |gℓ⟩⟨gℓ|) +a+b +� +ℓ=a+1 +|gℓ⟩⟨gℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ . +(F81) +b. +Taking advantage of antisymmetry +Now we will take advantage of the antisymmetry of |ψ⟩ to bound the expectation values in Eq. (F81). It is helpful +to rewrite the expression in the first set of registers in a different form: +a +� +ℓ=1 +(I + 2 |gℓ⟩⟨gℓ|) = +a +� +w=0 +2w +� +S⊆[a]:|S|=w +a +� +ℓ=1 +W S +ℓ , +(F82) +where W S +ℓ = |gℓ⟩⟨gℓ| if ℓ ∈ S and Wℓ = I otherwise. This then leads us to the bound +|tr [|ψ⟩⟨ψ| Axy]| ≤ +a +� +w=0 +2w +� +S⊆[a]:|S|=w +⟨ψ| +� a +� +ℓ=1 +W S +ℓ +a+b +� +ℓ=a+1 +|gℓ⟩⟨gℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ . +(F83) +Now that we have obtained this bound, we will proceed to use the antisymmetry of |ψ⟩ to show that +⟨ψ| +� a +� +ℓ=1 +W S +ℓ , +a+b +� +ℓ=a+1 +|gℓ⟩⟨gℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ ≤ +1 +P(η, |S| + b) = (η − |S| − b)! +η! +. +(F84) +To do so, let us prove the following lemma, +Lemma 2. Let |ψ⟩ be a normalized pure state on η registers of n qubits each. Furthermore, let S |ψ⟩ = − |ψ⟩ for any +operator S that swaps the states of two of the registers. Let {Pi}i∈[k] be a set of projectors onto orthonormal n qubit +states. Then +0 ≤ ⟨ψ| +� k +� +i=1 +Pi +η +� +i=k+1 +I +� +|ψ⟩ ≤ +1 +P(η, k) = (η − k)! +η! +, +(F85) +where P(η, k) denotes the number of ways to choose a sequence of k items from a set of size η. +Proof. Let Sk denote the set of all sequences obtained by choosing k items from the set [η]. Note that two sequences +with the same elements in different orders are treated as distinct elements of Sk. For a sequence s ∈ Sk we define the +operator As as the operator that acts on register si with the projector Pi for all i ∈ [k] and acts on the other η − k + +26 +registers with the identity operation. Note that all of the operators As are defined using the same set of k projectors +acting on (potentially) different registers. +We will prove the claim by showing that +� +s∈Sk +⟨ψ|As|ψ⟩ ≤ 1. +(F86) +Clearly the operators {As}s∈Sk are all projectors onto different subspaces. +In general, these projectors are not +orthogonal (under the Hilbert-Schmidt inner product). Equivalently, we could say that the +1 eigenspaces of these +operators are not orthogonal in general. +However, we can show that |ψ⟩ has no support on states that are in the +1 eigenspace of more than one of these +projectors. Consider Ax and Ay for x ̸= y. There must be some register ℓ on which they act differently. If Ax and +Ay both act on register ℓ with distinct projectors Pi and Pj then AxAy = 0 and their eigenspaces have no overlap, +so we are done. Assume that only one of Ax and Ay acts on register ℓ. Without loss of generality we consider the +case where Ax acts on register ℓ with the projector Pi. Then, by definition, Ay acts on a different register ℓ′ with +Pi (since Ay acts with exactly the same projectors as Ax, just on a potentially different set of registers). Due to the +antisymmetry of |ψ⟩, we therefore have ⟨ψ|AxAy|ψ⟩ = 0. +Therefore, we can assert that +� +s∈Sk +⟨ψ|As|ψ⟩ ≤ 1. +(F87) +This could be seen in more detail by expanding |ψ⟩ in the basis that diagonalizes all of the {As} and applying the +fact that if Ax |φ⟩ = 1 then Ay |φ⟩ = 0 for all x ̸= y. The antisymmetry of |ψ⟩ also implies that ⟨ψ|Ax|ψ⟩ = ⟨ψ|Ay|ψ⟩ +for all x, y. Therefore, we have that +|Sk| ⟨ψ|As|ψ⟩ ≤ 1 +(F88) +for any As. The {As} are all positive semidefinite, so we can bound the expectation value of the particular one from +Eq. (F85) below by zero and divide by |Sk| = P(η, k) to yield +0 ≤ ⟨ψ| +� k +� +i=1 +Pi +η +� +i=k+1 +I +� +|ψ⟩ ≤ +1 +P(η, k) = (η − k)! +η! +, +(F89) +completing the proof. +Eq. (F84) follows directly from this lemma and the fact that we can freely permute the observables between registers +without changing the expectation value. Now we can return to Eq. (F83) and apply Eq. (F84) to show that +|tr [|ψ⟩⟨ψ| Axy]| ≤ +a +� +w=0 +2w +� +S⊆[a]:|S|=w +⟨ψ| +� a +� +ℓ=1 +W S +ℓ +a+b +� +ℓ=a+1 +|gℓ⟩⟨gℓ| +η +� +ℓ=a+b+1 +I +� +|ψ⟩ +(F90) +≤ +a +� +w=0 +2w +� +S⊆[a]:|S|=w +(η − w − b)! +η! +(F91) += +a +� +w=0 +2w +� +S⊆[a]:|S|=w +(η − w)! +η! +(η − w − b)! +(η − w)! +(F92) +≤ +a +� +w=0 +2w +� +S⊆[a]:|S|=w +(η − w)! +η! +(η − a − b)! +(η − a)! +, +(F93) + +27 +with the last inequality following from the fact that η − a ≤ η − w. Then we have that +|tr [|ψ⟩⟨ψ| Axy]| ≤ +a +� +w=0 +2w +� +S⊆[a]:|S|=w +(η − w)! +η! +(η − a − b)! +(η − a)! +, +(F94) += (η − a − b)! +(η − a)! +a +� +w=0 +2w +� +S⊆[a]:|S|=w +(η − w)! +η! +(F95) += (η − a − b)! +(η − a)! +a +� +w=0 +2w +�a +w +�(η − w)! +η! +(F96) +≤ (η − a − b)! +(η − a)! +a +� +w=0 +2w +�a +w +�(a − w)! +a! +(F97) += (η − a − b)! +(η − a)! +a +� +w=0 +2w +w! +(F98) +≤ (η − a − b)! +(η − a)! +∞ +� +w=0 +2w +w! +(F99) += (η − a − b)! +(η − a)! +e2, +(F100) +where the last step is obtained by the application of a well-known formula for the infinite sum of the sequence in +Eq. (F99). +c. +Putting the pieces together +Having shown that +|tr [|ψ⟩⟨ψ| Axy]| ≤ e2 (η − a − b)! +(η − a)! +, +(F101) +we are ready to return to the bound in Eq. (F58), which we recall below: +Var(ˆo) ≤ +� +x∈Rk +� +y∈Rk +tr [|ψ⟩⟨ψ| Axy] . +(F102) +We then have that +Var(ˆo) ≤ +� +x∈Rk +� +y∈Rk +|tr [|ψ⟩⟨ψ| Axy]| +(F103) +≤ +� +x∈Rk +� +y∈Rk +e2 (η − a − b)! +(η − a)! +. +(F104) +Recall that we defined a and b in Eq. (F67) in the following way, +a = |x ∩ y|, +b = 2k − 2a. +(F105) +Recall also the definition of the set of sequences Rk from Eq. (F15), +Rk = {1, . . . , η/k} × {η/k + 1, . . . , 2η/k} × · · · × {(k − 1) η/k + 1, . . . , η} . +(F106) +Colloquially, a sequence in Rk indexes a set of k registers, one from the first group of η/k, one from the second group +of η/k, and so on. +Let us consider a fixed sequence x ∈ Rk and determine how many sequences y ∈ Rk exist for a specific value of a. +For a fixed value of a, x and y share a elements. By construction, there are +�k +a +� +different choices for these a elements +(because there are k groups and x and y can either match or fail to match in each group). In each of the k −a groups + +28 +of registers where x and y don’t match, there are exactly η/k − 1 ways to choose the corresponding element of y. +Therefore, for a given a and x, we have that +|{y ∈ Rk : |x ∩ y| = a}| = +�k +a +� +(η/k − 1)k−a . +(F107) +The only way that a particular x or y enters into Eq. (F104) is through a and b, so we can use this fact to take the +sums over x and y, yielding +Var(ˆo) ≤ +� +x∈Rk +� +y∈Rk +e2 (η − a − b)! +(η − a)! +(F108) +≤ e2 � +x∈Rk +k +� +a=0 +�k +a +� +(η/k − 1)k−a (η − 2k + a)! +(η − a)! +(F109) +≤ e2 (η/k)k +k +� +a=0 +�k +a +� +(η/k − 1)k−a (η − 2k + a)! +(η − a)! +, +(F110) +under the assumption that η > 2k so that we don’t have to restrict the sum over a. +Simplifying the inequality further, we find that +Var(ˆo) ≤ e2 (η/k)k (η/k − 1)k +k +� +a=0 +�k +a +� +(η/k − 1)−a (η − 2k + a)! +(η − a)! +(F111) +≤ e2 (η/k)k (η/k − 1)k +k +� +a=0 +�k +a +� +(η/k − 1)−a (η − 2k + a)! +(η − k)! +. +(F112) +Now we employ the upper and lower bounds from Stirling’s formula (that hold for any integer n > 0), +√ +2πn +�n +e +�n +< n! < e +√ +2πn +�n +e +�n +. +(F113) +We can use these bounds to simplify the ratio of factorials in Eq. (F112), +(η − 2k + a)! +(η − k)! +≤ e +� +2π (η − 2k + a) +�η − 2k + a +e +�η−2k+a +1 +(η − k)! +(F114) +≤ e +� +2π (η − k) +�η − k +e +�η−2k+a +1 +(η − k)! +(F115) +≤ e +�η − k +e +�η−2k+a � +e +η − k +�η−k +(F116) += e +� +e +η − k +�k−a +. +(F117) +Using the assumption that η > 2k we can proceed further, yielding +(η − 2k + a)! +(η − k)! +≤ e +� +e +η − k +�k−a +(F118) +≤ e +�2e +η +�k−a +(F119) += e +�2e +η +�k �2e +η +�−a +, +(F120) +where we have used the fact that η > 2k implies that η − k > η/2. + +29 +We can use Eq. (F120) to further simplify Eq. (F112), finding that, +Var(ˆo) ≤ e2 (η/k)k (η/k − 1)k +k +� +a=0 +�k +a +� +(η/k − 1)−a (η − 2k + a)! +(η − k)! +(F121) +≤ e3 (η/k)k (η/k − 1)k +k +� +a=0 +�k +a +� +(η/k − 1)−a +�2e +η +�k �2e +η +�−a +(F122) +≤ e3 � +η2/k2�k +k +� +a=0 +�k +a +� � η +2k +�−a �2e +η +�k �2e +η +�−a +(F123) += e3 +�2eη +k2 +�k +k +� +a=0 +�k +a +� � e +k +�−a +. +(F124) +Note that we again used the fact that η > 2k implies that η − k > η/2 to simplify the part of the bound involving +(η/k − 1). Applying the binomial theorem to the sum yields the bound +Var(ˆo) ≤ e3 +�2eη +k2 +�k +e−k (k + e)k +(F125) += e3 +�2η (k + e) +k2 +�k +. +(F126) +Recall that we defined the estimator ˆo by neglecting the coefficient +kk(η!) +ηk(η−k)! in Eq. (F16)’s expression for the k-RDM +element kDj1,...,jk +i1,...,ik . If we let ˆd be the estimator for this k-RDM element with the coefficient included, we have that +Var( ˆd) = +� +kk (η!) +ηk (η − k)! +�2 +Var(ˆo). +(F127) +Therefore, we can bound the desired variance by +Var( ˆd) ≤ +� +kk (η!) +ηk (η − k)! +�2 +e3 +�2η (k + e) +k2 +�k +. +(F128) +Simplifying this expression, we obtain +Var( ˆd) ≤ +� +kk (η!) +ηk (η − k)! +�2 +e3 +�2η (k + e) +k2 +�k +(F129) += e3 +� +(η!) +(η − k)! +�2 �2 (k + e) +η +�k +(F130) +≤ e3ηk (2k + 2e)k , +(F131) +which is the bound advertised in Eq. (F18). +Appendix G: More efficient Slater determinant state preparation in first quantization +The general principle is to prepare the state in second quantization, then convert it to first quantization. To avoid +needing to store all N qubits for the second quantized state as it is produced, we convert its qubits to the first +quantized representation. +To explain this, we will first explain how a state in the second quantized representation can be converted to the +first quantized representation. A computational basis state in second quantization consists of a string of N bits with +η ones and N − η zeros. The procedure is to run through these qubits in sequence and store the locations in η +registers of size ⌈log N⌉. Let us call the qubit number we consider from the second quantized representation q and +also record the number of electrons (ones) found so far as ξ. The value of ξ will be stored in an ancilla register of size +nη = ⌈log(η + 1)⌉. +We initialize all η registers for the first quantized representation and the ξ register as zero. Then, for q = 1 to N +we perform the following. + +30 +1. Add the value in qubit q to the ξ register, with Toffoli cost nη − 1. If the qubit is in the state |1⟩ then ξ is +incremented. +2. Now use qubit q to control unary iteration [15] on the register ξ, which has cost η − 1. +3. Use this unary iteration to write the value q into register ξ using CNOTs. Because q is iterated classically, only +CNOTs are needed, with no further Toffolis beyond that needed for the unary iteration. Because the unary +iteration is controlled by qubit q, in the case where qubit q is in state |0⟩, the unary iteration does not proceed +and the value of q is not written out. +4. Now perform unary iteration on ξ again that is not controlled; the cost is η − 2. +5. We use the unary iteration on ξ to check if the value in register number ξ is q; if it is then we perform a NOT on +qubit q. This multiply-controlled Toffoli is controlled by ⌈log N⌉ + 1 qubits (including the qubit from the unary +iteration), so it has a cost of ⌈log N⌉. But, this is done for each of the η registers, for a total cost η⌈log N⌉. +The last operation ensures that qubit q is set to |0⟩. +That is because, if it is initially |0⟩, then value q is not written +in register ξ, and the value is not flipped. If it is initially |1⟩, then q is written in register ξ, and the multiply-controlled +Toffoli flips this qubit to |0⟩. +So far this procedure gives an ordered list of the electron positions, but we need an antisymmetrized state. To +obtain that, we apply the procedure in [66] to antisymmetrize with cost O(η log η log N). The total Toffoli cost is +N (2η + nη − 3 + η⌈log N⌉) + O(η log η log N). +(G1) +The dominant cost here is ηN log N from erasing the qubits in the second quantized representation, with the factor +of log N coming from the need to check all qubits of each register to check if it is q. However, recall that in unary +iteration it is possible to check if a register is equal to a consecutive sequence of values without this logarithmic +overhead, and we are considering consecutive values of q. +To eliminate that overhead, we, therefore, consider simultaneous unary iteration on all of the η registers. That is, +for each register for the first quantized representation, we also store the qubits needed for unary iteration, as well as +a control register to ensure we do not iterate on registers that do not have value written into them yet. The control +qubits will correspond to the value of ξ in unary. Our modified procedure is as follows (with the iteration of q from 1 +to N). +1. Perform a single step of unary iteration on all η registers with cost η Toffolis. +2. Add the value in qubit q to the ξ register, with Toffoli cost nη − 1. +3. Use qubit q to control unary iteration on the register ξ, which has cost η − 1. +4. Use this unary iteration to write the value q into register ξ, as well as the ⌈log N⌉ ancilla qubits for the unary +iteration and the control qubit. Again this is performed with CNOTs. +5. Convert the control qubits to one-hot unary using a sequence of CNOTs. +6. For each of the η registers, use the control qubit and the unary iteration output to control a NOT on qubit q. +This has a cost of a single Toffoli for each register, for a toal of η. +7. Convert the control qubits to from one-hot unary with CNOTs. +As a result, we have eliminated the log N factor and also eliminated the cost of η − 2 for the unary iteration on ξ +(because the control qubits are a unary representation of ξ). One might ask if the binary representation of ξ is still +needed; however, it would be more costly to add increment ξ in unary (about η cost instead of log η). The total Toffoli +cost of this procedure is now +N (3η + nη − 2) + O(η log η log N), +(G2) +where the order term is the cost for antisymmetrizing. Note that this reduces the Toffoli cost, but there is still a +Clifford cost of Nη log N from the CNOTs to place the value of q in the first quantized registers. +Now to efficiently prepare the Slater determinant, we can perform the sequence of Givens rotations on the qubits +for the second quantized representation. The Givens rotations are performed in a sequence where Givens rotations +are performed in a layer on qubits 1 to η + 1, then on qubits 2 to η + 2, then 3 to η + 3, and so on. One can find the +details of the Givens rotations that must be applied in [64]. Generally, layer q of Givens rotations is performed on + +31 +qubits q to η + q. After the first layer there are only η + 1 qubits being used, and the first qubit is not accessed again +in the preparation. Therefore we can convert this qubit to the first quantized representation and erase it. Then there +are only η qubits actively being used in the second quantized representation, and the next layer will be performed on +qubits 2 to η + 2, bringing on one more qubit. +In this way, each time we perform a layer of Givens rotations to prepare the state, we can convert one qubit to +the first quantized representation, and only η + 1 qubits of the second quantized representation need be used at once, +which is trivial compared to the number of qubits used for the first quantized representation. + diff --git a/x9AzT4oBgHgl3EQfQvs-/content/tmp_files/load_file.txt b/x9AzT4oBgHgl3EQfQvs-/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..23e666ef7eb93cd99f361680cfa24399d40ed589 --- /dev/null +++ b/x9AzT4oBgHgl3EQfQvs-/content/tmp_files/load_file.txt @@ -0,0 +1,1354 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf,len=1353 +page_content='Quantum simulation of exact electron dynamics can be more efficient than classical mean-field methods Ryan Babbush,1, ∗ William J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Huggins,1 Dominic W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Berry,2 Shu Fay Ung,3 Andrew Zhao,1, 4 David R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Reichman,3 Hartmut Neven,1 Andrew D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Baczewski,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='5 and Joonho Lee1,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 3,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' † 1Google Quantum AI,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Venice,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' CA,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' United States 2Department of Physics and Astronomy,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Macquarie University,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Sydney,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' NSW,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Australia 3Department of Chemistry,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Columbia University,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' New York,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' NY,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' United States 4Department of Physics and Astronomy,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' University of New Mexico,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Albuquerque,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' NM,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' United States 5Quantum Algorithms and Applications Collaboratory,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Sandia National Laboratories,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Albuquerque NM,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' United States (Dated: January 4,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 2023) Quantum algorithms for simulating electronic ground states are slower than popular classical mean-field algorithms such as Hartree-Fock and density functional theory,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' but offer higher accuracy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Accordingly, quantum computers have been predominantly regarded as competitors to only the most accurate and costly classical methods for treating electron correlation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, here we tighten bounds showing that certain first quantized quantum algorithms enable exact time evolution of electronic systems with exponentially less space and polynomially fewer operations in basis set size than conventional real-time time-dependent Hartree-Fock and density functional theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Although the need to sample observables in the quantum algorithm reduces the speedup, we show that one can estimate all elements of the k-particle reduced density matrix with a number of samples scaling only polylogarithmically in basis set size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We also introduce a more efficient quantum algorithm for first quantized mean-field state preparation that is likely cheaper than the cost of time evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We conclude that quantum speedup is most pronounced for finite temperature simulations and suggest several practically important electron dynamics problems with potential quantum advantage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Introduction Quantum computers were first proposed as tools for dynamics by Feynman [1] and later shown to be univer- sal for that purpose by Lloyd et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Like those early papers, most work on this topic assumes that the ad- vantage of quantum computers for dynamics is that they provide an approach to simulation with systematically improvable precision but without scaling exponentially.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here, we advance and analyze a different idea: certain (exact) quantum algorithms for dynamics may be more efficient than even classical methods that make uncon- trolled approximations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We examine this in the context of simulating interacting fermions – systems of relevance in fields such as chemistry, physics, and materials science.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It is often the case that practically relevant ground state problems in chemistry and materials science do not exhibit strong correlation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For those problems, many classical heuristic methods work well [3–5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Even for some strongly correlated systems, there are successful polynomial-scaling classical methods [6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here, we ar- gue that even if electronic systems are well described by mean-field theory, quantum algorithms can achieve speedup over classical algorithms for simulating the time evolution of such systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We focus on comparing to mean-field methods such as real-time time-dependent Hartree-Fock and density functional theory due to their popularity and well-defined scaling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Nonetheless, many ∗ corresponding author: ryanbabbush@gmail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='com † corresponding author: linusjoonho@gmail.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='com of our arguments translate to advantages over other known classical approaches to dynamics that are more expensive but more accurate than mean-field methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is a sharp contrast to prior studies of quantum algorithms, which have focused on strongly correlated ground state problems such as FeMoCo [7–11], P450 [12], chromium dimers [13] and jellium [14–17], assess- ing quantum advantage over only the most accurate and costly classical algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Quantum algorithms competitive with efficient clas- sical algorithms for dynamics have been analyzed in contexts outside of fermionic simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, work by Somma [18] showed that certain one-dimensional quantum systems, such as harmonic oscillators, could be simulated with sublinear complexity in system size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Ex- perimentally motivated work by Geller et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [19] also pro- posed simulating quantum systems in a single-excitation subspace, a task for which they suggested a constant fac- tor speedup was plausible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, neither work is con- nected to the context studied here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We begin by analyzing the cost of classical mean-field dynamics and recent exact quantum algorithms in first quantization, focusing on explaining why there is often a quantum speedup in the number of basis functions over classical mean-field methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Next, we analyze the over- heads associated with measuring quantities of interest on a quantum computer and introduce more efficient meth- ods for measuring the one-particle reduced density ma- trix in first quantization (which characterizes all mean- field observables).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then, we discuss the costs of prepar- ing mean-field states on the quantum computer and de- scribe new methods that make this cost likely negligible compared to the cost of time evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Finally, we con- arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='01203v1 [quant-ph] 3 Jan 2023 2 clude with a discussion of systems where these techniques might lead to practical quantum advantage over classical mean-field simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Classical mean-field dynamics Here we will discuss mean-field classical algorithms for simulating the dynamics of interacting systems of elec- trons and nuclei.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, we will focus on the ab initio Hamiltonian with η particles discretized using N basis functions, which can be expressed as H = N � µν hµνa† µaν + 1 2 N � µνλσ (µν|λσ) a† µa† λaσaν (1) where a(†) µ is the fermionic annihilation (creation) opera- tor for the µ-th orbital and integral values are given by hµν = � dr φ∗ µ (r) � −∇2 2 + V (r) � φν (r) , (2) (µν|λσ) = � dr1dr2 φ∗ µ (r1) φν (r1) φ∗ λ (r2) φσ (r2) |r1 − r2| .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (3) Here, V (r) is the external potential (perhaps arising from the nuclei) and φµ(r) represents a spatial orbital.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Exact quantum dynamics is encoded by the time- dependent Schr¨odinger equation given by i ∂ ∂t |ψ (t)⟩ = H |ψ (t)⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (4) Mean-field dynamics, such as real-time time-dependent Hartree-Fock (RT-TDHF) [20], employs a time- dependent variational principle within the space of sin- gle Slater determinants (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', anti-symmetrized product states) to approximate Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Other methods with similar cost such as real-time time-dependent density functional theory (RT-TDDFT) rely on a relationship between the interacting system and an auxiliary non- interacting system to define dynamics within a space of single Slater determinants [20–22].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In both methods, there are η occupied orbitals, each expressed as a linear combination of N basis functions using the coefficient matrix, Cocc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The dimension of Cocc is N × η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' These orbitals then constitute a Slater determinant (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', anti- symmetric product states), det(Cocc).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Storing Cocc on a classical computer has space complexity O(Nη log(1/ϵ)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result of this approximation, we solve the follow- ing effective time-dependent equation for the occupied orbital coefficients that specify the Slater determinant Cocc(t) at a given moment in time: i∂Cocc (t) ∂t = F (t) Cocc (t) (5) where the effective one-body mean-field operator F(t), also known as the time-dependent Fock matrix, is Fµν(t) = hµν + N � λσ � (µν|λσ) − (µσ|λν) 2 � Pσλ(t) (6) with P(t) = Cocc(t)(Cocc(t))†.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' While F(t) is an N × N dimensional matrix, we can apply it to Cocc(t) without explicitly constructing it, thus avoiding a space complex- ity of O(N 2 log(1/ϵ)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Using the most common methods of applying this matrix to update each of η occupied or- bitals in Cocc(t) requires � O(N 2η) total operations1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, a recent technique referred to as occ-RI-K by Head-Gordon and co-workers [23], and similarly “Adap- tively Compressed Exchange” (ACE) [24, 25] by Lin and co-workers, further reduces this cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' These methods leverage the observation that, when restricted to the sub- space of the η occupied orbitals, the effective rank of the Fock operator scales as O(η).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This gives an approach to updating the Fock operator that requires only � O(N η2) (7) operations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Below we will use gate complexity and the number of operations interchangeably when discussing the scaling of classical algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Although these tech- niques are not implemented in every quantum chemistry code, we regard them as the main point of comparison to quantum algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We also note that RT-TDDFT with hybrid functionals [26] has the same scaling as RT- TDHF.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Simpler RT-TDDFT methods (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', those without exact exchange) can achieve better scaling, � O(Nη) in a plane wave basis, but are often less accurate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For finite-temperature simulation, one often needs to track M > η orbitals with appreciable occupations, in- creasing the space complexity to O(NM log(1/ϵ)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This increases the cost of occ-RI-K or ACE mean-field up- dates to � O(NM 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' At temperatures well above the Fermi energy, most orbitals have appreciable occupations so M ≃ N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' More expensive methods for dynamics that in- clude electron correlation in the dynamics tend to scale at least linearly in the cost of ground state simulation at that level of theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, speedup over mean-field methods implies speedup over more expensive methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In recent years, by leveraging the “nearsightedness” of electronic systems [27], “linear-scaling” methods have been developed that achieve updates scaling as O(N) [28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For RT-TDHF and RT-TDDFT, linear-scaling comes from the fact that the off-diagonal elements of P fall off quickly with distance for the ground state [29] and some low-lying excited states [30] in a localized basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' One can show that for gapped ground states, the decay rate is exponential, whereas for metallic ground states, 1 Throughout the paper we will use the convention that � O(·) im- plies big-O notation suppressing polylogarithmic factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 3 it is algebraic [27].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, often such asymptotic be- havior only onsets for very large systems, and the onset can be highly system-dependent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This should be con- trasted with the scaling analyzed above and the scaling of quantum algorithms (vide infra) that onsets already at modest system sizes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Furthermore, the nearsighted- ness of electrons does not necessarily hold for dynamics of highly excited states and at high temperatures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Due to these limitations, we do not focus on comparing quantum algorithms and classical linear scaling methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It has also been suggested that one can exploit a low- rank structure of occupied orbitals using the quantized tensor train format [31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Assuming the compression of orbitals in real space is efficient such that the rank does not grow with system size or the number of grid points, the storage cost is reduced to ˜O(η), and the update cost is ˜O(η2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It is unclear how well compression can be realized for dynamics problems and finite-temperature problems, and to our knowledge, it has been never been deployed for those purposes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Accordingly, we do not consider this approach as the point of comparison.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We now discuss how many time steps are required to perform time evolution using classical mean-field ap- proaches.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The number of time steps will depend on the target precision as well as the total unitless time T = max Cocc ∥F∥ t, (8) where t is duration of time-evolution and ∥ · ∥ denotes the spectral norm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This dependence on the norm of F is similar to what would be obtained in the case of linear differential equations despite the dependence on Cocc;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' see Appendix A for a derivation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can upper bound T by considering its scaling in a local basis, and with open boundary conditions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We find max Cocc∥F∥= O �η2/3 δ + 1 δ2 � = O � N 1/3η1/3+ N 2/3 η2/3 � , (9) where δ = O((η/N)1/3) is the minimum grid spacing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The first term comes from the Coulomb operator, and the second comes from the kinetic energy operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This scaling for δ comes from taking the computational cell volume proportional to η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We briefly describe how this scaling for the norm is obtained and refer the reader to Appendix A for more details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The 1/δ2 term is obtained from the kinetic en- ergy term in hµν.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When diagonalized, that term will be non-zero only when µ = ν with entries scaling as O(1/δ2) due to the ∇2 in the expression for hµν.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That upper bounds the spectral norm for this diagonal matrix, and the spectral norm is unchanged under change of basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The η2/3/δ comes from the sum in the expression for Fµν.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To bound the tensor norm of (µν|λσ) − (µσ|λν)/2 we can bound the norms of the two terms separately.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For each, the tensor norm can be upper bounded by noting that the summing over µν, λσ with normalized vectors corresponds to transformations of the individual orbitals in the integral defining (µν|λσ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Since orbitals cannot be any more compact than width δ, the 1/|r1 − r2| in the integral averages to give O(1/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' There is a further fac- tor of η2/3 when accounting for η electrons that cannot be any closer than η1/3δ on average.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The number of time steps required to effect evolution to within error ϵ depends on the choice of time integra- tor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Many options are available [32–34], and the optimal choice depends on implementation details like the basis set and pseudization scheme, as well as the desired accu- racy [35].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In Appendix A, we argue that the minimum number of time steps t/∆t one could hope for by using an arbitrarily high order integration scheme of this sort is T 1+o(1)/ϵo(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In particular, for an order k integra- tor, the error can be bounded as O((∥F∥∆t)k+1), with a possibly k-dependent constant factor that is ignored in this expression.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That means the error for t/∆t time steps is O(t∥F∥k+1∆tk).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To obtain error no more than ϵ, take (t/∆t)k = O((t∥F∥k+1/ϵ), so the number of time steps is t/∆t = O(T 1+1/k/ϵ1/k).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Plugging Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (9) into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (8) and multiplying the update cost in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (7) by T 1+o(1)/ϵo(1) time steps, we find the number of opera- tions required for classical mean-field time-evolution is � N 4/3η7/3t + N 5/3η4/3t � �Nt ϵ �o(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (10) Finally, when performing mean-field dynamics, the central quantity of interest is often the one-particle re- duced density matrix (1-RDM).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The 1-RDM is an N ×N matrix defined as a function of time with matrix elements ρµν (t) = ⟨ψ (t)| a† µaν |ψ (t)⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (11) The 1-RDM is the central quantity of interest because it can be used to reconstruct any observable associated with a Slater determinant efficiently.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For more general states, one would also need higher order RDMs;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' however, all higher order RDMs can be exactly computed from the 1-RDM via Wick’s theorem when the wavefunction is a single Slater determinant [36].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, when mean-field approximations work well, the time-dependent 1-RDM can also be used to compute multi-time correlators such as Green’s functions and spectral functions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Exact quantum dynamics in first quantization One of the key advantages of some quantum algorithms over mean-field classical methods is the ability to per- form dynamics using the compressed representation of first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' First quantized quantum simulations date back to [37–40].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' They were first applied to fermionic systems in [38] and developed for molecular systems in [41, 42].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In first quantization, one encodes the wave- function using η different registers (one for each occupied orbital), each of size log N (to index the basis functions comprising each occupied orbital).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The space complexity of first quantized quantum algorithms is O(η log N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 4 As described previously, mean-field classical methods require space complexity of O(Nη log(1/ϵ)) where ϵ is the target precision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, these quantum algorithms require exponentially less space in N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Usually, when one thinks of quantum computers more efficiently en- coding representations of quantum systems, the advan- tage comes from the fact that the wavefunction might be specified by a Hilbert space vector of dimension �N η � and could require as much space to represent explicitly on a classical computer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, this alone cannot give exponential quantum advantage in storage in N over clas- sical mean-field methods since mean-field methods only resolve entanglement arising from anti-symmetry and do not attempt to represent wavefunction in the full Hilbert space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Instead, the scaling advantage these quantum al- gorithms have over mean-field methods is related to the ability to store the distribution of each occupied orbital over N basis functions, using only log N qubits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' But quantum algorithms require more than the compressed representations of first quantization in order to realize a scaling advantage over classical mean-field methods;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' they must also have sufficiently low gate complexity in the ba- sis size and other parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here we will review and tighten bounds for the most efficient known quantum algorithms for simulating the dynamics of interacting electrons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Early first quan- tized algorithms for simulating chemistry dynamics such as [41, 42] were based on Trotterization of the time- evolution operator in a real space basis and utilized the quantum Fourier transform to switch between a repre- sentation where the potential operator was diagonal and the kinetic operator was diagonal.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This enabled Trot- ter steps with gate complexity � O(η2) but the number of Trotter steps required for the approach of those papers scaled worse than linearly in N, η, the simulation time t and the desired inverse error in the evolution, 1/ϵ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Leveraging recent techniques for bounding Trotter er- ror [43–45], in Appendix B we show that using sufficiently high order Trotter formulas, the overall gate complexity of these algorithms can be reduced to � N 1/3η7/3t + N 2/3η4/3t � �Nt ϵ �o(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (12) This is the lowest reported scaling of any Trotter based first quantized quantum chemistry simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We re- mark that the N 1/3η7/3t scaling is dominant whenever N < Θ(η3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In that regime, it represents a quartic speedup in basis size for propagation over the classical mean-field scaling given in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The first algorithms to achieve sublinear scaling in N were those introduced by Babbush et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That work focused on first quantized simulation in a plane wave basis and leveraged the interaction picture simulation scheme of [47] to give gate complexity scaling as � O � N 1/3η8/3t � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (13) When N > Θ(η4), this algorithm is more efficient than the Trotter based approach.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Since that is also the regime where the second term in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (10) dominates that scal- ing, this represents a quintic speedup in N, coupled with a quadratic slowdown in η, over mean-field classical algo- rithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The work of Su et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [48] analyzed the constant factors in the scaling of this algorithm for use in ground state preparation via quantum phase estimation [49].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In Appendix C of this work we analyze the constant factors in the scaling of this algorithm when deployed for time- evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Su et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [48] also introduced algorithms with the same scaling as Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (13) but in a grid representation (see Appendix K therein).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' A key component of the algorithms of [46, 48] is the realization of block encodings [50] with just � O(η) gates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The difficult part of the block encoding is the preparation of a superposition state with amplitudes proportional to the square root of the Hamiltonian term coefficients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' A novel quantum algorithm is devised for this purpose in [46] which scales only polylogarithmically in basis size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The N 1/3 dependence of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (13) enters via the number of times the block encoding must be repeated to perform time evolution, related to the norm of the potential oper- ator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Under certain assumptions, the norm of the poten- tial term can be reduced to a polylogarithmic dependence on N (see Appendix D for more details).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In that case, exponential quantum advantage in N is possible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We note that second quantized algorithms outperform first quantized quantum algorithms in gate complexity when N < Θ(η2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is because while the best scal- ing Trotter steps in first quantization require � O(η2) gates [42], the best scaling Trotter steps in second quantization require � O(N) gates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As recently shown in [45], such ap- proaches lead to a total gate complexity for Trotter based second quantized algorithms scaling as � N 4/3η1/3t + N 5/3 η2/3 t � �Nt ϵ �o(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (14) In the limit that η = Θ(N), this approach has O(N 5/3) gate complexity, which is significantly less than the O(N 8/3) gate complexity of Trotter based first quantized quantum algorithms mentioned here, or the O(N 11/3) gate complexity of classical mean-field algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (See Appendix E for discussion on the overall quantum speedup in different regimes of how N scales in η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') How- ever, these second quantized approaches generally require at least O(N) qubits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The approach used in [45] to im- plement Trotter steps involves the fast multipole method [51], which requires O(N log N) qubits as well as the re- striction to a grid-like basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When using such basis sets, we expect N ≫ η, and so this space complexity would be prohibitive for quantum computers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Methods such as fast multipole [51], Barnes-Hut [52], or particle-mesh Ewald [53] compute the Coulomb poten- tial in time � O(η) when implemented within the classical random access memory model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If the Coulomb potential could be computed with that complexity on a quantum computer it would speed up the first quantized Trotter 5 algorithms discussed here by a factor of O(η).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, it is unclear whether such algorithms extend to the quan- tum circuit model with the same complexity without un- favorable assumptions such as QRAM [54, 55], or with- out restricting the maximum number of electrons within a region of space (see Appendix E for details).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, we exclude such approaches from our comparisons here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Quantum measurement costs In contrast to classical mean-field simulations, on a quantum computer, all observables must be sampled from the quantum simulation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' There are a variety of techniques for doing this, with the optimal choice de- pending on the target precision in the estimated observ- able as well as the number and type of observables one wishes to measure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, when measuring W unit norm observables to precision ϵ one could use algorithms introduced in [56] which require � O( √ W/ϵ) state prepa- rations and O(W log(1/ϵ)) ancillae.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, to measure all W = O(N 2) elements of the 1-RDM to a fixed addi- tive error in each element, this approach would require � O(N/ϵ) circuit repetitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' While scaling optimally in ϵ for quantum algorithms, this linear scaling in N would decrease the speedup over classical mean-field algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Instead, here we will focus on measuring the 1-RDM with a new variation of the classical shadows method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Classical shadows were introduced in [57] and adapted for second quantized fermionic systems in [58–61].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Our approach is to apply a separate random Clifford channel to each of the η different log N sized registers represent- ing an occupied orbital.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Applying a random Clifford on log N qubits requires O(log2N) gates;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' thus, O(η log2N) gates comprise the full channel (a negligible cost relative to time-evolution).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In Appendix F we prove that repeat- ing this procedure � O(η/ϵ2) times enables estimation of all 1-RDM elements to within additive error ϵ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' More gen- erally, we prove that this same procedure allows for es- timating all higher order k-particle RDMs elements with � O(kkηk/ϵ2) circuit repetitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In the next section and in Appendix G, we describe a way to map second quantized representations to first quantization, effectively extend- ing the applicability of these classical shadows techniques to second quantization as well.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To give some intuition for how this works, we consider the 1-RDM elements in first quantization: ρµν (t) = ⟨ψ (t)| � � η � j=1 |µ⟩⟨ν|j � � |ψ (t)⟩ , (15) where the subscript j indicates which of the η registers the orbital-ν to orbital-µ transition operator acts upon.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Due to the antisymmetry of the occupied orbital regis- ters in first quantization, we could also obtain the 1-RDM by measuring the expectation value of an operator such as η |p⟩⟨q|1, which acts on just one of the η registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Because η |p⟩⟨q|1 has the Hilbert-Schmidt norm of O(η), the standard classical shadows procedure applied to this log N sized register would require � O(η2/ϵ2) repetitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' But we can parallelize the procedure by also collecting classical shadows on the other η − 1 registers simultane- ously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' One way of interpreting the results we prove in Appendix F is that, due to antisymmetry, these regis- ters are anticorrelated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result, collecting shadows on all η registers simultaneously reduces the overall cost by at least a factor of η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To obtain W elements of the 1-RDM one will need to perform an offline classical inver- sion of the Clifford channel that will scale as � O(Wη2/ϵ2);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' of course, any quantum or classical algorithm for estimat- ing W quantities must have gate complexity of at least W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, this only needs to be done once and does not scale in t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a comparison, the cost of computing 1-RDM classically without exploiting sparsity is O(Wη).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When simulating systems that are well described by mean-field theory, all observables can be efficiently ob- tained from the time-dependent 1-RDM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, for observables such as the energy that have a norm growing in system size or basis size, targeting fixed additive er- ror in the 1-RDM elements will not be sufficient for fixed additive error in the observable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In such situations, it could be preferable to estimate the observable of inter- est directly using a combination of block encodings [50] and amplitude amplification [62] (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', [63]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Assum- ing the cost of block encoding the observable is negligible to the cost of time-evolution (true for many observables, including energy), this results in needing O(λ/ϵ) circuit repetitions, where λ is the 1-norm associated with the block encoding of the observable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, whereas there are many correlation functions with λ = O(1), for the energy λ = O(N 1/3η5/3 + N 2/3η1/3) [46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Multiply- ing that to the cost of quantum time-evolution further reduces the quantum speedup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The final measurement cost to consider is that of re- solving observables in time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In some cases, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', when computing scattering cross sections or reaction rates, one might be satisfied measuring the state of the simulation at a single point in time t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, in other situations, one might wish to simulate time-evolution up to a maxi- mum duration of t, but sample quantities at L different points in time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Most quantum simulation methods that accomplish this goal scale as O(L) (O(Lt) in the case where the points are evenly spaced in time).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, the work of [56] shows that this cost can be reduced to O( √ Lt), but with an additional additive space complex- ity of � O(L).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Either way, this is another cost that plagues quantum but not classical algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Quantum state preparation costs Initial state preparation can be as simple or as complex as the state that one desires to begin the simulation in.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Since the focus of this paper is outperforming mean-field calculations, we will discuss the cost of preparing Slater 6 determinants within first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, one may wish to start in the Hartree-Fock state (the lowest energy Slater determinant).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Classical approaches to com- puting the Hartree-Fock state scale as roughly � O(Nη2) in practice [23, 24].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is a one-time additive classical cost that is not multiplied by the duration of time-evolution so it is likely subdominant to other costs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Quantum algorithms for preparing Slater determinants have focused on the “Givens rotation” approach intro- duced in [64] for second quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That algorithm requires O(Nη) “Givens rotation” unitaries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Such uni- taries can be implemented with O(η log N) gates in first quantization [48, 65], hence combining that with the se- quence of rotations called for in [64] gives an approach to preparing Slater determinants in first quantization with � O(Nη2) gates in total, a relatively high cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Unlike the offline cost to compute the occupied orbital coefficients, this state preparation cost would be multiplied by the number of measurement repetitions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here, we develop a new algorithm to prepare arbi- trary Slater determinants in first quantization with only � O(Nη) gates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The approach is to first generate a su- perposition of all of the configurations of occupied or- bitals in the Slater determinant while making sure that electron registers holding the label of the occupied or- bitals are always sorted within each configuration so that they are in ascending order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is necessary be- cause without such structure (or guarantees of something similar), the next step (anti-symmetrization) could not be reversible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For this next step, we apply the anti- symmetrization procedure introduced in [66], which re- quires only O(η log η log N) gates (a negligible additive cost).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note that if one did not need the property that the configurations were ordered by the electron register, then it would be relatively trivial to prepare an arbitrary Slater determinant as a product state of η different reg- isters, each in an arbitrary superposition over log N bits (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', using the brute-force state preparation of [67]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' A high level description of how the superposition of “ordered” configurations comprising the Slater determi- nant is prepared now follows, with details given in Ap- pendix G.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The idea is to generate the Slater determi- nant in second quantization in an ancilla register us- ing the Givens rotation approach of [64], while mapping the second quantized representation to a first quantized representation one second quantized qubit (orbital) at a time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' One can get away with storing only η non-zero qubits (orbitals) at a time in the second quantized rep- resentation because the Givens rotation algorithm grad- ually produces qubits that do not require further rota- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Whenever one produces a new qubit in the second quantized representation that does not require further rotations, one can convert it to the first quantized repre- sentation, which zeros that qubit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, the procedure only requires O(η) ancilla qubits – a negligible additive space overhead.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' A total of O(Nη log N) gates are re- quired because for each of O(N) steps one accesses all O(η log N) qubits of the first quantized representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In Appendix G, we show the Toffoli complexity can be further reduced to O(Nη) with some additional tricks.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Finally, we note that quantum algorithms can also per- form finite temperature simulation by sampling initial states from a thermal density matrix in each realization of the circuit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, if the system is in a regime that is well treated by mean-field theory, one can initial- ize the system in a Slater determinant that is sampled from the thermal Hartree-Fock state [68].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Since the out- put of quantum simulations already needs to be sampled this does not meaningfully increase the number of quan- tum repetitions required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Such an approach would also be viable classically (and would allow one to perform simulations that only ever treat η occupied orbitals de- spite having finite temperature), but would introduce a multiplicative O(1/ϵ2) sampling cost.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For either proces- sor there is the cost of classically computing the thermal Hartree-Fock state, but this is a one-time cost not mul- tiplied by the duration of time-evolution or O(1/ϵ2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Discussion We have reviewed and provided new analysis of the costs associated with both classical mean-field methods and state-of-the-art exact quantum algorithms for dy- namics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We introduced new and more efficient strategies for initializing Slater determinants in first quantization, and for measuring RDMs via classical shadows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We com- pare these costs in Table I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Relative to classical mean- field methods, we see that when the goal is to sample the output of quantum dynamics at zero temperature, the best quantum algorithms deliver a seventh power speedup in particle number when N < Θ(η2), quartic in basis size when Θ(η2) < N < Θ(η3), super-quadratic in basis size when Θ(η3) < N < Θ(η4) and quintic in basis size but with a quadratic slowdown in η when N > Θ(η4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In the extremal regimes of N < Θ(η5/4) and N > Θ(η4), the overall speedup in system size is super-quadratic (see Appendix E for details).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' These are large enough speedups that quantum advantage may persist even de- spite quantum error-correction overhead [69].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note that our analyses are based on derivable upper bounds for both classical and quantum algorithms over all possible input states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Tighter bounds derived over restricted in- puts would give asymptotically fewer time steps required for both classical and quantum Trotter algorithms [70].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The story becomes more nuanced when we wish to es- timate ϵ-accurate quantities via sampling the quantum simulation output at L different time points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For observ- ables with norm scaling as O(1) (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', simple correlation functions or single RDM elements), or those pertaining to amplitudes of the state (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' scattering amplitudes or reaction rates) the scaling advantages in system and basis size are maintained but at the cost of the quan- tum algorithm slowing down by a multiplicative factor of at least O( √ L/ϵ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When targeting the 1-RDM (which characterizes all observables within mean-field theory) we 7 Processor Algorithm Observable Space Gate complexity classical T = 0 mean-field with occ-RI-K/ACE [23,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 24] anything � O(Nη) (N 4/3η7/3t + N 5/3η4/3t)( Nt ϵ )o(1) classical T > 0 mean-field (density matrix) with [23,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 24] anything � O(NM) (N 4/3M 2η1/3t+ N5/3M2t η2/3 )( Nt ϵ )o(1) classical T > 0 mean-field (sampled trajectories) with [23,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 24] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='anything ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(Nη) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='( N4/3η7/3t ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='ϵ2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='+ N5/3η4/3t ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='ϵ2 ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=')( Nt ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='ϵ )o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='second quantized Trotter grid algorithm [45] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='sample |ψ(t)⟩ O(N log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='(N 4/3η1/3t + N5/3t ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='η2/3 )( Nt ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='ϵ )o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='first quantized Trotter grid algorithm here ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='sample |ψ(t)⟩ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='(N 1/3η7/3t +N 2/3η4/3t)( Nt ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='ϵ )o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='interaction picture plane wave algorithm [46] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='sample |ψ(t)⟩ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(N 1/3η8/3t) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='grid basis algorithm from Appendix K of [48] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='sample |ψ(t)⟩ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(N 1/3η8/3t) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='new shadows procedure here ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='k-RDM(t) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(kkηkL Csamp/ϵ2) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='gradient measurement [56] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='⟨ψ(t)| O |ψ(t)⟩ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η + L) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O( ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='√ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='L Csamp λ/ϵ) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='gradient measurement [56] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='⟨ψ(t)| H |ψ(t)⟩ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η + L) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O( ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='√ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='LCsampt(N1/3η5/3+N2/3η1/3) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='ϵ ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='TABLE I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Costs of exact quantum algorithms and mean-field classical algorithms for simulating fermionic dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' N is the number of basis functions, η is the number of particles, ϵ is target precision, M is the number of appreciably occupied orbitals in a finite temperature (T) simulation (M ≃ N for high T), O is any observable having norm λ that can be block encoded with cost less than time-evolution, t is the duration of evolution, L is the number of time points at which we wish to resolve quantities and Csamp is the cost of sampling |ψ(t)⟩ with a quantum algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For classical algorithms, gate complexity means the number of floating point operations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We are not accounting for the additive time-independent costs of state preparation ( � O(ηN) gates using the procedure of Appendix G), of classically computing initial occupied orbital coefficients, or of classically reconstructing the k-RDM given measurement outcomes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, this table reports gate complexities for long-time t simulations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In Appendix E we provide a table clarifying which algorithm has optimal gate complexity as a function of N/η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' maintain speedup in N but at the cost of an additional linear slowdown in η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When measuring the total energy, the overall speedup becomes tenuous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, the viability of quantum advantage with respect to zero temperature classical mean-field methods depends sensitively on the target precision and particular observables of interest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In terms of applications, we expect RT-TDHF to pro- vide qualitatively correct dynamics whenever electron correlation effects are not pronounced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' RT-TDDFT in- cludes some aspects of electron correlation but the adi- abatic approximation often creates issues [71] and the method suffers from self-interaction error [72].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When the adiabatic approximation is accurate, self-interaction er- ror is not pronounced, and the system does not exhibit strong correlation, we expect RT-TDDFT to generate qualitatively correct dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When there are many excited states to consider for spectral properties, it is of- ten beneficial to resort to real-time dynamics methods instead of linear-response methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Furthermore, we are often interested in real-time non-equilibrium electronic dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is the case for photo-excited molecules near metal surfaces [73].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The time evolution of elec- tron density (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', the diagonal of the 1-RDM) near the molecule is of particular interest due to its implications for chemical reactivity and kinetics in the context of het- erogeneous catalysis [74].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this application, the simu- lation of nuclear degrees of freedom may be equally im- portant, which we will leave for future analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We see from Table I that prospects for quantum ad- vantage are considerably increased at finite tempera- tures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, a promising class of problems to consider for speedup over mean-field methods is the electronic dynamics of either warm dense matter (WDM) [75–78] or hot dense matter (HDM) [79].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The WDM regime (where thermal energy is comparable to the Fermi en- ergy) is typified by temperatures and densities that re- quire the accurate treatment of both quantum and ther- mal effects [80, 81].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' These conditions occur in planetary interiors, experiments involving high-intensity lasers, and in inertial confinement fusion experiments as the ablator and fuel are compressed into the conditions necessary for thermonuclear ignition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Ignition occurs in the hot dense matter (HDM) regime (where thermal energy far exceeds the Fermi energy).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' While certain aspects of these systems are conspicuously classical, they still present spectra that can be challenging to model [82, 83].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Simulations in either the WDM or HDM regime typ- ically rely on large plane wave basis sets and the inclu- sion of ten to one-hundred times more partially occupied orbitals per atom than would be required at lower tem- peratures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Often, the attendant costs are so great that it is impractical to implement RT-TDDFT with hybrid functionals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Therefore, many calculations necessarily use adiabatic semi-local approximations, even on large classi- cal high-performance computing systems [75].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, the level of practically achievable accuracy can be quite low, and the prospect of exactly simulating the dynamics on a quantum computer is particularly compelling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Although we have focused on assessing quantum speedup over mean-field theory, we view the main con- tribution of this work as more general.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In particular, if exact quantum simulations are sometimes more efficient than classical mean-field methods, then all levels of the- ory in between mean-field and exact diagonalization are in scope for possible quantum advantage.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Targeting sys- tems that require more correlated calculations narrows the application space but improves prospects for quan- tum advantage due to the unfavorable scaling of the req- 8 uisite classical algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, it may turn out that the domain of systems requiring, say, coupled cluster dynam- ics [84–87], might be an even more ideal regime for prac- tical quantum advantage, striking a balance in the trade- off between the breadth of possible applications and the cost of the classical competition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Acknowledgments The authors thank Alina Kononov, Garnet Kin-Lic Chan, Robin Kothari, Alicia Magann, Fionn Malone, Jarrod McClean, Thomas O’Brien, Nicholas Rubin, Henry Schurkus, Rolando Somma, and Yuan Su for help- ful discussions and feedback.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We thank Lin Lin for bringing our attention to the quantized tensor train for- mat in [31] and thank Yuehaw Khoo for a discussion related to this.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' DWB worked on this project under a sponsored research agreement with Google Quantum AI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' DWB is supported by Australian Research Council Dis- covery Projects DP190102633 and DP210101367.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' ADB acknowledges support from the Advanced Simulation and Computing Program and the Sandia LDRD Program.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Some work on this project occurred while in residence at The Kavli Institute for Theoretical Physics, supported in part by the National Science Foundation under Grant No.' metadata={'source': 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 21, 229–266 (2015).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Appendix A: Norms and scaling for the nonlinear differential equation governing mean-field evolution We have the differential equation i∂Cocc (t) ∂t = F (t) Cocc (t) (A1) where Fµν(t) = hµν + N � λσ � (µν|λσ) − (µσ|λν) 2 � Pσλ(t) (A2) with P(t) = Cocc(t)Cocc(t)†.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If F were independent of Cocc, then it would imply that taking the nth derivative gives (i)n ∂nCocc (t) ∂tn = FnCocc (t) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A3) That means the norm of the nth derivative would scale as ∥F∥n (with Cocc normalized).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then higher-order methods will typically have an error that scales as the norm of the higher-order derivatives.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, if one were to use a Taylor series up to order k to approximate a time step, then the error for a time step of length δt would scale as 1 (k + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='∥F∥k+1δtk+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A4) This means that if the size of the time step is taken as proportional to 1/∥F∥, then the error may be made exponentially small in k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result, the total number of time steps used scales as O(∥F∥t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Similar considerations hold for other higher-order methods for integration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The dependence of the complexity on ∥F∥ can also be expected from principles of scaling, where if F is divided by ∥F∥ but t is also multiplied by ∥F∥, then the same differential equation is obtained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In our case where F is dependent on Cocc, the situation is more complicated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is because taking higher-order derivatives of Cocc yields more terms due to the derivatives of Cocc in F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To describe this, let us write, omitting hµν for simplicity, Fµν(t) = VµνσλCσaC∗ λa, (A5) 12 with Cσa the matrix entries of Cocc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We are taking a convention that Greek indices are over all orbitals, English letters are over electrons, and repeated indices are summed over.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then we would give the derivative as i∂Cµb ∂t = VµνσλCσaC∗ λaCνb.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A6) We can define an η-norm of V as ∥V∥η = max x,y,z Vµνσλxµy∗ νzσλ, (A7) with ∥x∥ = ∥y∥ = ∥z∥ = 1 (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', spectral norms are normalized), and z of rank η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To bound this norm, we can consider the first term for Vµνσλ, which is (µν|λσ) = � dr1 dr2 φ∗ µ (r1) φν (r1) φ∗ λ (r2) φσ (r2) |r1 − r2| .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A8) The multiplication by xµ and sum over µ corresponds to a transformation of φµ to a new orbital, and similarly, the sum over ν transforms φν to another new orbital.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Since z is of rank η, the sum over λ and σ corresponds to transforming the orbital basis for both φλ and φσ, and summing over η of these basis states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That is, we can write η � a=1 � dr1 dr2 φ∗ (r1) χ (r1) ψ∗ a (r2) θa (r2) |r1 − r2| , (A9) for some transformed orbitals φ, χ, ψa, θa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can then use the fact that |φ∗χ| ≤ |φ|2 + |χ|2, and similarly for ψa and θa to upper bound this expression by 4 η � a=1 � dr1 dr2 |φ (r1) |2|ψa (r2) |2 |r1 − r2| , (A10) for some choice of φ and ψa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This integral can be maximized when the ψa are orbitals that are clustered as close as possible to φ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' With neighboring grid points separated by δ, the smallest the average separation can be is O(η1/3δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then the factor of 1/|r1 − r2| in the integrals will give O(1/[η1/3δ]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Multiplying the sum by η gives O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The second term for Vµνσλ is (µσ|λν).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is similar to (µν|λσ), but with ν and σ swapped.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then the transfor- mation of orbitals gives η � a=1 � dr1 dr2 φ∗ (r1) χa (r1) ψ∗ a (r2) θ (r2) |r1 − r2| , (A11) for some choice of φ, χa, ψa, θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The same argument holds, where the sum is maximized with orbitals over a region of volume ηδ3 so there are contributions from all η terms in the sum, but 1/|r1 − r2| averages to give O(1/[η1/3δ]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This gives the same scaling for the second term for Vµνσλ, and so ∥V∥η = O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A12) What this means is that, whenever we have a contraction of the σ, λ indices in Vµνσλ with a normalized matrix of rank η, the remaining matrix has norm O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That immediately implies that ∥F∥ has this norm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then applying F to the normalized matrix Cocc gives an upper bound on the first derivative O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Taking the second derivative then yields an expression with 3 terms, where each has V appearing twice and Cocc appearing five times.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In particular, −∂2Cµb ∂t2 = Vµνσλ[(VσϵζηCζcC∗ ηc)CϵaC∗ λa]Cνb + Vµνσλ[Cσa(VλϵζηC∗ ζcCηc)C∗ ϵa]Cνb + (VµνσλCσaC∗ λa)(VνϵζηCζcC∗ ηc)Cϵb (A13) Only the third line has a simple interpretation as F squared times Cocc (indicated by the brackets).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The first line has V contracted with Cocc using ζ, η, so the expression in round brackets is a matrix with norm O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then in matrix terms, it is multiplied by CϵaC∗ λa (summed over a), which is a matrix of norm 1 and rank 13 η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result, the expression in square brackets is of norm O(η2/3/δ) and rank η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can then see that the first V is contracted over σ, λ with a matrix of rank η and norm O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That implies that the norm of the resulting matrix is upper bounded by the square of O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That is then multiplied by Cνb which is of norm 1, resulting in the overall norm of this line being upper bounded by the square of O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Similar considerations hold for the second line, so we can upper bound the entire second derivative by an order scaling that is the square of that for ∥F∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this, the general principle is that wherever we have something of the form CσaC∗ λa, it is a matrix of norm 1 and rank η, and taking the derivative of it yields something that is still of rank η, but with a norm upper bounded by O(η2/3/δ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Because we have bounded the norm when contracting V with a general matrix of rank η, that yields a factor of O(η2/3/δ) on whatever result we had for the lower-order derivative.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The other scenario is where we take the derivative of Cνb, which is effectively like multiplying it by F which increases the norm (but not the rank).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This reasoning holds in general whenever we take the derivative of an expression for the derivative of some order to give the derivative of higher order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The norm is multiplied by O(η2/3/δ) for each of the terms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The number of terms will increase exponentially with the order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The third derivative has 3×5 terms, where each of the three original terms yields five due to the derivatives of Cocc at each location.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then the fourth-order derivative has 3 × 5 × 7 terms and so on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In describing the scaling we can ignore this exponential number of terms, and give the upper bound on the nth order derivative as O(η2/3/δ) to the power of n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This implies that the appropriate scaling of the time should again be T = ∥F∥t.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Finally we bound the norm of ∥h∥.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When using a plane wave basis, hµν will be non-zero only when µ = ν with entries scaling as O(1/δ2) due to the ∇2 in the expression for hµν.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That gives the scaling of the spectral norm for this component, which would be unchanged under a unitary transformation, such as the Fourier transform which maps plane waves to an approximately local basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For the dependence of hµν on V (r), the potential will come from nuclei, and for charge-neutral systems the total nuclear charge will be the same as the number of electrons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If the nuclear charge were entirely at one location and we have a charge-neutral system, then the largest contribution to hµν would be for an approximately local basis, where the contribution would scale as η/δ, with the factor of η from the nuclear charge and 1/δ from the inverse distance.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In most cases that we would be interested in, there would be a more even distribution of nuclear charges through the volume.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In that case, if the volume scales as η, there would be an average distance O(η1/3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That would result in a contribution to hµν of O(η2/3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' An orbital localized near one nucleus would give a contribution of O(1/δ) just from that nucleus, which may be larger than O(η2/3) if N > η3 but may be ignored in comparison to 1/δ2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result of these considerations, we can give the upper bound on F in the case without V (r) as ∥F∥ = O �η2/3 δ + 1 δ2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A14) In the case with nuclei we obtain the same result, provided the nuclear charges are not clustered any closer than the grid spacing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here δ = O((η/N)1/3) is the minimum grid spacing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This scaling for δ comes from taking the computational cell volume proportional to η (a reasonable assumption for both condensed-phase and molecular systems).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, the scaling becomes ∥F∥ = O � N 1/3η1/3 + N 2/3 η2/3 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A15) In this case we can see that the first term is dominant unless N > η3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Appendix B: Proving sublinear gate complexity in basis size for Trotter based methods Here we derive the complexity for quantum simulation of the electronic structure problem given in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We consider the simulation of the electronic structure problem defined on a spatial grid in first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Such a 14 Hamiltonian can be expressed as H = T + U + V + L � ℓ̸=κ=1 ζℓζκ 2 ∥Rℓ − Rκ∥ (B1) T ≈ η � i=1 QFTj � �� p∈G ∥kp∥2 2 |p⟩⟨p|j � � QFT† j (B2) U = − η � j=1 L � ℓ=1 � p∈G ζℓ ∥Rℓ − rp∥ |p⟩⟨p|j (B3) V = η � j̸=k=1 � p,q∈G 1 2 ∥rp − rq∥ |p⟩⟨p|j |q⟩⟨q|k (B4) where QFTj is the usual quantum Fourier transform applied to register j.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We emphasize that T is only approximately given by the expression involving the QFT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This relation is exact in the continuum limit where N → ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For finite- sized grids N, it cannot be the case that the QFT completely diagonalizes the momentum operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Instead, writing T this way represents something similar to the approximations made by so-called “discrete value representation” methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Using the QFT means that the evolution can be broken into a product of the evolution under T and the one under U + V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In the above expression, ℓ and κ index nuclear degrees of freedom;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' thus, Rℓ represents the positions of nuclei and ζℓ the atomic numbers of nuclei.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this appendix, we use L to denote the number of nuclei in our simulation (elsewhere, L is the number of time points).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Furthermore, we have the following definition of grid points and their frequencies in the dual space defined by the QFT: rp = p Ω1/3 N 1/3 kp = 2πp Ω1/3 p ∈ G G = � −N 1/3 − 1 2 , N 1/3 − 1 2 �3 ⊂ Z3 , (B5) where Ω is the volume of the simulation cell and N is the number of grid points in the cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Although it is defined here in more precise terms, this is essentially the same representation used in the first work on quantum simulating chemistry in first quantization, by Kassal et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [42], well over a decade ago.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We consider simulation performed using high-order product formulas with a split-operator Trotter step.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' What we mean by the latter is that we will alternate evolution under T (using the QFT) and evolution under U + V .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In fact, the implementation of each Trotter step that we will pursue is essentially identical to the Trotter steps proposed by Kassal et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [42].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The Trotter step requires � O(η2) gates, with the complexity being dominated by computing the O(η2) different interactions in the two-electron term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Recently, Low et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [45] have shown that the number of Trotter steps required in second quantization using arbitrarily high order formulas can be as low as � N 1/3η1/3 + N 2/3 η2/3 � t1+o(1)N o(1) ϵo(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (B6) We note that, curiously, this also closely matches our bound for the norm of the Fock operator (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (A15)) proved in Appendix A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The first term in brackets similarly corresponds to a contribution to the potential from electrons grouped as closely as possible in real space, but the reason why this quantity is relevant is very different between the two calculations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The results for the Trotter error in second quantization also hold for first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a general principle, we can consider the effect of � j |p⟩ ⟨q|j on a computational basis state consisting of an anti-symmetric combination of lists of electron positions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This removes an electron from orbital q and places it in p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is performed for every part of the anti-symmetric state, preserving its sign.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, for the starting anti-symmetric state the sign is based on whether the permutation is even or odd (as compared to ascending order).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If moving an electron from q to p passes over an odd number of electrons, then the parity of each permutation flips.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That means that there is an overall sign flip in the basis state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Similarly, if we consider the action of a† paq on a state a† q1 · · · a† qη |0⟩, then the aq can be anti-commuted to the right to give several sign flips corresponding to the number of a† qj operators that are anti-commuted through.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This corresponds to the number of occupied orbitals before q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then aqa† q gives the identity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Next, anti-commute a† p to the appropriate location in the list of operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The sign that is obtained corresponds to the number of a† qj operators 15 that are anti-commuted through, which is the number of electrons before p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' There is an overall sign flip if there is an odd number of electrons between p and q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This can then be extended to products such as � j |p⟩ ⟨q|j � k |r⟩ ⟨s|k .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (B7) The first sum corresponds to a† paq in second quantization, and the second sum corresponds to a† ras.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This means that we have the equivalence � pqrs Vpqrs � j |p⟩ ⟨q|j � k |r⟩ ⟨s|k ≡ � pqrs Vpqrsa† paqa† ras.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (B8) The action on an anti-symmetric computational basis state in first quantization has exactly the same effects as that on the corresponding second-quantization state with η electrons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Moreover, the action of the operators always preserves the electron number in second quantization, so there is a corresponding state in first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Similarly, because we are using anti-symmetric states in first quantization, it is impossible to obtain a state with multiple electrons on the same orbital.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That is because two registers with the same orbital number will give cancellation of terms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result all operators and states in second-quantization map directly to first quantization, preserving the norms, and in particular the error bounds derived in second-quantization hold for first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Therefore, multiplying the number of steps in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (B6) by the � O(η2) gate complexity required of the first quantized Trotter step from [42] gives the following gate complexity for the product formula based time evolution in first quantization: � N 1/3η7/3 + N 2/3η4/3� t1+o(1)N o(1) ϵo(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (B9) This is the complexity given in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Appendix C: Constant factors for time-evolution in the interaction-picture plane-wave algorithm Here we analyze the constant factors in the scaling of the interaction picture based plane wave algorithm from Babbush at al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [46] which was analyzed in detail for use in phase estimation by Su et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [48].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As explained on page 30 of [48], the number of steps to give total time T using the time evolution approach is λBT/ ln 2, but with a factor of 3 overhead for amplitude amplification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Using the qubitization approach the number of steps is eλBT.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That means simulating the time evolution gives an overhead of 3/(e ln 2) ≈ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='59 over the qubitization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (154) of [48], the total time of evolution is approximately π/(2ϵpha) to give precision ϵpha of the phase estimation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' There is moreover a (small) term O((λU + λV )2∆E2) in the expression for the number of steps N in [48] that originates from the nonlinearity of the sine function in phase estimation, which is not used here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result, the complexity given in Theorem 5 of [48] can be modified to be appropriate for time evolution simply by replacing the formula for the number of steps in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (174) of [48] with N = 3T(λ1 U + λ1 V /(1 − 1/η)) Peq ln 2 + O(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (C1) Here we have replaced π/(2ϵpha) with T, replaced e with e/ ln 2, and removed O((λU + λV )2∆E2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note that in this expression λU = η � ℓ ζℓ πΩ1/3 λν, (C2) λV = η(η − 1) 2πΩ1/3 λν, (C3) λν = � ν∈G0 1 ∥ν∥2 ≤ 4πN 1/3, (C4) λ1 U ≈ λU, λ1 V ≈ λV , and Peq is close to 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This expression together with an appropriate choice of constant factor in Ω ∝ η gives the constant factor for the number of steps to use for time evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It needs to be multiplied by a further complicated expression in Theorem 5 of [48] for the gate complexity of a single step to provide the full constant factor for the gate complexity in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 16 Appendix D: Smoothing the Coulomb operator to exponentially suppresses quantum scaling in basis size Here we discuss the fact that if one is willing to introduce a slight systematic bias into the Coulomb operator, it is possible to further improve the speedup in N of the quantum algorithm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The N 1/3 dependence enters into the cost from the 1-norm of the two-body Coulomb operator, which scales as λ = O(η2Vmax) where Vmax is the maximum value of the electron-electron interaction for a single pair of electrons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For typical plane wave or grid discretizations we have that Vmax = O(N 1/3/Ω1/3) where Ω is the size of the computational cell (for the purpose of the analysis in this paper we assume that Ω = O(η), since that is explicitly the case in condensed phase simulations).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' But we could also take steps to smooth out the cusp in the Coulomb operator and thus, lower the energy scale of Vmax.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For example, this could be accomplished by taking Vmax to be a constant and modifying the real-space form of the two-body Coulomb operator as 1 |r1 − r2| → 1 |r1 − r2| + Vmax .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (D1) Such a strategy has been explored in the context of first quantized quantum algorithms in real space in papers by Kivlichan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [88] and Childs et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' [54].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In principle, one could choose Vmax = O(log N) and this would lead to the quantum algorithm scaling exponentially better than classical algorithms in N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This would also slightly reduce the cost of classical mean-field algorithms from scaling as N 4/3 to scaling as N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Of course, using such a drastic cutoff will introduce a significant bias into the overall dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In order to avoid this, papers such as [89, 90] have sought to develop Richardson extrapolation type schemes where simulations are run with a series of smoothing or cutoff parameters in order to extrapolate the value of the observable with zero cutoff.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, questions remain about the convergence of such procedures and it seems likely to re-introduce some polynomial dependence on N in order to reach convergence with the continuum limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Nevertheless, the context of this paper is that one might be interested in getting a speedup over low accuracy classical algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In that spirit, one could probably make the case that if merely trying to improve in speed over mean-field algorithms, the error introduced in imposing a cutoff in the Coulomb operator might be less significant than the error due to making the mean-field approximation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, this is perhaps a valid approach when competing with such classical methods, and thus might provide an exponential speedup.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Appendix E: Gate complexity and speedup in various regimes Processor Algorithm for sampling |ψ(t)⟩ Regime of optimality Space Effective gate complexity classical zero temp mean-field with occ-RI-K/ACE [23,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 24] N ≤ Θ(η3) � O(Nη) N 4/3η7/3t(Nt/ϵ)o(1) classical zero temp mean-field with occ-RI-K/ACE [23,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 24] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N ≥ Θ(η3) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(Nη) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N 5/3η4/3t(Nt/ϵ)o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='second quantized Trotter grid algorithm [45] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N ≤ Θ(η2) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(N log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N 4/3η1/3t(Nt/ϵ)o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='first quantized Trotter grid algorithm here ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='Θ(η2) ≤ N ≤ Θ(η3) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N 1/3η7/3t(Nt/ϵ)o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='first quantized Trotter grid algorithm here ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='Θ(η3) ≤ N < Θ(η4) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N 2/3η4/3t(Nt/ϵ)o(1) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='qubitization algorithms from [46] or [48] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N = Θ(η4) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(N 2/3η4/3t) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='quantum ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='interaction picture algorithms from [46] or [48] ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='N > Θ(η4) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(η log N) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='� ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='O(N 1/3η8/3t) ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='TABLE II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Best known gate complexities of exact quantum algorithms and classical mean-field algorithms for sampling the output of time-evolution, by ratio of basis size to particle number.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here we use the asymptotic Θ(·) notation, which implies the union of both an asymptotic upper-bound and an asymptotic lower-bound on the scaling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' N is number of basis functions, η is number of particles, ϵ is target precision, and t is duration of evolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' “Effective gate complexity” is the leading order scaling in the stated regime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' All quantum algorithms discussed here require either a plane wave or grid basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For those basis sets, the large space overhead of second quantization likely makes second quantized approaches infeasible in practice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When N = η4, the quantum algorithms with the best asymptotic scaling are the plane wave or grid basis qubitization algorithms from [46] or [48], respectively, as opposed to the interaction picture algorithms of those same works.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is due to lower polylogarithmic factors in the scaling that are suppressed by the � O(·) notation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Another way to express the results of Table II is as a formula for the leading order scaling if assume that N = Θ(ηα).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then, for the classical algorithm we have that the leading gate complexity of the best approach is � ηβt � �Nt ϵ �o(1) where N = Θ (ηα) and β = � 4α+7 3 α ≤ 3 5α+4 3 α ≥ 3 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (E1) 17 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Plot showing the numerical values of the speedup exponent ratio given in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (E3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We see that a super-quadratic speedup of exact quantum algorithms over mean-field classical algorithms is realized when α < 5/4 and when α > 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' By contrast, for the quantum algorithm we have that the leading order gate complexity of the best approach is � ηβt � �Nt ϵ �o(1) where N = Θ (ηα) and β = � � � � � � � � � 4α+1 3 α ≤ 2 α+7 3 2 ≤ α ≤ 3 2α+4 3 3 ≤ α ≤ 4 α+8 3 α ≥ 4 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (E2) For both classical and quantum expressions, these complexities are sometimes loose by sub-polynomial factors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Finally, we compare the speedup that exact quantum algorithms offer over classical mean-field algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We report this as exponent of η scaling of classical complexity exponent of η scaling of quantum complexity = � � � � � � � � � (4α + 7) / (4α + 1) α ≤ 2 (4α + 7) / (α + 7) 2 ≤ α ≤ 3 (5α + 4) / (2α + 4) 3 ≤ α ≤ 4 (5α + 4) / (α + 8) α ≥ 4 if N = Θ (ηα) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (E3) We plot numerical values of this speedup in Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Finally, we discuss the hope that Trotter based first quantized algorithms might be sped up by a factor of � O(η) by developing more efficient Trotter steps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The bottleneck for Trotter steps is the computation of the Coulomb operator since the simulation of the kinetic operator scales as � O(η).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, it seems promising that fast-multipole [51] Barnes- Hut [52], or particle-mesh Ewald [53] type algorithms for computing the Coulomb potential require � O(η) operations in the classical random access memory (RAM) model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' By contrast, the standard way of computing the Coulomb potential (involving summing up all �η 2 � pairs of electrons) scales as � O(η2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Thus, if one can figure out how to extend these better scaling methods to first quantization with � O(η) operations in the reversible circuit model (the cost model of relevance for this subroutine if executed on a quantum computer), the quantum algorithm would scale as � N 1/3η4/3t + N 2/3η1/3t � �Nt ϵ �o(1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (E4) We note that it is straightforward to adapt these algorithms to second quantization with � O(N) gate complexity [45, 47].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, translating such algorithms to first quantization with � O(N) gate complexity in the quantum circuit model is highly non-trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This is due to nuances of how adaptive tree-like data structures are constructed and used in these algorithms, and it is why the work of [54] decided to invoke the impractical assumption of QRAM in order to leverage the fast multipole algorithms.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note further that some of these algorithms such as the original fast multipole [51] and particle-mesh Ewald [53] make further assumptions on the state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In particular, if space is partitioned into O(η) boxes, then these methods require that no more than k electrons are present in any box, in any configuration 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='4 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='3 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='2 speedup ratio 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='1 quadratic speedup threshold 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='9 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='8 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='7 2 3 4 5 1 6 value of α in N= (n~)18 on which the wavefunction has support.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Since electrons tend to repel one another this is often a good assumption at low energies, but it is not true for general states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It seems possible to implement a first quantized algorithm with � O(η k) space complexity and � O(η poly(k)) gate complexity by keeping k electron registers for each of these O(η) boxes of space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' But there also exist versions of these algorithms, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' described in [91], which use RAM and an adaptive tree structure to give � O(η) complexity without any assumptions on the state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Such approaches appear quite challenging to port to the quantum circuit model with the same complexity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, if possible, the first quantized fast multipole-based Trotter would scale better than all other known approaches as long as N < η7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' When N > η7, the first quantized interaction picture algorithm has better scaling.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Appendix F: Efficient reduced density matrix estimation using classical shadows in first quantization 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Problem statement We consider a system of η identical fermions occupying N ≫ η orbitals.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In first-quantization, we represent the state of such a system as a wavefunction on η registers of n = ⌈log(N)⌉ qubits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We demand that this wavefunction is antisymmetric under the exchange of any two registers in order for it to represent a valid physical state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Most physically interesting observables of such a system are captured by the few-body marginals, the reduced density matrices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this section, we concern ourselves with efficiently estimating elements of the k-body reduced density matrix (k-RDM) of the first-quantized state |ψ⟩ defined on η identical fermion particles, kDj1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',jk i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',ik = η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' tr � |ψ⟩⟨ψ| k � ℓ=1 |iℓ⟩⟨jℓ|ℓ � , (F1) where |i⟩⟨j|ℓ indicates the tensor product of |i⟩⟨j| on the ℓth register with the identity on the other η − 1 registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can write an equivalent definition (equivalent due to the antisymmetry of the wavefunction), kDj1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',jk i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',ik = � x∈Sη k tr � |ψ⟩⟨ψ| k � ℓ=1 |iℓ⟩⟨jℓ|xℓ � , (F2) where Sη k is the set composed of all possible sequences of length k generating by drawing without replacement from [η] := {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , η}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Our goal is to use measurements of the state |ψ⟩ to obtain a classical description of the state with enough information to approximate all N 2k elements of the k-RDM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We would like all of these estimates to accurate up to some additive error ϵ with probability at least 1 − δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Ideally, our protocol will be efficient not only in terms of the number of measurements, but also in terms of the (gate) complexity of implementing each measurement and the classical complexity of the required post-processing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We will accomplish our goal by applying the classical shadows formalism of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 57.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We propose and analyze a protocol that requires at most m = 64e3 log (N/δ) k (2k + 2e)k ηkϵ−2 (F3) measurements to estimate the k-RDM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Performing these measurements requires acting on each of the particle registers with a randomly sampled Clifford circuit and performing a measurement in the computational basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' These circuits can be implemented using O(ηn2) one- and two-qubit Clifford gates on a linearly connected array of qubits in depth O(n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Each element of the k-RDM requires performing a number of classical operations that scales as m′ = O �� n4 + log (1/δ) � η2k2kϵ−2� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F4) 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The measurement protocol The classical shadows formalism of Huang et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' works by choosing an ensemble of random unitaries U on n qubits and defining a measurement channel M(σ) := EU∼U � b∈{0,1}n U † |b⟩⟨b| U ⟨b|UσU †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F5) 19 For specific choices of U, the channel M is analytically invertible.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Operationally, we obtain the classical shadow of σ by repeatedly sampling a unitary U from U, applying the sampled U to a copy of σ, and measuring in the computational basis (obtaining the bitstring b).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If we collect m such samples, then we call the (potentially unphysical) state ˆσ := 1 m m � i=1 M−1 � U † i |bi⟩⟨bi| Ui � (F6) a classical shadow of σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For an arbitrary observable O, we can define an estimator ˆo of the quantity tr [Oρ] using the classical shadow of ρ, ˆo := tr [Oˆρ] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F7) In expectation, we have that ⟨ˆσ⟩ = EU∼U � b∈{0,1}n M−1 � U † |b⟩⟨b| U � ⟨b|UσU †|b⟩ = M−1 (M (σ)) = σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F8) When we take U to be the uniform distribution over the Clifford group on n qubits, the classical shadows measurement channel and its inverse have particularly simple forms [57],2 M(A) = 1 2n + 1A + tr [A] 2n + 1I, (F9) M−1(A) = (2n + 1)A − tr [A] I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F10) Here, and throughout our analysis of the measurement protocol, we use the symbol I to denote the identity operator on a Hilbert space whose dimension is appropriate for the context.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this work, we propose and analyze the impact of using an ensemble U that consists of a tensor product of η copies of the uniform distribution over n qubit Clifford circuits, U = η � j=1 Cl(2n).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F11) That is to say, we perform our measurements by independently sampling η n-qubit Clifford unitaries, applying one to each particle register, and measuring in the computational basis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can consider the action of the corresponding classical shadow measurement channel and its inverse on an operator X1⊗· · ·⊗Xη that factorizes across the η registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The channel is defined on the whole Hilbert space by linear extension.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For the classical shadow measurement channel, we have M(X1 ⊗ · · · ⊗ Xη) = η � j=1 � �EUj∼Cl(2n) � bj∈{0,1}n U † j |bj⟩⟨bj| Uj ⟨bj|UjXjU † j |bj⟩ � � (F12) = η � j=1 �Xj + tr [Xj] I 2n + 1 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F13) The inverse, similarly, is given by M−1(X1 ⊗ · · · ⊗ Xη) = η � j=1 ((2n + 1) Xj − tr [Xj] I) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F14) Due to the antisymmetry of the wavefunction, we have the freedom to choose between a number of different observables when estimating the elements of the k-RDM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Consider an arbitrary operator O, and the operator POP †, where P is an operator that permutes the particle registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The expectation values of O and POP † with respect to a first-quantized wavefunction are the same (to see this, observe that any sign picked up by acting P † on the ket 2 Actually, a substantial constant factor savings in the number of gates can be obtained by using the canonical form of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 92 and simply dropping the permutation at the end of the circuit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' See, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 93.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 20 is cancelled out by a corresponding sign obtained from acting P on the bra).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can use this degree of freedom to minimize the variance of our measurement protocol.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Using the observable from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F1) to construct a classical shadow estimator of a k-RDM element would lead to an unnecessarily large variance, essentially because the observable doesn’t take advantage of all of the information present in the state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In contrast, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F2) defines the k-RDM element in terms of a sum over many different permutations of the registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We conjecture that a measurement protocol based on the observable in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F2) would perform well, but the analysis could be tedious due to the many different cases that would arise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Rather than using the observables implied by either Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F1) or Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F2) in our classical shadow measurement procedure, we instead choose to estimate the k-RDM elements using an observable that involves a sum over a simpler set of permutations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Essentially, we break the η registers up into k groups of size η/k and measure the k-RDM element using registers from each group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For ease of notation, let us assume that η is divisible by k.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='3 Formally, we can define a set of sequences Rk = {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , η/k} × {η/k + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , 2η/k} × · · · × {(k − 1) η/k + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , η} .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F15) Due to the antisymmetry of the wavefunction, we have that kDj1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',jk i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',ik = kk (η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ηk (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' � x∈Rk tr � |ψ⟩⟨ψ| k � ℓ=1 |iℓ⟩⟨jℓ|xℓ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F16) We define an estimator ˆd for the k-RDM element kDj1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',jk i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',ik using the classical shadow ˆρ of |ψ⟩, ˆd = kk (η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ηk (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' � x∈Rk tr � ˆρ k � ℓ=1 |iℓ⟩⟨jℓ|xℓ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F17) In Appendix F 4, we prove that the single-shot variance of this estimator is bounded by Var( ˆd) ≤ e3ηk (2k + 2e)k .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F18) In order to guarantee that our estimates are close to the true value of the k-RDM elements with high probability, we need to proceed along the same lines as Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 57 and construct a median-of-means estimator to obtain the desired rigorous guarantees [94].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To be precise, using Proposition 12 from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 94, we can consider an estimator that divides the m total classical shadow samples into K groups of size b, and takes the median of the sample mean obtained by averaging the estimates within each group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The probability that this median of means estimator has an error larger than 2 � Var( ˆd)/b is at most e−K/8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To bound the error in our estimate by ϵ with a success probability of at least 1 − δ, this implies that we need b = 4 Var( ˆd)/ϵ2, (F19) K = 8 log (1/δ) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F20) The overall number of measurements claimed in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F3) follows directly from applying a union bound over the failure probabilities for estimating all N 2k k-RDM elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The measurement protocol can be summarized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We take a classical shadow of |ψ⟩ with the U defined in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F11) using a number of samples m chosen according to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For each sample, we evaluate the expectation values of the (η/k)k different terms in the sum over Rk (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F17)) using generalizations of Gottesman-Knill theorem that account for the phase of the quantities involved [95–97].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Breaking the samples into K groups of size b, averaging within the groups, and then taking the median of these means then yields the final estimate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The classical post-processing costs quoted in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F4) come from counting the number of n-qubit sized Clifford circuits that need to be simulated classically to carry out this procedure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 3 In the event that η is not exactly divisible by k, one could modify the protocol to either use groups of slightly different sizes or to only perform the measurements using η′ = k⌊η/k⌋ registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 21 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Notation and preliminaries Before we proceed to bound the variance of the estimator ˆd for an arbitrary k-RDM element, it is helpful to recall a few useful expressions and prove some identities that we will use later.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We will make use of a formula for the two-fold twirl over the Clifford group and partial trace obtained from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 57, EU∼Cl(2n)U † |x⟩⟨x| U ⟨x|UAU †|x⟩ = A + tr(A)I 2n(2n + 1) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F21) For the three-fold twirl and partial trace, we find it convenient to use the identity EU∼Cl(2n)U † |x⟩⟨x| U ⟨x|UBU †|x⟩ ⟨x|UCU †|x⟩ = 1 2n (2n + 1) (2n + 2) (I (tr [BC] + tr [B] tr [C]) + B tr [C] + C tr [B] + BC + CB) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F22) This equation is different from the corresponding one considered in previous work (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (S36) of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 57), in that it allows for B and C to have non-zero trace.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It can be obtained directly from the analysis of Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 98.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='4 Another small departure we make from some prior work is that we directly consider the variance of estimators for the expectation values of non-Hermitian observables.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For a classical shadow ˆρ of a state ρ and an estimator ˆo = tr [ˆρO] of the expectation value of a (not necessarily Hermitian) operator O, we have Var(ˆo) = tr � ρ � b EU∼UU † |b⟩⟨b| U ⟨b|UM−1(O)U †|b⟩ ⟨b|UM−1(O†)U †|b⟩ � − |tr [Oρ]|2 (F23) ≤ tr � ρ � b EU∼UU † |b⟩⟨b| U ⟨b|UM−1(O)U †|b⟩ ⟨b|UM−1(O†)U †|b⟩ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F24) This expression can be arrived at from the definition of the variance of a complex-valued random variable applied to the classical shadow formalism.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We refer the reader to Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 59 for a thorough discussion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In the course of calculating the variance for the higher-order RDMs, we will find that we repeatedly need to simplify certain expressions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Before describing those expressions and showing how they may be simplified, let us define some notation used for convenience throughout the rest of our analysis: Px = |x⟩⟨x| , (F25) Pxy = |x⟩⟨y| , (F26) EU = EU∼Cl(2n), (F27) � b = � b∈{0,1}n .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F28) One class of expressions that we will need to simplify are of the form A = EU � b U †PbU ⟨b|UM−1(Pij)U †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F29) We can use Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F10) and Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F21) to simplify Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F29), A = EU � b U †PbU ⟨b|UM−1(Pij)U †|b⟩ (F30) = EU � b U †PbU ⟨b|U ((2n + 1) Pij − δi,jI) U †|b⟩ (F31) = Pij.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F32) 4 Note that while the proof of Lemma 7 in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 98 is technically for Hermitian matrices, the same proof holds exactly in the non- Hermitian case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 22 Another kind of expression that we will need to simplify is of the form A = EU � b U †PbU ⟨b|UM−1(Pij)U †|b⟩ ⟨b|UM−1(Pkl)U †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F33) Let us consider the first case, and simplify A as defined below, A = EU � b U †PbU ⟨b|UM−1(Pi)U †|b⟩ ⟨b|UM−1(Pi)U †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F34) We have M−1 (Pi) = (2n + 1) Pi − I (F35) by an application of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Now we can apply Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F22) with B = C = (2n + 1) Pi − I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let us simplify the pieces of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F22) separately before combining them.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We have BC = CB = ((2n + 1) Pi − I)2 (F36) = (2n + 1) (2n − 1) Pi + I, (F37) tr [BC] = tr [CB] = 2n(2n + 1) − 1, (F38) tr [B] = tr [C] = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F39) As a result, I (tr [BC] + tr [B] tr [C]) + B tr [C] + C tr [B] + BC + CB (F40) = 2n (2n + 1) I + 2 (2n + 1) Pi − 2I + 2 (2n + 1) (2n − 1) Pi + 2I (F41) = 2n (2n + 1) (I + 2Pi) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F42) Putting everything together, we have A = EU � b U †PbU ⟨b|UM−1(Pi)U †|b⟩ ⟨b|UM−1(Pi)U †|b⟩ (F43) = 2n 2n + 2 (I + 2Pi) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F44) Now we consider simplifying the expression A = EU � b U †PbU ⟨b|UM−1(Pij)U †|b⟩ ⟨b|UM−1(Pji)U †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F45) In this case, we can again use Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F22) with B = M−1(Pij) = (2n + 1) Pij, (F46) C = M−1(Pji) = (2n + 1) Pji.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F47) Working out some of the pieces, we have BC = (2n + 1)2 Pi, (F48) CB = (2n + 1)2 Pj, (F49) tr [BC] = (2n + 1)2 , (F50) tr [B] = tr [C] = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F51) Therefore, I (tr [BC] + tr [B] tr [C]) + B tr [C] + C tr [B] + BC + CB (F52) = (2n + 1)2 (I + Pi + Pj) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F53) Finally, we have A = EU � b U †PbU ⟨b|UM−1(Pij)U †|b⟩ ⟨b|UM−1(Pji)U †|b⟩ (F54) = 2n + 1 2n + 2 (I + Pi + Pj) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F55) 23 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Variance of the k-RDM with a restricted sum Now we are ready to turn to the task of bounding the variance ˆd as defined in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F17).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For now, we neglect the coefficient in order to simplify the presentation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let O = � x∈Rk Ox, (F56) Ox = k � ℓ=1 |iℓ⟩⟨jℓ|xℓ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F57) The variance of the classical shadow estimator ˆo of ⟨O⟩ is bounded by Var(ˆo) ≤ � x∈Rk � y∈Rk tr [|ψ⟩⟨ψ| Axy] , (F58) Axy = � b EU∼UU † |b⟩⟨b| U ⟨b|UM−1(Ox)U †|b⟩ ⟨b|UM−1(O† y)U †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F59) Because the inverse channel, the random unitaries, and the Ox all factorize across the registers, we can rewrite Axy as a tensor product, Axy = η � z=1 Az xy, (F60) where Az xy takes one of three forms depending on whether neither, one of, or both of Ox and Oy act non-trivially on the zth register.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If z /∈ x and z /∈ y, then Az xy = I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F61) If exactly one of z ∈ x or z ∈ y is true, then we can use Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F32) to simplify our expression for Az xy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The cases are symmetric between z ∈ x and z ∈ y, so we can treat only the first case without loss of generality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let ℓ denote the index of z in x (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=', xℓ = z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We have Az xy = � b EU∼UU † |b⟩⟨b| U ⟨b|UM−1(|iℓ⟩⟨jℓ|)U †|b⟩ (F62) = |iℓ⟩⟨jℓ|z .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F63) If z ∈ y we instead have Az xy = |jℓ⟩⟨iℓ|z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The third case we must consider is where z ∈ x and z ∈ y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let ℓ denote the index of z in x and y (they must be the same because of the way we construct x and y).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this case, Az xy = � b EU∼UU † |b⟩⟨b| U ⟨b|UM−1(|iℓ⟩⟨jℓ|)U †|b⟩ U ⟨b|UM−1(|jℓ⟩⟨iℓ|)U †|b⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F64) If iℓ = jℓ we can simplify this expression using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F44), otherwise we can use Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F55).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The combination of these two formulas lets us write Az xy = � b EU∼UU † |b⟩⟨b| U ⟨b|UM−1(|iℓ⟩⟨jℓ|)U †|b⟩ U ⟨b|UM−1(|jℓ⟩⟨iℓ|)U †|b⟩ (F65) = 2n + 1 − δiℓ,jℓ 2n + 2 (I + |iℓ⟩⟨iℓ| + |jℓ⟩⟨jℓ|) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F66) Now we will use the antisymmetry of |ψ⟩ to bound the quantity |tr [|ψ⟩⟨ψ| Axy]|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let a = |x ∩ y|, b = 2k − 2a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F67) The operator Axy acts non-trivially on a + b registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' On a registers, it acts with an operator of the form given in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F66).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' On the other b registers, it acts as |c⟩⟨d| for some c, d (that can vary per register).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Due to the antisymmetry of |ψ⟩, we can freely permute the registers without affecting the expectation value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 24 We can therefore rewrite the expectation value of interest as |tr [|ψ⟩⟨ψ| Axy]| = ����� ⟨ψ| � a � ℓ=1 2n + 1 − δcℓ,dℓ 2n + 2 (I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) a+b � ℓ=a+1 |cℓ⟩⟨dℓ| η � ℓ=a+b+1 I � |ψ⟩ ����� (F68) ≤ ����� ⟨ψ| � a � ℓ=1 (I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) a+b � ℓ=a+1 |cℓ⟩⟨dℓ| η � ℓ=a+b+1 I � |ψ⟩ ����� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F69) a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Removing the off-diagonal terms We can simplify the bound in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F69) by replacing the off-diagonal matrix elements with projectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To do so, we will need the following lemma.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Lemma 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let |ψ⟩ be an arbitrary normalized pure quantum state on n qubits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let O be an arbitrary positive semidefinite operator on a qubits, and let |α⟩ and |β⟩ be arbitrary orthonormal quantum states on n − a qubits.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then, | ⟨ψ|(O ⊗ |α⟩⟨β|)|ψ⟩| ≤ | ⟨ψ|(O ⊗ |φ⟩⟨φ|)|ψ⟩| (F70) for |φ⟩ = |α⟩ or |φ⟩ = |β⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To begin the proof, expand |ψ⟩ as |ψ⟩ = � ij cij |i⟩ |j⟩ , (F71) where the states {|i⟩} form an eigenbasis for O and the states {|j⟩} are an orthonormal basis such that |α⟩ , |β⟩ ∈ {|j⟩}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then | ⟨ψ|(O ⊗ |α⟩⟨β|)|ψ⟩| = ����� � i c∗ iαciβOii ����� (F72) = � i k∗ iαkiβ, (F73) where Oii denotes the eigenvalue of O corresponding to the eigenvector |i⟩ and kij is defined implicitly as kij = cij √Oii.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can consider the quantity in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F73) as the inner product of two vectors ⃗kα and ⃗kβ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The Cauchy-Schwarz inequality tells us that ����� � i k∗ iαkiβ ����� ≤ � � � � �� i k∗ iαkiα � �� i k∗ iβkiβ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F74) We can choose γ ∈ {α, β} such that ����� � i k∗ iγkiγ ����� ≥ ����� � i k∗ iαkiα ����� and ����� � i k∗ iγkiγ ����� ≥ ����� � i k∗ iβkiβ ����� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F75) Therefore, we have that | ⟨ψ|(O ⊗ |α⟩⟨β|)|ψ⟩| ≤ ����� � i k∗ iγkiγ ����� (F76) = ����� � i c∗ iγciγOii ����� (F77) = ⟨ψ|(O ⊗ |γ⟩⟨γ|)|ψ⟩ (F78) for either |γ⟩ = |α⟩ or |γ⟩ = |β⟩ We can remove the absolute value bars in the final line because O ⊗|γ⟩⟨γ| is a positive semidefinite operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 25 Now we can return to our bound from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F69), |tr [|ψ⟩⟨ψ| Axy]| ≤ ����� ⟨ψ| � a � ℓ=1 (I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) a+b � ℓ=a+1 |cℓ⟩⟨dℓ| η � ℓ=a+b+1 I � |ψ⟩ ����� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F79) By rearranging the registers, we can apply Lemma 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Taking |α⟩ to be �a+b ℓ=a+1 |cℓ⟩ and ⟨β| to be �a+b ℓ=a+1 ⟨dℓ|, we can show that either |tr [|ψ⟩⟨ψ| Axy]| ≤ ⟨ψ| � a � ℓ=1 (I + |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ|) a+b � ℓ=a+1 |cℓ⟩⟨cℓ| η � ℓ=a+b+1 I � |ψ⟩ (F80) holds, or an equivalent expression with |dℓ⟩⟨dℓ| instead of |cℓ⟩⟨cℓ| in the second set of registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Both cases are identical, so we will proceed using the label gℓ for whichever choice is valid in each register.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We can also simplify the expression in the first registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We claim that, for each register, we can replace the term |cℓ⟩⟨cℓ| + |dℓ⟩⟨dℓ| with either 2 |cℓ⟩⟨cℓ| or 2 |dℓ⟩⟨dℓ| without making the expectation value any smaller.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This can be seen by proceeding register by register, using the linearity of the expectation value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Here again, the choice of cℓ or dℓ in each register is immaterial, so we use the label gℓ to denote whichever one is appropriate for each register.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Making this simplification, we have that |tr [|ψ⟩⟨ψ| Axy]| ≤ ⟨ψ| � a � ℓ=1 (I + 2 |gℓ⟩⟨gℓ|) a+b � ℓ=a+1 |gℓ⟩⟨gℓ| η � ℓ=a+b+1 I � |ψ⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F81) b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Taking advantage of antisymmetry Now we will take advantage of the antisymmetry of |ψ⟩ to bound the expectation values in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F81).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' It is helpful to rewrite the expression in the first set of registers in a different form: a � ℓ=1 (I + 2 |gℓ⟩⟨gℓ|) = a � w=0 2w � S⊆[a]:|S|=w a � ℓ=1 W S ℓ , (F82) where W S ℓ = |gℓ⟩⟨gℓ| if ℓ ∈ S and Wℓ = I otherwise.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This then leads us to the bound |tr [|ψ⟩⟨ψ| Axy]| ≤ a � w=0 2w � S⊆[a]:|S|=w ⟨ψ| � a � ℓ=1 W S ℓ a+b � ℓ=a+1 |gℓ⟩⟨gℓ| η � ℓ=a+b+1 I � |ψ⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F83) Now that we have obtained this bound, we will proceed to use the antisymmetry of |ψ⟩ to show that ⟨ψ| � a � ℓ=1 W S ℓ , a+b � ℓ=a+1 |gℓ⟩⟨gℓ| η � ℓ=a+b+1 I � |ψ⟩ ≤ 1 P(η, |S| + b) = (η − |S| − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F84) To do so, let us prove the following lemma, Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let |ψ⟩ be a normalized pure state on η registers of n qubits each.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Furthermore, let S |ψ⟩ = − |ψ⟩ for any operator S that swaps the states of two of the registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let {Pi}i∈[k] be a set of projectors onto orthonormal n qubit states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then 0 ≤ ⟨ψ| � k � i=1 Pi η � i=k+1 I � |ψ⟩ ≤ 1 P(η, k) = (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , (F85) where P(η, k) denotes the number of ways to choose a sequence of k items from a set of size η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let Sk denote the set of all sequences obtained by choosing k items from the set [η].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note that two sequences with the same elements in different orders are treated as distinct elements of Sk.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For a sequence s ∈ Sk we define the operator As as the operator that acts on register si with the projector Pi for all i ∈ [k] and acts on the other η − k 26 registers with the identity operation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note that all of the operators As are defined using the same set of k projectors acting on (potentially) different registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We will prove the claim by showing that � s∈Sk ⟨ψ|As|ψ⟩ ≤ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F86) Clearly the operators {As}s∈Sk are all projectors onto different subspaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In general, these projectors are not orthogonal (under the Hilbert-Schmidt inner product).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Equivalently, we could say that the +1 eigenspaces of these operators are not orthogonal in general.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, we can show that |ψ⟩ has no support on states that are in the +1 eigenspace of more than one of these projectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Consider Ax and Ay for x ̸= y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' There must be some register ℓ on which they act differently.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If Ax and Ay both act on register ℓ with distinct projectors Pi and Pj then AxAy = 0 and their eigenspaces have no overlap, so we are done.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Assume that only one of Ax and Ay acts on register ℓ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Without loss of generality we consider the case where Ax acts on register ℓ with the projector Pi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then, by definition, Ay acts on a different register ℓ′ with Pi (since Ay acts with exactly the same projectors as Ax, just on a potentially different set of registers).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Due to the antisymmetry of |ψ⟩, we therefore have ⟨ψ|AxAy|ψ⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Therefore, we can assert that � s∈Sk ⟨ψ|As|ψ⟩ ≤ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F87) This could be seen in more detail by expanding |ψ⟩ in the basis that diagonalizes all of the {As} and applying the fact that if Ax |φ⟩ = 1 then Ay |φ⟩ = 0 for all x ̸= y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The antisymmetry of |ψ⟩ also implies that ⟨ψ|Ax|ψ⟩ = ⟨ψ|Ay|ψ⟩ for all x, y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Therefore, we have that |Sk| ⟨ψ|As|ψ⟩ ≤ 1 (F88) for any As.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The {As} are all positive semidefinite, so we can bound the expectation value of the particular one from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F85) below by zero and divide by |Sk| = P(η, k) to yield 0 ≤ ⟨ψ| � k � i=1 Pi η � i=k+1 I � |ψ⟩ ≤ 1 P(η, k) = (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , (F89) completing the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F84) follows directly from this lemma and the fact that we can freely permute the observables between registers without changing the expectation value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Now we can return to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F83) and apply Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F84) to show that |tr [|ψ⟩⟨ψ| Axy]| ≤ a � w=0 2w � S⊆[a]:|S|=w ⟨ψ| � a � ℓ=1 W S ℓ a+b � ℓ=a+1 |gℓ⟩⟨gℓ| η � ℓ=a+b+1 I � |ψ⟩ (F90) ≤ a � w=0 2w � S⊆[a]:|S|=w (η − w − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F91) = a � w=0 2w � S⊆[a]:|S|=w (η − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − w − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F92) ≤ a � w=0 2w � S⊆[a]:|S|=w (η − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , (F93) 27 with the last inequality following from the fact that η − a ≤ η − w.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then we have that |tr [|ψ⟩⟨ψ| Axy]| ≤ a � w=0 2w � S⊆[a]:|S|=w (η − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , (F94) = (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' a � w=0 2w � S⊆[a]:|S|=w (η − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F95) = (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' a � w=0 2w �a w �(η − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F96) ≤ (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' a � w=0 2w �a w �(a − w)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' a!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F97) = (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' a � w=0 2w w!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F98) ≤ (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' ∞ � w=0 2w w!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F99) = (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' e2, (F100) where the last step is obtained by the application of a well-known formula for the infinite sum of the sequence in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F99).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Putting the pieces together Having shown that |tr [|ψ⟩⟨ψ| Axy]| ≤ e2 (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , (F101) we are ready to return to the bound in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F58), which we recall below: Var(ˆo) ≤ � x∈Rk � y∈Rk tr [|ψ⟩⟨ψ| Axy] .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F102) We then have that Var(ˆo) ≤ � x∈Rk � y∈Rk |tr [|ψ⟩⟨ψ| Axy]| (F103) ≤ � x∈Rk � y∈Rk e2 (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F104) Recall that we defined a and b in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F67) in the following way, a = |x ∩ y|, b = 2k − 2a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F105) Recall also the definition of the set of sequences Rk from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F15), Rk = {1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , η/k} × {η/k + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , 2η/k} × · · · × {(k − 1) η/k + 1, .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , η} .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F106) Colloquially, a sequence in Rk indexes a set of k registers, one from the first group of η/k, one from the second group of η/k, and so on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let us consider a fixed sequence x ∈ Rk and determine how many sequences y ∈ Rk exist for a specific value of a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For a fixed value of a, x and y share a elements.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' By construction, there are �k a � different choices for these a elements (because there are k groups and x and y can either match or fail to match in each group).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In each of the k −a groups 28 of registers where x and y don’t match, there are exactly η/k − 1 ways to choose the corresponding element of y.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Therefore, for a given a and x, we have that |{y ∈ Rk : |x ∩ y| = a}| = �k a � (η/k − 1)k−a .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F107) The only way that a particular x or y enters into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F104) is through a and b, so we can use this fact to take the sums over x and y, yielding Var(ˆo) ≤ � x∈Rk � y∈Rk e2 (η − a − b)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F108) ≤ e2 � x∈Rk k � a=0 �k a � (η/k − 1)k−a (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F109) ≤ e2 (η/k)k k � a=0 �k a � (η/k − 1)k−a (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' , (F110) under the assumption that η > 2k so that we don’t have to restrict the sum over a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Simplifying the inequality further, we find that Var(ˆo) ≤ e2 (η/k)k (η/k − 1)k k � a=0 �k a � (η/k − 1)−a (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F111) ≤ e2 (η/k)k (η/k − 1)k k � a=0 �k a � (η/k − 1)−a (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F112) Now we employ the upper and lower bounds from Stirling’s formula (that hold for any integer n > 0), √ 2πn �n e �n < n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' < e √ 2πn �n e �n .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F113) We can use these bounds to simplify the ratio of factorials in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F112), (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' ≤ e � 2π (η − 2k + a) �η − 2k + a e �η−2k+a 1 (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F114) ≤ e � 2π (η − k) �η − k e �η−2k+a 1 (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F115) ≤ e �η − k e �η−2k+a � e η − k �η−k (F116) = e � e η − k �k−a .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F117) Using the assumption that η > 2k we can proceed further, yielding (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' ≤ e � e η − k �k−a (F118) ≤ e �2e η �k−a (F119) = e �2e η �k �2e η �−a , (F120) where we have used the fact that η > 2k implies that η − k > η/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 29 We can use Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F120) to further simplify Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F112), finding that, Var(ˆo) ≤ e2 (η/k)k (η/k − 1)k k � a=0 �k a � (η/k − 1)−a (η − 2k + a)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F121) ≤ e3 (η/k)k (η/k − 1)k k � a=0 �k a � (η/k − 1)−a �2e η �k �2e η �−a (F122) ≤ e3 � η2/k2�k k � a=0 �k a � � η 2k �−a �2e η �k �2e η �−a (F123) = e3 �2eη k2 �k k � a=0 �k a � � e k �−a .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F124) Note that we again used the fact that η > 2k implies that η − k > η/2 to simplify the part of the bound involving (η/k − 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Applying the binomial theorem to the sum yields the bound Var(ˆo) ≤ e3 �2eη k2 �k e−k (k + e)k (F125) = e3 �2η (k + e) k2 �k .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F126) Recall that we defined the estimator ˆo by neglecting the coefficient kk(η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ηk(η−k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F16)’s expression for the k-RDM element kDj1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',jk i1,.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=',ik .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If we let ˆd be the estimator for this k-RDM element with the coefficient included, we have that Var( ˆd) = � kk (η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ηk (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' �2 Var(ˆo).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F127) Therefore, we can bound the desired variance by Var( ˆd) ≤ � kk (η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ηk (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' �2 e3 �2η (k + e) k2 �k .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F128) Simplifying this expression, we obtain Var( ˆd) ≤ � kk (η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') ηk (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' �2 e3 �2η (k + e) k2 �k (F129) = e3 � (η!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=') (η − k)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' �2 �2 (k + e) η �k (F130) ≤ e3ηk (2k + 2e)k , (F131) which is the bound advertised in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (F18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Appendix G: More efficient Slater determinant state preparation in first quantization The general principle is to prepare the state in second quantization, then convert it to first quantization.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To avoid needing to store all N qubits for the second quantized state as it is produced, we convert its qubits to the first quantized representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To explain this, we will first explain how a state in the second quantized representation can be converted to the first quantized representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' A computational basis state in second quantization consists of a string of N bits with η ones and N − η zeros.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The procedure is to run through these qubits in sequence and store the locations in η registers of size ⌈log N⌉.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Let us call the qubit number we consider from the second quantized representation q and also record the number of electrons (ones) found so far as ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The value of ξ will be stored in an ancilla register of size nη = ⌈log(η + 1)⌉.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We initialize all η registers for the first quantized representation and the ξ register as zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then, for q = 1 to N we perform the following.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 30 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Add the value in qubit q to the ξ register, with Toffoli cost nη − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If the qubit is in the state |1⟩ then ξ is incremented.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Now use qubit q to control unary iteration [15] on the register ξ, which has cost η − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Use this unary iteration to write the value q into register ξ using CNOTs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Because q is iterated classically, only CNOTs are needed, with no further Toffolis beyond that needed for the unary iteration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Because the unary iteration is controlled by qubit q, in the case where qubit q is in state |0⟩, the unary iteration does not proceed and the value of q is not written out.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Now perform unary iteration on ξ again that is not controlled;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' the cost is η − 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' We use the unary iteration on ξ to check if the value in register number ξ is q;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' if it is then we perform a NOT on qubit q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This multiply-controlled Toffoli is controlled by ⌈log N⌉ + 1 qubits (including the qubit from the unary iteration), so it has a cost of ⌈log N⌉.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' But, this is done for each of the η registers, for a total cost η⌈log N⌉.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The last operation ensures that qubit q is set to |0⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' +That is because, if it is initially |0⟩, then value q is not written in register ξ, and the value is not flipped.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' If it is initially |1⟩, then q is written in register ξ, and the multiply-controlled Toffoli flips this qubit to |0⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' So far this procedure gives an ordered list of the electron positions, but we need an antisymmetrized state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To obtain that, we apply the procedure in [66] to antisymmetrize with cost O(η log η log N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The total Toffoli cost is N (2η + nη − 3 + η⌈log N⌉) + O(η log η log N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' (G1) The dominant cost here is ηN log N from erasing the qubits in the second quantized representation, with the factor of log N coming from the need to check all qubits of each register to check if it is q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' However, recall that in unary iteration it is possible to check if a register is equal to a consecutive sequence of values without this logarithmic overhead, and we are considering consecutive values of q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' To eliminate that overhead, we, therefore, consider simultaneous unary iteration on all of the η registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' That is, for each register for the first quantized representation, we also store the qubits needed for unary iteration, as well as a control register to ensure we do not iterate on registers that do not have value written into them yet.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The control qubits will correspond to the value of ξ in unary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Our modified procedure is as follows (with the iteration of q from 1 to N).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Perform a single step of unary iteration on all η registers with cost η Toffolis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Add the value in qubit q to the ξ register, with Toffoli cost nη − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Use qubit q to control unary iteration on the register ξ, which has cost η − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Use this unary iteration to write the value q into register ξ, as well as the ⌈log N⌉ ancilla qubits for the unary iteration and the control qubit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Again this is performed with CNOTs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Convert the control qubits to one-hot unary using a sequence of CNOTs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' For each of the η registers, use the control qubit and the unary iteration output to control a NOT on qubit q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' This has a cost of a single Toffoli for each register, for a toal of η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Convert the control qubits to from one-hot unary with CNOTs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' As a result, we have eliminated the log N factor and also eliminated the cost of η − 2 for the unary iteration on ξ (because the control qubits are a unary representation of ξ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' One might ask if the binary representation of ξ is still needed;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' however, it would be more costly to add increment ξ in unary (about η cost instead of log η).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The total Toffoli cost of this procedure is now N (3η + nη − 2) + O(η log η log N), (G2) where the order term is the cost for antisymmetrizing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Note that this reduces the Toffoli cost, but there is still a Clifford cost of Nη log N from the CNOTs to place the value of q in the first quantized registers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Now to efficiently prepare the Slater determinant, we can perform the sequence of Givens rotations on the qubits for the second quantized representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' The Givens rotations are performed in a sequence where Givens rotations are performed in a layer on qubits 1 to η + 1, then on qubits 2 to η + 2, then 3 to η + 3, and so on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' One can find the details of the Givens rotations that must be applied in [64].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Generally, layer q of Givens rotations is performed on 31 qubits q to η + q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' After the first layer there are only η + 1 qubits being used, and the first qubit is not accessed again in the preparation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Therefore we can convert this qubit to the first quantized representation and erase it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' Then there are only η qubits actively being used in the second quantized representation, and the next layer will be performed on qubits 2 to η + 2, bringing on one more qubit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} +page_content=' In this way, each time we perform a layer of Givens rotations to prepare the state, we can convert one qubit to the first quantized representation, and only η + 1 qubits of the second quantized representation need be used at once, which is trivial compared to the number of qubits used for the first quantized representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/x9AzT4oBgHgl3EQfQvs-/content/2301.01203v1.pdf'} diff --git a/xdE3T4oBgHgl3EQflgqp/content/tmp_files/2301.04608v1.pdf.txt b/xdE3T4oBgHgl3EQflgqp/content/tmp_files/2301.04608v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..26141f4e2e292e76eaf35f028aa8e6e2e86b6084 --- /dev/null +++ b/xdE3T4oBgHgl3EQflgqp/content/tmp_files/2301.04608v1.pdf.txt @@ -0,0 +1,1390 @@ +Padding Module: Learning the Padding in Deep +Neural Networks +Fahad Alrasheedi +Department of Computer Science +University of Nebraska Omaha +Omaha, USA +falrasheedi@unomaha.edu +Xin Zhong +Department of Computer Science +University of Nebraska Omaha +Omaha, USA +xzhong@unomaha.edu +Pei-Chi Huang +Department of Computer Science +University of Nebraska Omaha +Omaha, USA +phuang@unomaha.edu +Abstract—During the last decades, many studies have been +dedicated to improving the performance of neural networks, for +example, the network architectures, initialization, and activation. +However, investigating the importance and effects of learnable +padding methods in deep learning remains relatively open. To +mitigate the gap, this paper proposes a novel trainable Padding +Module that can be placed in a deep learning model. The Padding +Module can optimize itself without requiring or influencing +the model’s entire loss function. To train itself, the Padding +Module constructs a ground truth and a predictor from the +inputs by leveraging the underlying structure in the input data +for supervision. As a result, the Padding Module can learn +automatically to pad pixels to the border of its input images or +feature maps. The padding contents are realistic extensions to its +input data and simultaneously facilitate the deep learning model’s +downstream task. Experiments have shown that the proposed +Padding Module outperforms the state-of-the-art competitors and +the baseline methods. For example, the Padding Module has +1.23% and 0.44% more classification accuracy than the zero +padding when tested on the VGG16 and ResNet50. +Index Terms—Padding Module, Deep Learning, Neural Net- +works, Trainable Padding +I. INTRODUCTION +Deep Neural Networks (DNNs) have significantly improved +the performance of a wide range of computer vision tasks +to the extent of being comparable to or exceeding human- +level in many domains [1], such as image classification [2], +object recognition [3], and image segmentation [4]. DNNs for +computer vision have been iteratively improving in different +aspects such as network architecture [5]–[8], network initial- +ization [9], [10], optimization [11], [12], and activation [13], +[14]. While it is intuitive that the salient foreground of an input +image can control the results of a deep learning model [15], +[16], researchers have also discovered that the input’s bor- +ders and corners can dominate the model’s performance re- +cently [17]–[19]. The study on the importance and effects of +image borders remains relatively open, and this paper focuses +on a trainable padding method that process image borders for +deep learning models. +Padding refers to the technique of adding extra data to the +input’s borders so that the input’s width, height, or depth can +be manipulated. Padding is widely used in Convolutional Neu- +ral Networks (CNNs) to alter the output size of a convolutional +This paper has been accepted for publication by the IEEE Access. +Fig. 1: Five-pixel padding applied to a CIFAR-10 sampled +image using three different padding methods: A) the zero +padding, B) the local mean interpolation, and C) the proposed +Padding Module. +layer. Without padding, convolutional filters will not process +the input’s borders and the output size will be reduced. The +input size can be maintained with padding; we add an extra +border before the convolution so that the original border can +be processed [20]. +Traditional padding techniques include zero padding, repli- +cation padding, and reflection padding. The reflection padding +reflects the valid data over the borders; the replication padding +uses the borders themselves as padding values; the zero +padding specifies the use of zeroes as padding values. The +replication and reflection padding methods extend the input +with duplicate contents that may not be realistic; hence, they +may destroy the original distribution [19]. The zero padding +may outweigh the replication and reflection padding methods +in terms of speed due to its computational simplicity. The +major drawback of the traditional methods is that they are not +dynamic. Thus, the padding values are always static and not +optimized during the model training in a way that how they +could be optimally predicted rationally to the input’s borders. +More recently, padding methods have been studied aiming +at a more related and realistic extension of the original +input [19], [21]. For example, Liu et al. [21] proposed a +padding method using partial convolution. Nguyen et al. [19] +used a local mean of a sliding window over the input’s borders +so the local distributions at the borders before and after the +padding are consistent. These state-of-the-art padding methods +outperformed the traditional padding in several tasks such +as image classification, image segmentation, and image style +transfer. However, the major disadvantage of the state-of-the- +art padding methods is that they are not trainable: the padding +contents are still not optimized. +arXiv:2301.04608v1 [cs.CV] 11 Jan 2023 + +(A) +(B) +(C)In this paper, we propose a trainable Padding Module that +can be inserted into selected positions of a deep learning +model to learn how to pad its inputs. The Padding Module +can be trained simultaneously with a deep learning model, +but, it is a self-learner in a way that will not require or +influence the model’s entire loss function. During the training, +the Padding Module internally constructs a ground truth from +the input’s actual borders and trains a predictor considering the +neighboring areas. The trained Padding Module can produce +plausible results, as shown in Figure 1. The advantages of our +work can be summarized as three-fold: +• The proposed Padding Module introduces a trainable +method that automatically pads its inputs. +• The Padding Module extends its input with realistic new +data that are related to the original data. +• The Padding Module improves the performance of a +downstream task of a deep learning model and outper- +forms the state-of-the-art competitors, e.g., classification. +The remainder of this paper is organized as follows. In Sec- +tion II, we review the related work that addressed the padding +effects on the neural networks performance and discuss how +the current study fills the gap in the related work. Section III +discusses our approach for the Padding Module followed by +evaluation results in Section IV. Finally, Section V concludes +with the discussion on evaluation and highlights some of the +future work in this sector. +II. LITERATURE REVIEW AND RELATED WORK +Many studies have tried to improve the performance of +CNNs models from network architecture [22]–[25], differ- +ent variants of optimization [26]–[28], activations [29]–[32], +regularization methods [33], [34] and so no. However, little +attention has been paid to investigating the padding schemes +during the convolution operation. To assist the kernel, i.e., +features extractor, in extracting important features during +image processing in CNNs, padding layers can be added to +visit pixels of the images around the corners more times, and +then increase accuracy. The previous padding methods are +presented as follows: Section II-A presents the performance +improvement of neural networks; Section II-B introduces the +improvement of space design; and Section II-C describes our +contributions. +A. Performance Improvement of Neural Networks +Several studies have proposed padding methods to improve +the performance of the neural networks [17], [19], [21]. +Innamorati et al. [17] addressed the importance of the +data at the borders of the input by proposing a convolution +layer that dealt with corners and borders separately from the +middle part of the image. They specifically designed filters for +each corner and border to handle the data at the boundaries, +including upper, lower, left, and right borders. The boundary +filters used in the convolution were jointly learned with the +filter used for the middle part of the image. However, the +main issue of this study is that the number of filters used to +deal with the boundaries increases linearly with the size of the +receptive field. +Also, Nguyen et al. [19] proposed a padding method that +could keep the local spatial distribution of the padded area +consistent with the original input. The proposed method used +the local means of the input at the borders to produce the +padding values; they proposed two different variants of the +padding method: mean-interpolation and mean-reflection. Both +variants used filters with static values, based on the receptive +field, in the convolution operation that is supposed to yield +the padding values maintaining the same distributions as the +original borders. However, the main issue with this method is +that they are not learnable. +Liu et al. [21] proposed a padding layer that uses a partial +convolution that mainly re-weighted the convolution operation +based on the ratio of the number of parameters in the filter +to the number of valid data in the sliding window. In other +words, they dealt with the padded area as hole areas that need +to be in-painted, while the data coming from the original image +were seen as non-hole areas. The main issue of this study is +that the padding process is not learnable. +B. Improvement of Spaces Design +Also, some studies addressed the importance of the padding +and data at the boundaries in the semantic representation +learning and converting 360-degree space to 2-dimensional (2- +D) space respectively [35]–[37]. +Cheng et al. [37] showed the importance of the padding +method when they converted the 360-degree video to 2- +dimensional space. They converted the video to six faces. +Then, they used the reflection padding to connect them to form +the 2-D space. The reflection padding naturally connected the +faces compared to the zero-padding, which caused discontinu- +ity. +Interesting works were provided by Islam et al. [35], [36] +in which they showed the importance of zero padding along +with the data at the borders in encoding the absolute position +information in the semantic representation learning. They +showed that the zero padding and the boundaries drove the +CNN models to encode the spatial information that helped +the filters where to look for a specific feature; the spatial +information was eventually propagated over the whole image. +C. Our Contributions +The padding methods and their effects on a CNN model’s +performance are still open areas for researchers to investigate; +hence, it is worth proposing new padding methods that could +improve the performance of the CNN models. We propose a +novel padding method, Padding Module, that could realisti- +cally extend the input with related data. It learns how to pad +the input by using the inputs’ borders as a ground truth and +the neighboring areas of the borders as a predictor. Then, it +uses a local loss function such as Mean Squared Error (MSE) +and updates the filters using the local differentiation of the +loss function with respect to the Padding Module’s filters. The +following section explains the implementation of the Padding +Module. + +III. THE PROPOSED Padding Module +This paper presents the Padding Module, a learnable +padding method that can pad the input with related and +realistic padding, as shown in Figure 1. The Padding Module +can be used as a substitute for other padding methods in the +convolution layer, such as the zero padding, the replication +padding, and the reflection padding. This section shows how +the padding procedure (Section III-A) and the backpropagation +(Section III-B) of the Padding Module work. +A. Padding Procedure +Algorithms 1 and 2, respectively, give an overview of the +forward pass and the back-propagation of the Padding Module. +The Padding Module first constructs a ground truth and a +predictor from the input ( shown in step 1 to step 3 in +Algorithm 1 and explained in Sections III-A1 and III-A2). +Then, the Padding Module uses the filters being learned to +produce the actual padding values using the input’s borders +as a predictor ( shown in steps 4 to 13 in Algorithm 1 and +explained in Section III-A4). Finally, the Padding Module +uses the MSE as a loss function to compute the loss value +and updates the filters during the model’s back-propagation +( shown in steps 1 to 2 in Algorithm 2 and explained in +Sections III-A3 and III-B). +The Padding Module can pad the original input with any +padding size, (e.g., one-pixel, two-pixels, etc). Indeed, the +padding process in the Padding Module is iterative ( shown in +steps 4 to 13 in Algorithm 1). Assume the required padding +size is three pixels, the padding process will iterate three times +as follows: (1) padding the original input with one-pixel along +all the four borders; (2) padding the output of the 1st iteration +with one-pixel along all the four borders; and (3) padding the +output of the 2nd iteration with one-pixel along all the four +borders. Here, to easily explain our method, a simple case of +padding process was presented here, e.g., one-pixel padding. +Also, the Padding Module is assigned filters as many as the +number of channels in the input as explained in Section III-A3. +Then, we explain the padding process considering a single +channel. Here, the same procedure is separately applied to +each channel in case of multiple channels. +1) Ground Truth T: The Padding Module structures the +ground truth T by extracting the input’s borders and stacking +them upon each other vertically to form a four-row matrix. +However, to stack the left and right borders vertically in +T, they are transposed from column vectors to row vectors. +Formally, given M r +c as an original input with r and c as +the number of rows and columns respectively; henceforth, +superscripts and subscripts represent the indexes in the row- +wise traversal and the column-wise traversal of the input +respectively. The following is T’s extracting function target +of the input M r +c : +Algorithm 1 Forward Pass +Input: M r +c , size, where r and c are the dimensions of a +matrix, and size is the padding size. +Output: M r′ +c′ , where r′ = r+2×size, and c′ = c+2×size. +1: T ← target(M r +c ) +/* as in Eq.1 */ +2: N ← neighbors(M r +c ) +/* as in Eq.2 */ +3: P ← padz(padr(N)) +/* as in Eq.3 */ +4: M r′ +c′ ← M r +c +/* initial state for M r′ +c′ */ +5: while size ̸= 0 do +6: +Nout ← borders(M r′ +c′ ) +/* as in Eq.6 */ +7: +Pout ← padz(padr(Nout)) +/* as in Eq.3 */ +8: +O ← fθ(Pout) +/* as in Eq. 7 */ +9: +M r′+2 +c′+2 ← O0//padz(M r′ +c′ )//O1 +10: +M r′+2 +c′+2 ← sides((O2)T , M r′+2 +c′+2 , (O3)T ) /* as in Eq.8 +*/ +11: +M r′ +c′ ← corners(M r′+2 +c′+2 ) +/* as in Eq.9 */ +12: +size ← size − 1 +13: end while +14: return M r′ +c′ +Algorithm 2 Back Propagation +Input: Gr′ +c′, where c′ and r′ are the same dimensions of the +output of the forward pass in Algorithm 1. +Output: Gr +c, where c and r are the same dimensions of the +input of the forward pass in Algorithm 1. +1: Compute the local gradients. +/* as in Eq.5 */ +2: Update the filter weights +3: Gr +c ← strip(Gr′ +c′) +/* as in Eq.10 */ +4: return Gr +c +T = target(M r +c ) = +� +����� +M 0 +[:] +M r−1 +[:] +(M [:] +0 ) +T +(M [:] +c−1) +T +� +����� +, +(1) +where M 0 +[:] is the entire row vector in M r +c at index 0, M r−1 +[:] +is the entire row vector in M r +c at index r − 1, (M [:] +0 ) +T is the +transpose of the entire column vector in M r +c at index 0, and +(M [:] +c−1) +T is the transpose of the entire column vector in M r +c +at index c−1. Figure 2. (A) is an example to visually illustrate +how T is constructed where the first row represents the upper +border in M r +c , the second row represents the lower border in +M r +c , the third row represents the left border in M r +c , and the +last row represents the right border in M r +c . +2) Predictor (P): To structure the predictor from the orig- +inal input M r +c , the Padding Module extracts the row vectors +that neighbor the upper border and lower border in M r +c and the +transpose of the column vectors that neighbor the left border +and right border in M r +c . Then, the Padding Module stacks all +the extracted neighbors vertically to form a four-row matrix. +Formally, the predictor’s (denoted as P) extracting function of + +Fig. 2: An example to illustrate the steps 1-3 in Algorithm 1. On the left: the input M r +c with size of (6, 6) pixels; the superscripts +are the indexes in the row-wise traversal while the subscripts are the indexes in the column-wise traversal of the input. On the +right: (A) the ground truth T: a result of applying step 1 in Algorithm 1 which is a stack of the borders where the first row, +second row, third row, and last row are the upper, lower, left, and right borders in the input respectively; and (B) the predictor +P: a result of applying steps 2 and 3 in Algorithm 1 which is a stack of the neighbors where the first row, second row, third +row, and last row are neighbors to the upper, lower, left, and right borders in the input respectively, and the stack is padded +at the left and right sides with reflection padding (pr) and with zero padding (pz). +M r +c can be expressed in the following way: +First, the neighbors in M r +c are selected and denoted as N +as follows: +N = neighbors(M r +c ) = +� +����� +M 1 +[1:c−1] +M r−2 +[1:c−1] +(M [1:r−1] +1 +) +T +(M [1:r−1] +c−2 +) +T +� +����� +. +(2) +The slice [1 : c − 1] excludes the data in the row vectors at +the borders due to overlapping with the T, whereas the slice +[1 : r − 1] excludes the data in the column vectors at the +borders due to overlapping with T. +Then, the Padding Module pads the structure as follows: +P = padz(padr(N)). +(3) +First, the padr(.) function pads the structure with one pixel of +the reflection padding horizontally (the left and right sides); +then, with one pixel of the zero padding horizontally using the +padz(.) function can get the final structure for P. +Each row in P will be used to predict the corresponding +row in T. For example, the first row in P will be used to +predict the first row in T representing the upper border in +the input M r +c . Figure 2 (B) is an example to visually illustrate +how the Padding Module constructs the stack of the neighbors +(as a predictor) where the right and left sides of the stack are +padded with the reflection padding (named as pr), and the zero +padding (named as pz). +3) Filters and the Loss Function: The Padding Module uses +as many filters as the channels in the input (i.e., filter per +channel). Also, each filter will be a row vector with a size of +(1, 3) and a stride of (1, 1); that is because of having each row +in P as a predictor for the corresponding row in T. Therefore, +to predict T, the Padding Module convolutes the filters over P; +it uses its own loss function to optimize the prediction through +the local differentiation of the loss function with respect to the +filters. +The loss function used by the Padding Module is the MSE +which computes the squared difference between the ground +truth and the predicted value. The following equation is the +MSE’s mathematical expression for a single data point: +MSE(fθ(P), T) = +4 +� +a=1 +n +� +j=1 +(θT · P a +j − T a +j )2, +(4) +where f is the convolutional operation parameterized by θ, P +and T are the predictor and the ground truth extracted from +the original input M r +c , a represents the indexes for rows in the +four-row matrices P and T, and j represents the indexes for +both the slide windows and columns in P and T respectively. +Hence, P a +j is the jth slide window in the row indexed at a in +P, and T a +j is the corresponding value in T indexed at the ath +row and jth column. +The local differentiation of the Padding Module’s loss func- +tion and the filters’ updates are achieved during the model’s +back-propagation; these local gradients are not propagated to +the previous layer. Besides that, the Padding Module facili- +ties the back-propagation of the model’s loss function going +through it to the previous layer as explained in Section III-B. +The following is the mathematical expression for the local +gradients (Padding Module’s loss function gradients with +respect to a single filter for a single data point): +ϕ +ϕθm +MSE(fθ(P), T) = 2 +4 +� +a=1 +n +� +j=1 +(θT · P a +j − T a +j )xm, +(5) +where xm is a single feature in the P a +j slide window which +was multiplied by the corresponding weight, namely θm, in + +A) Ground Truth T +MST +[Mo +MI +M +Ma +M +Me +MS +M5 +M2 +M5 +MS +Input Mr= +M +M3 +M3 +M +Mo +M +[M +MI +M2 +M? +M +M +LMg +M2 +M3 +Ms +MS! +M +M2 +M1 +Ms +M +M1 +M3 +M +M2 +M3 +M? +M +M +target(M) +M3 +M3 +M2 +M3 +M +M3 +Pad(padr(neighbors(M)) +B) Predictor P +M2 +M4 +Mo +Mi +M2 +M9 +Ma +M? +Ma +M4 +M +Pz +pr +pr +pz +LM§ +M5 +M5 +M5 +M5 +M5 +M5 +M5 +M5 +M5 +ME +Pz +pr +pr +Pz +M +M3 +Me +Mo +M1 +M5 +Pz +pr +Pr +Pz +M? +M +M2 +Lpz +M? +Ms +M5 +pr +pr +pz-the θ during the convolution. +4) Padding +Process: +The +procedures +in +Sec- +tions III-A1, III-A2, and III-A3 are used to guide the +Padding Module on learning how to predict the borders of +the original input, M r +c , based on the neighboring areas to the +borders, and then the Padding Module can optimize its filters. +However, the padding process is shown in steps 4 to 13 +in Algorithm 1; it uses the borders of the input, M r′ +c′ , as +the predictor. In detail, the padding process iterates until the +original input is padded with the required padding size. Hence, +the original input M r +c is assigned to M r′ +c′ as an initial state +in step 4 before the padding loop starts. Then, each iteration +pads the input, M r′ +c′ , with one-pixel, and outputs a new M r′ +c′ +which will be used for the next iteration and so forth. The +dimensions of an iteration’s output, M r′ +c′ in step 11, are two- +pixel larger than the dimensions of that iteration’s input, M r′ +c′ +in step 6. +Minutely, constructing the predictor in the padding process +is similar to the way that constructs P in Section III-A2 with +small modifications. To distinguish the notions of neighbors, +N, and P, in Section III-A2, borders, Nout, and Pout are +denoted for the extracting function, the function’s output, and +the predictor, respectively. The following is the mathematical +expression for the extracting function borders: +Nout = borders(M r′ +c′ ) = +� +����� +M 0 +[:] +M r−1 +[:] +(M [:] +0 ) +T +(M [:] +c−1) +T +� +����� +, +(6) +where M 0 +[:] and M r−1 +[:] +mean extracting the entire upper and +lower borders respectively. Whereas, (M [:] +0 )T and (M [:] +c−1)T +mean extracting the transpose of the entire left and right +borders respectively. Then, the Padding Module pads the +output Nout using Equation 3 to get the final structure for +Pout. +Consequently, convoluting the filters over the Pout will +produce the padding values for the iteration’s input. The output +can be expressed as follows: +O = fθ(Pout), +(7) +where f is the convolutional operation parameterized by θ, +Pout is the predictor, and the O is the output and comes as a +matrix of four rows. Each row represents the padding values +for the corresponding area in the iteration’s input, M r′ +c′ , as +follows: the first row (O0), the second row (O1), the third row +(O2), and the fourth row (O3) represent the padding values for +the upper, the lower, the left, and the right areas in the input +respectively. +Then, the steps from 9 to 11 are how the produced padding +values stick around the input M r′ +c′ . First, in step 9, the vertical +concatenation operator // is used to concatenate the first row +(O0) with M r′ +c′ , and then concatenates the resulted matrix +with the second row (O1). However, the rows from O are +two-pixel wider than the rows of M r′ +c′ ; therefore, to match +the dimensions of these operands, the Padding Module uses +padz(.) to pad the M r′ +c′ horizontally with one pixel of the zero +padding before the concatenation process. Hence, the output’s +dimensions in step 9, denoted as M r′+2 +c′+2 , are two-pixel larger +than the input M r′ +c′ . Finally, the algorithm uses sides function +which can be formally expressed as the following: +sides((O2)T , M r′+2 +c′+2 , (O3)T ). +(8) +This function does not change the dimensions; however, it adds +respectively the transpose of the third row (O2) and fourth row +(O3) to the left and right columns of M r′+2 +c′+2 , the concatenated +matrix with zero values at the left and right columns unless +the corners already assigned values from the concatenation +process. To resolve the double-count problem at the corners, +the Padding Module takes the average of added values in the +corners by dividing each corner by 2; this averaging function +is step 12 in Algorithm 1: +M r′ +c′ = corners(M r′+2 +c′+2 ). +(9) +Lastly, as mentioned early in this section that the dimensions +of the iteration’s output are two-pixel larger than the iteration’s +input. Hence, the output M r′ +c′ , in Equation 9, has dimensions r′ +and c′ that are updated with the dimensions of M r′+2 +c′+2 , namely +r′ + 2 and c′ + 2 respectively. +B. Back-propagation +As seen in Section III-A3, the Padding Module is not opti- +mized based on the model’s main loss function; therefore, the +model does not compute the gradients of its loss function with +respect to the filters of the Padding Module. However, during +the mode’s backpropagation, the Padding Module achieves two +key points as follows: +1) As shown in step 1 in Algorithm 2, the Padding Module +optimizes its filters through computing the local gradi- +ents for its loss function with respect to the filters as +explained in Section III-A3. +2) The process also receives Gr′ +c′ which are the gradi- +ents of the model’s loss function with respect to the +Padding Module’s output, the original input M r +c after +being padded. Therefore, the Padding Module strips +out the gradients from Gr′ +c′ that represent the gradients +for the padded areas in the Padding Module’s output; +the stripping-out process is step 3 in Algorithm 2, and +formally expressed as follows: +Gr +c = strip(Gr′ +c′). +(10) +Then, the Padding Module back-propagates to the pre- +vious layer the Gr +c, representing the gradients for the +previous layer’s output. Figure 3 is an example to +visually illustrate how the back-propagation process in +the Padding Module is achieved. + +Fig. 3: An example to illustrate the back propagation in Algorithm 2. On the top: the input to the Padding Module is of size +(6, 6), the Padding Module uses one-pixel padding and produces an output of size (8, 8) where the borders p is the computed +padding values. On the bottom: the back-propagation of the received gradients which is of size (8, 8) where the borders are +gradients for the padding values gp; the Padding Module strips out gp from the received gradients, and sends the remaining to +the previous layer. The g stands for gradient; for example gM 0 +0 is the gradient for the pixel at index [0, 0] in the input of the +Forward Pass. +IV. EXPERIMENTAL RESULTS AND ANALYSIS +This section shows the design of the training and testing +experiments on our Padding Module applied to a downstream +task, i.e., image classification. The experimental setup is +presented in Sections IV-A. The quantitative and qualitative +results are described in Section IV-B and IV-C. +A. Experiment Setup +The study used the premium service from Google Colabora- +tory where a GPU of Tesla T4 was assigned. The experiments +and comparisons were conducted on the CIFAR-10 dataset +for a classification task [38]. The CIFAR-10 dataset includes +a training dataset of 50,000 images and a test dataset of +10,000 images. The images are of shape (32, 32, 3), dis- +tributed equally to ten classes of airplane, automobile, bird, +cat, deer, dog, frog, horse, ship, and truck. The Padding +Module was applied to different networks namely: VGG16 [8] +and ResNet50V2 [39]; to make the deeper layers in these +networks carry out a valid convolution, the images were +resized to (64, 64, 3) and (224, 224, 3) for the VGG16 and +the ResNet50V2, respectively. +The VGG16 is a vanilla-based architecture where the net- +work shape is wider at the beginning of the network and +narrowed down as going deep in the network. The pre-trained +VGG16 was obtained from the keras1 without the top layers +(the last three dense layers including the original softmax +layer). Then, we added two fully-connected layers each with +512 neurons and followed by a dropout layer. On the other +hand, the ResNet50V2 is made up of blocks where each block +sends the block’s input through the block itself, and also uses a +skip connection to directly add the block’s input to the output +of the input’s flow coming through the block. The process +is known as the identity function that could help deep layers +to improve the model’s accuracy. ResNet50V2 is a modified +version of the ResNet50 [13]. The modification mainly is in +the arrangement of the block layers; batch normalization [11] +and ReLU activation [40] are applied to the data flow before +the convolutional layer in the block. These changes enabled +the ResNet50V2 to outperform the ResNet50 on the image +classification task. The ResNet50V2 was downloaded from the +keras2 without the top layer (the last dense layer which is the +original softmax layer). Then, two fully-connected layers with +1024 and 512 neurons were added. +1VGG16 from the keras: https://keras.io/api/applications/vgg +2ResNet50V2 from the kera: https://keras.io/api/applications/resnet + +The Padding Module +Output +Input +p +p +p +p +p +p +p +MI +M2 +M +MI +M +M: +p +Mi +M9 +M +M? +p +Mi +MS +MS +M +p +M +M1 +M2 +M3 +M1 +Ms +p +M? +M? +M3 +Forward Pass +Me +M? +M? +M +M2 +p +p +Ma +Mi +M2 +M3 +Ms +M3 +p +p +Me +M1 +M +MS +M4 +p +Ma +Ms +p +LM +M5 +M5 +MS +Ms +MS +M5 +M5 +M5 +M5 +MS +p +MS +p +Lp +p +p +p +p +p +p +pJ +Input +Output +T9p +9p +9p +9p +9p +9p +9p +9pj +g mi +w6 +9 mg +9 mg +9p +9M: +9Mi +9 ms +9 mg +9g +9 M2 +Backpropagation +9p +9M +gM +9m? +9p +9p +9Mi +9ms +9p +9m +9 ms +9 ms +9ms +9 ms +M +9p +9m +9m +9p +gp +gp +9p +9p +gr +gp-Fig. 4: The comparison of three different padding methods on +the test images: zero padding, mean interpolation padding, and +the Padding Module when applied to the VGG16 model. +Fig. 5: The comparison of three different padding methods on +the test images: zero padding, mean interpolation padding, and +the Padding Module when applied to the ResNet50V2. +Moreover, we added a softmax layer with ten outputs for +both models of VGG16 and ResNet50V2, and then used +the Adam optimizer [12] for the back-propagation of the +gradients. Finally, the Padding Module was used before every +convolutional layer in the VGG16; whereas, we replaced every +zero padding layer in the ResNet50V2 with the Padding +Module. +B. Quantitative Results +Section IV-B1 compares the proposed Padding Module and +state-of-art padding solutions by performing the image clas- +sification task, and then Section IV-B2 discusses an ablation +study based on our solution. +1) Image Classification Task: +We considered the zero +padding method as a baseline to compare the Padding Module +with. Moreover, we used the mean interpolation padding +method [19] as the state-of-art since it outperformed the +partial convolution padding method [19], [21] in the image +classification. The main goal of this study, which aligns with +the literature, is to investigate the padding effect on the +accuracy of DNN models. Therefore, the accuracy is used as +a comparison metric between the performance of the Padding +Module and the benchmark. The accuracy is the percentage of +correctly classified images over the total number of images in +the dataset. +Each model was trained with 100 epochs using the training +dataset, and tested in each epoch using the test dataset. In +Figure 4, the Padding Module outperforms both the baseline +method and the mean interpolation padding method when us- +ing the VGG16; also, we found that the baseline is comparable +to the mean interpolation method. As for the Resent50, the +Padding Module also outperforms the other two paddings as +shown in Figure 5. We also noticed that the baseline method +is comparable to the mean interpolation method. Moreover, +Table I summarizes the average of the last five epochs for the +three different padding methods and the margin between the +highest and the second-highest accuracies for the two models. +As mentioned, the study investigated the effects of the +Padding Module on the accuracy of DNN models. Importantly, +we showed that the related and realistic padding could improve +the accuracy of DNN models ; therefore, the Padding Module +Padding Method +VGG16 +ResNet50V2 +Padding Module +92.92 +95.08 +Zero Padding +91.43 +94.64 +Mean Interoplation +91.69 +94.44 +margin +1.23 +0.44 +TABLE I: The average accuracy of the last five epochs +for three different padding methods used in VGG16 and +ResNet50V2. The margin is the difference between each +model’s highest and second-highest padding methods. +Fig. 6: MSEs for three Padding Modules placed at different +positions in the VGG16: 1) module 1: at the beginning, 2) +module 2: at the middle, and 3) module 3: at the end. +was able to produce such padding by minimizing the MSE +in Algorithms 1 and 2. Figure 6 illustrates MSEs for three +cases of the Padding Module applied in different places (at +the beginning, in the middle, and at the end) in the VGG16; +it is evident that the MSEs significantly decreased after only +two epochs and then stayed flat till the end of the experiment +for the three cases. +One natural drawback of the current Padding Module was +the extra running time caused by constructing the data struc- +tures and optimizing the filters. Table 2 shows that VGG16 and +ResNet50V2, on average, doubled the epoch’s time when ap- +plying the Padding Module (i.e., placing the Padding Module +before every convolutional layer in the VGG16 and replacing +every zero padding layer in the ResNet50V2 with the Padding +Module). On the other side, the accuracy for the VGG16 +and ResNet50V2, respectively, gained margins of 1.49% and +0.44% when applying the Padding Module compared to the + +100 +90 +Accuracy +80 +Padding Types +Mean Interpolation +70 +Ours +Zero padding +60 +0 +10 +20 +30 +40 +50 +60 +70 +80 +90 +100 +Epochs100 +95 +Accuracy +Padding Types +Mean Interpolation +90 +Ours +Zero padding +85 +0 +10 +20 +30 +40 +50 +60 +70 +80 +0.6 +100 +Epochs30 +MES +Module +20 +module 1 +module 2 +10 +module 3 +0 +10 +20 +30 +40 +50 +60 +70 +80 +90 +100 +Epochszero padding (no Padding Module). One remedy to lessen the +running time problem may be to stop training the Padding +Module when it significantly decreases the MSE after the first +two epochs. However, improving the current Padding Module +including the time complexity can be a further direction for +further research. +2) Ablation Study: The experiments in this section were +conducted as an ablation study where the Padding Module +was empirically placed at different positions in the VGG16 +model, as shown in Figure 7: at the beginning of the model, +in the middle, at the end, and the combination of all the three +places together. We also compared the four scenarios with two +other scenarios: (1) where the Padding Module was placed in +all positions (before each convolutional layer) in the model; +and (2) where the Padding Module was not used but the zero +padding was used instead. We ran each scenario 100 epochs +using the training dataset for training and the test dataset for +evaluation, and averaged the test accuracies of the last five +epochs for each scenario; Table III illustrates the summary of +the comparison of the models. We noticed that using a single +Padding Module with the shallow layers outperformed the case +of using it with the deep layers. Also, the combination scenario +showed a superiority over the scenario of a single Padding +Module. However, the best performance was when the Padding +Module applied in the scenario of all positions. Finally, all the +scenarios of applying the Padding Module outperformed the +scenario of the model with no Padding Module. +Model +Zero Padding +Padding Module +Margin +Accuracy +Time +Accuracy +Time +VGG16 +91.43 +2 +92.92 +4 +1.49 +ResNet50 +94.64 +5 +95.08 +9 +0.44 +TABLE II: On average, the running time doubles for one +epoch when applying the Padding Module to the VGG16 and +ResNet50V2 compared to the case of the zero padding (no +Padding Module applied). Times are shown in a minute-scale. +The margin is the accuracy difference between the case of +applying the Padding Module and the zero padding. +No +Different places in the VGG16 +Accuracy +1 +At the beginning +91.98 +2 +At the middle +91.8 +3 +At the end +91.97 +4 +Combination of 1, 2, and 3 togather +92.18 +5 +All positions +92.8 +6 +VGG16 with no Padding Module +91.4 +TABLE III: Placing the Padding Module at different positions +in the VGG16: 1) at the beginning 2) at the middle 3) at the +end 4) combination of beginning, middle, end 5) before every +convolutional layer 6) VGG16 with no Padding Module (zero +padding instead). +C. Qualitative Results +Different padding sizes, such as one-pixel, three-pixel, and +five-pixel, were used to illustrate how the Padding Module +can extend the input with related and realistic extensions. +Also, we compared these different padding sizes with the +other two methods, namely the zero padding and the mean +interpolation padding. As shown in Figure 8, the Padding +Module can learn how to pad the input with related data and +natural extension; this finding becomes more evident as the +padding size increases. +V. FUTURE RESEARCH DIRECTIONS AND CONCLUSION +This paper proposed a novel padding method: Padding +Module; that can learn how to pad an input from the input’s +borders; hence, the input can be realistically extended with +related data. The Padding Module is a self-learning of its +weights. To train itself, the Padding Module constructs a +ground truth and a predictor from the inputs by leveraging +the underlying structure in the input data for supervision. +The Padding Module uses convolutional operation over the +predictor to produce a predicted value that is, in turn, com- +pared with the ground truth. The Padding Module uses a +local loss function, independent from the model’s main loss +function, to minimize the difference between the predicted +value and the ground truth. Therefore, the Padding Module +updates its convolutional filters locally during the model’s +back-propagation. Besides that, the Padding Module back- +propagates the model’s gradients with respect to the Padding +Module’s output after stripping out the gradients for the padded +areas to the previous layer. +The experimental results showed that the Padding Module +outperformed the zero-padding and the state-of-art padding in +the image classification task. In the ablation study, we also +observed that using a single Padding Module with the shallow +layers improved the performance slightly better than using it +with the deep layers in the VGG16 network. On the other +hand, using three of the Padding Module placed in different +positions (at the beginning, at the middle, and at the end) +in the VGG16 outperformed the scenario of a single Padding +Module. Moreover, placing the Padding Module in all positions +(before every convolutional layer) in the VGG16 outperformed +all other scenarios as shown in Table III. +Our experiments applied the Padding Module to the two +well-known networks: VGG16 and ResNet50, for the image +classification task. The VGG16 and ResNet50 networks were +chosen to represent small and large networks, respectively. +They, also, were used by the literature; hence, we used them +to compare the Padding Module with the previous work. +Although two different networks are only used in one task, we +shall extend the Padding Module to improve such networks in +different tasks, including object detection, style transfer, and +image inpainting. We leave investigating the Padding Module +in a wide range of tasks for future research. +Also, the Padding Module learned how to pad the input +independently of the model’s loss function. However, it is +possible to optimize the Padding Module’s filters based on +optimizing the model’s main loss function; this approach will +be entirely different. Hence, one research direction may be to +implement a padding method that can optimize its padding +filters based on the model’s main loss function. + +Fig. 7: The selected positions in the VGG16 for the Padding Module: at the beginning, middle, and the end. +Fig. 8: Three images sampled from CIFAR-10 and padded by different padding methods: zero-padding, mean interpolation, +and the Padding Module. Each padding method uses three different padding sizes: A) one-pixel, B) three-pixel, C) five-pixel. +REFERENCES +[1] K. Eykholt, I. Evtimov, E. Fernandes, B. Li, A. Rahmati, C. Xiao, +A. Prakash, T. Kohno, and D. Song, “Robust physical-world attacks +on deep learning visual classification,” in Proceedings of the IEEE +conference on computer vision and pattern recognition, 2018, pp. 1625– +1634. +[2] T. He, Z. Zhang, H. Zhang, Z. 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Agarap, “Deep learning using rectified linear units (relu),” arXiv +preprint arXiv:1803.08375, 2018. + diff --git a/xdE3T4oBgHgl3EQflgqp/content/tmp_files/load_file.txt b/xdE3T4oBgHgl3EQflgqp/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..1e4a494de78ae0b582575e2e90990625c48f631d --- /dev/null +++ b/xdE3T4oBgHgl3EQflgqp/content/tmp_files/load_file.txt @@ -0,0 +1,708 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf,len=707 +page_content='Padding Module: Learning the Padding in Deep Neural Networks Fahad Alrasheedi Department of Computer Science University of Nebraska Omaha Omaha, USA falrasheedi@unomaha.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='edu Xin Zhong Department of Computer Science University of Nebraska Omaha Omaha, USA xzhong@unomaha.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='edu Pei-Chi Huang Department of Computer Science University of Nebraska Omaha Omaha, USA phuang@unomaha.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='edu Abstract—During the last decades, many studies have been dedicated to improving the performance of neural networks, for example, the network architectures, initialization, and activation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, investigating the importance and effects of learnable padding methods in deep learning remains relatively open.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' To mitigate the gap, this paper proposes a novel trainable Padding Module that can be placed in a deep learning model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module can optimize itself without requiring or influencing the model’s entire loss function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' To train itself, the Padding Module constructs a ground truth and a predictor from the inputs by leveraging the underlying structure in the input data for supervision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' As a result, the Padding Module can learn automatically to pad pixels to the border of its input images or feature maps.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The padding contents are realistic extensions to its input data and simultaneously facilitate the deep learning model’s downstream task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Experiments have shown that the proposed Padding Module outperforms the state-of-the-art competitors and the baseline methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' For example, the Padding Module has 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='23% and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='44% more classification accuracy than the zero padding when tested on the VGG16 and ResNet50.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Index Terms—Padding Module, Deep Learning, Neural Net- works, Trainable Padding I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' INTRODUCTION Deep Neural Networks (DNNs) have significantly improved the performance of a wide range of computer vision tasks to the extent of being comparable to or exceeding human- level in many domains [1], such as image classification [2], object recognition [3], and image segmentation [4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' DNNs for computer vision have been iteratively improving in different aspects such as network architecture [5]–[8], network initial- ization [9], [10], optimization [11], [12], and activation [13], [14].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' While it is intuitive that the salient foreground of an input image can control the results of a deep learning model [15], [16], researchers have also discovered that the input’s bor- ders and corners can dominate the model’s performance re- cently [17]–[19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The study on the importance and effects of image borders remains relatively open, and this paper focuses on a trainable padding method that process image borders for deep learning models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Padding refers to the technique of adding extra data to the input’s borders so that the input’s width, height, or depth can be manipulated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Padding is widely used in Convolutional Neu- ral Networks (CNNs) to alter the output size of a convolutional This paper has been accepted for publication by the IEEE Access.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 1: Five-pixel padding applied to a CIFAR-10 sampled image using three different padding methods: A) the zero padding, B) the local mean interpolation, and C) the proposed Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Without padding, convolutional filters will not process the input’s borders and the output size will be reduced.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The input size can be maintained with padding;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' we add an extra border before the convolution so that the original border can be processed [20].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Traditional padding techniques include zero padding, repli- cation padding, and reflection padding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The reflection padding reflects the valid data over the borders;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' the replication padding uses the borders themselves as padding values;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' the zero padding specifies the use of zeroes as padding values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The replication and reflection padding methods extend the input with duplicate contents that may not be realistic;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' hence, they may destroy the original distribution [19].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The zero padding may outweigh the replication and reflection padding methods in terms of speed due to its computational simplicity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The major drawback of the traditional methods is that they are not dynamic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Thus, the padding values are always static and not optimized during the model training in a way that how they could be optimally predicted rationally to the input’s borders.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' More recently, padding methods have been studied aiming at a more related and realistic extension of the original input [19], [21].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' For example, Liu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [21] proposed a padding method using partial convolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Nguyen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [19] used a local mean of a sliding window over the input’s borders so the local distributions at the borders before and after the padding are consistent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' These state-of-the-art padding methods outperformed the traditional padding in several tasks such as image classification, image segmentation, and image style transfer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, the major disadvantage of the state-of-the- art padding methods is that they are not trainable: the padding contents are still not optimized.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='04608v1 [cs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='CV] 11 Jan 2023 (A) (B) (C)In this paper, we propose a trainable Padding Module that can be inserted into selected positions of a deep learning model to learn how to pad its inputs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module can be trained simultaneously with a deep learning model, but, it is a self-learner in a way that will not require or influence the model’s entire loss function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' During the training, the Padding Module internally constructs a ground truth from the input’s actual borders and trains a predictor considering the neighboring areas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The trained Padding Module can produce plausible results, as shown in Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The advantages of our work can be summarized as three-fold: The proposed Padding Module introduces a trainable method that automatically pads its inputs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module extends its input with realistic new data that are related to the original data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module improves the performance of a downstream task of a deep learning model and outper- forms the state-of-the-art competitors, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The remainder of this paper is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' In Sec- tion II, we review the related work that addressed the padding effects on the neural networks performance and discuss how the current study fills the gap in the related work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Section III discusses our approach for the Padding Module followed by evaluation results in Section IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Finally, Section V concludes with the discussion on evaluation and highlights some of the future work in this sector.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' LITERATURE REVIEW AND RELATED WORK Many studies have tried to improve the performance of CNNs models from network architecture [22]–[25], differ- ent variants of optimization [26]–[28], activations [29]–[32], regularization methods [33], [34] and so no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, little attention has been paid to investigating the padding schemes during the convolution operation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' To assist the kernel, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', features extractor, in extracting important features during image processing in CNNs, padding layers can be added to visit pixels of the images around the corners more times, and then increase accuracy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The previous padding methods are presented as follows: Section II-A presents the performance improvement of neural networks;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Section II-B introduces the improvement of space design;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' and Section II-C describes our contributions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Performance Improvement of Neural Networks Several studies have proposed padding methods to improve the performance of the neural networks [17], [19], [21].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Innamorati et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [17] addressed the importance of the data at the borders of the input by proposing a convolution layer that dealt with corners and borders separately from the middle part of the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' They specifically designed filters for each corner and border to handle the data at the boundaries, including upper, lower, left, and right borders.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The boundary filters used in the convolution were jointly learned with the filter used for the middle part of the image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, the main issue of this study is that the number of filters used to deal with the boundaries increases linearly with the size of the receptive field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Also, Nguyen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [19] proposed a padding method that could keep the local spatial distribution of the padded area consistent with the original input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The proposed method used the local means of the input at the borders to produce the padding values;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' they proposed two different variants of the padding method: mean-interpolation and mean-reflection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Both variants used filters with static values, based on the receptive field, in the convolution operation that is supposed to yield the padding values maintaining the same distributions as the original borders.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, the main issue with this method is that they are not learnable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Liu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [21] proposed a padding layer that uses a partial convolution that mainly re-weighted the convolution operation based on the ratio of the number of parameters in the filter to the number of valid data in the sliding window.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' In other words, they dealt with the padded area as hole areas that need to be in-painted, while the data coming from the original image were seen as non-hole areas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The main issue of this study is that the padding process is not learnable.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Improvement of Spaces Design Also, some studies addressed the importance of the padding and data at the boundaries in the semantic representation learning and converting 360-degree space to 2-dimensional (2- D) space respectively [35]–[37].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Cheng et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [37] showed the importance of the padding method when they converted the 360-degree video to 2- dimensional space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' They converted the video to six faces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, they used the reflection padding to connect them to form the 2-D space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The reflection padding naturally connected the faces compared to the zero-padding, which caused discontinu- ity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Interesting works were provided by Islam et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' [35], [36] in which they showed the importance of zero padding along with the data at the borders in encoding the absolute position information in the semantic representation learning.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' They showed that the zero padding and the boundaries drove the CNN models to encode the spatial information that helped the filters where to look for a specific feature;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' the spatial information was eventually propagated over the whole image.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Our Contributions The padding methods and their effects on a CNN model’s performance are still open areas for researchers to investigate;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' hence, it is worth proposing new padding methods that could improve the performance of the CNN models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' We propose a novel padding method, Padding Module, that could realisti- cally extend the input with related data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' It learns how to pad the input by using the inputs’ borders as a ground truth and the neighboring areas of the borders as a predictor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, it uses a local loss function such as Mean Squared Error (MSE) and updates the filters using the local differentiation of the loss function with respect to the Padding Module’s filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The following section explains the implementation of the Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' THE PROPOSED Padding Module This paper presents the Padding Module, a learnable padding method that can pad the input with related and realistic padding, as shown in Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module can be used as a substitute for other padding methods in the convolution layer, such as the zero padding, the replication padding, and the reflection padding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' This section shows how the padding procedure (Section III-A) and the backpropagation (Section III-B) of the Padding Module work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Padding Procedure Algorithms 1 and 2, respectively, give an overview of the forward pass and the back-propagation of the Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module first constructs a ground truth and a predictor from the input ( shown in step 1 to step 3 in Algorithm 1 and explained in Sections III-A1 and III-A2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, the Padding Module uses the filters being learned to produce the actual padding values using the input’s borders as a predictor ( shown in steps 4 to 13 in Algorithm 1 and explained in Section III-A4).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Finally, the Padding Module uses the MSE as a loss function to compute the loss value and updates the filters during the model’s back-propagation ( shown in steps 1 to 2 in Algorithm 2 and explained in Sections III-A3 and III-B).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module can pad the original input with any padding size, (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', one-pixel, two-pixels, etc).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Indeed, the padding process in the Padding Module is iterative ( shown in steps 4 to 13 in Algorithm 1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Assume the required padding size is three pixels, the padding process will iterate three times as follows: (1) padding the original input with one-pixel along all the four borders;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (2) padding the output of the 1st iteration with one-pixel along all the four borders;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' and (3) padding the output of the 2nd iteration with one-pixel along all the four borders.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Here, to easily explain our method, a simple case of padding process was presented here, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', one-pixel padding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Also, the Padding Module is assigned filters as many as the number of channels in the input as explained in Section III-A3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, we explain the padding process considering a single channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Here, the same procedure is separately applied to each channel in case of multiple channels.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 1) Ground Truth T: The Padding Module structures the ground truth T by extracting the input’s borders and stacking them upon each other vertically to form a four-row matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, to stack the left and right borders vertically in T, they are transposed from column vectors to row vectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Formally, given M r c as an original input with r and c as the number of rows and columns respectively;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' henceforth, superscripts and subscripts represent the indexes in the row- wise traversal and the column-wise traversal of the input respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The following is T’s extracting function target of the input M r c : Algorithm 1 Forward Pass Input: M r c , size, where r and c are the dimensions of a matrix, and size is the padding size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Output: M r′ c′ , where r′ = r+2×size, and c′ = c+2×size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 1: T ← target(M r c ) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='1 */ 2: N ← neighbors(M r c ) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='2 */ 3: P ← padz(padr(N)) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='3 */ 4: M r′ c′ ← M r c /* initial state for M r′ c′ */ 5: while size ̸= 0 do 6: Nout ← borders(M r′ c′ ) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='6 */ 7: Pout ← padz(padr(Nout)) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='3 */ 8: O ← fθ(Pout) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 7 */ 9: M r′+2 c′+2 ← O0//padz(M r′ c′ )//O1 10: M r′+2 c′+2 ← sides((O2)T , M r′+2 c′+2 , (O3)T ) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='8 / 11: M r′ c′ ← corners(M r′+2 c′+2 ) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='9 */ 12: size ← size − 1 13: end while 14: return M r′ c′ Algorithm 2 Back Propagation Input: Gr′ c′, where c′ and r′ are the same dimensions of the output of the forward pass in Algorithm 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Output: Gr c, where c and r are the same dimensions of the input of the forward pass in Algorithm 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 1: Compute the local gradients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='5 */ 2: Update the filter weights 3: Gr c ← strip(Gr′ c′) /* as in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='10 */ 4: return Gr c T = target(M r c ) = � ����� M 0 [:] M r−1 [:] (M [:] 0 ) T (M [:] c−1) T � ����� , (1) where M 0 [:] is the entire row vector in M r c at index 0, M r−1 [:] is the entire row vector in M r c at index r − 1, (M [:] 0 ) T is the transpose of the entire column vector in M r c at index 0, and (M [:] c−1) T is the transpose of the entire column vector in M r c at index c−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (A) is an example to visually illustrate how T is constructed where the first row represents the upper border in M r c , the second row represents the lower border in M r c , the third row represents the left border in M r c , and the last row represents the right border in M r c .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 2) Predictor (P): To structure the predictor from the orig- inal input M r c , the Padding Module extracts the row vectors that neighbor the upper border and lower border in M r c and the transpose of the column vectors that neighbor the left border and right border in M r c .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, the Padding Module stacks all the extracted neighbors vertically to form a four-row matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Formally, the predictor’s (denoted as P) extracting function of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 2: An example to illustrate the steps 1-3 in Algorithm 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the left: the input M r c with size of (6, 6) pixels;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' the superscripts are the indexes in the row-wise traversal while the subscripts are the indexes in the column-wise traversal of the input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the right: (A) the ground truth T: a result of applying step 1 in Algorithm 1 which is a stack of the borders where the first row, second row, third row, and last row are the upper, lower, left, and right borders in the input respectively;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' and (B) the predictor P: a result of applying steps 2 and 3 in Algorithm 1 which is a stack of the neighbors where the first row, second row, third row, and last row are neighbors to the upper, lower, left, and right borders in the input respectively, and the stack is padded at the left and right sides with reflection padding (pr) and with zero padding (pz).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M r c can be expressed in the following way: First, the neighbors in M r c are selected and denoted as N as follows: N = neighbors(M r c ) = � ����� M 1 [1:c−1] M r−2 [1:c−1] (M [1:r−1] 1 ) T (M [1:r−1] c−2 ) T � ����� .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (2) The slice [1 : c − 1] excludes the data in the row vectors at the borders due to overlapping with the T, whereas the slice [1 : r − 1] excludes the data in the column vectors at the borders due to overlapping with T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, the Padding Module pads the structure as follows: P = padz(padr(N)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (3) First, the padr(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=') function pads the structure with one pixel of the reflection padding horizontally (the left and right sides);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' then, with one pixel of the zero padding horizontally using the padz(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=') function can get the final structure for P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Each row in P will be used to predict the corresponding row in T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' For example, the first row in P will be used to predict the first row in T representing the upper border in the input M r c .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Figure 2 (B) is an example to visually illustrate how the Padding Module constructs the stack of the neighbors (as a predictor) where the right and left sides of the stack are padded with the reflection padding (named as pr), and the zero padding (named as pz).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 3) Filters and the Loss Function: The Padding Module uses as many filters as the channels in the input (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', filter per channel).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Also, each filter will be a row vector with a size of (1, 3) and a stride of (1, 1);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' that is because of having each row in P as a predictor for the corresponding row in T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Therefore, to predict T, the Padding Module convolutes the filters over P;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' it uses its own loss function to optimize the prediction through the local differentiation of the loss function with respect to the filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The loss function used by the Padding Module is the MSE which computes the squared difference between the ground truth and the predicted value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The following equation is the MSE’s mathematical expression for a single data point: MSE(fθ(P), T) = 4 � a=1 n � j=1 (θT · P a j − T a j )2, (4) where f is the convolutional operation parameterized by θ, P and T are the predictor and the ground truth extracted from the original input M r c , a represents the indexes for rows in the four-row matrices P and T, and j represents the indexes for both the slide windows and columns in P and T respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Hence, P a j is the jth slide window in the row indexed at a in P, and T a j is the corresponding value in T indexed at the ath row and jth column.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The local differentiation of the Padding Module’s loss func- tion and the filters’ updates are achieved during the model’s back-propagation;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' these local gradients are not propagated to the previous layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Besides that, the Padding Module facili- ties the back-propagation of the model’s loss function going through it to the previous layer as explained in Section III-B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The following is the mathematical expression for the local gradients (Padding Module’s loss function gradients with respect to a single filter for a single data point): ϕ ϕθm MSE(fθ(P), T) = 2 4 � a=1 n � j=1 (θT · P a j − T a j )xm, (5) where xm is a single feature in the P a j slide window which was multiplied by the corresponding weight, namely θm, in A) Ground Truth T MST [Mo MI M Ma M Me MS M5 M2 M5 MS Input Mr= M M3 M3 M Mo M [M MI M2 M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M M LMg M2 M3 Ms MS!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M M2 M1 Ms M M1 M3 M M2 M3 M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M M target(M) M3 M3 M2 M3 M M3 Pad(padr(neighbors(M)) B) Predictor P M2 M4 Mo Mi M2 M9 Ma M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Ma M4 M Pz pr pr pz LM§ M5 M5 M5 M5 M5 M5 M5 M5 M5 ME Pz pr pr Pz M M3 Me Mo M1 M5 Pz pr Pr Pz M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M M2 Lpz M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Ms M5 pr pr pz-the θ during the convolution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 4) Padding Process: The procedures in Sec- tions III-A1, III-A2, and III-A3 are used to guide the Padding Module on learning how to predict the borders of the original input, M r c , based on the neighboring areas to the borders, and then the Padding Module can optimize its filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, the padding process is shown in steps 4 to 13 in Algorithm 1;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' it uses the borders of the input, M r′ c′ , as the predictor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' In detail, the padding process iterates until the original input is padded with the required padding size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Hence, the original input M r c is assigned to M r′ c′ as an initial state in step 4 before the padding loop starts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, each iteration pads the input, M r′ c′ , with one-pixel, and outputs a new M r′ c′ which will be used for the next iteration and so forth.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The dimensions of an iteration’s output, M r′ c′ in step 11, are two- pixel larger than the dimensions of that iteration’s input, M r′ c′ in step 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Minutely, constructing the predictor in the padding process is similar to the way that constructs P in Section III-A2 with small modifications.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' To distinguish the notions of neighbors, N, and P, in Section III-A2, borders, Nout, and Pout are denoted for the extracting function, the function’s output, and the predictor, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The following is the mathematical expression for the extracting function borders: Nout = borders(M r′ c′ ) = � ����� M 0 [:] M r−1 [:] (M [:] 0 ) T (M [:] c−1) T � ����� , (6) where M 0 [:] and M r−1 [:] mean extracting the entire upper and lower borders respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Whereas, (M [:] 0 )T and (M [:] c−1)T mean extracting the transpose of the entire left and right borders respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, the Padding Module pads the output Nout using Equation 3 to get the final structure for Pout.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Consequently, convoluting the filters over the Pout will produce the padding values for the iteration’s input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The output can be expressed as follows: O = fθ(Pout), (7) where f is the convolutional operation parameterized by θ, Pout is the predictor, and the O is the output and comes as a matrix of four rows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Each row represents the padding values for the corresponding area in the iteration’s input, M r′ c′ , as follows: the first row (O0), the second row (O1), the third row (O2), and the fourth row (O3) represent the padding values for the upper, the lower, the left, and the right areas in the input respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, the steps from 9 to 11 are how the produced padding values stick around the input M r′ c′ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' First, in step 9, the vertical concatenation operator // is used to concatenate the first row (O0) with M r′ c′ , and then concatenates the resulted matrix with the second row (O1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, the rows from O are two-pixel wider than the rows of M r′ c′ ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' therefore, to match the dimensions of these operands, the Padding Module uses padz(.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=') to pad the M r′ c′ horizontally with one pixel of the zero padding before the concatenation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Hence, the output’s dimensions in step 9, denoted as M r′+2 c′+2 , are two-pixel larger than the input M r′ c′ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Finally, the algorithm uses sides function which can be formally expressed as the following: sides((O2)T , M r′+2 c′+2 , (O3)T ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (8) This function does not change the dimensions;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' however, it adds respectively the transpose of the third row (O2) and fourth row (O3) to the left and right columns of M r′+2 c′+2 , the concatenated matrix with zero values at the left and right columns unless the corners already assigned values from the concatenation process.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' To resolve the double-count problem at the corners, the Padding Module takes the average of added values in the corners by dividing each corner by 2;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' this averaging function is step 12 in Algorithm 1: M r′ c′ = corners(M r′+2 c′+2 ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (9) Lastly, as mentioned early in this section that the dimensions of the iteration’s output are two-pixel larger than the iteration’s input.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Hence, the output M r′ c′ , in Equation 9, has dimensions r′ and c′ that are updated with the dimensions of M r′+2 c′+2 , namely r′ + 2 and c′ + 2 respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Back-propagation As seen in Section III-A3, the Padding Module is not opti- mized based on the model’s main loss function;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' therefore, the model does not compute the gradients of its loss function with respect to the filters of the Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, during the mode’s backpropagation, the Padding Module achieves two key points as follows: 1) As shown in step 1 in Algorithm 2, the Padding Module optimizes its filters through computing the local gradi- ents for its loss function with respect to the filters as explained in Section III-A3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 2) The process also receives Gr′ c′ which are the gradi- ents of the model’s loss function with respect to the Padding Module’s output, the original input M r c after being padded.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Therefore, the Padding Module strips out the gradients from Gr′ c′ that represent the gradients for the padded areas in the Padding Module’s output;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' the stripping-out process is step 3 in Algorithm 2, and formally expressed as follows: Gr c = strip(Gr′ c′).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' (10) Then, the Padding Module back-propagates to the pre- vious layer the Gr c, representing the gradients for the previous layer’s output.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Figure 3 is an example to visually illustrate how the back-propagation process in the Padding Module is achieved.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 3: An example to illustrate the back propagation in Algorithm 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the top: the input to the Padding Module is of size (6, 6), the Padding Module uses one-pixel padding and produces an output of size (8, 8) where the borders p is the computed padding values.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the bottom: the back-propagation of the received gradients which is of size (8, 8) where the borders are gradients for the padding values gp;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' the Padding Module strips out gp from the received gradients, and sends the remaining to the previous layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The g stands for gradient;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' for example gM 0 0 is the gradient for the pixel at index [0, 0] in the input of the Forward Pass.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' EXPERIMENTAL RESULTS AND ANALYSIS This section shows the design of the training and testing experiments on our Padding Module applied to a downstream task, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', image classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The experimental setup is presented in Sections IV-A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The quantitative and qualitative results are described in Section IV-B and IV-C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Experiment Setup The study used the premium service from Google Colabora- tory where a GPU of Tesla T4 was assigned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The experiments and comparisons were conducted on the CIFAR-10 dataset for a classification task [38].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The CIFAR-10 dataset includes a training dataset of 50,000 images and a test dataset of 10,000 images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The images are of shape (32, 32, 3), dis- tributed equally to ten classes of airplane, automobile, bird, cat, deer, dog, frog, horse, ship, and truck.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module was applied to different networks namely: VGG16 [8] and ResNet50V2 [39];' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' to make the deeper layers in these networks carry out a valid convolution, the images were resized to (64, 64, 3) and (224, 224, 3) for the VGG16 and the ResNet50V2, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The VGG16 is a vanilla-based architecture where the net- work shape is wider at the beginning of the network and narrowed down as going deep in the network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The pre-trained VGG16 was obtained from the keras1 without the top layers (the last three dense layers including the original softmax layer).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, we added two fully-connected layers each with 512 neurons and followed by a dropout layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the other hand, the ResNet50V2 is made up of blocks where each block sends the block’s input through the block itself, and also uses a skip connection to directly add the block’s input to the output of the input’s flow coming through the block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The process is known as the identity function that could help deep layers to improve the model’s accuracy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' ResNet50V2 is a modified version of the ResNet50 [13].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The modification mainly is in the arrangement of the block layers;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' batch normalization [11] and ReLU activation [40] are applied to the data flow before the convolutional layer in the block.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' These changes enabled the ResNet50V2 to outperform the ResNet50 on the image classification task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The ResNet50V2 was downloaded from the keras2 without the top layer (the last dense layer which is the original softmax layer).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Then, two fully-connected layers with 1024 and 512 neurons were added.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 1VGG16 from the keras: https://keras.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='io/api/applications/vgg 2ResNet50V2 from the kera: https://keras.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='io/api/applications/resnet The Padding Module Output Input p p p p p p p MI M2 M MI M M: p Mi M9 M M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' p Mi MS MS M p M M1 M2 M3 M1 Ms p M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M3 Forward Pass Me M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' M M2 p p Ma Mi M2 M3 Ms M3 p p Me M1 M MS M4 p Ma Ms p LM M5 M5 MS Ms MS M5 M5 M5 M5 MS p MS p Lp p p p p p p pJ Input Output T9p 9p 9p 9p 9p 9p 9p 9pj g mi w6 9 mg 9 mg 9p 9M: 9Mi 9 ms 9 mg 9g 9 M2 Backpropagation 9p 9M gM 9m?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 9p 9p 9Mi 9ms 9p 9m 9 ms 9 ms 9ms 9 ms M 9p 9m 9m 9p gp gp 9p 9p gr gp-Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 4: The comparison of three different padding methods on the test images: zero padding, mean interpolation padding, and the Padding Module when applied to the VGG16 model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 5: The comparison of three different padding methods on the test images: zero padding, mean interpolation padding, and the Padding Module when applied to the ResNet50V2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Moreover, we added a softmax layer with ten outputs for both models of VGG16 and ResNet50V2, and then used the Adam optimizer [12] for the back-propagation of the gradients.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Finally, the Padding Module was used before every convolutional layer in the VGG16;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' whereas, we replaced every zero padding layer in the ResNet50V2 with the Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Quantitative Results Section IV-B1 compares the proposed Padding Module and state-of-art padding solutions by performing the image clas- sification task, and then Section IV-B2 discusses an ablation study based on our solution.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 1) Image Classification Task: We considered the zero padding method as a baseline to compare the Padding Module with.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Moreover, we used the mean interpolation padding method [19] as the state-of-art since it outperformed the partial convolution padding method [19], [21] in the image classification.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The main goal of this study, which aligns with the literature, is to investigate the padding effect on the accuracy of DNN models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Therefore, the accuracy is used as a comparison metric between the performance of the Padding Module and the benchmark.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The accuracy is the percentage of correctly classified images over the total number of images in the dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Each model was trained with 100 epochs using the training dataset, and tested in each epoch using the test dataset.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' In Figure 4, the Padding Module outperforms both the baseline method and the mean interpolation padding method when us- ing the VGG16;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' also, we found that the baseline is comparable to the mean interpolation method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' As for the Resent50, the Padding Module also outperforms the other two paddings as shown in Figure 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' We also noticed that the baseline method is comparable to the mean interpolation method.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Moreover, Table I summarizes the average of the last five epochs for the three different padding methods and the margin between the highest and the second-highest accuracies for the two models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' As mentioned, the study investigated the effects of the Padding Module on the accuracy of DNN models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Importantly, we showed that the related and realistic padding could improve the accuracy of DNN models ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' therefore, the Padding Module Padding Method VGG16 ResNet50V2 Padding Module 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='92 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='08 Zero Padding 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='43 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='64 Mean Interoplation 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='69 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='44 margin 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='23 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='44 TABLE I: The average accuracy of the last five epochs for three different padding methods used in VGG16 and ResNet50V2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The margin is the difference between each model’s highest and second-highest padding methods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 6: MSEs for three Padding Modules placed at different positions in the VGG16: 1) module 1: at the beginning, 2) module 2: at the middle, and 3) module 3: at the end.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' was able to produce such padding by minimizing the MSE in Algorithms 1 and 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Figure 6 illustrates MSEs for three cases of the Padding Module applied in different places (at the beginning, in the middle, and at the end) in the VGG16;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' it is evident that the MSEs significantly decreased after only two epochs and then stayed flat till the end of the experiment for the three cases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' One natural drawback of the current Padding Module was the extra running time caused by constructing the data struc- tures and optimizing the filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Table 2 shows that VGG16 and ResNet50V2, on average, doubled the epoch’s time when ap- plying the Padding Module (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=', placing the Padding Module before every convolutional layer in the VGG16 and replacing every zero padding layer in the ResNet50V2 with the Padding Module).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the other side, the accuracy for the VGG16 and ResNet50V2, respectively, gained margins of 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='49% and 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='44% when applying the Padding Module compared to the 100 90 Accuracy 80 Padding Types Mean Interpolation 70 Ours Zero padding 60 0 10 20 30 40 50 60 70 80 90 100 Epochs100 95 Accuracy Padding Types Mean Interpolation 90 Ours Zero padding 85 0 10 20 30 40 50 60 70 80 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='6 100 Epochs30 MES Module 20 module 1 module 2 10 module 3 0 10 20 30 40 50 60 70 80 90 100 Epochszero padding (no Padding Module).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' One remedy to lessen the running time problem may be to stop training the Padding Module when it significantly decreases the MSE after the first two epochs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, improving the current Padding Module including the time complexity can be a further direction for further research.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 2) Ablation Study: The experiments in this section were conducted as an ablation study where the Padding Module was empirically placed at different positions in the VGG16 model, as shown in Figure 7: at the beginning of the model, in the middle, at the end, and the combination of all the three places together.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' We also compared the four scenarios with two other scenarios: (1) where the Padding Module was placed in all positions (before each convolutional layer) in the model;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' and (2) where the Padding Module was not used but the zero padding was used instead.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' We ran each scenario 100 epochs using the training dataset for training and the test dataset for evaluation, and averaged the test accuracies of the last five epochs for each scenario;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Table III illustrates the summary of the comparison of the models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' We noticed that using a single Padding Module with the shallow layers outperformed the case of using it with the deep layers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Also, the combination scenario showed a superiority over the scenario of a single Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, the best performance was when the Padding Module applied in the scenario of all positions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Finally, all the scenarios of applying the Padding Module outperformed the scenario of the model with no Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Model Zero Padding Padding Module Margin Accuracy Time Accuracy Time VGG16 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='43 2 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='92 4 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='49 ResNet50 94.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='64 5 95.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='08 9 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='44 TABLE II: On average, the running time doubles for one epoch when applying the Padding Module to the VGG16 and ResNet50V2 compared to the case of the zero padding (no Padding Module applied).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Times are shown in a minute-scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The margin is the accuracy difference between the case of applying the Padding Module and the zero padding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' No Different places in the VGG16 Accuracy 1 At the beginning 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='98 2 At the middle 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='8 3 At the end 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='97 4 Combination of 1, 2, and 3 togather 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='18 5 All positions 92.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='8 6 VGG16 with no Padding Module 91.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='4 TABLE III: Placing the Padding Module at different positions in the VGG16: 1) at the beginning 2) at the middle 3) at the end 4) combination of beginning, middle, end 5) before every convolutional layer 6) VGG16 with no Padding Module (zero padding instead).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Qualitative Results Different padding sizes, such as one-pixel, three-pixel, and five-pixel, were used to illustrate how the Padding Module can extend the input with related and realistic extensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Also, we compared these different padding sizes with the other two methods, namely the zero padding and the mean interpolation padding.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' As shown in Figure 8, the Padding Module can learn how to pad the input with related data and natural extension;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' this finding becomes more evident as the padding size increases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' FUTURE RESEARCH DIRECTIONS AND CONCLUSION This paper proposed a novel padding method: Padding Module;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' that can learn how to pad an input from the input’s borders;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' hence, the input can be realistically extended with related data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module is a self-learning of its weights.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' To train itself, the Padding Module constructs a ground truth and a predictor from the inputs by leveraging the underlying structure in the input data for supervision.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module uses convolutional operation over the predictor to produce a predicted value that is, in turn, com- pared with the ground truth.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The Padding Module uses a local loss function, independent from the model’s main loss function, to minimize the difference between the predicted value and the ground truth.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Therefore, the Padding Module updates its convolutional filters locally during the model’s back-propagation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Besides that, the Padding Module back- propagates the model’s gradients with respect to the Padding Module’s output after stripping out the gradients for the padded areas to the previous layer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The experimental results showed that the Padding Module outperformed the zero-padding and the state-of-art padding in the image classification task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' In the ablation study, we also observed that using a single Padding Module with the shallow layers improved the performance slightly better than using it with the deep layers in the VGG16 network.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' On the other hand, using three of the Padding Module placed in different positions (at the beginning, at the middle, and at the end) in the VGG16 outperformed the scenario of a single Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Moreover, placing the Padding Module in all positions (before every convolutional layer) in the VGG16 outperformed all other scenarios as shown in Table III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Our experiments applied the Padding Module to the two well-known networks: VGG16 and ResNet50, for the image classification task.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' The VGG16 and ResNet50 networks were chosen to represent small and large networks, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' They, also, were used by the literature;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' hence, we used them to compare the Padding Module with the previous work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Although two different networks are only used in one task, we shall extend the Padding Module to improve such networks in different tasks, including object detection, style transfer, and image inpainting.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' We leave investigating the Padding Module in a wide range of tasks for future research.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Also, the Padding Module learned how to pad the input independently of the model’s loss function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' However, it is possible to optimize the Padding Module’s filters based on optimizing the model’s main loss function;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' this approach will be entirely different.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Hence, one research direction may be to implement a padding method that can optimize its padding filters based on the model’s main loss function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 7: The selected positions in the VGG16 for the Padding Module: at the beginning, middle, and the end.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' 8: Three images sampled from CIFAR-10 and padded by different padding methods: zero-padding, mean interpolation, and the Padding Module.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Each padding method uses three different padding sizes: A) one-pixel, B) three-pixel, C) five-pixel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' REFERENCES [1] K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Eykholt, I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Evtimov, E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content=' Fernandes, B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} 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metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='Mean Interpolation ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='Padding Module ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='C) Five-pixel padding ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='A) One-pixel padding ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='A) One-pixel padding ' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/xdE3T4oBgHgl3EQflgqp/content/2301.04608v1.pdf'} +page_content='B) Three-pixel padding ' metadata={'source': 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models +Salvatore D. Pace and Xiao-Gang Wen +Department of Physics, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139, USA +(Dated: January 16, 2023) +While higher-form symmetries are a powerful tool in studying a quantum many-body system, +theories with exact higher-form symmetries are rather special and, in a sense, fine-tuned. +This +raises an interesting question: can the phases of a microscopic (UV) theory without exact higher- +form symmetries be exactly characterized by emergent higher-form symmetries? Here we argue the +answer is yes by constructing effective theories for bosonic lattice Hamiltonian models that only +capture the system’s dynamics at E < Escale. The emergent symmetries below this energy scale +are then identified as the exact symmetries of this effective theory. +We find that the emergent +higher-form symmetries (excluding 0-form symmetries) are robust against local UV perturbations +and become exact symmetries of the effective theory in the thermodynamic limit. This result is true +even for more general higher symmetries, such as non-invertible higher symmetries (i.e., algebraic +higher symmetries). Therefore, emergent higher symmetries are exact emergent symmetries: they +are not UV symmetries but constrain the IR as if they were. We apply this framework to three lattice +models (the quantum clock model and emergent ZN and U(1) p-gauge theory) to identify regions of +parameter space with energy scales below which higher-form symmetries, and sometimes associated +’t Hooft anomalies, emerge. Since phases of matter are defined in the thermodynamic limit, this +implies that a UV theory without exact higher symmetries can have phases exactly characterized +by emergent higher symmetries. We discuss in detail the physical consequences of this and contrast +it to emergent 0-symmetries, which are never exact. This emphasizes the importance of identifying +scale hierarchies and emergent higher symmetries when studying quantum many-body systems. +CONTENTS +I. Introduction +1 +II. Energy scales hierarchies and effective +Hamiltonians +3 +A. Low energy exact emergent generalized +symmetries +3 +B. A holographic picture for emergent finite +symmetries +5 +III. Examples of exact emergent higher-form +symmetries +8 +A. Quantum clock model +10 +1. An exact emergent Z(d) +N symmetry and +mixed ’t Hooft anomaly +11 +B. Emergent ZN p-gauge theory for p ≥ 1 +12 +1. An exact emergent Z(p) +N symmetry +13 +2. An exact emergent anomalous +Z(p) +N × Z(d−p) +N +symmetry +16 +C. Emergent U(1) p-gauge theory +19 +1. An exact emergent U(1)(p) symmetry +19 +2. An exact emergent anomalous +U(1)(p) × U(1)(d−p−1) symmetry +21 +IV. Physical consequences of exact emergent +higher-form symmetries +23 +V. Conclusion and discussion +26 +VI. Acknowledgements +26 +A. Review of discrete differential geometry for +d-dimensional cubic lattices +26 +B. A TQFT description of the p-form toric code +ground states—p-form BF theory +28 +1. Review of p-form BF theory +29 +a. ZN p-form gauge theory in the continuum 29 +b. Symmetries +31 +c. Mixed ’t Hooft anomaly and anomaly +inflow +32 +C. Taking the continuum limit—p-form Maxwell +theory +33 +1. Review of p-form Maxwell theory +35 +a. U(1)(p) symmetry +36 +b. Abelian duality +37 +c. U(1)(d−p−1) symmetry +39 +d. Mixed ’t Hooft anomaly and anomaly +inflow +39 +References +41 +I. +INTRODUCTION +A longstanding pillar for understanding strongly inter- +acting quantum many-body systems is to identify and +understand their symmetries. Indeed, symmetries pro- +vide powerful constraints and universal characterizations +of a system’s dynamics and phases. This point of view +has become increasingly fruitful with modern general- +izations of symmetry [1–8]. +For instance, topological +order [9], which provided the first indication that con- +ventional symmetries [10, 11] are not all-powerful, can +now be understood in a symmetry framework [6, 12–16]. +These generalizations open up an exciting frontier for +the discovery of new phases of quantum matter and the +arXiv:2301.05261v1 [cond-mat.str-el] 12 Jan 2023 + +2 +conceptual organization/systematic understanding [4] of +quantum phases. In fact, one may wonder if the gener- +alization of symmetries can become so general that they +could capture all possible IR symmetries in gapless liquid +states, becoming a largely complete universal characteri- +zation of gapless phases and thus a key to understanding +gapless liquid states [17–20] and webs of dualities [4, 21– +23]. +One of the simplest and best-understood generaliza- +tions of symmetry is so-called higher-form symmetry. For +ordinary symmetries, charged operators act on a point in +spacetime and the unitary operator that generates the +symmetry transformation acts on a codimension-1 hy- +persurface of spacetime (e.g., all of space at a fixed time +slice). Higher-form symmetries generalize this by allow- +ing charged operators to be extended objects [1, 2, 12]. +For a p-form symmetry1, the charged operators act on +closed p-dimensional subspaces and, and the unitary +generating the transformation acts on a closed (d − p)- +dimensional subspace of d-dimensional space. +Notice +that an ordinary global symmetry is just a 0-form sym- +metry. +Most things 0-form symmetries can do, higher-form +symmetries can also do. +For example, higher-form +symmetries can spontaneously break, giving rise to a +topological ground state degeneracy (gapless Goldstone +bosons) when discrete (continuous) [2, 27–33]. +In- +deed, abelian topological orders reflect discrete 1-form +symmetries spontaneously breaking, and photons in a +Coulomb phase arise from U(1) 1-form symmetries spon- +taneously breaking. +A higher-form symmetry can also +have a ’t Hooft anomaly, providing powerful constraints +on the IR through generalized Lieb-Schultz-Mattis- +Oshikawa-Hastings theorems and introducing higher- +form symmetry-protected topological phases [13, 14, 34– +43]. +These applications of higher-form symmetries make +them a powerful tool in studying quantum many-body +systems. +However, unfortunately, models with exact +higher-form symmetries are rather special and, in a sense, +fine-tuned. So, it is natural to wonder if they play a role +in more typical, physically relevant models. One possi- +bility is that while they may not be exact microscopic +symmetries, they could still arise as emergent symme- +tries. However, experience with emergent ordinary (0- +form) symmetries causes apprehension since their conse- +quences are never exact and always approximate [44]. In +other words, explicitly breaking emergent 0-form sym- +metries at energy scale E creates O(Eγ) errors, even in +the thermodynamic limit. Amazingly, common folklore +suggests that this 0-form symmetry-based intuition does +not carry over to higher-form symmetries and that they +can constrain a system exactly even as emergent symme- +tries [13, 33, 45–49]. +1 Here we will consider only pure p-form symmetries, and not the +more general p-group symmetries [24–26]. +In this manuscript, we investigate this robustness of +higher-form symmetries from a UV perspective, consid- +ering bosonic lattice Hamiltonian models without higher- +form symmetries. These UV-complete theories are sim- +ple to work with, well-defined, and relevant to condensed +matter physics. For this class of models, we demonstrate +how higher-form symmetries can emerge and, when they +do, why they nevertheless constrain the IR exactly. This +result is not rigorously demonstrated and relies on phys- +ically reasonable conjectures made in order to identify +low-energy sub-Hilbert spaces. +We find that at energies with the emergent higher-form +symmetry, the dynamics of states are affected by the +emergent higher-form symmetry as if it were an exact +UV symmetry. More precisely, any coming errors from +the higher-form symmetries being emergent below a finite +energy scale E are of order O(e−Lγ), where L is the sys- +tem size measured by lattice constant, and thus vanish in +the thermodynamic limit. Our arguments apply to sym- +metries more general then pure higher-form symmetries, +such as higher-group symmetries and beyond higher- +group symmetries (non-invertible higher-form symme- +tries/algebraic higher symmetries [4, 50, 51]), but do not +apply to 0-symmetries. +This suggests the phases of microscopic models with- +out exact higher symmetries can be exactly character- +ized by emergent higher symmetries2, except the 0- +symmetries. To emphasize this, we will refer to emer- +gent higher symmetries as exact emergent symmetries. +The rest of this paper is goes as follows: +In section II, we review the importance of the sepa- +ration of scales in many-body systems and show how to +identify low-energy sub-Hilbert spaces for a general class +of models. We then discuss how to identify the emergent +symmetries of a low-energy sub-Hilbert space, providing +motivation from the point of view that symmetries are +described by algebras of local symmetric operators [52]. +We identify these emergent symmetries by developing an +effective Hamiltonian description for the low-energy sub- +Hilbert space using the intuition that the microscopic +dynamics generate low-energy dynamics. +In section III, we apply the framework introduced in +section II to three bosonic lattice models. We start by +warming up with the ZN quantum clock model in the ZN +spontaneous symmetry broken phase in subsection III A. +We then apply the framework to more sophisticated mod- +els for emergent ZN p-gauge theory and emergent U(1) p- +gauge theory in subsections III B and III C, respectively. +These subsections include many technical details, ex- +plicitly demonstrating how higher-form symmetries can +emerge in these models and how they become exact sym- +2 Here the term “p-symmetry” and “higher symmetry” includes +both higher-form symmetry described by higher-group and al- +gebraic higher symmetry which are beyond higher-group. +For +example, 0-symmetry includes both group-like 0-form symmetry +and beyond-group algebraic symmetry. + +3 +metries of the effective mid-IR Hamiltonians in the ther- +modynamic limit. +In section IV, we summarize the general lessons learned +and the physical consequences from exact emergent +higher-form symmetries. In particular, we first discuss +why, from the point of view of effective Hamiltonians, +breaking a higher-form symmetry in the UV does not au- +tomatically break it at lower energies. Then we discuss +how exact emergent higher-form symmetries can charac- +terize phases of theories that do not have UV higher-form +symmetries. In particular, how exact emergent higher- +form symmetries can spontaneously break and how they +can protect symmetry-protected topological phases. An +important takeaway is to understand how exact emergent +higher-form symmetries characterize phases, one should +first partition the parameter space by both the theory’s +exact emergent IR symmetries and not just its exact UV +symmetries. These partitions do not necessarily resemble +the system’s phase diagram and instead lay a foundation +from which its phases can be labeled and characterized +using generalized symmetries. +In section V, we conclude and discuss some open ques- +tions arising from this work. +The appendix includes three additional sections which +supplement the main text. Firstly, in appendix section A, +we review the discrete differential geometry notation (in a +non-rigorous fashion) used throughout section III. Then, +appendix sections B and C show how the deconfined +phases of the models for emergent ZN p-gauge theory and +emergent U(1) p-gauge theory, respectively, are related +to the corresponding quantum field theory descriptions: +p-form BF theory and p-form Maxwell theory. The re- +lated subsections review the higher-form symmetries and +’t Hooft anomalies in these quantum field theories. +II. +ENERGY SCALES HIERARCHIES AND +EFFECTIVE HAMILTONIANS +A. +Low energy exact emergent generalized +symmetries +Consider a lattice bosonic quantum system described +by the local Hamiltonian H and whose total Hilbert space +V is tensor product decomposable: V = � +i Vi. Since H +includes the exact interactions at the microscopic scale +and describes the system at all energies throughout the +entire parameter space, we refer to it as the UV Hamilto- +nian, adopting the language used in field theory. While, +in theory, the system’s physical properties can be ex- +tracted from H, this proves much too difficult in prac- +tice [53]. +A guiding principle to overcome this daunting prob- +lem is the separation of energy scales (assuming there is +no UV/IR mixing [54–57]). We will always denote the +lowest energy scale as EIR and refer to the sub-Hilbert +space VIR = span{|En⟩ | En < EIR}, where |En⟩ is an +energy eigenstate, as the IR. Furthermore, we will al- +E(III) +UV +E(IV) +UV +E(IV) +mid−IR +E(IV) +IR +E(I) +UV +E(I) +mid−IR I +E(I) +IR +E(I) +mid−IR II +E(II) +UV +E(II) +IR +I +IV +II +III +Parameter Space +FIG. 1. The parameter space of a many-body Hamiltonian +can be partitioned by its differing hierarchies of energy scales. +A schematic depiction of this is shown here. The parameter +space is partitioned into four regions, labeled I, II, III, and +IV, with their differing energy scale hierarchies shown. +ways denote the largest possible energy value as EUV. +However, there can be other interesting energy scales +between the IR and the UV scales, which we will call +mid-IR energies Emid-IR and refer to the sub-Hilbert +space Vmid-IR = span{|En⟩ | En < Emid-IR} as the mid- +IR. Generally, there can be multiple of these mid-IR +scales, and as demonstrated in Fig. 1, different regions +of parameter space will have a different hierarchy of en- +ergy scales. One reason to introduce the notion of the +mid-IR is to make the connection between lattice models +and quantum field theories clearer. Indeed, in condensed +matter physics, the UV theory is a lattice model and +quantum field theories are generally mid-IR theories. +It is helpful to organize a quantum many-body system +around its scale hierarchies because the low-energy eigen- +states will often have additional structures absent from +high-energy eigenstates. For example, these additional +structures could reflect the presence of new, emergent +symmetries. Indeed, as depicted in Fig. 2, states with +energy EIR ≤ E < Emid-IR have equal or more symmetry +than states with E ≥ Emid-IR but equal or less symmetry +than states with E < EIR. +It is nontrivial to systematically identify the scale hi- +erarchies of a general UV Hamiltonian. Here we will spe- +cialize to a typical situation where the UV Hamiltonian +can be written as +H = H0 + H1, +(1) +where a mid-IR scale Emid-IR of H0 is known (e.g., an en- +ergy gap of a quasiparticle), and V(H0) +mid-IR is spanned by en- +ergy eigenstates of H0 satisfying ⟨Pi⟩ = 0,3 where {Pi} is +a collection of mutually commuting local projection oper- +ators. In other words, {Pi} act on |ψmid-IR⟩ ∈ V(H0) +mid-IR as +3 Here, we will use the notation that an operator with the subscript +i acts only on degrees of freedom near site i. + +4 +Pi |ψmid-IR⟩ = 0, while Pi |ψ⟩ ̸= 0 for |ψ⟩ ̸∈ V(H0) +mid-IR. Fol- +lowing the previous discussion, the low energy physics of +H0 below Emid-IR can have additional structures which +are determined by Pi = 0. In fact, as we will soon ar- +gue, these special structures commonly include emergent +symmetries. +Now, let us include the perturbation H1 in Eq. (1). +We will assume H1 includes terms that mix states with +⟨Pi⟩ = 0 and states with ⟨Pi⟩ ̸= 0. Because of H1, en- +ergy eigenstates of H are a superposition of states with +⟨Pi⟩ = 0 and states with ⟨Pi⟩ ̸= 0 and, therefore, the sub- +Hilbert space spanned by states satisfying ⟨Pi⟩ = 0 is not +a mid-IR of H. Consequently, it appears that any spe- +cial structures arising due to Pi = 0 (such as emergent +symmetry) are destroyed by the H1 term. +On the other hand, if all parameters in H1 are much +smaller than those in H0, it is tempting to think that +the mid-IR of H is closely related to the ⟨Pi⟩ = 0 states. +This intuition motivates one to introduce the parameter +s ∈ [0, 1] and family of Hamiltonians +H(s) = H0 + s H1, +(2) +from which the mid-IR of H can be constructed from +the mid-IR of H0 by slowly tuning s = 0 to s = 1 [46]. +Indeed, let us denote the nth many-body energy eigen- +state of H(s) as |ψ(s) +n ⟩ and define the unitary operator +Vs = � +n |ψ(s) +n ⟩⟨ψ(0) +n | which satisfies Vs|ψ(0) +n ⟩ = |ψ(s) +n ⟩ and +⟨ψ(0) +n |A|ψ(0) +n ⟩ = ⟨ψ(s) +n |VsAV † +s |ψ(s) +n ⟩ +(3) +for any operator A. Therefore, the ⟨P⟩ = 0 sector of H0 +is related to the ⟨V1PV † +1 ⟩ = 0 sector of H. However, this +definition of Vs is unphysical since VsPV † +s is likely to +be nonlocal even if P is local. +Ref. 46 found a local +unitary operator ULU that approximates Vs very well, +while ensuring local operators remain local when dressed. +An explicit form of ULU is [58] +ULU = S′ +� +exp +� +i +� 1 +0 +ds′ Ds′ +�� +, +Ds ≡ i +� +dt F(t)eiH(s)t∂sH(s)e−iH(s)t, +(4) +where S′ denotes s′-ordering and F(t) is a function sat- +isfying a particular set of requirements, such as F(t) = +−F(−t) so that Ds is anti-Hermitian. +Motivated by those results, here we assume that there +exists a proper local unitary operator ULU with the fol- +lowing properties: (1) it maps a local operator Oi to +a local operator �Oi ≡ ULUOiU † +LU (with some fattening); +(2) it maps the nth eigenstate |ψ(0) +n ⟩ of H(0) with eigen- +value E(0) +n +to a superposition of some eigenstates |ψ(1) +n′ ⟩ of +H(1) with eigenvalue E(1) +n +− δ < E(1) +n′ < E(1) +n ++ δ, where +δ ≪ Emin-IR and E(1) +n +is the eigenvalue of the nth eigen- +state |ψ(1) +n ⟩ of H(1). If such a unitary operator satisfying +the aforementioned properties does not exist for a partic- +ular H in parameter space, it means that the mid-IR does +not exist at that point of parameter space (e.g., due to +the gapped quasiparticles defining Emid-IR condensing). +We will obtain our results based on this conjecture. +Consider an eigenstate |ψ(0) +n ⟩ of H(0) with eigenvalue +E(0) +n +≪ Emid-IR. Thus |ψ(0) +n ⟩ satisfies Pi|ψ(0) +n ⟩ = 0. ULU +will map it to some eigenstates of H(1) with eigenvalues +much less then Emid-IR, which satisfy �Pi|ψ(1) +n ⟩ = 0, where +�Pi = ULUPiU † +LU. The above is true for all the low energy +eigenstates of H(0). We can therefore identify the mid- +IR of H as the sub-Hilbert space spanned by the mid-IR +eigenstates of H(0) transformed by ULU. Furthermore, +since the mid-IR states of H(0) satisfied Pi = 0, the mid- +IR states of H satisfy �Pi = 0. Notice that { �Pi} is also a +set of mutually commuting local projectors whose �Pi = 0 +space corresponds to the low energy sub-Hilbert space of +H, V(H) +mid-IR. Thus the exact low energy structures of H0 +specified by the projectors Pi become the exact low en- +ergy structures of H specified by the projectors �Pi. Since +{Pi} and { �Pi} are related by a local unitary transforma- +tion ULU, we exact the two exact low energy structures +are equivalent. This result was obtained in Ref. 46 for +emergent Z2 and U(1) gauge symmetry (i.e. the low en- +ergy subspace satisfies that Gauss’s law �ρi = 0 exactly +and is exactly gauge invariant.) We believe such a result +remains to be valid for more general situations. +Having identified a mid-IR of H, we now discuss how +to determine if, and what kind of, additional structures +emerge at E < Emid-IR. In this paper, we will investi- +gate the scenario where these additional structures are +emergent symmetries. To identify emergent symmetries, +it is helpful to adopt the perspective that a symmetry is +described/defined by an algebra of local symmetric oper- +ators [52]. For instance, if the UV symmetries are gener- +ated by the unitaries {Ug}, i.e. [Ug, H0] = [Ug, H1] = 0, +then the associated algebra of local symmetric operators +is +AUV = {OUV | OUVUg = UgOUV ∀ g}, +(5) +where OUV is a local operator acting on the full Hilbert +space V. Indeed, given A, one can recover the symme- +try transformation operators by finding all operators that +commute with the elements of A while also acting non- +trivially on some physical operators4. +Using this view, the mid-IR symmetries are described +by the algebra of local symmetric operators +Amid-IR = {Omid-IR | Omid-IR �Pi = �PiOmid-IR ∀ i, +∀ Omid-IR ∈ AUV}. +(6) +Indeed, the symmetry transformations of the symmetry +are given by all the operators that commute with Amid-IR: +Tmid-IR = {Umid-IR | Umid-IROmid-IR = Omid-IRUmid-IR, +∀ Omid-IR ∈ Amid-IR}. +(7) +4 The latter requirement is required to avoid including gauge re- +dundancies. + +5 +GUV ⊂ Gmid−IR ⊂ GIR +EUV +Emid−IR +EIR +UV, GUV +mid-IR, Gmid−IR +IR, GIR +Energy +FIG. 2. +The symmetries of a quantum many-body system +generally depend on the energy scale of an observer. While +microscopic (UV) symmetries GUV are noticeable at all en- +ergy scales, at lower energies an observer may discover addi- +tional, emergent symmetries. These emergent symmetries can +be ordinary symmetries, anomalous symmetries, higher-form +symmetries, non-invertible symmetries, etc. [2, 6, 7]. +Tmid-IR will include the UV symmetries but could include +additional emergent symmetries, reflecting the possibil- +ity depicted in Fig. 2. In fact, it should generally be the +case that the emergent symmetries of H determined by +the algebra Amid-IR are exact symmetry of H0. We refer +to emergent symmetries identified by Amid-IR as exact +emergent symmetries to emphasize that at E < Emid-IR, +they are equally impactful as exact UV symmetries. In- +deed, exact emergent symmetries are not approximate, +and Amid-IR cannot describe approximate symmetries. +The above description of symmetry using AUV is very +general and capable of describing all generalizations of +symmetries, with or without ’t Hooft anomalies. Further- +more, for finite symmetries, an algebra of local symmet- +ric operators determines a non-degenerate braided fusion +(higher) category (i.e. a topological order in one higher +dimension), which is referred to as categorical symmetry +and is a direct description of the symmetry [19, 52]. Iden- +tifying exact emergent symmetries using Amid-IR, speci- +fied by local commuting projectors �Pi, includes all types +of emergent generalized symmetries but does not include +emergent 0-form symmetries. Indeed, emergent 0-form +symmetries are usually not exact and instead approxi- +mate symmetries. +On the other hand, as long as the +lattice is free from defects (e.g., no lattice sites are miss- +ing), emergent higher-form symmetries are always exact. +We will provide a more detailed discussion on this point +in the next subsection and next section. +One can possibly discover all of the emergent symme- +tries of a system in a Hamiltonian-independent way by +constructing A at all energy scales for each energy hierar- +chy in parameter space. However, it is desirable to have +a Hamiltonian description reflecting the emergent sym- +metries. The symmetries that emerge at E < Emid-IR are +hidden from the UV Hamiltonian H since it describes the +dynamics of both states with �Pi = 0 and �Pi = 1. There- +fore, to make the emergent symmetries manifest, we will +develop an effective mid-IR theory Hmid-IR that describes +only the dynamics of states with �Pi = 0. The symmetries +of Hmid-IR should include the UV symmetries but could +also include additional ones, which we will identify as +emergent symmetries. Since H is a sum of only opera- +tors in AUV, we expect that Hmid-IR should be a sum of +only operators in Amid-IR. +The effective mid-IR Hamiltonian should act only on +the mid-IR Hilbert space Vmid-IR. +Here, we develop +Hmid-IR using the physical intuition that the UV dynam- +ics generate the mid-IR dynamics. Indeed, decomposing +the UV theory as a sum over local terms H = � +i H(i), +consider the amplitude +⟨ψ| eiH |ψ⟩ = +∞ +� +n=0 +in +n! +� +i0···in +⟨ψ| H(i0) · · · H(in) |ψ⟩ . +(8) +When |ψ⟩ ∈ Vmid-IR, +we require that Hmid-IR satis- +fies ⟨ψ| eiHmid-IR |ψ⟩ = ⟨ψ| eiH |ψ⟩ under the constraint +that all terms in Hmid-IR commute with { �Pi}. +No- +tice that since the amplitudes must match, terms in +Hmid-IR can only be constructed from {H(i0) · · · H(in)} +for n = 0, 1, · · · , ∞. +Therefore, the most general form +of Hmid-IR is a sum of operators constructed from all +combinations of the terms in H, or equivalently �H, that +commute with �Pi. Letting A denote the set of all of these +operators, we define Hmid-IR as +Hmid-IR = +� +O∈A +COO, +(9) +where {CO} are constants chosen such that the ampli- +tudes match. Therefore, as expected, Hmid-IR is a sum +over operators in Amid-IR, but A ⊂ Amid-IR since A in- +cludes only those which can generated from the terms in +�H. +The constants {CO} are renormalized versions of the +UV parameters. On physical grounds, we require the ef- +fective mid-IR theory to be a local Hamiltonian. There- +fore, the greater number of terms from �H involved in +O or the larger the region of the lattice O acts on, the +smaller CO is. The ability to define a local effective mid- +IR Hamiltonian is a requirement of the mid-IR to be well +defined. This definition of the effective mid-IR Hamilto- +nian is physically reasonable but not rigorous. We will +not present a rigorous justification or proof of Hmid-IR, +leaving it for future work. Here, we state Eq. (9) with +the restrictions on CO as the conjectured form of Hmid-IR, +and the rest of this paper is dedicated to examining the +consequences of this conjecture. +B. +A holographic picture for emergent finite +symmetries +One way to obtain a systematic understanding of +strongly correlated gapless states is to find all their uni- +versal characterizations. Low-energy emergent symme- +tries provide a possible candidate for such universal char- +acterizations. As mentioned previously, emergent sym- + +6 +M +QFTano +FIG. 3. +A symmetric system with symmetry R, after be- +ing restricted in the symmetric sub-Hilbert space in a closed +space, can be viewed as a system (denoted as QFTano) with a +non-invertible gravitational anomaly. Low energy properties +of QFTano can be exactly simulated by a boundary of a topo- +logical order M in one higher dimension. QFTano uniquely +determines the bulk topological order M. +metries can be very general. They can include group- +like symmetries, anomalous symmetries, (anomalous) +higher-form symmetries, (anomalous) algebraic higher- +form symmetries (also called non-invertible symmetries), +etc. When these symmetries are finite, Refs. 4 and 51 +proposed a unified description of all types of symmetries +in terms of topological orders in one higher dimension, +called categorical symmetry5 [4, 50] or symmetry topo- +logical field theory (TFT) [59]. This has the following +physical meaning: given an anomaly-free system6 (de- +noted as QFTaf) with a symmetry R, its low energy +properties within the symmetric sub-Hilbert space in a +closed space are exactly simulated by a boundary of the +corresponding topological order M in one higher dimen- +sion. This is because, when restricted to symmetric sub- +Hilbert space in a closed space, the system can be viewed +as a system (denoted as QFTano) with a non-invertible +gravitational anomaly [50, 60], which is the same as topo- +logical order M in one higher dimension [61, 62] (see +Fig. 3). +Certainly, there are many physically distinguishable +systems with the same finite symmetry R. +Neverthe- +less, for each such system, we can find a boundary of M +to exactly simulate it at low energies, since M can also +have many physically distinguishable boundaries. Thus +using bulk topological order M to described a symmetry +R means that there is an one-to-one correspondence be- +tween systems with the symmetry R and boundaries of +bulk topological order M, such that the local low energy +properties of the corresponding symmetric system and +boundary of M are identical. For example, the low en- +ergy spectrum in the symmetric sub-Hilbert space of the +symmetric system is identical to the low energy spectrum +of the corresponding boundary of M. +The boundary of M in Fig. 3 does not simulate all of +QFTaf’s low energy properties since QFTano only de- +scribes the symmetric sub-Hilbert space of QFTaf. In- +deed, truly simulating QFTaf requires the boundary of +5 This +is +not +to +be +confused +with +non-invertible +symme- +try/algebraic higher-form symmetry, which are sometimes also +referred to as categorical symmetry. +6 Throughout section II B, an anomaly-free system means a system +with a lattice UV completion. +R +R +M +M += +QFT +QFTano +QFTano +af +FIG. 4. +The low energy properties QFTaf with symmetry +R can be exactly simulated by a slab of topological order M +with two boundaries QFTano and � +R. The stacking of the two +boundaries through the bulk topological order is denoted as +QFTano ⊠M � +R. +M to capture all states in the Hilbert space. This can +be achieved by adding an additional gapped boundary +�R of M [4, 8], as shown in Fig. 4. We will denote the +composition of the topological order M with two bound- +aries QFTano and �R as QFTano ⊠M �R. Provided that +the topological order M and the boundary �R have an +infinite energy gap, the low-energy properties of QFTaf +are described by the composite system QFTano ⊠M �R, +and thus +QFTaf = QFTano ⊠M �R. +(10) +If an anomaly-free system QFTaf admits a decomposi- +tion QFTaf = QFTano ⊠M �R, then we say the anomaly- +free system QFTaf is described by the categorical sym- +metry M. +The boundary �R contains gapped excitations that can +generally be of various dimensions. If the spatial dimen- +sion of the boundary is n, these excitations are described +by a fusion n-category, which we will denote as �R. On +the other hand, the bulk topological order M in (n + 1)- +dimensional space will generally also have numerous bulk +excitations of various dimensions, which are described by +a braided fusion n-category denoted as M. The bound- +ary fusion n-category �R uniquely determines the bulk +braided fusion n-category M. In fact, M and �R are re- +lated to one another by +M = Z( �R), +(11) +where Z( �R) is the center of �R. When n = 1, Z( �R) is +the Drinfeld center of �R and, if �R = Rep(G), M is the +quantum double of �R. +In the decomposition QFTaf = QFTano ⊠M �R, if �R is +a local fusion n-category7, then QFTaf has an anomaly- +free symmetry described by R, the dual of �R. Because R +7 A fusion n-category � +R is local if there exists a fusion n-category +R such that Z(R) = Z( � +R) and R ⊠M � +R = nVec, where nVec is +the braided fusion n-category describing excitations in a trivial +topological order (i.e. above a trivial product state). The two +local fusion n-categories R and � +R are then said dual to each +other. + +7 +and �R are dual, the anomaly-free symmetry R also deter- +mines the categorical symmetry M = Z(R). However, if +�R is not local, we cannot say QFTaf has an anomaly-free +symmetry, although its symmetries are still described by +the categorical symmetry M. +We note that in Ref. 8, +the pair ( �R, M) is regarded as a generalized symmetry +regardless if �R is local or not. +Using QFTano ⊠M �R to describe the symmetries of +QFTaf is very general and provides a unifying formal- +ism capable of describing all generalizations of symme- +try. In fact, as we will now argue, QFTano ⊠M �R is also +able to describe the exact emergent symmetries of QFTaf +discussed in the previous subsection. Therefore, one may +view QFTano ⊠M �R as the definition of (exact emergent) +symmetry. +Recall from the previous subsection the general Hamil- +tonian Eq. (1), where a mid-IR of H0 was known and +spanned by states satisfying Pi |ψ⟩ = 0 for local com- +muting projectors {Pi}. There, we found that the ex- +act emergent symmetries in the mid-IR are determined +by {Pi}. The exact emergent symmetries of H could be +found by dressing operators with ULU. This is of course +still true here, but for simplicity we will just consider H0 +instead of the full H0 + H1. The results will hold even af- +ter we include an arbitrary perturbation H1 to H0 as we +discussed in the last subsection. Without a loss of gen- +erality, we will assume that H0 for the finite symmetry +case has the form +H0 = +� +i +Oi + Emid-IR +� +i +Pi, +[Oi, Pj] = 0. +(12) +Here Oi are local operators and [Oi, Pj] = 0 is required, +since Oi is assumed not to mix the Pi = 0 states and +Pi = 1 states. +Let us now consider how exact emergent symmetries +arise from Pi = 0 starting from ( �R, M) which is related +to the physical theory H0 by QFTano ⊠M �R. In doing so, +we will also see why 0-form symmetries cannot be exact +emergent symmetries. +It is believed that a topological order with a gapped +boundary can be realized by commuting projector model, +which also has a commuting projector Hamiltonian real- +izing the gapped boundary. Therefore, the �R-boundary +and the M-bulk in Fig. 4 can be realized by a commuting +projector model. Pi in H0 are those commuting projec- +tors, where H0 is is viewed as a Hamiltonian that de- +scribes the slab in Fig. 4 which is a model in one lower +dimension if the slab has a finite thickness compare to +lattice spacing. Oi’s in H0 are the boundary Hamilto- +nian terms describing the QFTano boundary in Fig. 4. +Since the thickness of the bulk M is finite, the local op- +erators Oi in H0 can also contain operators that connect +the QFTano boundary and the �R boundary in Fig. 4. By +definition, these Oi must commute with Pi in order to be +allowed in H0. If a symmetry on the boundary QFTano +is going to be explicitly broken, there must be an al- +lowed operator which transfers symmetry charge from �R +R +QFTano +FIG. 5. A lattice realization of Fig. 4, where qubits live on +the links. The bulk Hamitonian contains the star terms (the +diamonds around a vertex) and the plaquette terms (the di- +amonds inside a square). The intra-boundary terms act on +qubits near a boundary, while the inter-boundary terms act +on qubits that connect two boundaries (the vertical line). +to QFTano. For a p-form symmetry, its charges are cre- +ated by operators acting on a p-dimensional subspace, +and therefore transferring a symmetry charge from �R to +QFTano requires a (p + 1)-dimensional operator. For a +0-form symmetry, such an operator would include a fi- +nite number of local operators acting in a line from �R to +QFTano. This is allowed in the set of local operators {Oi} +and therefore allowed in H0. +Thus, the projectors Pi +cannot produce exact emergent 0-form symmetries. For +p-form symmetries with p > 0, any inter-boundary oper- +ators that transfer symmetry charge are non-contractible +extended operators, acting on the whole system. These +operators are not local and are not included in the set of +local operators {Oi} and therefore the symmetry is pre- +served. Thus the projectors Pi can give rise to an exact +emergent higher-form symmetry even when including all +the local low energy operators Oi (regardless if they are +inter-boundary or intra-boundary). +The above discussion is pretty general, so let us give +an example to construct a model with an exact emergent +Z(1) +2 +symmetry in 1+1D. We consider M to be the toric +code model (i.e. the Z2 lattice gauge theory) and �R is +the Z2-charge condensed boundary (the so-called rough +boundary [63]). The slab QFTano ⊠M �R in Fig. 4 be- +comes the lattice shown in Fig. 5, with qubits residing +on the links. +The bulk Hamiltonian that give rise to a toric code +model contains star terms Pvert +i += (1 − Z1Z2Z3Z4)/2 +acting on the four qubits on the four links con- +necting +to +each +vertex +and +plaquette +terms +Pplaq +i += (1 − X1X2X3X4)/2 acting on the four qubits +on the four links around each square (see the diamond +around a vertex and inside a square, respectively, in +Fig. 5). The �R boundary has truncated plaquette terms +Pbdry +i += (1 − X1X2X3)/2 acting on the three qubits +on the three links around each open square (see the +up-side-down triangle in Fig. 5 in the �R boundary). +The lattice model Fig. 5 can be viewed as a 1+1D +lattice model H0, and the above three types of terms, +Pvert +i +, Pplaq +i +, and Pbdry +i +, correspond to the projectors Pi +in Eq. (12). The Oi operators in H0 can be any operator +that commutes with Pi. Thus the local energy dynamics + +8 +R +i+1/2 +i +i+1 +i−1 +i−1/2 +QFTano +FIG. 6. A thin slab limite of Fig. 5, where qubits live on the +links. +controlled by Oi operators are constrained by the local +projectors Pi’s. Consequently, the local projectors Pi’s +cam give rise to an emergent symmetry. But what is this +emergent symmetry? +We note that the Oi operators can be divided into two +classes: +intra-boundary operators and inter-boundary +operators. +The intra-boundary operators only act on +the qubits near the boundary QFTano8. +The inter- +boundary operators can act on qubits that connect the +two boundaries. An example of inter-boundary opera- +tors is X1X2 · · · Xn acting on the vertical links connect- +ing the two boundaries (see Fig. 5), which commute with +the projectors Pvert +i +, Pplaq +i +, and Pbdry +i +. +To make our explicit discussion as simple as possi- +ble, let us take a thin slab limit of Fig. 5, which gives +us Fig. 6 where we label vertical (horizontal) links by +i (i + 1 +2). +In this limit, the only remain projector is +Pbdry +i +: +Pi = 1 +2(1 − XiXi+ 1 +2 Xi+1). +The allowed local +boundary operators Oi must commute with Pi’s. From +the thin slab limit, we find that all such Oi’s are gen- +erated by taking products of the operators Xi, Xi+ 1 +2 , +and Zi− 1 +2 ZiZi+ 1 +2 . Notice that while Xi+ 1 +2 , XiXi+ 1 +2 Xi+1, +Zi− 1 +2 ZiZi+ 1 +2 are intra-boundary operators, the Xi’s are +inter-boundary operators. +Let us first restrict ourselves to the local operators Oi +that are intra-boundary operators. We will consider the +full set up, where Oi includes intra and inter-boundary +operators, after. +In this case, we will obtain an exact +emergent Z2 0-form symmetry. +To see this result, we +note that the intra-boundary local operators form the +algebra of the local symmetric operator +A(intra-only) +mid-IR += {Xi+ 1 +2 , XiXi+ 1 +2 Xi+1, Zi− 1 +2 ZiZi+ 1 +2 }. +(13) +The operators (local or non-local) that commute with +A(intra-only) +mid-IR +are generated by +T (intra-only) +mid-IR += {XiXi+ 1 +2 Xi+1, +� +i +(Zi− 1 +2 ZiZi+ 1 +2 )}. (14) +8 The commuting projectors Pbdry +i +etc already give the � +R bound- +ary a large energy gap. The intra-boundary operators near � +R +can only be combinations of those commuting projectors. There +are no new operators. +and give rise to all symmetry transformations. Using the +language of operator algebra, the symmetry transforma- +tions T (intra-only) +mid-IR +are the double commutant of the local +projectors {Pi}. From T (intra-only) +mid-IR +, we find that when re- +stricted to the intra-boundary operators there are two ex- +act emergent symmetries enforced by the projectors Pi’s. +XiXi+ 1 +2 Xi+1 generates symmetry transformations which +act on loops of the slab, and therefore corresponds to a +Z(1) +2 +symmetry. � +i(Zi− 1 +2 ZiZi+ 1 +2 ) acts on the entire lat- +tice and therefore corresponds to a Z(0) +2 +symmetry. Note +that when the (2 + 1)D system QFTano ⊠M �R is mapped +to the (1 + 1)D system QFTaf, the Z(0) +2 +symmetry still +acts on the entire lattice while the Z(1) +2 +symmetry now +acts on a single lattice site. +From the previous general discussion, we expect that +exact emergent 0-form symmetries will be explicitly bro- +ken by inter-boundary operators. +Let’s verify this ex- +pectation in this example by now including the inter- +boundary operators. Doing so, the algebra of local sym- +metric operators becomes +Amid-IR = {Xi+ 1 +2 , Xi, Zi− 1 +2 ZiZi+ 1 +2 }. +(15) +The symmetry transformations and now generated by +Tmid-IR = {XiXi+ 1 +2 Xi+1}. +(16) +So, the Z(1) +2 +symmetry is still present, but the Z(0) +2 +sym- +metry is now explicitly broken. This is because the inter- +boundary operators Xi’s also commute with the projec- +tors Pi but transfer the charges of the Z(0) +2 +symmetry +between the two boundaries. +As a result, those inter- +boundary operators break the Z(0) +2 +symmetry previously +enforced by the projectors Pi’s. The operators that could +transform the Z(1) +2 +symmetry charges between the two +boundaries were not included in Amid-IR since they are +not local operators, and as a result, the Z(1) +2 +symmetry +is exact. +III. +EXAMPLES OF EXACT EMERGENT +HIGHER-FORM SYMMETRIES +In this section, we apply the framework discussed in +section II A to three lattice models. +We organize our +discussion around the energy hierarchies of these models +and discover emergent higher-form symmetries by deriv- +ing effective Hamiltonians. These symmetries have been +noticed previously in the literature in similar models, but +typically from an IR point of view. Here we take a UV +point of view, starting from lattice models for which these +symmetries are not exact, and emphasizing that as emer- +gent symmetries they are exact emergent symmetries. +This means that they are symmetries that emerge be- +low an energy scale yet constrain the IR as if they were +UV symmetries. Each subsection is dedicated to a single + +9 +K +U +I +III +II +J +U +E(I) +UV +UV +E(II) +UV +E(II) +IR +UV +IR +E(III) +UV +E(III) +mid−IR +E(III) +IR +UV +mid-IR +IR +Model C: +Model D: +GUV +GUV +GUV +GIR = GUV × U(1)(p) +GUV +GIR = GUV × ℤ(p) +N +GUV +Gmid−IR = GUV × U(1)(p) +GIR = GUV × U(1)(p) × U(1)(d−p−1) +GUV +Gmid−IR = GUV × ℤ(p) +N +GIR = GUV × ℤ(p) +N × ℤ(d−p) +N +Model D: +Model C: +Model C +Model D + Parameter Space +HUV +FIG. 7. (left) We partition the parameter space of models C (Eq. (66)) and D (Eq. (35)) into three regions labeled I, II, and +III, which we structure our discussions in sections III B and III C around. (right) In these regions, we identify energy scale +hierarchies and the exact emergent symmetries at each scale. The exact emergent U(1)(d−p−1) symmetry in the IR of region +III for model C is trivial at the lattice scale, but its action becomes nontrivial in the continuum limit. These regions are not +necessarily distinct phases of the models. Indeed, region I and II are likely in the same phase while region III is a different +phase. This is emphasized in the left figure where solid lines indicate a phase transition while dashed lines do not. +one of these models and is entirely self-contained. So, if +desired, the reader should feel free to read only the sub- +section(s) on their favorite model(s). For the reader who +reads more than one, we apologize for any inconvenience +due to subsections overlapping. +All of the models we consider are described by Hamil- +tonians governing degrees of freedom on a d-dimensional +cubic spatial lattice with continuous time. +We exten- +sively use discrete differential geometry notation, which +we review (in a non-rigorous fashion) in appendix sec- +tion A. The remainder of this section is organized as fol- +lowed. +In subsection III A, as a warm-up we consider the quan- +tum clock model Eq. (20) which has a UV ZN symmetry. +When this ZN symmetry is spontaneously broken, we +find there is an exact emergent Z(d) +N symmetry at energies +below the domain wall gap. The IR symmetry operators +form a projective representation of ZN × Z(d) +N , signaling +the presence of a mixed ’t Hooft anomaly that protects +the ground state degeneracy in the SSB phase. +In subsection III B, we consider a model of emergent +ZN p-gauge theory Eq. (35), which we call model D, and +in subsection III C, we consider a model of emergent U(1) +p-gauge theory Eq. (66), which we call model C. The ex- +act emergent symmetries and energy scale hierarchies of +these models are summarized in Fig. 7. We want to em- +phasize that the left panel of Fig. 7 is a schematic depic- +tion and that the precise shapes of the regions and the +nature of the boundaries between them are not investi- +gated. Region II ∪ III exists in parameter space wherever +there are gapped gauge charge excitations. The creation +operator for the gauge charges is exactly known in the +K, J → 0 limit, and the implicitly defined local unitary +ULU from section II A is used to construct the creation +operator away from this single point in parameter space. +We do not construct an explicit form for ULU and thus +cannot rigorously investigate the shape of region II ∪ III +in parameter space. Since region III corresponds to the +deconfined phase of the gauge theory, assuming d is large +enough that the exact emergent p-form symmetry can +spontaneously break, we expect it to be a finite-sized re- +gion in the thermodynamic limit. Region II corresponds +to the confined phase, where the gauge charges are con- +fined. When J = 0, it is easy to confirm the exact emer- +gent p-form symmetry is present, but for finite J, it re- +lies on the existence of ULU and whether or not the gauge +charges are genuinely gapped excitations. Fig. 7 portrays +the possibility that they are and that region II exists +even when J ̸= 0, and the discussion throughout these +examples will reflect this possibility. Another possibility +is that region II exists only for J → 0; outside of the +deconfined phase, the exact emergent symmetry would +then only exist along a portion of the vertical axis of the +parameter space. +Let us summarize the results of model C and D in +the familiar case p = 1. We first consider model D with +p = 1, d = 3, and trivial GUV, which is emergent 3+1D +Z2 lattice gauge theory. In Eq. (35), the Gauss’s law is + +10 +enforced at a large energy scale U which represents the +energy gap of a Z2-gauge charge excitation. Furthermore, +the term creating a pair of Z2-charges has a energy scale +J (which explicitly breaks a UV Z(1) +2 +symmetry) and the +term creating Z2-fluxes has an energy scale K (which +explicitly breaks a UV Z(2) +2 +symmetry). Thus a large J +drives a Z2-charge condensation transition (i.e. a Higgs +transition) and a large K drives a Z2-flux condensation +transition (i.e. a confinement transition). The region III +in Fig. 7 corresponds to the deconfined phase of the Z2 +gauge theory, which has an exact emergent IR symmetry +Z(1) +2 +×Z(2) +2 +(below the energy gap of dressed Z2-charges). +The symmetry operators of the Z(1) +2 +symmetry and Z(2) +2 +symmetry anti-commute if their intersect at odd number +of points. +Thus model D realizes the exact emergent +Z(1) +2 +× Z(2) +2 +in a projective representation, and therefore +there is a mixed ’t Hooft anomaly between Z(1) +2 +and Z(2) +2 +symmetries. Such a mixed anomaly can be described by +anomaly in-flow using an invertible topological quantum +field theory in one higher dimension, described by the +following action amplitude (see Eq. (B57)) +e−S = eiπ +� +M5 A∪ ˆ +A, +(17) +where A is a Z2-valued 2-cocycle field and ˆ +A is a Z2- +valued 3-cocycle field. A is the background gauge field +from gauging the Z(1) +2 +symmetry, while ˆ +A is the back- +ground gauge field from gauging the Z(2) +2 +symmetry. We +note that, following the discussion in section (II B), once +making A and ˆ +A dynamical, Eq. (17) can also be viewed +as the action amplitude in the path integral describing +the categorical symmetry (i.e. the topological order in +one higher dimension) for the anomalous Z(1) +2 +× Z(2) +2 +sym- +metry. +Due to the mixed ’t Hooft anomaly, the system must +have degenerate ground states on a 3-dimensional torus +as long as Z(1) +2 +× Z(2) +2 +is present in the IR. Since the +emergent symmetry Z(1) +2 +× Z(2) +2 +remains to be exact +against local UV perturbations, the ground states on a +3-dimensional torus also remain degenerate against any +perturbations. This is a way to understand the robust- +ness of topological order using the robustness of exact +emergent symmetry. +The exact emergent mid-IR Z(1) +2 +symmetry (existing +at energies below ∼ U) is present on both sides of the +confinement transition, II ↔ III, and is a consequence of +weak Z2 charge fluctuations. The exact emergent mid-IR +symmetry Z(1) +2 +controls this transition and its unphysical +part corresponds to the exact emergent Z2 gauge redun- +dancy [46]. +Next, let us consider model C with p = 1, d = 3, and +trivial GUV, which is emergent 3+1D U(1) lattice gauge +theory. +In Eq. (66), the Gauss’s law is enforced at a +large energy scale U which is the energy gap of a U(1)- +gauge charge. A term creating a pair of U(1)-charge has +a energy scale J and a term creating U(1)-flux fluctu- +ation has an energy scale K. Thus a large J drives a +U(1)-charge condensation transition (i.e. a Higgs transi- +tion) and a large K drives a U(1)-monopole condensa- +tion transition (i.e. a confinement transition). The re- +gion III corresponds to the deconfined phase of the U(1) +gauge theory, which has an exact emergent IR symmetry +U(1)(1) × U(1)(1) (below the energy gap of U(1)-charges +and U(1)-monopoles) in the continuum limit. +There is a mixed ’t Hooft anomaly between the two +U(1)(1) symmetries. It is described by an invertible topo- +logical quantum field theory in one higher dimension (see +Eq. (C77)) +e−S = ei2π +� +M5 A∧d ˆ +A, +(18) +where A, ˆ +A are two R/Z-valued 2-form fields. A is the +background gauge field from gauging the first U(1)(1) +symmetry, while ˆ +A is the background gauge field from +gauging the second U(1)(1) symmetry. Speculating that +categorical symmetry can be generalized to continuous +symmetry, once making A and ˆ +A dynamical, Eq. (18) +can also be viewed as the action amplitude describing the +categorical symmetry for the anomalous U(1)(1)×U(1)(1) +symmetry. +A result of the mixed ’t Hooft anomaly of the exact +emergent U(1)(1) × U(1)(1) symmetry is that as long as +the U(1)-charges and U(1)-monopoles have large energy +gap the system must be gapless [64, 65] no matter how +strong of the interaction between the U(1) photons. This +would mean that as long as these excitations have a +large energy gap, then due the exact emergent anoma- +lous U(1)(1) × U(1)(1) symmetry, the system should re- +main gapless even when a strong interaction between the +U(1) photons drives a phase transition. +The exact emergent mid-IR U(1)(1) symmetry (exist- +ing at energies below ∼ U) is present on both sides of +confinement transition II ↔ III. Indeed, it controls the +transition and its unphysical part corresponds to the ex- +act emergent U(1) gauge redundancy [46]. +A. +Quantum clock model +In this section, we will apply the framework discussed +in section II to the quantum clock model. Consider ZN +quantum rotors residing on the 0-cells (sites) of the spa- +tial d-dimensional cubic lattice. A ZN quantum rotor is +an N-level system described by clock operators Xc0 and +Zc0. These unitary operators are N-dimensional gener- +alizations of the Pauli matrices, satisfying +Z�c0Xc0 = ωδc0,�c0 Xc0Z�c0, +XN +c0 = ZN +c0 = 1, +(19) +where ω ≡ ei2π/N. The eigenvalues of the clock opera- +tors are {1, ω, ω2, · · · , ωN−1} ≃ ZN. + +11 +The Hamiltonian of the quantum clock model is +H = −J +2 +� +⟨c0�c0⟩ +� +X† +c0X�c0 + X† +�c0Xc0 +� +− K +2 +� +c0 +� +Zc0 + Z† +c0 +� +. +(20) +where the first sum is over pairs of nearest neighbor 0- +cells c0 and �c0 and the second sum is over all 0-cells. This +theory has an exact ZN 0-form—Z(0) +N —symmetry, whose +symmetry operator is generated by the unitary +U = +� +c0 +Zc0. +(21) +The charged operators of this symmetry are Xc0, which +from the clock operator algebra transform as +Xc0 → UXc0U † = e2π i/NXc0. +(22) +1. +An exact emergent Z(d) +N +symmetry and mixed ’t Hooft +anomaly +Assuming that d > 0, when K/J ≪ 1, the quantum +clock model at zero temperature is in a Z(0) +N spontaneous +symmetry broken (SSB) phase. Indeed, in the tractable +K/J → 0 limit, the quantum clock model is +H +���� +K/J→0 += −J +2 +� +⟨c0�c0⟩ +� +X† +c0X�c0 + X† +�c0Xc0 +� +. +(23) +The +ground +state +in +this +limit +satisfies +X† +c0X�c0 |vac⟩ = |vac⟩ +for +all +neighboring +0-cells. +Consequently, +since +for +any +0-cells +c0 +and +c′ +0, +X† +c0Xc′ +0 = � +c1∈O1 +� +�c0∈∂c1 X�c0 where ∂O1 = {−c0, c′ +0}, +⟨X† +c0Xc′ +0⟩ = 1. Therefore, in this limit the Z(0) +N symmetry +is spontaneously broken. +In a Z(0) +N +SSB phase, +there are gapped (d − 1)- +dimensional topological defects—domain walls—carrying +ZN topological charge which populate the excited states. +Indeed, in the K/J → 0 limit, the topological defect den- +sity ˆρ for a state |ψ⟩ is defined by +� +c0∈∂c1 +Xc0 |ψ⟩ = exp +�2πi +N (∗ ˆρ)c1 +� +|ψ⟩ , +(24) +where X−c0 ≡ X† +c0 and (∗ ˆρ)c1 ≡ ˆρ∗ c1. +From the ZN +clock algebra Eq. (34), � +c0∈∂c1 Xc0 and Zc0 satisfy +Zc0 +� +�c0∈∂c1 +X�c0 = ω(−1)c0 +� +�c0∈∂c1 +X�c0Zc0, +(25) +for all c0 ∈ ∂c1, where ω = e2π i/N and (−1)c0 is the +sign in front of c0 in ∂c1. +Using this, +let’s act +� +�c0∈∂c1 X�c0 on the state (∗ Z)ˆcd |0⟩, with ∗ ˆcd ∈ ∂c1 and +� +�c0∈∂c1 X�c0 |0⟩ = |0⟩: +� +�c0∈∂c1 +X�c0(∗ Z)ˆcd|0⟩ = ω(−1)∗ ˆcd (∗ Z)ˆcd |0⟩ . +(26) +Because this is true for all ∗ ˆcd ∈ ∂c1, acting (∗ Z)ˆcd onto +|0⟩ causes (∗ ˆρ)c1 ̸= 0 for all c1 ∈ δ ∗ ˆcd. Therefore, the +operator (∗ �Z)ˆcd excites a topological defect on ∂ˆcd. +In the K/J → 0 limit of the Z(0) +N +SSB phase, the +fact that the ground state satisfies X† +c0X�c0 |vac⟩ = |vac⟩ +means that the topological defect density in the ground +states is zero for all d-cells of the dual lattice. Equiva- +lently, this can also be see from the fact that the ground +state satisfies ⟨Zc0⟩ = 0. So, because the topological de- +fect creation operator does not have a vev, the topological +defects are not condensed and thus gapped. +The domain wall gap provides a candidate energy scale +below which new structures may emerge. Indeed, when +K/J = 0, there exists a low energy sub-Hilbert space +spanned by states satisfying ⟨ˆρˆcd−1⟩ = 0. +This is the +ground state subspace and defines the IR of the SSB +phase. However, when K/J ̸= 0, there no longer exists a +low-energy sub-Hilbert space spanned by states satisfy- +ing ⟨ˆρˆcd−1⟩ = 0. This is because the K term in H causes +the ⟨ˆρˆcd−1⟩ = 0 and ⟨ˆρˆcd−1⟩ ̸= 0 states to mix. However, a +corresponding low-energy sub-Hilbert space can be iden- +tified using ULU from section II A to continue any oper- +ator A which we understand at K/J = 0 to a (fattened) +local operator �A ≡ ULUAU † +LU with the same expectation +values of A but at K/J ̸= 0. Therefore, there exists a low- +energy sub-Hilbert space for both K/J = 0 and K/J ̸= 0 +spanned by states satisfying ⟨�ˆρˆcd−1⟩ = 0. +Because the +Z(0) +N +SSB phase is gapped, we can use the local unitary +from the quasi-adiabatic continuation, Eq. (4), to con- +tinue local operators throughout the entirety of the Z(0) +N +SSB phase. +Because ULU in Eq. (4) is constructed only from terms +in H, operators that commute with every term in H are +unaffected by ULU. In particular, because the Z(0) +N sym- +metry operator commutes with each term in H, the sym- +metry operator U in Eq. (21) satisfies +U = �U = +� +c0 +�Z0. +(27) +Having identified the IR of the SSB phase, we’d now +like to find an effective IR theory. As we learned in sec- +tion II, the effective IR Hamiltonian HIR is a sum of all +terms allowed in the IR that can be constructed from +the terms in �H. The terms in �H are ( � +X† +c0 � +X�c0 + h.c.) and +( �Zc0 + h.c.). +In +the +IR, +because +�ˆρˆcd−1 = 0, +from +Eq. +(24), +� +c0∈∂c1 � +Xc0 ≡ X† +c0 � +X�c0 = 1 and therefore ( � +X† +c0 � +X�c0 + h.c.) +does not contribute in HIR. The operators ( �Zc0 + h.c.) +are not allowed operators in the IR since they excite +dressed topological defects. +However, allowed IR op- +erators can be constructed from �Zc0. +Indeed, because +(∗ �Z)ˆcd excites a dressed topological defect on ∂ˆcd, acting +(∗ �Z′)ˆcd0 on any d-cycle of the dual lattice ˆCd does not ex- +cite dressed topological defects since ∂2 = 0. Therefore, + +12 +the IR allowed operator constructed from �Zc0 is +�T †[ ˆCd] = +� +ˆcd∈ ˆ +Cd +(∗ �Z)ˆcd. +(28) +This is a product of �Zc0 over all 0-cells in a connected +part of the spatial lattice. Indeed, denoting a connected +part of the spatial lattice as M, we can instead consider +�T †[M] = +� +c0∈M +�Zc0. +(29) +Interestingly, this is just the Z(0) +N +symmetry operator, +and therefore does not need to be dressed by ULU: +�T †[M] = T †[M]. +The effective IR theory, therefore, includes all terms +constructed from +�T. +Denoting the set of all con- +nected part of the spatial lattice with ZN coefficients as +H0(Md; ZN), the effective IR Hamiltonian is +HIR = −J +� +M∈H0(Md;ZN) +κ|M| �T[M], +(30) +where κ ∼ K/J and |M| is the number of 0-cells form +which M is constructed. +Since K/J ≪ 1 in the SSB +phase, in the thermodynamic limit where |M| → ∞, the +effective IR Hamiltonian becomes a constant +HIR +���� +L→∞ += 0. +(31) +This simply reflects the fact that the Z(0) +N +SSB phase is +a gapped phase. +The effective IR Hamiltonian of the Z(0) +N SSB phase has +a new symmetry which was not present in the UV theory. +Indeed, the IR has the symmetry where the IR-allowed +operator �T transforms as +�T[ ˆCd] �→ e +2π i +N �T[ ˆCd]. +(32) +This cannot be a transformation by an arbitrary phase +eiα and must be e +2π i +N +in order for ( �T[ ˆCd])N = 1 to re- +main satisfied. The transformation can be accomplished +by transforming �Zc0→ e +2π i +N �Zc0 for only a single lattice +site. Therefore, the operator that causes this transfor- +mation is +�ˆU[c0] = � +Xc0. +(33) +At first glance of Eq. (33), one sees a local transforma- +tion and may think it is a conventional gauge transfor- +mation. However, it is not because a physical operator +transforms nontrivially under it: �T[ ˆCd] transforms by a +nontrivial element of ZN. +Therefore, since the physi- +cal operators are supported on d-cycles, Eq. (33) is the +symmetry operator of a ZN d-form symmetry—a Z(d) +N +symmetry. Notice that since the Z(0) +N SSB phase only ex- +ists when d > 0, this symmetry is always a higher-form +symmetry. +This emergent Z(d) +N +symmetry has been noted previ- +ously throughout the literature [49, 66, 67]. Here we find +that it is an exact emergent symmetry, meaning that de- +spite it being an emergent symmetry, it is an exact sym- +metry of the effective IR Hamiltonian in the thermody- +namic limit. Therefore, it constrains the IR as if it were +an exact UV symmetry. Furthermore, this exact emer- +gent symmetry is present throughout the entire Z(0) +N SSB +phase. Indeed, away from the tractable K/J = 0 point, +local unitary operators dress the K/J = 0 charged and +symmetry operators. +So, we have found that in the IR of the Z(0) +N SSB phase, +there is an exact emergent Z(0) +N × Z(d) +N +symmetry. How- +ever, the Z(0) +N +and Z(d) +N +symmetries are not independent +of one another, there is a mixed ’t Hooft anomaly. The +fact that the Z(0) +N × Z(d) +N +symmetry is anomalous can be +noticed from the fact the symmetry operator of the Z(0) +N +symmetry U of Eq. (27) is charged under the Z(d) +N +sym- +metry, reflecting an obstruction to gauging both symme- +tries9. +To summarize, when considering only the UV theory, +it appeared that there was only an exact Z(0) +N +symme- +try in all phases of the model. However, by construct- +ing the effective IR Hamiltonian of the Z(N) +N +SSB phase, +we learned that there is actually an exact anomalous +Z(0) +N × Z(d) +N symmetry in the IR. +B. +Emergent ZN p-gauge theory for p ≥ 1 +In this section, we will apply the framework discussed +in section II to a model for emergent ZN p-gauge theory +which we call model D. Consider ZN quantum rotors re- +siding on each p-cell of the spatial d-dimensional cubic +lattice with p > 0. A ZN quantum rotor is an N-level +system described by clock operators Xcp and Zcp. These +unitary operators are N-dimensional generalizations of +the Pauli matrices, satisfying +Z�cpXcp = ωδcp,�cp XcpZ�cp, +XN +cp = ZN +cp = 1, +(34) +where ω ≡ ei2π/N. The eigenvalues of the clock opera- +tors are {1, ω, ω2, · · · , ωN−1} ≃ ZN. +The microscopic model we consider is described by the +9 See footnote 14. + +13 ++ +− ++ +− ++ +− ++ +− +− ++ +− +− ++ +model C: + +ρcp−1 = ∑ +Lz +± +model D: + +τz +cp−1 = ∏Z +± ++ ++ +− +FIG. 8. +Graphical representation of the operator ρcp−1 of +model C (see Eq. (67)) and the operator τ z +cp−1 of model D +(see Eq. (35)) in three spatial dimensions for (first row) p = 1, +(second row) p = 2, and (third row) p = 3. Depending on the +operator, the disks on the p-cells labeled by ± either denote +the sign in front of Lz belonging to that p-cell in the sum for +ρcp−1, or whether the Z operator belonging to that p-cell is +Z+ ≡ Z or Z− ≡ Z† in the product for τ z +cp−1. The (p − 1)-cell +the operator is associated with is colored purple. +Hamiltonian +HUV= −U +2 +� +cp−1 +τ z +cp−1 − K +2 +� +cp +Zcp + J +2 +� +cp +Xcp + h.c., +τ z +cp−1 ≡ +� +cp∈δcp−1 +Zcp. +(35) +The sum � +cp is over all p-cells of the spatial lattice. The +product � +cp∈δcp−1 in the definition of τ z +cp−1 is over the +coboundary of cp−1, defined in Eq. (A3) of the appendix, +with the convention Z−cp = Z† +cp. Note that we need to +require p ≥ 1 in order for (p − 1)-cell cp−1 to be well +defined. τ z is generally a product of 2(d − p + 1) opera- +tors, examples of which are shown in Fig. 8. Note that +because the eigenvalues of Zcp are elements of ZN, the +eigenvalues of τ z +cp−1 are also ZN. Lastly, since HUV has +terms linear in Zcp and Xcp, there are no transformation +of Zcp or Xcp that leave HUV invariant and thus no UV +symmetries in this theory. +L+ ++ +− +± ρ = ± 1 ++ +− ++ +− +− +− ++ ++ +− ++ ++ +− +− +− ++ ++ +− ++ +X +± τz = e±2πi/N +model C +model D +FIG. 9. +Graphical representation of the excitation created +by L+ +cp in model C and the excitation created by Xcp in +model D, shown in three spatial dimensions for (first row) +p = 1, (second row) p = 2, and (third row) p = 3. The yel- +low disk represents the L+ +cp or Xcp operator, depending on +the model, acting on the U(1) or ZN rotor belonging to that +p-cell. For model C, the purple disk labeled by ± represents +the ± sign in ρcp−1(L+ +cp |0⟩) = ±(L+ +cp |0⟩) for that (p − 1)-cell. +For model D, the disk labeled by ± represents the ± sign in +τ z +cp−1(Xcp |0⟩) = ω±1(Xcp |0⟩) for that (p − 1)-cell. +1. +An exact emergent Z(p) +N +symmetry +When J = K = 0, there exists a low energy sub- +Hilbert space spanned by states satisfying ⟨τ z +cp−1⟩ = 1. +Indeed, the first term in HUV introduces an energetic +penalty for states satisfying ⟨ψ| (τ z +cp−1 + h.c.) |ψ⟩ ̸= 1. +We interpret such states in the J = 0 and U ≫ K +limit as describing a gapped excitation, a segment of +which resides on the (p − 1)-cell cp−1. +Indeed, from +the clock operators’ algebra, τ z +cp−1 +and Xcp +satisfy +τ z +cp−1Xcp = ω(−1)cp Xcpτ z +cp−1 for all cp−1 ∈ ∂cp, where +(−1)cp denotes the sign in front of cp in the expression +for δcp−1. Using this, let us act τ z +cp−1 on the state Xcp |0⟩, +where cp−1 ∈ ∂cp and τ z +cp−1 |0⟩ = |0⟩: +τ z +cp−1 +� +Xcp |0⟩ +� += ω(−1)cp � +Xcp |0⟩ +� +. +(36) +Because this is true for all cp−1 ∈ ∂cp, Xcp excites the +aforementioned excitation on ∂cp, examples of which are +shown in Fig. 9. +We’ll refer to these bosonic (p − 1)- +dimensional (in space) excitations as “charges.” +How- +ever, note that since XN +cp = 1, exciting N charges is the +same as not exciting any. Thus, the charge number takes +values in ZN. +It is tempting to consider the charge gap as a candidate +energy scale below which new physics emerges. However, + +14 +when J ̸= 0, there no longer exists a low-energy sub- +Hilbert space spanned by states satisfying ⟨τ z +cp−1⟩ = 1. +This is because the J term in HUV causes the ⟨τ z +cp−1⟩ = 1 +and ⟨τ z +cp−1⟩ ̸= 1 states to mix. However, a correspond- +ing low-energy sub-Hilbert space can be identified us- +ing ULU from section II A to continue any operator A +which we understand at J = 0 to a (fattened) local oper- +ator �A ≡ U (1) +LUA(U (1) +LU)† with the same expectation values +of A but at J ̸= 0. Therefore, when U ≫ K, there ex- +ists a low-energy sub-Hilbert space for both J = 0 and +J ̸= 0 spanned by states satisfying ⟨�τ z +cp−1⟩ = 1. We view +states with ⟨�τ z +cp−1⟩ ̸= 1 as having dressed charges excited. +Since the undressed charges are created using Xcp, these +dressed charges are created using � +Xcp. We will not find +an explicit form for U (1) +LU and thus will not precisely know +throughout how much of parameter space the dressed +(fattened) operators can be defined without violating the +assumptions of U (1) +LU. Instead, we will assume that such +an operator exists and can access a greater than measure- +zero part of parameter space, and will investigate the +consequences of this conjecture. +At this point in our investigations, we cannot tell if the +dressed charge gap ∆dressed-charge is an IR scale or a mid- +IR I scale or a mid-II scale, etc. In section III B 2, we will +learn that it is a mid-IR scale in region III of parameter +space but an IR scale in region II of parameter space +(see Fig. 7). For the rest of this section, however, we will +adopt the language from the perspective of region III and +call the dressed charge gap a mid-IR scale. +Given the mid-IR scale Emid-IR ≡ ∆dressed-charge, we +would now like to the find an effective mid-IR theory, +which by definition is a theory only describing states at +energies E < Emid-IR. As we learned in section II, the ef- +fective mid-IR Hamiltonian Hmid-IR is a sum of all terms +allowed in the mid-IR that can be constructed from the +terms in �HUV. The terms in �HUV are �τ z +cp−1, �Zcp, and +� +Xcp. In the mid-IR, �τ z +cp−1 = 1, so it is trivial and will not +contribute in Hmid-IR. Furthermore, since �Zcp commutes +with �τ z +cp−1, it does not excite any dressed charges. Thus +�Zcp is an allowed mid-IR operator from which terms in +Hmid-IR can be constructed. The operators � +Xcp are not +allowed operators in the mid-IR since they excite charges. +However, allowed mid-IR operators can be constructed +from � +Xcp. Indeed, since � +Xcp excites a dressed charge on +∂cp, acting � +Xcp on any p-cycle does not excite dressed +charges since ∂ = 0. Therefore, an allowed operator in +† +† +† +˜L+ +model C +˜ +X +model D +† +† +† +† +† +† +† +† +† +FIG. 10. +Graphical representation of the Wilson operator +� +W †(Cp) of model C (Eq. (70)) and model D (Eq. (38)) sup- +ported on Cp = ∂cp+1 in three spatial dimensions for (first +row) p = 0, (second row) p = 1, and (third row) p = 2. For +model C (D), the yellow colored disks denote �L+ +cp ( � +Xcp) op- +erators belonging to that p-cell, the product of which yields +� +W †(Cp). Discs labeled by † denote the hermitian conjugate +of the operator. In each row, the (p + 1)-cell cp+1 satisfying +Cp = ∂cp+1 is colored green. +the mid-IR is10 +� +W †[Cp] = +� +cp∈Cp +� +Xcp. +(38) +We call � +W † the Wilson operator. It has the interpretation +of exciting a dressed charge, transporting it along a p- +cycle, and then ultimately annihilates it. Fig. 10 shows +a few graphical representations of the Wilson operator +supported on the smallest possible p-cycle: the boundary +of a (p + 1)-cell. Note that the Wilson operator satisfies +� +W †[Cp] = � +W[−Cp]. +The effective mid-IR theory, therefore, includes all +terms constructed from � +W and �Z. Denoting the set of +all oriented p-cycles with ZN coefficients on the spatial +10 Describing the extended object � +W † using local operators intro- +duces a gauge redundancy. Indeed, � +W † is invariant under +� +Xcp → Ξcp � +Xcp +with +� +cp∈Cp +Ξcp = 1 ∀ Cp. +(37) +For ( � +Xcp)N = 1 to remain invariant, +the gauge parameter +must satisfy Ξcp ∈ ZN. +When Ξcp = � +cp−1∈∂cp λcp−1, with +λcp−1 ∈ ZN and λ−cp−1 = λ† +cp−1, this is the canonical ZN gauge +redundancy. +Otherwise, Eq. (37) corresponds to large gauge +transformations. + +15 +lattice Md as Zp(Md; ZN), the mid-IR Hamiltonian takes +the form +H(III) +mid-IR =−κU +2 +� +cp +( �Zcp+ h.c.)− U +2 +� +Cp∈Zp(Md;ZN) +ε|Cp|� +W[Cp] + · · ·, +(39) +where κ ∼ K/U, ε ∼ J/U, |Cp| is the number of p-cells +form which Cp is constructed, and the · · ·’s include all +other possible terms constructed from both ( �Zcp + h.c.) +and � +W[Cp]. Since the dressed charge gap is the mid-IR +scale of region III but the IR of region II, +H(III) +mid-IR ≡ H(II) +IR . +(40) +The effective mid-IR theory is only well defined pro- +vided ε < 1. +As a consequence, since the lattice is +simply connected, the Wilson operators supported on +nontrivial p-cycles are exponentially suppressed by εLp, +where L is the linear system size. +Therefore, denot- +ing contractible p-cycles with ZN coefficients on the +spatial lattice Md as Bp(Md; ZN), terms with Wilson +operators supported on cycles in the homology class +Hp(Md; ZN) = Zp(Md; ZN)/Bp(Md; ZN) vanish in the +thermodynamic limit. Therefore, in the thermodynamic +limit H(III) +mid-IR becomes +H(III) +mid-IR +���� +L→∞ +=−κU +2 +� +cp +( �Zcp+ h.c.)− U +2 +� +Cp∈Bp(Md;ZN) +ε|Cp|� +W[Cp] + · · ·, +(41) +where +the +· · ·’s +include +all +possible +terms +con- +structed from both ( �Zcp + h.c.) and � +W[Cp] with only +Cp ∈ Bp(Md; ZN). +In the thermodynamic limit, H(III) +mid-IR is invariant under +transforming the UV operator as +� +Xcp→ e +2π i +N Γcp � +Xcp, +(dΓ)cp+1= 0, +Γcp ∈ Z. (42) +Here (dΓ)cp+1 is the lattice exterior derivative of Γcp, +defined as +(dΓ)cp+1 ≡ +� +cp∈∂cp+1 +Γcp. +(43) +Furthermore, Γcp is required to take integer values in +order for (Xcp)N = 1 to be invariant under the transfor- +mation. Under this transformation, the Wilson operator +transforms as +� +W[Cp] �→ e +2π i +N +� +cp∈Cp Γcp � +W[Cp], +(44) +which leaves Eq. (41) unchanged because � +cp∈Cp Γcp = 0 +for Cp ∈ Bp(Md; ZN) since (dΓ)cp+1 = 0. This transfor- +mation is importantly different than the gauge trans- +formations Eq. (37) because the Wilson operator trans- +forms nontrivially under it. Indeed, the Wilson operators +supported on p-cycles in Hp(Md; ZN) transform under +Eq. (42) by a nontrivial element of ZN since Γcp ∈ Z. +exp[iα˜Lz] +† +† +† +model C +model D +˜Z +† +† +† +† +† +† +† +† +† +FIG. 11. Graphical representation of the symmetry operator +for the U(1)(p) symmetry in model C and the Z(p) +N +symme- +try in model D, supported on the boundary of a (d − p + 1)- +cell of the dual lattice in d = 3 spatial dimensions for (first +row) p = 1, (second row) p = 2, and (third row) p = 3. For +model C (D), the blue colored disks denote �L+ +cp ( � +Xcp) opera- +tors belonging to that p-cell, the product of which yields the +symmetry operator. Discs labeled by † denote the hermitian +conjugate of the operator. In each row, the aforementioned +(d − p + 1)-cell of the dual lattice is colored in red. +Therefore, since the physical operators are supported on +a p-cycle, Eq. (42) corresponds to the transformation of +a ZN p-form symmetry—a Z(p) +N +symmetry. Throughout +the remainder of this section, we will always assume to +be working in the thermodynamic limit. +The symmetry operator of this Z(p) +N symmetry is +�U(ˆΣd−p) = +� +ˆcd−p∈ˆΣd−p +(∗ �Z)ˆcd−p, +(45) +where ˆΣd−p is a (d − p)-cycle of the dual lattice, and +(∗ �Z)ˆcd−p ≡ �Z∗ ˆcd−p. We again see why this is a p-form +symmetry: its symmetry operator acts on a (d − p)-cycle. +Fig. 11 shows a graphical representation of �U(ˆΣd−p) +when ˆΣd−p = ∂ˆcd−p+1. +To confirm that Eq. (45) is the symmetry operator, +first note that �Zcp � +Xcp �Z† +cp = e2π i/N � +Xcp. Therefore, let- +ting #(A, B) denote the intersection number between the + +16 +chains A and B, +�U(ˆΣd−p)� +W[Cp]�U †(ˆΣd−p) = e +2π i +N #(Cp,ˆΣd−p)� +W[Cp]. (46) +Introducing Γcp, the Poincar´e dual of ˆΣd−p with respect +to the spatial lattice, given by +(∗ Γ)ˆcd−p(ˆΣd−p) = +� +ˆyd−p∈ˆΣd−p +δˆyd−p,ˆcd−p, +(47) +the +intersection +number +can +be +written +as +#(Cp, ˆΣd−p) = � +cp∈Cp Γcp. +Since +∂ ˆΣd−p = 0, +Γcp +satisfies (δ ∗ Γ)ˆcd−p−1 = 0, which from Eq (A6) is equiva- +lent to (dΓ)cp+1 = 0. Therefore, since Γcp ∈ Z, Eq. (46) +correctly reproduces the Z(p) +N +symmetry transformation +Eq. (44). +The Z(p) +N +symmetry is a symmetry of the effec- +tive mid-IR theory but not the UV theory. +There- +fore, it is an emergent symmetry, emerging at energies +E < ∆dressed-charge. In the thermodynamic limit, since it +is an exact symmetry of the effective mid-IR theory, we +say that the Z(p) +N symmetry is an exact emergent symme- +try. Because p > 0, this result that an emergent symme- +try can act like an exact symmetry only applies to p-form +symmetries with p > 0. +The exact emergent Z(p) +N +symmetry is not present +throughout the entire parameter space of HUV. Whether +or not it emerges depends on both the existence of the +mid-IR and the existence of the effective mid-IR Hamil- +tonian. As mentioned at the start of this subsection, the +mid-IR only exists when U ≫ K. The effective mid-IR +Hamiltonian is only well defined provided that the infi- +nite series expansions converge, which required that ε < 1 +and so J/U ≪ 1. Thus, the Z(p) +N symmetry only emerges +when K/U ≪ 1 and J/U ≪ 1. +2. +An exact emergent anomalous Z(p) +N × Z(d−p) +N +symmetry +We have seen that at energies below the dressed charge +gap, there is an exact emergent Z(p) +N symmetry. Here, we +will search for additional energy scales where new sym- +metries can emerge. In fact, such a lower-energy scale +only exists in region III of parameter space (see Fig. 7). +This makes the dressed charge gap the IR scale of region +II but the mid-IR scale of region III. Here, we will iden- +tify the lower energy scale of region III with the gap of +the topological defects in the Z(p) +N spontaneous symmetry +breaking (SSB) phase. Since there are no other energy +scales in region III, this is an IR scale. +To show this, let us first discuss when the Z(p) +N symme- +try is spontaneously broken11. To gain some intuition, +11 See footnote 23 for the definition of spontaneous symmetry +breaking. +we consider two tractable limits of the effective mid-IR +theory. The first limit is in region II when J/U = 0 but +K/U ̸= 0 such that H(III) +mid-IR becomes +H(III) +mid-IR +���� +J/U=0 += −κU +2 +� +cp +� +�Zcp + h.c. +� +. +(48) +The ground state in this limit satisfies �Zcp |vac⟩ = |vac⟩ +for all cp. Because acting � +W †[Cp] onto a state changes the +value of ⟨ �Zcp⟩ for each cp ∈ Cp, ⟨� +W †[Cp]⟩ = 0 for all Cp. +Consequently, this limit lies in a Z(p) +N +symmetric phase. +The other tractable limit is in region III K/U = 0 but +J/U ̸= 0 such that H(III) +mid-IR becomes +H(III) +mid-IR +���� +K/U=0 += −U +2 +� +Cp∈Bp(Md;ZN) +ε|Cp| � +W[Cp]. +(49) +The +ground +state +in +this +limit +clearly +satisfies +� +W[Cp] |vac⟩ = |vac⟩ for all Cp ∈ Bp(Md; ZN), and conse- +quently ⟨� +W †[Cp]⟩ = 1 for all trivial p-cycles. Therefore, +in this limit the Z(p) +N symmetry is spontaneously broken. +According to the higher Coleman-Mermin-Wagner the- +orem, in (d + 1)-dimensional spacetime, a Z(p) +N symmetry +at zero temperature can spontaneously break in the ther- +modynamic limit when d > p [2, 28]. Therefore, when +d ≤ p, there is no stable Z(p) +N SSB phase, and any SSB fea- +tures are unique to K/U = 0. However, when d > p, we +expect a stable SSB phase even for K/U ̸= 0. For small +κ ∼ K/U and small ε ∼ J/U, a reasonable expectation is +that the SSB phase occurs when κ ≲ εmin |Cp| = ε2(p+1), +which is equivalent to K/U ≪ (J/U)2(p+1). This iden- +tifies region II of parameter space as the Z(p) +N +symmet- +ric phase while region III of parameter space is the Z(p) +N +SSB phase. In fact, the boundary between regions II and +III in Fig. 7 is a depiction of the boundary between the +Z(p) +N +symmetric and Z(p) +N +SSB phases. We leave a more +detailed investigation of this phase transition to future +work. +Since the order parameter for Z(p) +N +symmetry break- +ing is the vacuum expectation value of � +W †[Cp], the Wil- +son operator can detect topological defects related to the +nontrivial mappings ⟨� +W †[Cp]⟩ : Zp(Md; ZN) �→ ZN. The +topological defects excited in a state |ψ⟩ are probed by +acting the Wilson operator on a trivial p-cycle Cp:12 +� +W †[Cp] |ψ⟩ = exp +�2πi +N +ˆQ(Cp) +� +|ψ⟩ . +(50) +Here, the eigenvalues of ˆQ(Cp) are the net number of +topological defects enclosed by Cp. +12 This is a natural generalization of the p = 0 case, where the topo- +logical defects are domain walls (see Eq. (24)). + +17 +The topological defects can be characterized locally us- +ing the topological defect density ˆρ which is defined im- +plicitly as +ˆQ(Cp = ∂Op+1) ≡ +� +cp+2∈Op+1 +(∗ ˆρ)cp+1. +(51) +We can find an implicit expression for the topological +defect density by plugging in Cp = ∂Op+1 into Eq. (50) +and using Stoke’s theorem. Doing so, we find +� +cp∈∂cp+1 +� +Xcp |ψ⟩ = exp +�2πi +N (∗ ˆρ)cp+1 +� +|ψ⟩ . +(52) +Since ˆρ is supported on a (d − p − 1)-cell of the dual lat- +tice, the topological defects are (d − p − 1)-dimensional +excitations in space. +Note that because � +XN +cp = 1, the +eigenvalues of (∗ ˆρ)cp+1 take values in ZN 13. +From the ZN clock algebra Eq. (34), � +W †[∂cp+1] and +�Zcp satisfy +�Zcp� +W †[∂cp+1] = ω(−1)cp � +W †[∂cp+1] �Zcp, +(53) +for all cp ∈ ∂cp+1, where ω = e2π i/N and (−1)cp is the +sign in front of cp in ∂cp+1. +Using this, let’s act +� +W †[∂cp+1] on the state (∗ �Z)ˆcd−p |0⟩, with ∗ ˆcd−p ∈ ∂cp+1 +and � +W †[∂cp+1] |0⟩ = |0⟩: +� +W †[∂cp+1](∗ �Z)ˆcd−p|0⟩ = ω(−1)∗ ˆcd−p (∗ �Z)ˆcd−p |0⟩ . +(54) +Because +this +is +true +for +all +∗ ˆcd−p ∈ ∂cp+1, +act- +ing +(∗ �Z)ˆcd−p +onto +|0⟩ +causes +(∗ ˆρ)cp+1 ̸= 0 +for +all +cp+1 ∈ δ ∗ ˆcd−p (see Fig. 12). +Therefore, the operator +(∗ �Z)ˆcd−p excites a topological defect on ∂ˆcd−p +In the J/U = 0 limit of the Z(p) +N +symmetric phase, +as +previously +discussed +the +ground +state +satisfies +�Zcp |vac⟩ = |vac⟩ and thus ⟨� +W †[Cp]⟩ = 0. From Eqs. (50) +and (52), ⟨� +W †[Cp]⟩ = 0 implies the topological defect +density in the ground state fluctuates wildly. +There- +fore, +the topological defects are condensed. +This +can also be seen from �Zcp |vac⟩ = |vac⟩ implying that +⟨(∗ �Z)ˆcd−p⟩ = 1. The topological defect creation opera- +tor having a nonzero vev implies that the topological de- +fects are condensed. On the other hand, in the K/U = 0 +limit of the Z(p) +N +SSB phase, the ground state satisfies +� +W[Cp] |vac⟩ = |vac⟩ and, therefore, (∗ ˆρ)cp+1 |vac⟩ = 0. +Thus, topological defects do not populate the ground +state, so they are gapped excitations. +This can also +13 Note that for p = 1, the Z(1) +N +SSB phase has ZN topological +order and is the deconfined phase of ZN gauge theory. In this +case, we find (d − 2)-dimensional topological defects carrying ZN +topological charge. These are the m excitations of ZN topological +order in d-dimensional space. +˜Z +± ( * ̂ρ) = ± 1 mod N +− ++ +− ++ +− ++ ++ +− ++ ++ +− +− ++ ++ +− +− +− +− ++ ++ +FIG. 12. +Graphical representation of the topological de- +fects created by (∗ �Z)ˆcd−p in model D, shown in three spa- +tial dimensions for (first row) p = 0, (second row) p = 1, and +(third row) p = 2. +The blue disk represents the (∗ �Z)ˆcd−p +operator acting on the ZN +rotor belonging to that p- +cell. +The disks labeled by ± represents the ± sign in +� +W †[∂cp+1](∗ �Z)ˆcd−p |0⟩ = exp +� +± 2πi +N +� +(∗ �Z)ˆcd−p |0⟩, and thus +the value of (∗ ˆρ)cp+1 for that cp+1 (see Eq. (52)). +be seen from the fact that � +W[Cp] |vac⟩ = |vac⟩ implies +⟨(∗ �Z)ˆcd−p⟩ = 0 and so the topological defects are not con- +densed. +Other regions besides the extreme limits of these +phases can be explored using ULU from section II A. Since +we are interested in identifying energy scales below which +new structures can emerge, we restrict ourselves to the +phase where the topological defects have a gap— the +Z(p) +N SSB phase—which is region III of parameter space. +Indeed, region III will have an IR scale defined by the +gapped dressed topological defects. Since the defects are +condensed in region II, they do not give rise to additional +energy scales in region II. +When K/U = 0, a low energy sub-Hilbert space exists +in the mid-IR spanned by states satisfying ⟨ˆρˆcd−p−1⟩ = 0. +So when K/U = 0, the IR energy scale is the topolog- +ical defect’s gap: EIR = ∆defect ∼ J2p+2/U 2p+1. +How- +ever, when K/U ̸= 0, this sub-Hilbert space is no longer a +low-energy sector because the κU term in H(III) +mid-IR causes +the ⟨ˆρˆcd−p−1⟩ = 0 and ⟨ˆρˆcd−p−1⟩ ̸= 0 states to mix. We +can use the local unitary discussed in section II A, which + +18 +we’ll denote as U (2) +LU, to continue the K/U = 0 states +within the Z(p) +N +SSB phase. In general, U (2) +LU is different +than the local unitary U (1) +LU used in the previous sub- +section. +We’ll denote an operator A continued using +U (2) +LU as A′ ≡ U (2) +LUA(U (2) +LU)†. Therefore, the IR of region +III for both K/U = 0 and K/U ̸= 0 is the sub-Hilbert +space spanned by states satisfying ⟨ˆρ′ +ˆcd−p−1⟩ = 0. +We +view states with ⟨ˆρ′ +ˆcd−p−1⟩ ̸= 0 as having gapped dressed +topological defects excited and the IR scale is their energy +gap EIR = ∆dressed-defect. Because the Z(p) +N SSB phase is +gapped, we can use the local unitary from the quasi- +adiabatic continuation, Eq. (4), to continue local opera- +tors throughout the entirety of the Z(p) +N SSB phase. +Because U (2) +LU in Eq. (4) is constructed only from terms +in H(III) +mid-IR, operators that commute with every term in +H(III) +mid-IR are unaffected by U (2) +LU. In particular, because +the Z(p) +N +symmetry operator commutes with each term +in H(III) +mid-IR, the symmetry operator �U(ˆΣd−p) in Eq. (45) +satisfies +�U(ˆΣd−p) = �U ′(ˆΣd−p) = +� +ˆcd−p∈ˆΣd−p +(∗ �Z′)ˆcd−p. +(55) +Having identified the IR of region III, we’d now like to +find an effective IR theory. As we learned in section II, +the effective IR Hamiltonian H(III) +IR +is a sum of all terms +allowed in the IR that can be constructed from the terms +in H(III)′ +mid-IR. The terms in H(III)′ +mid-IR are all constructed from +� +W ′[Cp] and ( �Z′ +cp + h.c.). In the IR, because ˆρ′ +ˆcd−p−1 = 0, +� +W ′[Cp] = 1 and does not contribute in H(III) +IR . The op- +erators ( �Z′ +cp + h.c.) are not allowed operators in the IR +since they excite dressed topological defects. However, +allowed IR operators can be constructed from �Z′ +cp. In- +deed, because (∗ �Z′)ˆcd−p excites a dressed topological de- +fect on ∂ˆcd−p, acting (∗ �Z′)ˆcd−p on any (d − p)-cycle of +the dual lattice ˆCd−p does not excite dressed topological +defects since ∂2 = 0. Therefore, the IR allowed operator +constructed from �Z′ +cp is +�T ′†[ ˆCd−p] = +� +ˆcd−p∈ ˆ +Cd−p +(∗ �Z′)ˆcd−p. +(56) +We call �T ′† the ’t Hooft operator. Interestingly, this is +just the Z(p) +N symmetry operator, and therefore does not +need to be dressed by U (2) +LU: �T ′†[ ˆCd−p] = �T †[ ˆCd−p]. +The effective mid-IR theory, therefore, includes all +terms constructed from �T ′. Denoting the set of all con- +tractible oriented (d − p)-cycles with ZN coefficients on +the dual spatial lattice ˆ +Md as Bd−p( ˆ +Md; ZN), the effec- +tive IR Hamiltonian is +H(III) +IR += −U +� +ˆ +Cd−p∈Bd−p( ˆ +Md;ZN) +κ| ˆ +Cd−p| �T ′[ ˆCd−p], +(57) +where κ ∼ K/U has been renormalized and | ˆCd−p| is the +number of (d − p)-cells form which ˆCd−p is constructed. +The effective IR Hamiltonian of region III has a new +symmetry which was not present in the mid-IR Hamil- +tonian for region III. Indeed, H(III) +IR +is invariant under +transforming the UV operator as +(∗ �Z′)ˆcd−p→ e +2π i +N ˆΓˆcd−p (∗ �Z′)ˆcd−p, +(dˆΓ)ˆcd−p+1= 0, +(58) +where ˆΓˆcd−p ∈ Z such that ( �Z′ +cp)N = 1 is invariant under +the transformation. +Under this transformation, the ’t +Hooft operator transforms as +�T ′[ ˆCd−p] �→ e +2π i +N +� +ˆcd−p∈ ˆ +Cd−p +ˆΓˆcd−p �T ′[ ˆCd−p], +(59) +which +leaves +Eq. +(57) +unchanged +because +� +ˆcd−p∈ ˆ +Cd−p ˆΓˆcd−p = 0 for +ˆCd−p ∈ Bd−p( ˆ +Md; ZN) since +(dˆΓ)ˆcd−p+1 = 0. +This transformation is not a gauge +transformations since the ’t Hooft operator—a physical +operator—transforms nontrivially under it. +Indeed, +the ’t Hooft operators supported on (d − p)-cycles in +Hd−p( ˆ +Md; ZN) transform under Eq. (59) by a nontrivial +element of ZN since ˆΓˆcd−p ∈ Z. +Therefore, since the +physical operators are supported on a (d − p)-cycle, +Eq. (59) corresponds to the transformation of a ZN +(d − p)-form symmetry—a Z(d−p) +N +symmetry. +In fact, +this is an exact emergent symmetry because it is not an +exact symmetry of the UV but is an exact symmetry +of the IR. It is straight forward to confirm that the +symmetry operator of this Z(d−p) +N +symmetry is +�ˆU +′ +(Σp) = +� +cp∈Σp +� +X′ +cp, +(60) +where Σp is a p-cycle of the lattice. We again see why +this is a (d − p)-form symmetry: its symmetry operator +acts on a p-cycle. +So, we have found that in the IR of region III, there +is an exact emergent Z(p) +N × Z(d−p) +N +symmetry. However, +the Z(p) +N +and Z(d−p) +N +symmetries are not independent of +one another, there is a mixed ’t Hooft anomaly. +The +fact that the Z(p) +N × Z(d−p) +N +symmetry is anomalous can +be noticed by considering the symmetry operators when +supported on an open subspace—the disorder operators. +Indeed, the Z(p) +N symmetry operator, Eq. (55), on an open +(d − p)-dimensional subspace of the dual lattice is +�U ′( ˆOd−p) = +� +ˆcd−p∈ ˆ +Od−p +(∗ �Z′)ˆcd−p, +(61) +while the Z(d−p) +N +symmetry operator, Eq. (60), on an open +p-dimensional subspace of the direct lattice is +�ˆU +′ +(Op) = +� +cp∈Op +� +X′ +cp. +(62) + +19 +When ˆOd−p and Op intersect, these operators generally +do not commute. This is a manifestation of the mixed ’t +Hooft anomaly between the Z(p) +N and Z(d−p) +N +symmetries, +reflecting an obstruction to gauging both symmetries14. +Before moving onto the next section, we note one fi- +nal thing about the effective IR Hamiltonian of region +III. Because the IR is also the dressed charge free sec- +tor, �τ ′z +cp−1 ≡ � +cp∈δcp−1 �Z′ +cp = 1 for all cp−1. However, this +also implies that � +ˆcd−p∈∂ ∗ cp−1(∗ �Z′)ˆcd−p = 1 and, there- +fore, �T ′[ ˆCd−p] = 1 for all ˆCd−p ∈ Bd−p( ˆ +Md; ZN). +Be- +cause of this, H(III) +IR +of Eq. (57) is really just a constant: +H(III) +IR += 0, +(63) +This reflects the fact that region III is a gapped phase, +so the IR is the degenerate ground states of HUV in this +phase. The ground state is defined as the state with no +dressed charges or dressed topological defects: +� +cp∈δcp−1 +�Z′ +cp |vac⟩ = |vac⟩ , +� +cp∈∂cp+1 +� +X′ +cp |vac⟩ = |vac⟩ . +(64) +This ground state is also the ground state of the p-form +toric code Hamiltonian +HpTC = − +� +cp−1 +� +� � +cp∈δcp−1 +�Z′ +cp +� +� − +� +cp+1 +� +� � +cp∈∂cp+1 +� +X′ +cp +� +� + h.c.. +(65) +Importantly, this is not the p-form toric code model of +the UV ZN clock operators: the clock operators in HpTC +are dressed by the two local unitary operators used when +identifying the mid-IR and the IR of region III. Further- +more, this p-form toric code model captures the ground +state of the entire Z(p) +N +SSB phase, and the the UV pa- +rameters are hidden in the local unitaries dressing Xcp +and Zcp. +The emergent anomalous Z(p) +N × Z(d−p) +N +symmetry +in the ground state is the same as the anomalous +Z(p) +N × Z(d−p) +N +symmetry of p-form BF theory. +This is +no accident, and it is well known that the vacuum of BF +theory is the same as the ground states of the toric code. +In appendix section B, we show how this connection can +be made exact by deriving the topological quantum field +theory description for the ground states of the lattice +model. +14 Gauging a symmetry U is the procedure of adding additional +degrees of freedom such that the theory becomes invariant un- +der the gauged symmetry operator Ugauged. +Ugauged acts on +both open and closed subspaces and physical states must sat- +isfy Ugauged |ψ⟩ = |ψ⟩. +A contradiction arises when different +Ugauged no longer commute, reflecting an obstruction to gaug- +ing the symmetry (a ’t Hooft anomaly). +For example, con- +sider U(1) +gaugeU(2) +gauge = −U(2) +gaugeU(1) +gauge. +Since U(1,2) +gauge |ψ⟩ = |ψ⟩, +this leads to the contradiction |ψ⟩ = − |ψ⟩. +C. +Emergent U(1) p-gauge theory +In this section, we will apply the framework discussed +in section II to a model for emergent U(1) p-gauge the- +ory which we call model C. Consider U(1) quantum ro- +tors residing on each p-cell of the spatial d-dimensional +cubic lattice with p > 0. Each rotor can be viewed as +a particle on an infinitesimal circle, whose position we +denote as the angle Θ, carrying angular momentum Lz. +The operators Lz and Θ are hermitian and satisfy the +canonical commutation relation [Θcp, Lz +�cp] = iδcp,�cp, so +Lz = −i ∂ +∂Θ. Additionally, since the eigenvalue of Θ is +an angle, the eigenvalues of Lz are integers. +The microscopic model we consider is described by the +Hamiltonian +HUV= U +2 +� +cp−1 +ρ2 +cp−1+ K +2 +� +cp +(Lz +cp)2+J +2 +� +cp +� +L+ +cp+ h.c. +� +, +ρcp−1 = +� +cp∈δcp−1 +Lz +cp. +(66) +The sum � +cp is over all p-cells of the spatial lattice. +The sum � +cp∈δcp−1 in the definition of ρcp−1 is over the +coboundary of cp−1, defined in Eq. (A3) of the appendix. +Using the definition of δcp, the expression for ρcp−1 can +be written as (see Fig. 8) +ρ(x)µ1···µp−1= +� +ν +Lz(x)νµ1...µp−1 − Lz(x − ˆν)νµ1...µp−1. +(67) +Note that because the eigenvalues of Lz are integers, the +eigenvalues of ρ are also integers. In the third term of +HUV, L+ +cp = (L− +cp)† = exp +� +iΘcp +� +is the raising operator +for Lz +cp. Lastly, since HUV is invariant under the trans- +formation Lz +cp → −Lz +cp, this theory has a UV Z(0) +2 +sym- +metry. +1. +An exact emergent U(1)(p) symmetry +When J = K = 0, there exists a low energy sub- +Hilbert space spanned by states satisfying ⟨ρcp−1⟩ = 0. +Indeed, the first term in HUV introduces an energetic +penalty for states satisfying ⟨ψ| ρcp−1 |ψ⟩ ̸= 0. We inter- +pret such states in the J = 0 and U ≫ K limit as describ- +ing a gapped excitation, a segment of which resides on +the (p − 1)-cell cp−1. Indeed, from the canonical commu- +tation relation satisfied by Lz and Θ, the rotor operators +of the same p-cell satisfy [Lz, L±] = ±L±. +Therefore, +ρcp−1 and L± +cp satisfy [ρcp−1, L± +cp] = ±(−1)cpL± +cp for all +cp−1 ∈ ∂cp, where (−1)cp denotes the sign in front of cp +in the expression for δcp−1. Using this, let us act ρcp−1 +on the state L± +cp |0⟩, with cp−1 ∈ ∂cp and ρcp−1 |0⟩ = 0: +ρcp−1 +� +L± +cp |0⟩ +� += ±(−1)cp � +L± +cp |0⟩ +� +. +(68) + +20 +Because this is true for all cp−1 ∈ ∂cp, L± +cp excites the +aforementioned excitation on ∂cp, examples of which are +shown in Fig. 9. +We’ll refer to these bosonic (p − 1)- +dimensional (in space) excitations as “charges.” +It is tempting to consider the charge gap as a candidate +energy scale below which new physics emerges. However, +when J ̸= 0, there no longer exists a low-energy sub- +Hilbert space spanned by states satisfying ⟨ρcp−1⟩ = 0. +This is because the J term in HUV causes the ⟨ρcp−1⟩ = 0 +and ⟨ρcp−1⟩ ̸= 0 states to mix. However, a correspond- +ing low-energy sub-Hilbert space can be identified us- +ing ULU from section II A to continue any operator A +which we understand at J = 0 to a (fattened) local oper- +ator �A ≡ ULUA(ULU)† with the same expectation values +of A but at J ̸= 0. Therefore, when U ≫ K, there ex- +ists a low-energy sub-Hilbert space for both J = 0 and +J ̸= 0 spanned by states satisfying ⟨�ρcp−1⟩ = 0. We view +states with ⟨�ρcp−1⟩ ̸= 0 as having dressed charges excited. +Since the undressed charges are created using L± +cp, these +dressed charges are created using �L± +cp. We will not find +an explicit form for ULU and thus will not precisely know +throughout how much of parameter space the dressed +(fattened) operators can be defined without violating the +assumptions of ULU. Instead, we will assume that such an +operator exists and can access a greater than measure- +zero part of parameter space, and will investigate the +consequences of this conjecture. +At this point in our investigations, we cannot tell if the +dressed charge gap ∆dressed-charge is an IR scale or a mid- +IR I scale or a mid-II scale, etc. In section III C 2, we will +learn that it is a mid-IR scale in region III of parameter +space but an IR scale in region II of parameter space +(see Fig. 7). For the rest of this section, however, we will +adopt the language from the perspective of region III and +call the dressed charge gap a mid-IR scale. +Given the mid-IR scale Emid-IR ≡ ∆dressed-charge, we +would now like to the find an effective mid-IR theory, +which by definition is a theory only describing states at +energies E < Emid-IR. As we learned in section II, the ef- +fective mid-IR Hamiltonian Hmid-IR is a sum of all terms +allowed in the mid-IR that can be constructed from the +terms in �HUV. The terms in �HUV are �ρ2 +cp−1, (�Lz +cp)2, and +�L± +cp. In the mid-IR, �ρ2 +cp−1 = 0 so it will not appear in +Hmid-IR. Furthermore, since (�Lz +cp)2 commutes with �ρ2 +cp−1, +it does not excite any dressed charges. Thus (�Lz +cp)2 is an +allowed mid-IR operator from which terms in Hmid-IR can +be constructed. The operators �L± +cp are not allowed oper- +ators in the mid-IR since they excite charges. However, +allowed mid-IR operators can be constructed from �L± +cp. +Indeed, since �L+ +cp excites a dressed charge on ∂cp, acting +�L+ +cp on any p-cycle does not excite dressed charges since +∂ = 0. Therefore, an allowed operator in the mid-IR is15 +� +W †[Cp] = +� +cp∈Cp +�L+ +cp. +(70) +We call � +W † the Wilson operator. It has the interpretation +of exciting a dressed charge, transporting it along a p- +cycle, and then ultimately annihilates it. Fig. 10 shows +a few graphical representations of the Wilson operator +supported on the smallest possible p-cycle: the boundary +of a (p + 1)-cell. Note that the Wilson operator satisfies +� +W †[Cp] = � +W[−Cp]. +The effective mid-IR theory, therefore, includes all +terms constructed from � +W and �L2 +z. +Denoting the set +of all oriented p-cycles with integer coefficients on the +spatial lattice Md as Zp(Md; Z), the mid-IR Hamiltonian +takes the form +H(III) +mid-IR = κU +2 +� +cp +(�Lz +cp)2− U +2 +� +Cp∈Zp(Md;Z) +ε|Cp|� +W[Cp] + · · ·, (71) +where κ ∼ K/U, ε ∼ J/U, |Cp| is the number of p-cells +form which Cp is constructed, and the · · ·’s include all +other possible terms constructed from both (�Lz +cp)2 and +� +W[Cp]. Since the dressed charge gap is the mid-IR scale +of region III but the IR of region II, +H(III) +mid-IR ≡ H(II) +IR . +(72) +The effective mid-IR theory is only well defined pro- +vided ε < 1. +As a consequence, since the lattice is +simply connected, the Wilson operators supported on +nontrivial p-cycles are exponentially suppressed by εLp, +where L is the linear system size16. +Therefore, de- +noting contractible p-cycles with integer coefficients on +the spatial lattice Md as Bp(Md; Z), terms with Wil- +son operators supported on cycles in the homology class +Hp(Md; Z) = Zp(Md; Z)/Bp(Md; Z) vanish in the ther- +modynamic limit. Therefore, in the thermodynamic limit +H(III) +mid-IR becomes +H(III) +mid-IR +���� +L→∞ += κU +2 +� +cp +(�Lz +cp)2− U +2 +� +Cp∈Bp(Md;Z) +ε|Cp|� +W[Cp] + · · ·, (73) +15 Describing the extended object � +W † using local operators intro- +duces a gauge redundancy. Indeed, � +W † is invariant under +�L+ +cp → e i Ξcp �L+ +cp +with +� +cp∈Cp +Ξcp ∈ 2πZ ∀ Cp. +(69) +When Ξcp = (dχ)cp (where d is the lattice exterior derivative, +see Eq. (75)), �Θcp transforms as the canonical U(1) gauge redun- +dancy �Θcp → �Θcp + (dχ)cp. For Ξcp ̸= (dχ)cp, Eq. (69) corre- +sponds to large gauge transformations. +16 When p = 1, the mid-IR theory Eq. (71) can be thought of as a +lattice regularization of the Landau-Ginzburg string field theory +developed in Ref. 33. However, whereas the suppression of large +loops needed to be inserted by hand in the string field theory, +here it automatically arises from the UV theory Eq. (66). + +21 +where the · · ·’s include all possible terms constructed +from both (�Lz +cp)2 and � +W[Cp] with only Cp ∈ Bp(Md; Z). +In the thermodynamic limit, H(III) +mid-IR is invariant under +transforming the UV operator as +�L+ +cp → eiΓcp �L+ +cp, +with +(dΓ)cp+1 = 0. +(74) +Here (dΓ)cp+1 is the lattice exterior derivative of Γcp, +defined as +(dΓ)cp+1 ≡ +� +cp∈∂cp+1 +Γcp. +(75) +Under this transformation, the Wilson operator trans- +forms as +� +W[Cp] → ei � +cp∈Cp Γcp � +W[Cp], +(76) +which leaves Eq. (73) unchanged because � +cp∈Cp Γcp = 0 +for Cp ∈ Bp(Md; Z) since (dΓ)cp+1 = 0. +This transfor- +mation is importantly different than the gauge trans- +formations Eq. (69) because the Wilson operator trans- +forms nontrivially under it. Indeed, the Wilson opera- +tors supported on p-cycles in Hp(Md; Z) transform un- +der Eq. (74) by a nontrivial element of U(1). Therefore, +since the physical operators are supported on a p-cycle +and pick up a phase under the symmetry transformation, +Eq. (74) corresponds to the transformation of a U(1) p- +form symmetry—a U(1)(p) symmetry. Throughout the +remainder of this section, we will always assume to be +working in the thermodynamic limit. +The symmetry operator of this U(1)(p) symmetry is +�Uα(ˆΣd−p) = +� +ˆcd−p∈ˆΣd−p +exp +� +iα (∗ �Lz)ˆcd−p +� +, +(77) +where α ∈ [0, 2π), ˆΣd−p is a (d − p)-cycle of the dual lat- +tice, and (∗ �Lz)ˆcd−p ≡ �Lz +∗ ˆcd−p. +We again see why this +is a p-form symmetry: its symmetry operator acts on a +(d − p)-cycle. Fig. 11 shows a graphical representation of +�Uα(ˆΣd−p) when ˆΣd−p = ∂ˆcd−p+1. Furthermore, since Lz +has integer eigenvalues, the charge operator +�QˆΣd−p = +� +ˆcd−p∈ˆΣd−p +(∗ �Lz)ˆcd−p +(78) +also +has +integer +eigenvalues. +Note +that +when +ˆΣd−p = ∂ ˆOd−p+1, using Eq. (A6) �QˆΣd−p can be rewritten +as +�Q∂ ˆ +Od−p+1= +� +ˆcd−p+1∈Od−p+1 +(−1)p(∗ �ρ )ˆcd−p+1. +(79) +To confirm that Eq. (77) is the symmetry operator, +first note that eiα�Lz +cp �L+ +cp e−iα�Lz +cp = eiα�L+ +cp. Therefore, +letting #(A, B) denote the intersection number between +the chains A and B, +�Uα(ˆΣd−p)� +W[Cp]�U † +α(ˆΣd−p) = eiα#(Cp,ˆΣd−p)� +W[Cp]. (80) +Introducing Γcp, the Poincar´e dual of ˆΣd−p with respect +to the spatial lattice, given by +(∗ Γ)ˆcd−p(ˆΣd−p) = +� +ˆyd−p∈ˆΣd−p +δˆyd−p,ˆcd−p, +(81) +the +intersection +number +can +be +written +as +#(Cp, ˆΣd−p) = � +cp∈Cp Γcp. +Since +∂ ˆΣd−p = 0, +Γcp +satisfies +(δ ∗ Γ)ˆcd−p−1 = 0, +which +from +Eq +(A6) +is +equivalent to (dΓ)cp+1 = 0. +Therefore, Eq. (80) cor- +rectly reproduces the U(1)(p) symmetry transformation +Eq. (76). +The U(1)(p) symmetry is a symmetry of the effec- +tive mid-IR theory but not the UV theory. +There- +fore, it is an emergent symmetry, emerging at energies +E < ∆dressed-charge. In the thermodynamic limit, since it +is an exact symmetry of the effective mid-IR theory, we +say that the U(1)(p) symmetry is an exact emergent sym- +metry. Since p > 0, this result that an emergent symme- +try can act like an exact symmetry only applies to p-form +symmetries with p > 0. +The exact emergent U(1)(p) symmetry is not present +throughout the entire parameter space of HUV. Whether +or not it emerges depends on both the existence of the +mid-IR and the existence of the effective mid-IR Hamil- +tonian. +As mentioned at the start of this subsection, +the mid-IR only exists when U ≫ K. The effective mid- +IR Hamiltonian is only well defined provided that the +infinite series expansions converge, which required that +ε < 1 and so J/U ≪ 1. Thus, the U(1)(p) symmetry only +emerges when K/U ≪ 1 and J/U ≪ 1. +2. +An exact emergent anomalous U(1)(p) × U(1)(d−p−1) +symmetry +We have seen that at energies below the dressed charge +gap, there is an exact emergent U(1)(p) symmetry. Here, +we will search for additional energy scales where new +symmetries can emerge. In fact, such a lower-energy scale +only exists in region III of parameter space (see Fig. 7). +This makes the dressed charge gap the IR scale of region +II but the mid-IR scale of region III. Here, we will iden- +tify the lower energy scale of region III with the gap of +the topological defects in the U(1)(p) spontaneous sym- +metry breaking (SSB) phase. Since there are no other +energy scales in region III, this is an IR scale. +To show this, let us first discuss when the U(1)(p) sym- +metry is spontaneously broken17. To gain some intuition, +we consider two tractable limits of the effective mid-IR +theory. The first limit is in region II when J/U = 0 but +17 See footnote 23 for the definition of spontaneous symmetry +breaking. + +22 +K/U ̸= 0 such that H(III) +mid-IR becomes +H(III) +mid-IR +���� +J/U=0 += κU +2 +� +cp +(�Lz +cp)2. +(82) +The ground state in this limit satisfies �Lz +cp |vac⟩ = 0 for all +cp. Because acting � +W †[Cp] onto a state changes the value +of ⟨�Lz +cp⟩ for each cp ∈ Cp, ⟨� +W †[Cp]⟩ = 0 for all Cp. Con- +sequently, this limit lies in a U(1)(p) symmetric phase. +The other tractable limit is in region III K/U = 0 but +J/U ̸= 0 such that H(III) +mid-IR becomes +H(III) +mid-IR +���� +K/U=0 += −U +2 +� +Cp∈Bp(Md;Z) +ε|Cp| � +W[Cp]. +(83) +The +ground +state +in +this +limit +clearly +satisfies +� +W[Cp] |vac⟩ = |vac⟩ for all Cp ∈ Bp(Md; ZN), and conse- +quently ⟨� +W †[Cp]⟩ = 1 for all trivial p-cycles. Therefore, +in this limit the U(1)(p) symmetry is spontaneously bro- +ken. +According to the higher Coleman-Mermin-Wagner the- +orem, in (d + 1)-dimensional spacetime, a U(1)(p) sym- +metry at zero temperature can spontaneously break in +the thermodynamic limit when d > p + 1 [2, 28]. There- +fore, when d ≤ p + 1, there is no stable U(1)(p) SSB +phase, and any SSB features are unique to K/U = 0. +However, when d > p + 1, we expect a stable SSB phase +even for K/U ̸= 0. +For small κ ∼ K/U and small +ε ∼ J/U, a reasonable expectation is that the SSB phase +occurs when κ ≲ εmin |Cp| = ε2(p+1), which is equivalent +to K/U ≪ (J/U)2(p+1). This identifies region II of pa- +rameter space as the U(1)(p) symmetric phase while re- +gion III of parameter space is the U(1)(p) SSB phase. In +fact, the boundary between regions II and III in Fig. 7 +is a depiction of the boundary between the U(1)(p) sym- +metric and U(1)(p) SSB phases. We leave a more detailed +investigation of this phase transition to future work. +Since the order parameter for U(1)(p) symmetry break- +ing is the vacuum expectation value of � +W †[Cp], the Wil- +son operator can detect topological defects related to the +nontrivial mappings ⟨� +W †[Cp]⟩ : Zp(Md; Z) �→ U(1). The +topological defects excited in a state |ψ⟩ are probed by re- +peatedly acting the Wilson operator over a trivial (p + 1)- +cycle Cp+1:18 +� +cp+1∈Cp+1 +� +W †[∂cp+1] |ψ⟩ = exp +� +2πi ˆQ(Cp+1) +� +|ψ⟩ . (84) +Here, ˆQ(Cp+1) is a winding number and yields the net +number of topological defects enclosed by Cp+1. Plugging +18 This is a natural generalization of the p = 0 case, where the topo- +logical defects are vortices. +in � +W † and using Stoke’s theorem, it can be expressed as +ˆQ(Cp+1) = 1 +2π +� +cp+1∈Cp+1 +Fcp+1, +(85) +where Fcp+1 = (d�Θ)cp+1 mod 2π. +Using the identity +x mod n = x − n ⌊x/n⌉, where ⌊·⌉ rounds its input to the +nearest integer, Fcp+1 can be written as +Fcp+1 ≡ (d�Θ)cp+1 + ωcp+1, +(86) +where ωcp+1 ≡ −2π +� +(d�Θ)cp+1/(2π) +� +. +The topological defects can be characterized locally us- +ing the topological defect density ˆρ which is defined im- +plicitly as +ˆQ(Cp+1 = ∂Op+2) ≡ +� +cp+2∈Op+2 +(∗ ˆρ)cp+2. +(87) +Plugging in Cp+1 = ∂Op+2 into Eq. (85) and using +Stoke’s theorem, we find +(∗ ˆρ)cp+2 = 1 +2π (dF)cp+2. +(88) +Since ˆρ is supported on a (d − p − 2)-cell of the dual lat- +tice, the topological defects are (d − p − 2)-dimensional +excitations in space, residing on the boundary of a +(d − p − 1)-cell of the dual lattice (see Fig. 13). +Note +that because the eigenvalues of ωcp+1 take values in 2πZ, +the eigenvalues of (∗ ˆρ)cp+2 are integers19. +In the J/U → 0 limit of the U(1)(p) symmetric phase, +the ground state satisfies �Lz +cp |vac⟩ = 0. Since �Lz +cp and +�Θcp are conjugate variables, in the ground state �Θcp +fluctuates wildly. Consequently, Fcp+1 fluctuates wildly +and the ground state satisfies (dF)cp+2 |vac⟩ ̸= 0, so +the topological defects are condensed. +On the other +hand, in the K/U → 0 limit of the U(1)(p) SSB phase, +the ground state satisfies � +W[Cp] |vac⟩ = |vac⟩ for all +Cp ∈ Bp(Md; ZN). +In terms of the dressed phase vari- +able �Θcp, this implies that (d�Θ)cp+1 |vac⟩ = 2πn with +n ∈ Z. Consequently, Fcp+1 |vac⟩ = 0 for all (p + 1)-cells +and therefore ˆρˆcd−p−2 |vac⟩ = 0. Thus, topological defects +do not populate the ground state and are gapped excita- +tions. +However, these topological defects cannot be observed +directly in the lattice model20. Indeed since Θcp always +19 Note that for p = 1, the U(1)(1) SSB phase is a Coulomb phase. +In this case, we find (d − 3)-dimensional topological defects car- +rying integer topological charge. These are the Dirac magnetic +“monopoles” of the Coulomb phase, whose interpretation as +topological defects was also noted in Ref. 33. +20 One could instead consider a Villain type Hamiltonian model +for which these topological defects are observable even in the +UV/mid-IR [68–70]. +Nevertheless, these different UV lattice +models should have the same IR effective field theory. + +23 ++ +− +− ++ +− ++ +− ++ ++ +− ++ +− + + +̂ρ ̂cd−p−2 = ∑ +⌊ +d ˜Θ +2π ⌉ +± ++ +− +FIG. 13. Graphical representation of ˆρˆcd−p−2 (see Eq. (88)) +in three spatial dimensions for (first row) p = 0 and (second +row) p = 1. The disks labeled by ± denote the sign in front +of +� +d�Θ/(2π) +� +belonging to that (p + 1)-cell in the sum for +ˆρˆcd−p−2. The direct lattice is colored in black while the dual +lattice is in red. Furthermore, the (d − p − 2)-cell of the dual +lattice ˆρˆcd−p−2 is associated with is highlighted in blue. +appears as L+ +cp = eiΘcp , (∗ ˆρ)cp+2 too always appears as +ei2π(∗ ˆρ)cp+2 and so ˆρˆcd−p−2 ∼ ˆρˆcd−p−2 + 1 on the lattice. +An additional sign that they are trivial on the lattice +comes attempting to construct an operator which does +not create any topological defects (the equivalent of the +Wilson operator from the last section). +Indeed, they +are created any operator which causes the eigenvalue +of d�Θcp+1 to jump through the boundary of its range +[0, 2π) (e.g., going from π to 3π). If an operator can do +this for only a single (p + 1)-cell cp+1, it would excite +a single dressed topological defect residing on ∂ ∗ cp+1. +It is tempting to consider the operator exp[ix(∗ �Lz)ˆcd−p] +since it shifts d�Θcp+1 by x(−1)∗ ˆcd−p. In fact, if x = 2π, it +shifts +� +d�Θ +2π +� +cp+1 by (−1)∗ ˆcd−p: the sign of ∗ ˆcd−p in ∂cp+1. +However, steaming from the fact that ∂2 = 0, this shift +of +� +d�Θ +2π +� +cp+1 does not cause d +� +d�Θ +2π +� +cp+2 to shift. Thus, +we find that an operator that does no excite topological +charges is +�T †[∂ ˆOd−p] = +� +ˆcd−p∈ ˆ +Od−p +exp +� +2πi(∗ �Lz)ˆcd−p +� +(89) +where ˆOd−p is an open (d − p)-dimensional subspace of +the dual lattice. We call �T ′† the ’t Hooft operator, which +is generally supported on (d − p − 1)-cycles of the dual +lattice. Physically �T ′† excites a dressed topological de- +fect, transports it along the (d − p − 1)-cycle, and ulti- +mately annihilates it. However, since the eigenvalues of +�Lz are integers, the operator �T † is in fact trivial. +While the topological defects are unobservable on the +lattice, their effects emergent in the continuum limit. +The general paradigm for most lattice models is that +the effective IR theory deep into a phase of matter is a +continuum quantum field theory which reflects only the +universal properties of that phase21. Finding the IR ef- +fective field theory involves going deep into the U(1)(p) +SSB phase and taking the continuum limit. Deep into the +SSB phase, the effective IR hamiltonian Eq. (73) includes +only the leading order in κ and ε terms: +Hdeep IR ≈ κU +2 +� +cp +� +�L′z +cp +�2 ++ ε2p+2U +2 +� +cp+1 +� +F ′ +cp+1 +�2 +. (90) +In the field theory, these higher-order terms could con- +tribute as higher-derivative terms, but do not affect the +deep IR. +Appendix section C, shows how we take the contin- +uum limit of Hdeep IR, doing so carefully to capture the +topologically nontrivial parts of the quantum fields from +the lattice operators. We find that the IR effective field +theory is compact p-form Maxwell theory, described by +the path integral +Zdeep IR = +� +D[a] +� +ωa∈2πHp+1(X;Z) +ei +� +X Ldeep IR, +Ldeep IR = − 1 +2g2 Fa ∧ ∗ Fa, +(91) +where +a +is +a +p-form +in +Minkowski +spacetime +X, +Hp+1(X; Z) is the (p + 1)th de Rham cohomology group +with integral periods, and Fa ≡ da + ωa. This field the- +ory describes the dynamical fluctuations of the +(d−1)! +p!(d−p−1)! +p-form Goldstone bosons of the U(1)(p) SSB phase [31]. +Furthermore, as reviewed in depth in appendix sec- +tion C 1, it has an anomalous U(1)(p) ×U(1)(d−p−1) sym- +metry [2]. Therefore, deep into the U(1)(p) SSB phase +of the lattice model, a new symmetry emerges. +How- +ever, the U(1)(p) and U(1)(d−p−1) symmetries are not +independent of one another, there is a mixed ’t Hooft +anomaly. Furthermore, the field theory also an emergent +Lorentz invariance, and in terms of the UV parameters, +the “speed of light” is c = Uεp+1√κ ∼ Jp+1 +U p +� +K +U . +IV. +PHYSICAL CONSEQUENCES OF EXACT +EMERGENT HIGHER-FORM SYMMETRIES +In the previous section, we applied the framework in- +troduced in section II to three lattice models without +21 There are fascinating counter-examples where exotic lattice mod- +els exhibit UV/IR mixing [54–57]. In these cases, the UV lattice +details sneak into the definitions of the IR (and mid-IRs), causing +the IR to exhibit a sensitive dependency on UV details. Conse- +quently, since the thermodynamic limit and continuum limit do +not commute, the effective IR field theory is no longer a conven- +tional continuum quantum field theory. + +24 +exact higher-form symmetries and found that in particu- +lar regions of parameter space, there are exact emergent +higher-form symmetries below particular energy scales. +In this section, we summarize the general lessons learned. +Furthermore, we discuss the physical consequences of +these general lessons and why the phases of a microscopic +(UV) theory without exact higher-form symmetries be +exactly characterized by emergent higher-form symme- +tries. +It is well known that emergent 0-form symmetries are +never exact; thus, their consequences are always approx- +imate. However, the emergent higher-form symmetries +we identified are exact emergent symmetries; thus, they +can exactly constrain the IR in the regions of parameter +space they emerge. This important difference between +0-form and higher-form symmetries is natural from the +point of view of an effective mid-IR theory. Firstly, note +how from Eq. (9), if the UV theory has a symmetry, +any effective mid-IR theory will also have that symme- +try. However, if the symmetry is explicitly broken in the +UV theory, the effective mid-IR theory will generically +include terms charged under the symmetry. For 0-form +symmetries, the charged operators are local, so terms +including them will persist in the thermodynamic limit. +For higher-form symmetries, however, the charged opera- +tors are non-local, so terms including them will vanish in +the thermodynamic limit. A general consequence is that +while emergent 0-form symmetries are never exact, emer- +gent higher-form symmetries are always exact emergent +symmetries whenever spacetime is simply connected. +The exact emergent higher-form symmetries are robust +against any local perturbations of the UV theory. +In +other words, adding local terms to the UV will not change +the fact that the higher-form symmetry emerges nor the +fact that it becomes an exact symmetry of the effective +theory in the thermodynamic limit. Indeed, adding any +local term to HUV does not affect the form of Hmid-IR +because the perturbation will either not survive the pro- +jection to the mid-IR or simply renormalize the effective +Hamiltonian’s parameters. In this sense, exact emergent +higher-form symmetries are topologically robust, and any +physical properties arising from their existence are also +robust to local UV perturbations. +An immediate consequence of an exact emergent +higher-form symmetry emerging at E < Emid-IR is that +mid-IR states and mid-IR observables22 are organized +into its representations. This implies the existence of an +exact emergent conservation law obeyed at E < Emid-IR. +Furthermore, this gives rise to selection rules on the cor- +relation functions of mid-IR allowed operators [2, 71]. +In particular, mid-IR operators charged under the exact +22 A mid-IR state is a quantum state in the the sub-Hilbert space +spanned by energy-eigenstates with E < Emid-IR. A mid-IR ob- +servable is an operator that takes states in the sub-Hilbert space +spanned by energy eigenstates with E < Emid-IR to only other +states in that sub-Hilbert space. +̂x +̂y +̂t +Emergent Symmetry +No Emergent Symmetry +FIG. 14. The existence of an exact emergent p-form symmetry +constrains the way a p-dimensional membrane excitation can +decay. Shown here is a cartoon of the different decay processes +in spacetime for p = 1. The world sheet of the 1-dimensional +membrane excitation is colored blue, while the worldline of +charge excitations is orange. +emergent symmetry must have a zero vacuum expecta- +tion value. +The presence of an exact emergent higher-form sym- +metry also affects the dynamics of a quantum-many body +system in a phase where the exact emergent higher-form +symmetry is not spontaneously broken. Indeed, if a p- +form symmetry (with p > 0) emerges at E < Emid-IR, it +constraints the dynamics of mid-IR states with excited +p-dimensional membrane excitations created by an oper- +ator charged under the p-form symmetry. Indeed, con- +sider starting in the state � +W †[Cp] |vac⟩, where Cp is con- +tractible and |vac⟩ is the ground state. The lifetime of +the p-dimensional membrane excitation is qualitatively +different depending on whether or not the exact emer- +gent p-form symmetry is present. When the symmetry +is present, the only way for the p-dimensional membrane +excitation to decay is for it to contract to a point, so +the lifetime of the p-dimensional membrane excitation +depends on |Cp|. +This also implies that if there is a +trap potential for the p-dimensional membrane excita- +tion (i.e., a term in the Hamiltonian such that there is a +p-dimensional membrane excitation on Cp in the ground +state), the exact emergent symmetry ensures that its life- +time is infinity. In the absence of the symmetry, the p- +dimensional membrane excitation can decay by breaking +apart. Thus, without the emergent symmetry the lifetime +of the p-dimensional membrane excitation is independent +of its size |Cp|. Fig. 14 shows a cartoon depicting these +differing behaviors. +Because emergent higher-form symmetries are exact +emergent symmetries, they characterize the IR of the +parameter space region where they emerge as if they +were UV symmetries. This, combined with the fact that +emergent higher-form symmetries become exact emer- +gent symmetries in the thermodynamic, implies that +emergent higher-form symmetries characterize phases of +matter with the same power as exact UV symmetries. +One way that exact emergent higher-form symmetries +characterize phases, which we encountered in our exam- +ples, is by their ability to become spontaneously bro- + +25 +ken in the thermodynamic limit23. Indeed, since sponta- +neous symmetry breaking is diagnosed using the ground +state, for which an emergent higher-form symmetry is +exact, an emergent higher-form symmetry can be spon- +taneously broken in the same way a UV symmetry can +be spontaneously broken. A consequence of this is that a +phase with an emergent discrete higher-form symmetry +spontaneously broken has an exact ground state degen- +eracy which depends on spacetime’s topology. Another +consequence is that a phase with an emergent contin- +uous higher-form symmetry spontaneously broken has +Goldstone bosons. +If the continuous higher-form sym- +metry emerges at E < Emid-IR, these Goldstone bosons +are exactly gapless for mid-IR states. However, for states +in the sub-Hilbert space spanned by energy eigenstates +with E ≥ Emid-IR, the Goldstone bosons acquire a gap24. +This is very different from a 0-form continuous symme- +try where even weakly breaking the symmetry in the +UV gaps out the Goldstone boson [44]. +However, be- +cause exact emergent higher-form symmetries are topo- +logically robust, a local UV perturbation does not gap out +the higher-form Goldstone bosons nor lift the topological +ground state degeneracy. The last physical consequence +we will note is that the SSB phase of a p-form symmetry +has gapped topological defect excitations, which formally +arise due to nontrivial mappings from p-cycles to the or- +der parameter manifold [33, 73]. From the examples in +section III, when an anomaly-free U(1)(p) (Z(p) +N ) symme- +try spontaneously breaks in d-dimensional space, there +are d − p − 2 (d − p − 1) dimensional topological defects +carrying Z (ZN) topological charge. +Another way exact emergent higher-form symmetries +can characterize phases, which we did not encounter +in our examples, is by giving rise to nontrivial emer- +gent symmetry-protected topological (SPT) orders25. +For instance, if a higher-form symmetry emerges at +E < Emid-IR and is realized anomalously on the bound- +23 To be precise, by spontaneous symmetry breaking, we mean +a phase where an order parameter constructed from oper- +ators charged under a symmetry acquires a nonzero vac- +uum expectation value in the thermodynamic limit. +For in- +stance, |vac⟩ has spontaneously broken a U(1)(p) symmetry if +⟨vac| W[Cp] |vac⟩ ̸= 0 for Cp ∈ Bp(Md) as |Cp| → ∞. Note that +when p = 0, C0 ∈ B0(Md) is an oriented collection of two lat- +tice points C0 = {−x, y} and so W[C0] = W †(x)W(y), which +makes a connection to the historical perspective of long-range +order. Physically, ⟨vac| W[Cp] |vac⟩ ̸= 0 implies that objects car- +rying (neutral amounts) of symmetry charge have condensed. So, +when p = 0 SSB implies the condensation of particles while when +p = 1 SSB implies the condensation of loops [15, 72]. +24 This is a familiar concept in the p = 1 case where electric screen- +ing causes the photon to acquire a gap (e.g., plasmas and metals). +25 If an SPT phase is protected by a G symmetry, the G symme- +try is realized anomalously on the system’s boundary, endowing +the boundary with gapless/degenerate modes or topological or- +der [74]. +The presence of the bulk SPT order is reflected by +the ability to nevertheless couple a background G gauge field in +the bulk+boundary theory since the ’t Hooft anomaly on the +boundary is canceled by an anomaly in-flow mechanism [75]. +ary, a corresponding nontrivial SPT order could also +emerge at E < Emid-IR and cause the system to be in +an SPT phase. The boundary could then have sponta- +neously broken exact emergent higher-form symmetries, +therefore hosting abelian topological orders or gapless +(for E < Emid-IR) higher-form Goldstone bosons, or con- +tain additional gapless degrees of freedom. +This em- +phasizes an important distinction between SPT phases +protected by 0-form symmetries and those protected by +higher-form symmetries. 0-form SPT phases cannot oc- +cur in regions of parameter space where the 0-form sym- +metry is explicitly broken in the UV. Indeed, explicitly +breaking a 0-form symmetry in the UV breaks the sym- +metry at all energy scales, hence preventing the boundary +from realizing the symmetry anomalously, an anomaly +inflow mechanism from occurring, etc. Amazingly, this +is not true for higher-form SPT phases. Indeed, as we +have seen, breaking a higher-form symmetry in the UV +does not guarantee it remains broken in the IR due to +the topological robustness of emergent higher-form sym- +metries. Therefore, while there may not be any higher- +form symmetries at E > Emid-IR, there could be an exact +emergent higher-form symmetry at E < Emid-IR which is +realized anomalously on the boundary. If so, the system +will have nontrivial exact emergent SPT order if there +also exists a corresponding anomaly inflow mechanism +at E < Emid-IR that allows one to turn on background +gauge fields of the higher-form symmetry. Therefore, to +understand higher-form SPT phases, instead of partition- +ing parameter space by the UV higher-form symmetries, +as done for 0-form SPT phases, one must partition pa- +rameter space by the exact emergent higher-form sym- +metries. +The final physical consequence of exact emergent +higher-form symmetries that we will emphasize is their +ability to be anomalous. +When a ’t Hooft anomaly is +present, the ground state cannot be a trivial product +state, and the phase is guaranteed to be gapless, topo- +logically ordered, or a gapped SSB phase. +Therefore, +in the presence of an anomalous symmetry, the ground +state cannot be made into a trivial product state with- +out getting rid of the ’t Hooft anomaly. Exact emergent +higher-form symmetries can also be anomalous. Indeed, +this was the case in all of the examples we considered +in section III: in the SSB phases discussed, there were +exact emergent anomalous higher-form symmetries that +guaranteed these phases would have degenerate ground +states or gapless modes in the thermodynamic limit. In +fact, the ground state degeneracies and the gaplessness of +Goldstone bosons in these phases were protected by the +’t Hooft anomaly, and the only way to eliminate them +would be to destroy the exact emergent anomalous sym- +metry. In the example, this could be done by condensing +either the gauge charges (if present) or the topological de- +fects. Thus, if their gaps were held at infinity, the ground +state in the SSB phase could never become a trivial prod- +uct state due to the ’t Hooft anomaly. + +26 +V. +CONCLUSION AND DISCUSSION +In this paper, we have investigated the robustness of +emergent higher-form symmetries from a UV perspec- +tive, considering bosonic lattice Hamiltonian models. By +identifying low-energy sub-Hilbert spaces using ULU from +section II A, in section II we discussed how to write down +effective Hamiltonians to identify emergent symmetries, +which we applied to three lattice models in section III. +We found that even when the lattice models did not have +exact UV higher-form symmetries, there could be emer- +gent higher-form symmetries whose effects in the IR are +the same as if they were UV symmetries. +To empha- +size this robustness, we referred to emergent higher-form +symmetries as exact emergent symmetries. Using this, +we argued that exact emergent higher-form symmetries +can exactly characterize the phases of microscopic models +without exact UV higher-form symmetries. The physical +consequences of this were summarized in detail in sec- +tion IV. +There are many exciting follow-up questions. Firstly, +in section II, we arrived at our expression for the effective +Hamiltonian in a non-rigorous manner. While its defini- +tion is physically very reasonable, it would be desirable +to have a rigorous derivation for its form. +A possible +starting point for such a proof could be building off of +perturbatively defined effective Hamiltonians found using +Brillouin-Wigner perturbation theory [76] or Schrieffer- +Wolff transformations [77]. +It would also be interesting to investigate if emergent +higher-form symmetries are no longer exact emergent +symmetries, and instead approximate symmetries, in lat- +tice models with lattice defects. Indeed, the reason we +found why emergent higher-form symmetries act as ex- +act symmetries boiled down to the fact that their charged +operators are supported on nontrivial cycles and there- +fore did not appear in the effective Hamiltonian in the +thermodynamic limit. However, imagine removing lat- +tice sites and introducing nontrivial cycles that did not +involve a sub-extensive number of cells. +Then, like 0- +form symmetries, operators charged under the higher- +form symmetry would appear in the effective Hamilto- +nian if the UV theory did not have that higher-form +symmetry, thus causing the emergent higher-form sym- +metry to be approximate. This could be confirmed in +spontaneous higher-form symmetry broken phases by in- +vestigating if removing lattice sites lifts the topological +ground state degeneracy/gaps the Goldstone bosons +Another important follow-up would be an in-depth +study of region II in Fig. 7. As discussed at the begin- +ning of section III, the size of region II and the boundary +between region II and I in models C and D is not rigor- +ously investigated. It would be interesting to numerically +investigate these models C and D to better understand +region II in parameter space. Alternatively, if one could +explicitly construct the local unitary ULU, it may be pos- +sible for this question to be addressed analytically. +Lastly, while we discussed symmetry-protected topo- +logical (SPT) phases protected by exact emergent higher- +form symmetries in section IV, the models we consid- +ered in section III did not have SPT phases. It would +be interesting to modify the models for emergent ZN p- +gauge theory and U(1) p-gauge theory so they can have +SPT phases protected by their exact emergent higher- +form symmetries. In fact, the confined phase (the Z(p) +N +and U(1)(p) symmetric phases) of these gauge theories +becomes an SPT upon adding a topological θ term to +the Lagrangian [2, 42, 43]. Therefore, it would be inter- +esting if one could modify the UV theories of the emer- +gent gauge theory models to have the 2π quantized topo- +logical term appear in the mid-IR effective Hamiltonian +and investigate the resulting emergent SPT order from a +Hamiltonian perspective. +VI. +ACKNOWLEDGEMENTS +We are grateful for fun and helpful discussions with +Arkya Chatterjee, Hart Goldman, Ethan Lake, Ho Tat +Lam, Yu Leon Liu, and Carolyn Zhang. S.D.P. is sup- +ported by the National Science Foundation Graduate Re- +search Fellowship under Grant No. 2141064 and by the +Henry W. Kendall Fellowship. This work is partially sup- +ported by NSF DMR-2022428 and by the Simons Collab- +oration on Ultra-Quantum Matter, which is a grant from +the Simons Foundation (651446, XGW). +Appendix A: Review of discrete differential +geometry for d-dimensional cubic lattices +In this appendix section, we review relevant parts of +discrete differential geometry (in a non-rigorous fashion) +used throughout the main text. +Consider a cubic lat- +tice in d-dimensional space with periodic boundary con- +ditions, denoted by Md. +While a Bravais lattice is a +collection of lattice sites x ∈ Zd, it is useful to view it +as also formed by higher-dimensional objects, like links, +plaquettes, cubes, etc. We call a p-dimensional object +a p-cell, with 0 ≤ p ≤ d. So, a 0-cell is a lattice site, a +1-cell is a link, a 2-cell is a plaquette, etc. This does not +add additional structures to the lattice, but instead is +just a useful way of organizing the lattice sites. Indeed, +denoting a p-cell associated with site x as cp(x)µ1µ2···µp, +where µ1 < µ2 < · · · < µp and µi ∈ {1, 2, · · · , d}, a p-cell +of the cubic lattice is the set of 2p lattice sites26 +cp(x)µ1µ2···µp= {x} ∪ {x + ˆµi | 1 ≤ i ≤ p} +∪ {x + ˆµi + ˆµj | 1 ≤ i < j ≤ p} +∪ · · · ∪ {x + ˆµ1 + . . . + ˆµp}, +(A1) +26 We adopt the discrete differential geometry and exterior calculus +notations and conventions used in Ref. 78. + +27 +p = 1 +p = 2 +p = 1 +p = 2 +p = 3 +FIG. 15. +The p-cells of the d-dimensional cubic lattice +are equivalently the 0-cells—the sites—of some other d- +dimensional lattice. Shown here are examples of this equiv- +alent lattice (drawn in pink) embedded in the conventional +unit cell of the cubic lattice (drawn in black). (First row) In +2 dimensions, the 1-cells form another square lattice, rotated +by 45 degrees, whose lattice constant is 1/ +√ +2 times that of the +original square lattice. The 2-cells also form another square +lattice, which is the original shifted by the vector (ˆµ1 + ˆµ2)/2. +(Second row) In 3 dimensions, both the 1-cells and also the 2- +cells form a lattice of corner-sharing octahedra with a lattice +constant that is 1/ +√ +2 times the cubic lattice’s. When p = 1, +the octagons are centered at the cubic lattice’s 0-cells. When +p = 2, the octagons are centered at the cubic lattices 3-cells. +Lastly, the 3-cells form another cubic lattice of the same size, +but shifted by the vector (ˆµ1 + ˆµ2 + ˆµ3)/2. +where ˆµi is the unit vector in the µi-direction. +It +is often convenient to drop the requirement that the +indices are canonically ordered (i.e., that they satisfy +µ1 < µ2 < · · · < µp < ν) and instead let cp(x)µ1µ2···µp +obey the relation cp(x)···µ1µ2··· = −cp(x)···µ2µ1···. +The +p-cells of the d-dimensional cubic lattice are equiva- +lently viewed as the 0-cells of some other lattice in d- +dimensions, as demonstrated for d = 2 and 3 in Fig. 15. +Introducing the concept of p-cells is strictly unneces- +sary but very convenient because “sewing” p-cells to- +gether gives a natural way to form p-dimensional sub- +spaces of the lattice. Furthermore these subspaces can +also be given an orientation by defining an orientation +structure to the lattice. +A nice local scheme for the +lattice orientation is a branching structure, where the +orientation on each 1-cell is chosen such that a collec- +tion of 1-cells cannot form an oriented closed loop. A +canonical orientation on all other p-cells then follows from +the branching structure. We use the branching structure +where each 1-cell c1(x)µ has an arrow pointing in the ˆµ +direction (see Fig. 16). However, it is important to note +that the choice of lattice orientation is a formal conven- +tion, and choosing different branching structures does not +affect the physics27. +A p-cell can be related to (p − 1) cells using the bound- +ary operator ∂. The boundary operator acting on a p- +27 However, according to a conjecture from Ref. 79, observables are +independent of the branching structure only if the continuum +effective field theory is free of a framing anomaly [80]. +̂x +̂y +̂z +FIG. 16. Example of the branching structure used for a chunk +of the cubic lattice in three-dimensional space. +cell—∂cp—is the oriented sum of (p − 1)-cells on the +boundary of cp. For the branching structure we use, it is +given by +∂cp(x)µ1···µp= +p +� +k=1 +(−1)k+1� +cp−1(x + ˆµk)µ1··· +oµk···µp +−cp−1(x)µ1··· +oµk···µp +� +, +(A2) +where the notation +oµk indicates that the µk index is omit- +ted. From its definition, the boundary operator satisfies +∂2cp = 0 for any p-cell. +Furthermore, as there are no +(−1)-cells, the boundary operator acting on a 0-cell is +defined to be zero. +On the other hand, a p-cell can be related to (p + 1)- +cells using the coboundary operator δ. +The cobound- +ary operator acting on a p-cell—δcp—is an oriented sum +of all (p + 1)-cells whose boundary includes cp. For the +branching structure we use, it is given by +δcp(x)µ1···µp = +� +ν +cp+1(x)νµ1...µp − cp+1(x − ˆν)νµ1...µp. +(A3) +From its definition, the coboundary operator satisfies +δ2cp = 0 for any p-cell. +Furthermore, as there are no +(d + 1)-cells, the coboundary operator acting on a d-cell +is defined to be zero. +Lastly, the lattice has an associated dual lattice. The +dual lattice has its lattice sites centered at the d-cells +of the direct lattice. For the cubic lattice, one way to +relate a dual lattice site ˆx to a direct lattice site x is by +ˆx = x + 1 +2 ˆr with ˆr = � +i ˆµi. +Each p-cell cp on the direct lattice is associated with +a (d − p)-cell ˆcd−p on the dual lattice. +This is imple- +mented by the dual operator ∗. A p-cell cp(x)µ1···µp (with +canonical ordering µ1 < · · · < µp) and a (d − p)-cell of +the dual lattice ˆcd−p(ˆx)µ1···µd−p (with canonical ordering +µ1 < · · · < µd−p) are related to one another by +∗ cp(x)µ1···µp = ϵµ1···µpµp+1···µd +(A4) +× ˆcd−p(ˆx − ˆµp+1 − . . . − ˆµd)µp+1···µd, +∗ ˆcp(ˆx)µ1...µp = ϵµ1···µpµp+1···µd +(A5) +× cd−p(x + ˆµ1 + . . . + ˆµp)µp+1···µd, +where summation is not implied on the right hand side. +Here ϵ is the Levi-Civita symbol, which takes into ac- + +28 +count the lattice’s and dual lattice’s relative orienta- +tions. From the definition of ∗, acting ∗ twice on a p-cell +of the direct (dual) lattice yields ∗ ∗ cp = (−1)p(d−p)cp +(∗ ∗ ˆcp = (−1)p(d−p)ˆcp). +Furthermore, from the defini- +tions of the boundary, coboundary, and dual operators, +they are related to one another by +δcp = (−1)d(p+1)+1 ∗ ∂ ∗ cp, +(A6) +which, equivalently, is ∗ δcp = (−1)p∂ ∗ cp. +Appendix B: A TQFT description of the p-form +toric code ground states—p-form BF theory +In section III B 2 of the main text, we found that the +ground states of the Z(p) +N +SSB phase is equivalent to +the ground states of the p-form toric code Hamiltonian +Eq. (65) in terms of the dressed clock operators. In this +appendix section, we relate the lattice description of the +ground states to an equivalent topological quantum field +theory description. Doing so demonstrates the connec- +tion between exact emergent higher-form symmetries in +lattice models and exact higher-form symmetries in La- +grangian quantum field theories, where higher-form sym- +metries are most commonly studied. +The ground states of the Z(p) +N +SSB phase are defined +by Eq. (64). +To develop a field theory description of +these ground states, we take inspiration from Ref. 81 and +parameterize the clock operators as +Xcp = exp +� +iΘcp +� +, +Zcp = exp +� +i(∗ Φ)cp +� +. +(B1) +The dressed clock operators in the Z(p) +N +SSB phase then +become +� +X′ +cp = exp +� +i �Θ′ +cp +� +, +(B2) +�Z′ +cp = exp +� +i(∗ �Φ′)cp +� +. +(B3) +Note that in order for ( � +X′ +cp)N = ( �Z′ +cp)N = 1, it must +be that the eigenvalues of �Θ′ +cp and (∗ �Φ′)cp satisfy +�Θ′ +cp ∈ 2πZ/N, and (∗ �Φ′)cp ∈ 2πZ/N. +Furthermore, in +order for the clock operators algebra Eq. (34) to be sat- +isfied, �Θ′ +cp and (∗ �Φ′)cp must obey the commutation re- +lation [�Θ′ +cp, (∗ �Φ′)�cp] = 2π i +N δcp,�cp. +In terms of �Θ′ +cp and +(∗ �Φ′)cp, the constraints Eq. (64) defining the IR are +N +2π δ(∗ �Φ′)cp−1 = N +2π (d�Θ′)cp+1 = 0. +(B4) +The the lattice Heisenberg operators +�Θ′ +cp(t) and +(∗ �Φ′)cp(t) are related to their continuum counterparts +�Θ′(t, x) and ∗ �Φ′(t, x) by +�Θ′ +cp = +� +cp +�Θ′, +(∗ �Φ′)cp = +� +cp +∗ �Φ′, +(B5) +where +� +cp denotes spatial integration over the p-cell cp. +For simplicity, we will work locally and treat the con- +tinuum quantum fields as differential forms in space (�Θ′ +is a p-form while �Φ′ is a (d − p)-form), mapping from +spacetime to R/2πZ. One of the many conveniences of +using the discrete exterior calculus notation is that in +the continuum limit these lattice operators become their +continuum versions. So, the constraint Eq. (B4) in the +continuum limit becomes +N +2π d† ∗ �Φ′ = N +2π d�Θ′ = 0. +(B6) +Here, d† is the adjoint of d, which when acting on a +p-form is given by d† ≡ (−1)d(p+1)+1 ∗ d ∗. +The lattice Hamiltonian in the IR is just the ground +state energy, which we’ll set to zero. Thus, the continuum +limit of H(III) +IR , Eq. (63), is +H(III) +IR += 0. +(B7) +To write down the path integral, we can find the +Lorentzian action from H(III) +IR +and then perform a func- +tional integral over all dynamical fields. +However, the +path integral only integrates over field configurations sat- +isfying Eq. (B6). Taking these constraints into account, +the path integral in Lorentzian signature is +Z(III) +IR += +� +D[�Θ′]D[�Φ′] δ +� N +2π d† ∗ �Φ′ +� +(B8) +× δ +� N +2π d�Θ′ +� +ei +� +dtddxL(III) +IR , +L(III) +IR += +N +2πp!(∗ �Φ′)i1···ip∂t �Θ′ +i1···ip +The first term in L(III) +IR +enforces the equal-time commu- +tation relation +[�Θ′ +i1···ip(x), (∗ �Φ′)j1···jp(y)] +p! += 2πi +N δi1 +[j1· · · δip +jp]δd(x − y). +(B9) +Since we work locally, we do not enforce the constraint +that the holonomies of �Θ′ and ∗ �Φ′ are restricted to values +in 2πZ/N. +All that is left is to massage this path integral into a +more familiar form. We can rewrite both of the func- +tional delta functions by integrating in new fields acting +as Lagrange multipliers and modifying the action. For +instance, the first delta function can be rewritten using +a (p − 1)-form Lagrange multiplier λ: +δ +� N +2π d†∗ �Φ′ +� += +� +Dλ e +i N +2π +� +λi1···ip−1 ( d† ∗ � +Φ′)i1···ip−1 +(p−1)! +. (B10) +Likewise, the second delta function can be rewritten us- +ing a (p + 1)-form Lagrange multiplier ∗ η: +δ +� N +2π d�Θ′ +� += +� +Dη e +i N +2π +� +(∗ η)i1···ip+1 ( d � +Θ′)i1···ip+1 +(p+1)! +. +(B11) + +29 +Plugging these expressions into the Eq. (B8), the path +integral becomes +Z(III) +IR += +� +D[�Θ′]D[�Φ′]D[λ]D[η] ei +� +dtddxL(III) +IR , +(B12) +L(III) +IR = N +2π +� +(∗ �Φ′)i1···ip∂t �Θ′ +i1···ip +p! ++λi1···ip−1(d†∗ �Φ′)i1···ip−1 +(p − 1)! ++(∗ η)i1···ip+1(d�Θ′)i1···ip+1 +(p + 1)! +� +. +Plugging in the components of d�Θ′ and d† ∗ �Φ′ and sim- +plifying, L(III) +IR +can be rewritten as +L(III) +IR += +N +2πp! +� +(∗ �Φ′)i1···ip +� +∂t �Θ′ +i1···ip + p ∂[i1 λ i2···ip] +� ++ (∗ η)i1i2···ip+1∂[i1 �Θ′ +i2···ip+1] +� +. +(B13) +Let’s +now +introduce +the +p-form +a +and +(d − p)- +form b in spacetime whose spatial components are +ai1···ip = �Θ′ +i1···ip +and +bi1···id−p = (−1)d−p�Φ′ +i1···id−p +and +timelike +components +are +a0i2···ip = −λi2···ip +and +b0i2···id−p = −ηi2···id−p. +Note +that +with +this +identification, +(∗ η)i1···ip+1 = −(∗ b)i1···ip+1 +and +(∗ �Φ′)i1···ip = (∗ b)0i1···ip. +Plugging these in, the path +integral becomes +Z(III) +IR += +� +D[a]D[b] ei +� +dtddxL(III) +IR , +L(III) +IR += +N +2πp! +� +(∗ b)0i1···ip +� +∂tai1···ip + (−1)pp ∂[i1 a i2···ip]0 +� +− (∗ b)i1i2···ip+1∂[i1 a i2···ip+1] +� +. +(B14) +The +term +in +brackets +can +be +rewritten +using +∂0ai1···ip + (−1)pp ∂[i1ai2···ip]0 = (p + 1)∂[0ai1···ip]. +Furthermore, working in flat spacetime, X is equipped +with Minkowski metric (−, +, · · · +). Using it and sum- +ming over spacetime indices µ, L(III) +IR +can be rewritten +as +L(III) +IR += − N +2π +�(∗ b)µ1µ2···µp+1∂[µ1 a µ2···ip+1] +p! +� +. +(B15) +Lasting, using differential forms notation, we arrive at +our final expression for the path integral +Z(III) +IR += +� +D[a]D[b] ei +� +L(III) +IR , +L(III) +IR += N +2π b ∧ da. +(B16) +As anticipated, the low-energy effective field theory, +which describes the ground states of the Z(p) +N +symme- +try broken phase, is p-form ZN gauge theory. +This is +arguably the simplest field theory with an anomalous +Z(p) +N × Z(d−p) +N +symmetry [66]. +1. +Review of p-form BF theory +In the remainder of this appendix section, we will re- +view p-form BF theory, focusing on its symmetries and +anomalies, working in D = d + 1 dimensional spacetime. +From canonical quantization, the fields a and b satisfy +the equal-time commutation relations +[aµ1···µp(x), bµp+1···µd(y)] = 2πi +N ϵ0µ1···µdδd(x − y). +(B17) +a. +ZN p-form gauge theory in the continuum +We start by review how p-form BF theory can be +obtained by condensing charge-N gauge charges in p- +form Maxwell theory [82–84]. +p-form Maxwell theory +is reviewed in appendix section C 1. This will be use- +ful as we’ll encounter dual representations of this theory +which will make the symmetry analysis of the next sec- +tion easier. However, for the reader who would like to +jump straight to p-form BF theory, they should skip to +Eq. (B28). +We modify p-form Maxwell theory Eq. (C19) by intro- +ducing the dynamical (p − 1)-form bosonic field H and +the gauge redundancy +a → a + dχ, +H → H + Nχ, +(B18) +where N ∈ Z. A gauge-invariant globally defined quan- +tity in terms of only H is FH = dH + ωH, +where +ωH ∈ 2πHp(X; Z). +FH +satisfies +a +Bianchi +iden- +tity +1 +2π ∗ dFH = 0 and its periods are quantized as +� +FH ∈ 2πZ. We note that the local part of FH, dH, +is only there when p ≥ 1. When p = 0, FH has no lo- +cal fluctuations but only purely topological contributions +from the 0-form ωH. +With the additional degrees of freedom provided by H, +we can now introduce the Wilson operator +Wa,H(O) = exp +� +i +� +O +Na − dH +� +, += exp +� +iN +� +O +a +� +exp +� +−i +� +∂O +H +� +, += W N +a (O)W † +H(∂O). +(B19) +where O is an open p-submanifold. Physically Wa,H(O) +is an operator that creates a charge excitation on ∂O, +but one carrying N-units of a-charge. H is the contin- +uum phase operator of created fractionalized charges that +carries N-units of a-charge. Minimally coupling FH to a +in light of the gauge redundancy Eq. (B18), we find the + +30 +partition function +Z = +� +D[a]D[H] +� +ωa +2π ∈Hp+1(X;Z) +ωH +2π ∈Hp(X;Z) +e− +� +X L, +L = +1 +2g2 |Fa|2 + v2 +2 |FH − Na|2. +(B20) +Expanding out the new term, we can rewrite the La- +grangian density as +L = +1 +2g2 |Fa|2 + v2 +2 |FH|2 + N 2v2 +2 +|a|2 − Nv2a ∧ ∗ FH. +(B21) +Thus, we find that L ⊃ −a∧ ∗ J with J = Nv2FH for +which generally d†J ̸= 0. Furthermore, there is now a +mass term for a: L ⊃ N 2v2 +2 +|a|2. Indeed, the new term +added to p-form Maxwell theory is essentially a Higgs +term with H the phase of the Higgs field and v ∈ R the +vev of the Higgs field. The gauge redundancy described +by Eq. (B18) is a ZN gauge redundancy, reflecting how +the initial U(1) gauge redundancy has been Higgsed down +to a ZN gauge redundancy. +As we saw in appendix section C 1 b, these types of +theories have a generalized “particle-vortex” like du- +ality called abelian duality. +For instance, since the +action’s dependency on H is entirely in the form of +FH we can dualize H → ˆH using the same method +shown in section C 1 b. +Indeed, dualizing H to the +(D − p − 1)-form ˆH satisfying +� +F ˆ +H ∈ 2πZ and dF ˆ +H +(where F ˆ +H = d ˆH + ω ˆ +H), the Euclidean Lagrangian be- +comes +L = |Fa|2 +2g2 + |F ˆ +H|2 +8π2v2 − iN +2π a ∧ F ˆ +H. +(B22) +The +Euclidean +path +integral +now +integrates +over +the +dynamical +fields +a +and +ˆH +and +sums +over +ωa ∈ 2πHp+1(X; Z) and ω ˆ +H ∈ 2πHD−p(X; Z). We note +that without changing the action amplitude, the La- +grangian density can be rewritten as +L = |Fa|2 +2g2 + |F ˆ +H|2 +8π2v2 − iN +2π +ˆH ∧ Fa. +(B23) +Locally, we have just integrated by parts in the BF term. +However, keeping track of the globally nontrivial parts of +F ˆ +H and Fa makes showing this difficult (it’s most natu- +rally seen using Deligne-Beilinson cohomology [85]). +Utilizing abelian duality we have found two representa- +tions for the theory: the (a, H) representation Eq. (B20) +and the (a, ˆH) representation Eqs. (B22) and (B23), the +latter being dual only locally. +In representation (a, ˆH), the deep IR is governed by +p-form BF theory. Here, the deep IR refers to energies +below the gap of a and ˆH, which have a gap through +topological mass generation. +Indeed, to find their en- +ergy gaps, first note that in the (a, ˆH) representation, +the Lorentzian action is +S = +� +X +� +−|Fa|2 +2g2 − |F ˆ +H|2 +8π2v2 + N +2π a ∧ F ˆ +H +� +. +(B24) +Since this theory is Gaussian, we can show that the a∧F ˆ +H +term causes all excitations to be gapped using the equa- +tions of motion. Varying the action, we find that +δS = +� +X +� +− 1 +g2 +� +d†Fa + (−1)p(D−p) Ng2 +2π ∗ F ˆ +H +� +∧ ∗ δa +− +1 +4π2v2 +� +d†F ˆ +H − (−1)p2+D2πNv2 ∗ Fa +� +∧ ∗ δ ˆH +� +, +and therefore the classical equations of motion are +d†Fa + (−1)p(D−p) Ng2 +2π ∗ F ˆ +H = 0, +d†F ˆ +H − (−1)p2+D2πNv2 ∗ Fa = 0 +(B25) +We can now decouple ∗ Fa and ∗ F ˆ +H to get the equations +� +d† d + N 2g2v2� +∗ F ˆ +H = 0, +� +d† d + N 2g2v2� +∗ Fa = 0. +(B26) +Using that d† ∗ Fb, ˆ +H = 0, we can then rewrite this in +terms of the Hodge Laplacian δ = d† d + dd† as +� +δ + N 2g2v2� +∗ F ˆ +H = 0, +� +δ + N 2g2v2� +∗ Fa = 0. +. +(B27) +Therefore, +we +see +that +the +p-form +∗ F ˆ +H +and +the +(D − p − 1)-form ∗ Fa both have an energy gap Ngv. +To go below the energy gap into the deep IR, we take +the limit g → ∞ and v → ∞. In this limit, the Euclidean +path integral becomes +ZBF = +� +D[a]D[ ˆH] +� +ω ˆ +H +2π ∈HD−p(X;Z) +e− +� +X LBF , +LBF = − iN +2π a ∧ F ˆ +H. +(B28) +This is p-form BF theory, and it is in terms of the +p-form bosonic field a, which is the U(1) gauge field +we started with and ˆH, which is the abelian dual of +the Higgs field phase. +Taking the deep IR limit us- +ing the Lagrangian density in this representation written +as Eq. (B23), the Lagrangian in the topological limit is +equivalent to LBF = − iN +2π ˆH∧Fa. +Plugging in F ˆ +H = d ˆH + ω ˆ +H into Eq. (B28), the path +integral becomes +ZBF = +� +D[a]D[ ˆH] +� +ω ˆ +H +2π ∈HD−p(X;Z) +e +i N +2π +� (a∧d ˆ +H+a∧ω ˆ +H) +(B29) +Integrating by parts on the first term and using Poincar´e +duality on the second term, we can rewrite this as +ZBF = +� +D[a]D[ ˆH] +� +ω∈Hp(X;Z) +exp +� iN +2π +� +X +ˆH ∧ da + iN +� +ω +a +� +. +(B30) + +31 +Integrating over ˆH and summing over ω, the path integral +becomes +ZBF = +� +D[a] δ(da) δ +�� +a ∈ 2πZ +N +� +. +(B31) +Notice that if we would have instead started with the +Lagrangian density written as LBF = − iN +2π ˆH∧Fa, upon +integrating out a and ωa we’d get +ZBF = +� +D[ ˆH] δ(d ˆH) δ +�� +ˆH ∈ 2πZ +N +� +. +(B32) +Having massaged p-form BF theory into Eq. (B31), we +find that the U(1) gauge fields are closed forms and have +quantized holonomies28. This has an important effect on +the Wilson operators +Wa[Cp] = exp +� +i +� +Cp +a +� +, +(B34) +W ˆ +H[CD−p−1] = exp +� +i +� +CD−p−1 +ˆH +� +. +(B35) +Indeed, since the holonomies of a and ˆH are quantized, +the Wilson operators are constrained as +Wa ∈ ZN, +W ˆ +H ∈ ZN. +(B36) +Thus, because the holonomies are quantized the Wilson +operators satisfy +(Wa)N = (W ˆ +H)N = 1. +(B37) +When Cp ∈ Bp(X) (i.e., there exists an Op+1 such that +Cp = ∂Op+1), Wa can be written as +Wa[Cp] ≡ exp +� +i +� +Cp +a +� += exp +� +i +� +Op+1 +da +� +. +Therefore, since da = 0, Wa supported on a contractible +cycle is trivial element of ZN: +Wa [Cp ∈ Bp(X)] = 1. +(B38) +This is also true for W ˆ +H: +W ˆ +H [CD−p−1 ∈ BD−p−1(X)] = 1. +(B39) +28 This can also be deduced from the equations of motion. Indeed, +in the (a, H) representation, Eq. (B20), the H equations of mo- +tion in the deep IR are +FH = Na. +(B33) +Therefore, because of the Bianchi identity dFH = 0, a is a +closed p-form. Furthermore, since FH satisfies +� +FH = 2πZ, the +holonomies of a are quantized as +� +a = 2πZ/N. +Therefore, the Wilson operators are topological opera- +tors, meaning that they can be continuously deformed: +W[C + ∂O] = W[C]. +(B40) +Therefore, at low-energies, any contractible Wilson oper- +ators can condense into vacuum, but for non-contractible +Wilson operators only N of them can condense into vac- +uum. +We can evaluate ZBF by considering the Wilson op- +erators, which is convenient as we do not have to worry +about performing the path integral in the presence of +gauge redundancies. +Indeed, the path integral simply +counts the number of nontrivial Wilson operators W(C) +which satisfy W(C)N = 1, and thus the number of con- +figurations a ∈ Hp(X; ZN): +ZBF = +� +a∈Hp(X;ZN) +1, += |Hp(X, ZN)|. +The coefficients of Hp(X; ZN) are ZN to preserve the +condition Eq. (B36). +The number of ground states is +given by the partition function evaluated on X = R × M, +where M is a space. Therefore, there are |Hp(M; ZN)| +degenerate ground states. +b. +Symmetries +Having reviewed the basics of p-form BF theory in the +previous section, we now turn to identifying the theory’s +symmetries, showing that there is a Z(p) +N × Z(d−p) +N +sym- +metry [66]. +Let’s first consider the symmetries manifest in the +(a, H) representation, Eq. (B20). The path integral is +invariant under the transformation +a → a + Γ, +FH → FH + NΓ, +(B41) +with dΓ = 0. +Since FH satisfies +� +FH ∈ 2πZ, in order +to shift FH → FH + NΓ we require that +� +Γ ∈ 2πZ/N. +When Γ = dω, the transformation Eq. (B41) becomes +the gauge transformation Eq. (B18). +Therefore, the +Γ that correspond to physical transformations are +N +2πΓ ∈ Hp(X; Z). +The quantization condition of the periods of Γ has a +significant consequence. +Indeed, note that the Wilson +operator Wa (Eq. (B34)) is charged under this symmetry. +Because of the quantization condition +� +Γ ∈ 2πZ/N, it +transforms as +Wa[Cp] → ei +� +ΓWa[Cp] +ei +� +Γ ∈ ZN. +(B42) +Since the charged operators are p-dimensional and trans- +form by an element of ZN, this is a Z(p) +N symmetry. +It’s tempting to think that there may be an additional +symmetry associated with the H field. Indeed, Eq. (B20) + +32 +is invariant under the transformation H → H + ω for +dω = 0. However, there are no physical observables that +transform under this. Indeed, while the Wilson operator +exp +� +i +� +H +� +picks up a phase, it is not a physical opera- +tor since it is not invariant under the gauge redundancy +Eq. (B18). Since there are no charged operators under +H → H + ω, it does not have physical implications and +is therefore not a symmetry. +The +Z(p) +N +symmetry +can +also +be +seen +in +the +(a, ˆH) representation, +when the Lagrangian is de- +scribed by Eq. (B22). +Indeed, under the symme- +try transformation, the action amplitude transforms as +exp[−S] → exp[−S] exp[−δS], where +exp[−δS] = exp +� +− iN +2π +� +Γ ∧ F ˆ +H +� +, +(B43) +with +N +2πΓ ∈ Hp(X; Z). Plugging in F ˆ +H = d ˆH + ω ˆ +H, the +phase factor exp[−δS] becomes +exp[−δS] = e− i N +2π +� +Γ∧d ˆ +H e− i N +2π +� +Γ∧ω ˆ +H += e +i N +2π (−1)p � +dΓ∧ ˆ +H e−2π i +� +N Γ +2π +∧ +ω ˆ +H +2π += exp +� +−2πi +� N Γ +2π +∧ ω ˆ +H +2π +� +, +where we used integration by parts and that dΓ = 0. Re- +call that N +2πΓ ∈ Hp(X; Z) and ω ˆ +H +2π ∈ HD−p(X; Z). Then, +since the wedge product preserves integral de Rham +cohomology classes, +N Γ +2π ∧ ω ˆ +H +2π ∈ HD(X; Z). +Therefore, +exp[−δS] becomes +exp[−δS] = exp[−2πiZ] = 1, +(B44) +and thus the action amplitude is invariant. +The Lagrangian in the (a, ˆH) representation can also +be written as Eq. (B23) without changing the partition +function. In this form, following the same argument used +to show that there is a Z(p) +N +symmetry, we find there is +also Z(d−p) +N +symmetry. Indeed, the action amplitude is +invariant under ˆH → ˆH + ˆΓ where +N +2π ˆΓ ∈ Hd−p(X; Z). +The charged operator of this Z(d−p) +N +symmetry is the Wil- +son operator W ˆ +H = exp +� +i +� ˆH +� +, which transforms as +W ˆ +H(C) → ei +� ˆΓW ˆ +H(C) +ei +� ˆΓ ∈ ZN. +(B45) +To summarize, the symmetry of p-form BF theory is +Z(p) +N × Z(d−p) +N +. The symmetry transformations associated +with Z(p) +N and Z(d−p) +N +are +Z(p) +N : +a → a + 2π +N Γ, +Γ ∈ Hp(X; Z), +Z(d−p) +N +: +ˆH → ˆH + 2π +N +ˆΓ, +ˆΓ ∈ Hd−p(X; Z), +(B46) +respectively. Note how only in the (a, ˆH) representation +are both of these symmetries manifest. +In the (a, H) +representations, the Z(d−p) +N +symmetry is hidden as the +charged operators are ’t Hooft operators. +The symmetry operator of the Z(p) +N symmetry is +U(Σ) = exp +� +i +� +Σ +ˆH +� +, += exp +� +i +� +Md +ˆH ∧ Γ +� +, +(B47) +where Γ is the Poincar´e dual of the p-cycle Σ with respect +to space Md. Indeed, using the equal-time commutation +relation (B17), which form Eq. (B22) is +[aµ1···µp(x), ˆHµp+1···µd(y)] = 2πi +N ϵ0µ1···µdδd(x − y), +(B48) +we have that +U(Σ)Wa(C)U †(Σ) = e +2π i +N +� +C ΓWa(C), += e +2π i +N #(Σ,C)Wa(C). +(B49) +Interesting the symmetry operator of Z(p) +N +was the +charged operator of Z(d−p) +N +: U = W ˆ +H. Similarly, the sym- +metry operator of the Z(d−p) +N +symmetry is +ˆU(ˆΣ) = exp +� +i +� +ˆΣ +a +� +, +(B50) +which is just Wa. +c. +Mixed ’t Hooft anomaly and anomaly inflow +In the last section, we found that p-form BF theory +has an Z(p) +N +and Z(d−p) +N +symmetry. However, these sym- +metries are not independent of one another: the symme- +try operator of one symmetry is a charged operator of +the other symmetry. In other words, these two symme- +try operators do not commute. This is a manifestation of +the fact that the Z(p) +N × Z(d−p) +N +symmetry is anomalous. +In this section, we will turn on a background gauge field +for these symmetries to learn more about this mixed ’t +Hooft anomaly. +Let’s first turn on a background gauge field for the +Z(p) +N symmetry. We introduce the background gauge field +A ∈ 2π +N Hp+1(X; Z) and the gauge redundancy +a → a + β, +A → A + dβ. +(B51) +Minimally coupling A, the p-form BF theory path inte- +gral becomes +Z[A] = +� +D[a]D[ ˆH] e− +� +X L[A], +L = − iN +2π +� +a ∧ F ˆ +H + (−1)pA ∧ ˆH +� +. +(B52) + +33 +We next turn on a background gauge field for the +Z(d−p) +N +symmetry, introducing the background gauge field +ˆ +A ∈ 2π +N Hd−p+1(X; Z) and the gauge redundancy +ˆH → ˆH + ζ, +ˆ +A → ˆ +A + dζ. +(B53) +Minimally coupling ˆ +A, Eq. (B52) becomes +Z[A, ˆ +A] = +� +D[a]D[ ˆH] e− +� +X L[A, ˆ +A], +L = − iN +2π +� +a ∧ (F ˆ +H − ˆ +A) + (−1)pA ∧ ˆH +� +. +(B54) +When the Z(p) +N +background gauge field is turned off +(i.e, A = 0), the path integral is gauge invariant. How- +ever, when the Z(p) +N background gauge field is turned on, +there are no local counter terms which can be added such +that the path integral is invariant under Eq. (B53). In- +deed, under this gauge transformation, the path integral +transforms as +Z[A, ˆ +A] → Z[A, ˆ +A] exp +� +(−1)p iN +2π +� +X +A ∧ ζ +� +. +(B55) +We thus see that there is an obstruction to coupling a +background gauge field of both symmetries, and hence a +mixed ’t Hooft anomaly. +a ’t Hooft anomaly can be classified by an invertible +theory in one higher-dimension whose boundary realizes +the anomalous symmetry. +Let’s now extend the back- +ground fields to one higher-dimension and have X be the +boundary of the new spacetime Y . The phase picked up +by Z[A, ˆ +A] in Eq. (B55) can then be written as +exp +� +(−1)p iN +2π +� +X +A ∧ ζ +� += exp +� +− iN +2π +� +Y +A ∧ dζ +� +. +(B56) +In order to make the theory gauge invariant and cancel +out the phase Z picks up, let’s consider the invertible +theory +Zinv[A, ˆ +A] = exp +� iN +2π +� +Y +A ∧ ˆ +A +� +. +(B57) +Under the gauge transformation Eq. (B53), Zinv trans- +forms as +Zinv[A, ˆ +A] → Zinv[A, ˆ +A] exp +� iN +2π +� +Y +A ∧ dζ +� +. +(B58) +This is the same as the inverse of the phase picked up by +Z. Therefore, we replace Z with +Z[A, ˆ +A] → Zinv[A, ˆ +A]Z[A, ˆ +A], +(B59) +which is now gauge invariant. The path integral of the +new gauge invariant theory is +Z[A, ˆ +A] = +� +D[a]D[ ˆH] e− +� +Y Lbulk+dLboundary, +Lbulk = − iN +2π A ∧ ˆ +A, +Lboundary = − iN +2π +� +a ∧ F ˆ +H + (−1)pA ∧ ˆH +� +. +Given that we have found the theory in Y spacetime +such that the mixed ’t Hooft anomaly is canceled, we can +now close the one higher-dimensional spacetime. +Let- +ting ∂Y = ∅, the topological part of the path integral +is Zinv[A, ˆ +A], Eq. (B57). Since A ∈ 2π +N Hp+1(Y ; Z) and +ˆ +A ∈ 2π +N Hd−p+1(Y ; Z), A∧ ˆ +A ∈ 4π2 +N 2 Hd+2(Y ; Z). +There- +fore, the mixed anomaly is classified by +Zinv[A, ˆ +A] = exp +� i2π +N Z +� +∈ ZN. +(B60) +The form of Zinv and the ZN classification agrees with +the d = 3, p = 1 lattice result found in Ref. 43, which +started from a bulk twisted U(1) gauge theory in the +confined phase. +Appendix C: Taking the continuum limit—p-form +Maxwell theory +In this appendix section, we present how we take the +continuum limit of Eq. (90) in section III C 2 of the main +text. Doing so also demonstrates the connection between +exact emergent higher-form symmetries in lattice models +and exact higher-form symmetries in Lagrangian quan- +tum field theories, where higher-form symmetries are +most commonly studied. +The lattice Heisenberg operators Lz +cp(t) and Θcp(t) +in the IR are dressed by two local unitary opera- +tors U (1) +LU and U (2) +LU and denoted as �L′z +cp(t) and �Θ′ +cp(t). +Furthermore, in the mid-IR we defined the variable +ωcp+1 ≡ −2π +� +(d�Θ)cp+1/(2π) +� +, +which in the IR was +dressed by U (2) +LU and denoted as ω′ +cp+1(t). Therefore, the +three elementary operators in the IR are �L′z +cp(t), �Θ′ +cp(t), +and ω′ +cp+1(t). We relate these lattice operators to their +continuum counterparts �L′z(t, x), �Θ′(t, x), and ω′(t, x) +by +�L′z +cp = +� +cp +�L′z, +�Θ′ +cp = +� +cp +�Θ′, +ω′ +cp+1 = +� +cp+1 +ω′, (C1) +where, for instance, +� +cp denotes spatial integral over the +p-cell cp. +The continuum quantum fields are globally +differential forms in space M (�L′z and �Θ′ are p-forms +while ω′ is a (p + 1)-form), mapping from spacetime X +to R. One of the many conveniences of using the dis- +crete exterior calculus notation is that in the contin- +uum limit, these lattice operators become their contin- + +34 +uum versions. +Indeed, for instance, the lattice opera- +tor F ′ +cp+1 = (d�Θ′)cp+1 + (ω′)cp+1 is related to its contin- +uum version by F ′ +cp+1 = +� +cp+1 F ′ where F ′ = d�Θ′ + ω′. +So, taking the continuum limit of Eq. (90), the deep IR +continuum Hamiltonian is +Hdeep IR= +� +ddx +� +κU +2 +|�L′z +i1···ip|2 +p! ++ ε2p+2U +2 +|F ′ +i1···ip+1|2 +(p + 1)! +� +, +(C2) +where, for instance, |�L′z +i1···ip|2 ≡ �d +i1,··· ,ip=1(�L′z +i1···ip)2. +To write down the path integral, we can find the +Lorentzian action from H(III) +IR +and then perform a func- +tional integral over all dynamical fields. +However, the +path integral only integrates over field configurations +obeying particular constraints: +1. Firstly, since the IR does not include dressed charge +excitations, we only integrate over �L′z configura- +tions satisfying �ρ ′ = 0. The expression for �ρ ′ +cp−1 +in Eq. (66) can be rewritten using discrete exterior +calculus notation as �ρ ′ +cp−1 ∼ (∗ d ∗ �L′z)cp−1. +So, +�ρ ′ = 0 in the continuum limit is the Gauss law +∂j �L′z +ji1···ip−1 = 0. +(C3) +Despite there being no dressed charges in the IR, +�L′z can still be sourced along nontrivial p-cycles. +Indeed, because �L′z +cp ∈ Z on the lattice, in the con- +tinuum limit, the flux of �L′z is quantized +� +Cd−p +∗ �L′z ∈ Z, +(C4) +where Cd−p is any closed (d − p)-submanifold of +space. +Notice how using Eq. (C3), when Cd−p +is contractible, this is automatically satisfied since +the left-hand side is zero by Stoke’s theorem. So, +this additional constraint only affects Cd−p in the +(d − p)th homology group: Cd−p ∈ Hd−p(M; Z). +2. Additionally, since the IR does not include dressed +topological defects, we only integrate over �Θ′ and +ω′ configurations satisfying ˆρ′ = 0. +The expres- +sion for (∗ ˆρ′)cp+2 of Eq. (88) in the continuum +limit becomes ˆρ′ = +1 +2π ∗ dF ′, and ˆρ′ = 0 becomes +the Bianchi identity +1 +2π ∗ dF ′ = 0. +(C5) +Despite there being no dressed topological defects +in the IR, ∗ F ′ can still be sourced along nontrivial +(d − p)-cycles. Indeed, because ω′ +cp ∈ 2πZ on the +lattice, in the continuum limit, the flux of ∗ F ′ is +quantized +� +Cp+1 +F ′ ∈ 2πZ, +(C6) +where Cp+1 is any closed (p + 1)-submanifold of +space. Notice how plugging in F ′ = d�Θ′ + ω′, the +�Θ′ vanishes and Eqs. (C5) and (C6) only put con- +straints on ω′. In fact, because ω′ is not an exact +form, these constraints can be summarized as +ω′ +2π ∈ Hp+1(M; Z), +(C7) +where Hp+1(M; Z) denotes the (p + 1)th de Rham +cohomology group with integral periods. +From the above, we learn that there are three con- +straints given by Eqs. (C3), +(C4), and (C7) that must +be added by hand into the path integral. Taking into ac- +count these constraints, the path integral in Lorentzian +signature is +Zdeep IR = +� +D[�Θ′] D�L′z +� +ω′∈2πHp+1(M;Z) +δ(∂i1 �L′z +i1···ip) +(C8) +× δ +�� +∗ �L′z ∈ Z +� +ei +� +X dtddx Ldeep IR +Ldeep IR = +�L′z +i1···ip∂t �Θ′ +i1···ip +p! +− +� +κU +2 +|�L′z +i1···ip|2 +p! ++ ε2p+2U +2 +|F ′ +i1···ip+1|2 +(p + 1)! +� +. +The first term in Ldeep IR enforces the equal-time com- +mutation relation +[�Θ′ +i1···ip(x), �L′z +j1···jp(y)] +p! += iδi1 +[j1· · · δip +jp]δd(x − y), (C9) +and the second term in parenthesis is Hamiltonian den- +sity from Eq. (C2) +This expression of the path integral is perfectly correct. +However, to get it into a more familiar form, we rewrite +this phase space path integral as a coordinate space path +integral. To do so, we rewrite both of the functional delta +functions by integrating in new fields and modifying the +action. For the delta function enforcing the �L′z quanti- +zation condition, we can rewrite it by summing over all +nontrivial closed p-submanifolds in space +δ +�� +∗ �L′z ∈ Z +� += +� +C∈Hd−p(M) +exp +� +2πi +� +C +∗ �L′z +� +. +(C10) +Using Poincar´e duality to write 2π +� +C ∗ �L′z = +� +X ∗ �L′z∧η, +where η/2π is the poincare dual of C with respect to +spacetime, this can be rewritten as +δ +�� +∗ �L′z ∈ Z +� += +� +η∈2πHp(M;Z) +ei +� +X dtddx +� +L′z +i1···ip ηi1···ip +p! +. +(C11) + +35 +Since C is closed and has integer coefficients, η is a closed +form and satisfies +� +η ∈ 2πZ. The delta function enforc- +ing Gauss law can be rewritten using a (p − 1)-form La- +grange multiplier +δ(∂i1 �L′z +i1···ip) = +� +Dλei +� +X λi2···ip∂i1 �L′z +i1i2···ip/(p−1)!. +(C12) +Plugging in both of these delta functions, the path in- +tegral takes the cumbersome form +Zdeep IR = +� +D[�Θ′] D�L′z Dλ +� +ω′∈2πHp+1(M;Z) +η∈2πHp(M;Z) +ei +� +X dtddx Ldeep IR, +Ldeep IR = +λi2···ip∂i1 �L′z +i1i2···ip +(p − 1)! ++ +�L′z +i1···ipηi1···ip +p! +(C13) ++ +�L′z +i1···ip∂t �Θ′ +i1···ip +p! +− +κU|�L′z +i1···ip|2 +2p! +− +ε2p+2U|F ′ +i1···ip+1|2 +2(p + 1)! +. +It is now straight forward to integrate out the �L′z field. +Assuming spacetime is closed, we integrate by parts on +the first term in Ldeep IR and use the anti-symmetry of +�L′z to rewrite Ldeep IR as +Ldeep IR = +�L′z +i1···ip +� +∂t �Θ′ +i1···ip − p ∂[i1λi2···ip] + ηi1···ip +� +p! +− +κU|�L′z +i1···ip|2 +2p! +− +ε2p+2U|F ′ +i1···ip+1|2 +2(p + 1)! +. +(C14) +Integrating +out +�L′z, +rescaling +t → t/(Uεp+1√κ), +λ → Uεp+1√κ λ, and η → Uεp+1√κ η, and introducing +g = 1/(εp+1√ +U), the path integral becomes +Zdeep IR = +� +D[�Θ′] Dλ +� +ω′∈2πHp+1(M;Z) +η∈2πHp(M;Z) +ei +� +X dtddx Ldeep IR, +(C15) +Ldeep IR= +|∂t �Θ′ +i1···ip− p∂[i1λi2···ip] +ηi1···ip|2 +2g2p! +− +|F ′ +i1···ip+1|2 +2g2(p + 1)!. +Having found the coordinate path integral, we now +massage this to get it into a canonical form. +Namely, +let’s introduce the p-form a and (p + 1)-form ωa in +spacetime whose spatial components are ai1···ip = �Θ′ +i1···ip +and (ωa)i1···ip+1 = ω′ +i1···ip+1 and timelike components are +a0i2···ip = λi2···ip and (ωa)0i1···ip = ηi1···ip. Using a and +letting Fa = da + ωa, we can reexpress the path integral +as +Zdeep IR = +� +D[a] +� +ωa∈2πHp+1(X;Z) +ei +� +X dtddx Ldeep IR, +(C16) +Ldeep IR = |∂0ai1···ip + (−1)pp ∂[i1ai2···ip]0 + (ωa)0i1···ip|2 +2g2p! +− |(Fa)i1···ip+1|2 +2g2(p + 1)! . +Using ∂0ai1···ip + (−1)pp ∂[i1ai2···ip]0 = (p + 1)∂[0ai1···ip], +the first term in Ldeep IR can be rewritten in terms of Fa: +Ldeep IR = +1 +2g2 +�|(Fa)0i1···ip|2 +p! +− |(Fa)i1···ip+1|2 +(p + 1)! +� +. +(C17) +Furthermore, working in flat spacetime, X is equipped +with Minkowski metric (−, +, · · · +). +Thus, summing +over spacetime indices µ = 0, · · · , d, Ldeep IR can be +rewritten as +Ldeep IR = − +1 +2g2(p + 1)!(Fa)µ1···µp+1(Fa)µ1···µp+1 +(C18) +Lastly, using differential forms notation, we arrive at our +final expression for the path integral +Zdeep IR = +� +D[a] +� +ωa∈2πHp+1(X;Z) +ei +� +X Ldeep IR, +Ldeep IR = − 1 +2g2 |Fa|2, +(C19) +where |F|2 ≡ F ∧ ∗ F. This is exactly p-form Maxwell the- +ory, as stated in the main text. +1. +Review of p-form Maxwell theory +In the remainder of this appendix section, we will re- +view p-form Maxwell theory, focusing on its symmetries +and anomalies, working in D = d + 1 dimensional space- +time. +The +canonical +momentum +field +Π +is +locally +a +(D − p − 1)-form associated with a codimension-1 sub- +manifold of X in a Lorentzian signature. We choose this +to be the 0-direction. Then, Π’s components are defined +by varying the action with respect to ∂0aµ1···µp which +yields +Π = − 1 +g2 ∗ Fa. +(C20) +Therefore, from canonical quantization we have the +equal-time commutation relations +� +aµ1···µp(x), (∗ Fa)µp+1···µd(y) +g2 +� += iϵ0µ1···µdδd(x − y). +(C21) + +36 +a. +U(1)(p) symmetry +The action amplitude is only a function of the field +strength, and so the path integral is invariant under a +being shifted by a closed p-form: +a �→ a + Γ +where +dΓ = 0. +(C22) +However, just because the action amplitude is invariant +does not mean it is a symmetry transformation. +In- +deed, it could be a gauge redundancy. +If it is a gen- +uine symmetry, it must transform observables nontriv- +ially. +These physical operators are the Wilson opera- +tors Wa(Cp) = exp +� +i +� +Cp a +� +, and under the transforma- +tion Eq. (C22) they transform as +Wa (Cp) �→ exp +� +i +� +Cp +Γ +� +Wa (Cp) . +(C23) +Since there are no restrictions on the holonomies +of a, Γ satisfies +� +Γ ∈ R. +Thus exp +� +i +� +Cp Γ +� +∈ U(1) +and Eq. (C23) is the symmetry transformation of a +U(1)(p) symmetry (i.e., an operator supported on a p- +submanifold picks up a phase). Note that when Cp is +a boundary, then by Stokes theorem +� +Cp Γ = 0. Thus, +only Wilson loops defined on non-contractible Cp can be +charged under the U(1)(p) symmetry. +Given that Wa (Cp) are the physical quantities of the +theory instead of a, not all transformations a → a + Γ +with dΓ = 0 necessarily correspond to symmetry trans- +formations. +For Γ that satisfy exp +� +i +� +Cp Γ +� += 1, the +transformation a → a + Γ is instead a gauge transfor- +mations corresponding to formal redundancies29. Let’s +denote Γ that correspond to gauge redundancies as +Γgauge, and since exp +� +i +� +Cp Γgauge +� += 1, their periods +are +� +Cp Γgauge ∈ 2πZ. In the case where Γgauge is exact +(Γgauge = dω, which is the canonical gauge transforma- +tion), the periods are zero by Stokes theorem. However, +there also exist closed but not exact Γgauge whose periods +are 2πZ. Indeed, these are Γgauge ∈ 2πHp(X; Z), and +these types of gauge transformations are the so-called +large gauge transformations. The physical transforma- +tion on a therefore require that Γ be closed but not exact +and the periods of Γ are not in 2πZ. +Given that we’ve identified a U(1)(p) symmetry, let’s +now find the symmetry transformation operator which +performs said transformation. +We can do so using +Noether’s theorem and the fact that the conserved charge +operator is the generator of the corresponding symmetry. +29 This gives rise to an intriguing explanation to why gauge redun- +dancies appear in theories that describe physical systems: the +physical system’s constituents are extended objects but the for- +malism used describes them is in terms of strictly local fields. It +is physicists’ attachment to locality that infects the formalism +with redundancies. +A nice trick to find the conserved current is to introduc- +ing a closed (p + 1)-form background field A and the +gauge redundancy +a �→ a + β, +A �→ A + dβ, +(C24) +where dβ ̸= 0. Minimally coupling the background field +such that the theory is gauge invariant, the action be- +comes +S[A] = − 1 +2g2 +� +X +|Fa − A|2. +(C25) +The conserved current J corresponding to the symmetry +will minimally couple to A as the term +� +A∧ ∗ J. Ex- +panding out the terms in S[A], we find that +J = 1 +g2 Fa. +(C26) +The requirement that +� +A∧ ∗ J is gauge invariant enforces +the expected conservation law d ∗ J = 0. Therefore, the +charge operator Q ≡ +� +∗ J is supported on a (D − p − 1)- +dimensional closed surface Σ. The symmetry transforma- +tion Uα = eiαQ is +Uα (Σ) = exp +� +iα +� +Σ +∗ Fa +g2 +� +, +(C27) +where α ∈ [0, 2π) parametrizes the U(1) transformation. +Uα(Σ) is a topological operator. In fact, any operator +of the form +U(Σ) = exp +� +i +� +Σ +η +� +, +where dη = 0, is. +Indeed, let’s continuously deform +Σ → Σ′. Given that σ is homotopically equivalent to Σ′, +the surfaces differ by a boundary and thus we can write +Σ′ = Σ + ∂δ. Using this, we find that: +U(Σ + ∂δ) = exp +� +iα +� +Σ+∂δ +η +� +, += exp +� +iα +�� +Σ +η + +� +∂δ +η +�� +, += exp +� +�iα +� +� +� +Σ +η + +� +δ +dη +���� +=0 +� +� +� +�, += exp +� +iα +� +Σ +η +� +, += U(Σ). +(C28) +So, number of transformations is given by number of ho- +motopic equivalence classes for nontrivial contractible p- +dimensional surfaces. +Let’s now see how Uα acts on Wa. First, note that +the closed manifold Σ ⊂ M, where M denotes a closed +codimension-1 submanifold (e.g., a fixed imaginary-time + +37 +slice of Euclidean spacetime). Let the p-form ˆΣ be the +Poincar´e dual of Σ with respect to M so the symmetry +operator can be written as Uα (Σ) = exp +� +iα +g2 +� +M ∗ Fa∧ˆΣ +� +. +Because Σ is closed, the Poincar´e dual satisfies dˆΣ = 0. +From the Baker–Campbell–Hausdorff formula, the Wil- +son operator transforms as +Uα (Σ) Wa (C) U † +α (Σ) = e +α +g2 [ +� +M ∗ Fa∧ˆΣ, +� +C a]Wa (C) . +From canonical commutation relations Eq. (C21), the +commutator in the exponential is +�� +M +∗ Fa ∧ ˆΣ, +� +C +a +� += ig2 +� +C +ˆΣ, +(C29) +and thus we find +Uα (Σ) Wa (C) U † +α (Σ) = exp +� +iα +� +C +ˆΣ +� +Wa (C) . (C30) +Comparing this to Eq. (C23), we identify Γ ≡ αˆΣ. Nev- +ertheless, we find that q = +� +C ˆΣ is the charge of the +operator Wa (C). We can rewrite the phase noting that +� +C ˆΣ = +� +Σ∩C 1, which is the intersection number between +Σ and C in M: # (Σ, C). Therefore q = # (Σ, C) ∈ Z +and the U(1)(p) symmetry transformation is +Uα (Σ) Wa (C) U † +α (Σ) = exp [iα # (Σ, C)] Wa (C) . +(C31) +b. +Abelian duality +To make the other symmetry manifest we must effec- +tively change the representation of our degrees of free- +dom using Abelian duality [86] to dualize the field a to +the field ˆa. +This is a particle-vortex duality since, as +we will see, the sources (topological defects) of a corre- +spond to the topological defects (sources) of ˆa. Abelian +duality is further useful since it maps the strong coupling +limit in the a-representation to a weak coupling limit ˆa- +representation. +Let’s now dualize (change representation from a to +ˆa) the quantum theory. Instead of integrating over the +equivalence classes of a and summing over ωa, we can in- +stead integrate over Fa since the action only depends on +Fa. However, in doing so we have to ensure that we only +integrate over Fa which satisfy the Bianchi identity30 +1 +2π ∗ dFa = 0, +(C32) +30 If there were topological defects described by a current +ˆ +J , +then the Bianchi identity would be modified to +1 +2π ∗ dFa = ˆ +J . +The presence of topological defects would be captured by the +field strength globally being give by Fa = db + ωa + d†βa. The +periods of Fa would be +� +Fa = +� +(ωa + d†βa) ∈ 2πZ and now +dFa = d(d†βa) ̸= 0. +and which obey the quantization condition +� +Cp+1 +Fa ∈ 2πZ, +(C33) +for all Cp+1 ∈ Hp+1(X). So, with these two constraints +in mind we can change variables and write the Euclidean +path integral as +Z = +� +DFa δ +�∗ dFa +2π +� +δ +�� Fa +2π ∈ Z +� +e− +� +X L, +L = +1 +2g2 |Fa|2. +(C34) +Let’s now rewrite the functional delta functions by in- +tegrating in fields. Firstly, introducing the (D − p − 2)- +form ˆa, we write +δ +�∗ dFa +2π +� += +� +Dˆa exp +� +i +� +X +ˆa ∧ ∗ +�∗ dFa +2π +�� +, += +� +Dˆa exp +� i +2π +� +X +dˆa ∧ Fa +� +, +(C35) +where we absorbed any minus signs from the ∗ ∗ and inte- +grating by parts into ˆa. As for the second delta function, +we can rewrite it as +δ +�� Fa +2π ∈ Z +� += +� +ˆωˆa∈Hp+1(X) +exp +� +2πi +�� +ˆωˆa +Fa +2π +�� +, += +� +ωˆa∈2πHD−p−1(X;Z) +exp +� i +2π +� +X +ωˆa ∧ Fa +� +. +(C36) +We start off by summing over all closed (p + 1)- +submanifold ˆωˆa, and then using Poincar´e duality we +change +that +sum +to +a +sum +over +all +dual +closed +(D − p − 1)-forms ωˆa/(2π). +Because we sum over ˆωˆa +with integer coefficients, ωˆa satisfies the quantization +condition +� +ωˆa ∈ 2πZ (the factor of 2π is for conve- +nience). +Thus the product of the delta functions give +δ +�∗ dFa +2π +� +δ +�� Fa +2π ∈ Z +� += +� +Dˆa +� +ωˆa∈2πHD−p−1(X;Z) +exp +� i +2π +� +X +(dˆa + ωˆa) ∧ Fa +� += +� +Dˆa +� +ωˆa∈2πHD−p−1(X;Z) +exp +� i +2π +� +X +Fˆa ∧ Fa +� +, +(C37) +where we introduced Fˆa = dˆa + ωˆa. Note that from the +quantization condition +� +ωˆa ∈ 2πZ, we have that +� +Fˆa ∈ 2πZ. +(C38) +Furthermore, because ωˆa is closed, Fˆa also satisfies a +Bianchi identity +1 +2π ∗ dFˆa = 0. +(C39) + +38 +Returning back to the Euclidean path integral (C34), +using Eq. (C37) it becomes +Z[X, g] = +� +DFaDˆa +� +ωˆa∈2πHD−p−1(X;Z) +e− +� +X L, +L[Fa, Fˆa; g] = +1 +2g2 |Fa|2 − i +2π Fˆa ∧ Fa. +(C40) +Let’s +now +complete +the +square, +and +introducing +G = Fa − i g2 +2π ∗ Fˆa, the path integral becomes +Z = +� +DG Dˆa +� +ωˆa∈2πHD−p−1(X;Z) +e− +� +X L, +L = +1 +2g2 |G|2 + g2 +8π2 |Fˆa|2. +(C41) +We can now integrate out G and arrive at the path inte- +gral only in terms of the dual field ˆa: +Z[X, g] = +� +D[ˆa] +� +ωˆa∈2πHD−p−1(X;Z) +exp +� +− g2 +8π2 +� +X +|Fˆa|2 +� +. (C42) +Remarkably, this theory has the same form as what +we started with, expect now that initial p-form a is a +(D − p − 2)-form ˆa and the coupling constant g is now +2π/g. Thus, strongly coupling (g ≫ 1) in the a represen- +tation gets mapped to weak coupling in the ˆa represen- +tation, and vice versa. +Having gone through the process of dualizing a to ˆa, +let’s now see how operators in terms of a transform un- +der dualizing. We introduce the map S which takes an +operator in the a representation to the ˆa representation. +Let’s first check to see what the field strength Fa maps +to by inserting Fa into the path integral. This is quite +easy to find, noting that when completing the square we +did a change of variables Fa = G + i g2 +2π ∗ Fˆa, the insertion +becomes +⟨Fa⟩a = ⟨G⟩ˆa + +� +i g2 +2π ∗ Fˆa +� +ˆa +. +(C43) +We use the notation that ⟨·⟩a is the vev evaluated in +the a-representation and ⟨·⟩ˆa is the vev evaluated in the +ˆa-representation. Since the G part of the action is Gaus- +sian, ⟨G⟩ = 0 and so ⟨Fa⟩ = ⟨i g2 +2π ∗ Fˆa⟩. Thus, we find +that in Euclidean signature +S : Fa �→ i g2 +2π ∗ Fˆa. +(C44) +In the Lorentzian signature, this would of course become +S : Fa �→ g2 +2π ∗ Fˆa. We can dualizing ˆa back to a by simply +repeating the same steps as before to find +S : Fˆa �→ i 2π +g2 ∗ Fa. +(C45) +Therefore, Dualizing a twice gives us S2 : Fa �→ i2 ∗ ∗ Fa +which using the expression for ∗ ∗ in Euclidean spacetime +becomes +S2 : Fa �→ (−1)D(p+1)+pFa. +(C46) +When both D and p are even, dualizing twice acts as +S2 : Fa �→ Fa. However, if D or p or both are odd, then +S2 : Fa �→ −Fa and thus one must dualize four times to +get the identity map: S4 : Fa �→ Fa. +Repeating the above argument, we find that d†Fa and +∗ dFa get mapped to ∗ dFˆa and d†Fˆa, respectively, and +vice versa. Thus, the excitations (topological defects) of +a are the topological defects (excitations) of ˆa. Hence, +abelian duality is a particle-vortex type duality. +We emphasize that the above mappings does not im- +ply that Fa = i g2 +2π ∗ Fˆa. Instead, while operators linear +in Fa simply have Fa replaced with i g2 +2π ∗ Fˆa, more care +is required to find the dual representation of operators +nonlinear in Fa. For instance, (Fa)2 does not become +(i g2 +2π ∗ Fˆa)2 due to the addition terms pick up when squar- +ing Fa = G + i g2 +2π ∗ Fˆa. +Now let’s see what Wilson operator of a gets mapped +to. +We will assume that Wa is supported on a con- +tractible manifold C = ∂M. However, there are infinitely +many such M whose boundary is C. As such, to avoid +this ambiguity we simply sum over all such M: +Wa[C] = +� +M:∂M=C +exp +� +i +� +∂M +a +� +, += +� +M:∂M=C +exp +� +i +� +M +Fa +� +. +(C47) +Let’s now introduce +ˆ +M, the Poincar´e dual of M with +respect to X, which satisfies +� ˆ +M ∈ 2πZ. The Poincar´e +dual ˆC is related to ˆ +M by ˆC = d ˆ +M/(2π). Thus, using +Poincar´e duality, we rewrite Wa as +Wa[C] = +� +D ˆ +M δ(d ˆ +M − 2π ˆC) exp +� i +2π +� +X +Fa ∧ ˆ +M +� +. +Inserting this into the path integral after the dual field +strength ˆa has been integrated in gives +Z = +� +DFaD ˆ +MD[ˆa] +� +ωˆa∈2πHD−p−1(X;Z) +δ(d ˆ +M − 2π ˆC) e− +� +X L +L = +1 +2g2 |Fa|2 + i +2π (Fˆa − ˆ +M) ∧ Fa. +(C48) +Now integrating out Fa, the resulting theory is +Z = +� +D ˆ +MD[ˆa] +� +ωˆa∈2πHD−p−1(X;Z) +δ(d ˆ +M − 2π ˆC) e− +� +X L, +L = g2 +8π2 |Fˆa − ˆ +M|2 +(C49) + +39 +Note that this can be written as +Z = +� +D[ˆa] +� +ωˆa∈2πHD−p−1(X;Z) +T[C] e− +� +X L, +T = +� +D ˆ +M δ(d ˆ +M − 2π ˆC) e− +� +X +g2 +8π2 [−2Fˆa∧ ∗ ˆ +M+| ˆ +M|2], +L = g2 +8π2 |Fˆa|2 +We thus see that a contractible Wilson loop dualizes to +T, which is a rather cumbersome expression. +The Path integral Eq. (C49) is the path integral +we found without the Wilson loop insertion Eq. (C42) +but now with the connection ˆ +M which is restrained to +d ˆ +M = 2π ˆC. +We can get ride of the +ˆ +M connection in +Eq. (C49) and have the path integral look similar to +Eq. (C42) if we let ˆa be singular field not defined on +C: +Z = +� +D[ˆa] +� +ωˆa∈2πHD−p−1(X;Z) +e− +� +X/C L, +L = g2 +8π2 |Fˆa|2, +(C50) +and with +� +σ Fˆa = 2π for any open submanifold σ which +have a nonzero intersection number with C. Therefore, +the Wilson loop in the a representation has become a ’t +Hooft loop in the ˆa representation. +c. +U(1)(d−p−1) symmetry +When the theory is in the a representation, it would ap- +pear that the model only has a U(1)(p) symmetry. How- +ever, upon dualizing a to ˆa, the path integral Eq. (C42) +took a similar form in terms of Fˆa but with g replaced by +2π/g. Thus, we find that there is a new globally defined +differential (D − p − 2)-form ˆa which shifting by a closed +form leaves the path integral invariant. +Following the +same process as used in investigating the U(1)(p) sym- +metry, this transformation has a physical part associated +with a U(1)(D−p−2) symmetry. +Everything about this U(1)(D−p−2) symmetry follows +in a similar fashion from the U(1)(p) case. In particular, +the symmetry transformation acts on ˆa as +ˆa �→ ˆa + ˆΓ +where +dˆΓ = 0 +(C51) +and the charged operators are Wilson operators in terms +of ˆa +Wˆa (C) = exp +� +i +� +C +ˆa +� +. +(C52) +These correspond to the ’t Hooft operators in the a rep- +resentation. The Noether’s current associated with this +U(1)(D−p−2) symmetry is +ˆJ = g2 +4π2 Fˆa, +(C53) +and thus the symmetry operator is +ˆUˆα (Σ) = exp +� +i ˆα g2 +4π2 +� +Σ +∗ Fˆa +� +, +(C54) +where ˆα ∈ [0, 2π) parametrizes the U(1) transformation. +To see what ˆU is in the a representation, let’s start +with the operator exp +� +iθ +� +Σ Fa +� +and find its image under +S. We’ve already done this calculation while finding the +image of the Wilson operator. This time, we simply do +not sum over all Σ. We therefore have that (in Lorentzian +signature) +S : eiθ +� +Σ Fa �→ eiθ +� +Σ +g2 +2π ∗ Fˆa−i θ2g2 +2 +� +X |ˆΣ|2. +(C55) +Setting θ = +ˆα +2π, the U(1)(D−p−2) symmetry operator in +the a-representation is +ˆUˆα(Σ) = exp +� +i ˆα +� +Σ +Fa +2π + i ˆα2g2 +8π2 +� +X +|ˆΣ|2 +� +(C56) +since under S it transforms to Eq. (C54). However, note +that the term +� +X |ˆΣ|2 is an overall phase and therefore +does not affect the symmetry transformation. +So, we +can drop this overall phase and treat the U(1)(D−p−2) +symmetry operator in the a-representation instead as +ˆUˆα(Σ) = exp +� +i ˆα +� +Σ +Fa +2π +� +. +(C57) +From this expression, it is easy to see that the Noether +current of the U(1)(D−p−2) symmetry in the a represen- +tation ˆJ satisfies +∗ ˆJ = 1 +2π Fa. +(C58) +The fact the ˆJ is conserved is simply a reflection of the +Bianchi identity. +The charged objects under the U(1)(D−p−2) symmetry +are the Wilson loops of ˆa, or equivalently the ’t Hooft +loops of a. To see so in the ˆa representation is straight +forward and follows exactly as how we found that the +Wilson loops of a were charged operators of U(1)(p) in +the a representation. So, let’s instead see that the Wilson +loops of ˆa are charged operators of U(1)(D−p−2) in the a +representation +Let’s denote the ’t Hooft loop of a supported on the +closed (D − p − 2) submanifold C as Ta(C). A part of +the definition of Ta(C) is that in it’s presence +� +Σ Fˆb = 2π +for any open submanifold Σ which have a nonzero inter- +section number with C. Therefore +ˆUˆα(σ)Ta(C) ˆU † +ˆα(σ) = exp [i ˆα # (Σ, C)] Ta (C) . +(C59) +d. +Mixed ’t Hooft anomaly and anomaly inflow +In the last section, we reviewed that p-form Maxwell +theory has a U(1)(p) and a U(1)(d−p−1) symmetry. How- +ever, it turns out that these two symmetries are not fully + +40 +independent from one another: there is a mixed ’t Hooft +anomaly preventing us from simultaneously turning on a +background gauge field of both symmetries. +The main idea of gauging a symmetry is to add addi- +tional degrees of freedom such that the theory is invari- +ant under the symmetry operator even when it is sup- +ported on open submanifolds31. For instance, let’s start +off in the in the a representation and gauge the U(1)(p) +symmetry. The U(1)(p) symmetry operator Uα(Σ) (see +Eq. (C27)) is supported on the closed submanifold Σ, +and acting it on a shifted a by ˆΣ, the Poincar´e dual of +Σ. Because Σ is a closed submanifold (i.e., ∂Σ = ∅), the +Poincar´e dual ˆΣ is a closed form (i.e., dˆΣ = 0). Thus, +gauging the symmetry requires the theory to be invari- +ant under Uα(σ) for ∂Σ ̸= ∅, and therefore invariant un- +der shifting a by a ˆΣ such that dˆΣ ̸= 0. +Let’s first turn on a background field A of the U(1)(p) +symmetry, which satisfies +� +FA ∈ 2πZ and dFA = 0, and +includes the gauge redundancy +a �→ a + β, +A �→ A + dβ, +(C60) +where dβ ̸= 0. +If we were to gauge the symmetry, A +would be a dynamical field rather than a background +gauge field. +Nevertheless, minimally coupling A to a, +the path integral becomes +Z[A] = +� +D[a] e− +� +X L, +L = +1 +2g2 |Fa − A|2. +(C61) +We now dualize a to ˆa to see how A couples to ˆa. Re- +peating the first steps of abelian duality is reviewed in +section C 1 b, we can rewrite the path integral as +Z[A] = +� +DFaD[ˆa] e− +� +X L, +L = +1 +2g2 |Fa − A|2 − i +2π Fˆa ∧ Fa. +(C62) +In the A = 0 theory, at this step in dualizing we com- +pleted the square. But instead, let’s first make the change +of variables Fa = K + A such that the path integral be- +comes +Z[A] = +� +DKD[ˆa] e− +� +X L, +L = +1 +2g2 |K|2 − i +2π Fˆa ∧ K − i +2π A ∧ Fˆa. +(C63) +31 This can be thought of as a generalization of the 0-form sym- +metry case, where gauging a symmetry is typically thought of +as requiring the theory to be invariant under local symmetry +transformations. +The two first terms in L that depend on K are the same +two terms we encountered when dualizing the theory pre- +viously. The A dependency is entirely in the third term. +Since it does not include K, upon integrating out K we +will arrive at the same dual theory as before plus this +third term. Therefore, in the ˆa representation, A mini- +mally couples as +Z[A] = +� +D[ˆa] e− +� +X L, +L = g2 +8π2 |Fˆa|2 − i +2π A ∧ Fˆa. +(C64) +Note that because dFˆa = 0 and spacetime is closed, the +path integral in the ˆa-representation is still invariant un- +der the gauge transformation Eq (C60). +Eq. (C64) reveals that coupling a U(1)(p) symmetry +background gauge field is equivalent to adding a topologi- +cal term in the ˆa representation. This new term has a no- +ticeable effect. The Noether current for the U(1)(D−p−2) +symmetry, ˆJ = +g2 +4π2 Fˆa, is no longer conserved: +d† ˆJ = 1 +2π ∗ dA. +(C65) +This is a manifestation of the mixed ’t Hooft anomaly. +Let’s not turn off A but turn on a background gauge +field for the U(1)(D−p−2) symmetry. +From our above +discussion, this means that we introduce a background +field ˆ +A and the gauge redundancy +ˆa �→ ˆa + ˆβ, +ˆ +A �→ ˆ +A + dˆβ, +(C66) +where dˆβ ̸= 0. +Inspired by how A coupled to ˆa in +Eq. (C63), we minimally couple ˆ +A to a in a similar fash- +ion and consider +Z[ ˆ +A] = +� +D[a] e− +� +X L, +L = 1 +2g2 |Fa|2 − i +2π +ˆ +A ∧ Fa, +(C67) +Note that because Fa closed, shifting ˆ +A by an exact form +does not change the path integral and thus this is cor- +rectly gauge invariant. To check if this way of coupling +ˆ +A to a is correct, we note that we expect in the ˆa repre- +sentation that ˆ +A couples to ˆa in the form Fˆa − ˆ +A. Let’s +check this by dualizing a to ˆa in Eq. (C67). Repeating +the first steps of abelian duality, we can rewrite the path +integral as +Z[ ˆ +A] = +� +DFaD[ˆa] e− +� +X L, +L = +1 +2g2 |Fa|2 − i +2π (Fˆa − ˆ +A) ∧ Fa. +(C68) +which integrating out Fa yields +Z[ ˆ +A] = +� +D[ˆa]D[ ˆ +A] e− +� +X L, +L = g2 +8π2 |Fˆa − ˆ +A|2, +(C69) + +41 +as expected. Returning back to Eq. (C67), due to the new +topological term, the U(1)(p) symmetry Noether current +J = +1 +g2 Fa is no longer conserved: +d†J = 1 +2π ∗ d ˆ +A. +(C70) +Once again, this is a manifestation of the mixed ’t Hooft +anomaly. +Let us now turn on both of the background gauge fields +A and +ˆ +A. +Working in the a representation and using +what we just found, the path integral becomes +Z[A, ˆ +A] = +� +D[a] e− +� +X L, +L = +1 +2g2 |Fa − A|2 − i +2π +ˆ +A ∧ Fa. +(C71) +This path integral is invariant under the gauge transfor- +mation Eq. (C66). However, due to the second term in L, +this path integral is no longer invariant under the gauge +transformation Eq. (C60), and transforms as +Z[A, ˆ +A] �→ Z[A, ˆ +A] exp +� i +2π +� +X +ˆ +A ∧ dβ +� +. +(C72) +One could add a local-counter term to remedy this, and +the path integral becomes +Z[A, ˆ +A] = +� +D[a] e− +� +X L, +L = +1 +2g2 |Fa − A|2 − i +2π +ˆ +A ∧ (Fa − A). +(C73) +This is indeed now invariant under the gauge transforma- +tion Eq. (C60). However, it is no longer invariant under +the gauge transformation Eq. (C66), transforming as +Z[A, ˆ +A] �→ Z[A, ˆ +A] exp +� +− i +2π +� +X +dˆβ ∧ A +� +. +(C74) +In fact, there are no local counter terms which will make +the path integral gauge invariant when both A and ˆ +A are +turned on. Thus, the U(1)(p) × U(1)(d−p−1) symmetry is +anomalous. +If the theory is going to be gauge invariant, we must do +something more drastic. Indeed, we can make the theory +invariant under the gauge transformations by introducing +the (D + 1)-dimensional spacetime Y such that X = ∂Y +and extending the background gauge fields A and ˆ +A into +Y . To get a hint as to why, let’s return to Eq. (C72) +and note that using Stoke’s theorem we can rewrite the +integral in the exponential as +� +X=∂Y +ˆ +A ∧ dβ = +� +Y +d( ˆ +A ∧ dβ) = +� +Y +d ˆ +A ∧ dβ +(C75) +This then motivates the new gauge invariant partition +function +Z[A, ˆ +A] = exp +� +− i +2π +� +Y +d ˆ +A ∧ A +� � +D[a] e− +� +∂Y L, +L = +1 +2g2 |Fa − A|2 − i +2π +ˆ +A ∧ Fa. +(C76) +Indeed, Z[A, ˆ +A] is invariant under the gauge trans- +formations Eq. (C72) since the phase picked up from +� +D[ˆa] e− +� +∂Y L cancels with the phase we added. +Thus, we see the ’t Hooft anomaly through the mod- +ern prospective of anomaly inflow. The theory Lboundary +with A and ˆ +A was not well defined in D-dimensions. 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Yonekura, Anomaly + +44 +inflow +and +p-form +gauge +theories, +Communica- +tions +in +Mathematical +Physics +391, +495 +(2022), +arXiv:2003.11550. + diff --git a/ydE4T4oBgHgl3EQfxw3J/content/tmp_files/load_file.txt b/ydE4T4oBgHgl3EQfxw3J/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..b747cf4338a837e0a5ec127e918e62520df9e863 --- /dev/null +++ b/ydE4T4oBgHgl3EQfxw3J/content/tmp_files/load_file.txt @@ -0,0 +1,2323 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf,len=2322 +page_content='Exact emergent higher symmetries in bosonic lattice models Salvatore D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Pace and Xiao-Gang Wen Department of Physics, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139, USA (Dated: January 16, 2023) While higher-form symmetries are a powerful tool in studying a quantum many-body system, theories with exact higher-form symmetries are rather special and, in a sense, fine-tuned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This raises an interesting question: can the phases of a microscopic (UV) theory without exact higher- form symmetries be exactly characterized by emergent higher-form symmetries?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here we argue the answer is yes by constructing effective theories for bosonic lattice Hamiltonian models that only capture the system’s dynamics at E < Escale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The emergent symmetries below this energy scale are then identified as the exact symmetries of this effective theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We find that the emergent higher-form symmetries (excluding 0-form symmetries) are robust against local UV perturbations and become exact symmetries of the effective theory in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This result is true even for more general higher symmetries, such as non-invertible higher symmetries (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', algebraic higher symmetries).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, emergent higher symmetries are exact emergent symmetries: they are not UV symmetries but constrain the IR as if they were.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We apply this framework to three lattice models (the quantum clock model and emergent ZN and U(1) p-gauge theory) to identify regions of parameter space with energy scales below which higher-form symmetries, and sometimes associated ’t Hooft anomalies, emerge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since phases of matter are defined in the thermodynamic limit, this implies that a UV theory without exact higher symmetries can have phases exactly characterized by emergent higher symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We discuss in detail the physical consequences of this and contrast it to emergent 0-symmetries, which are never exact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This emphasizes the importance of identifying scale hierarchies and emergent higher symmetries when studying quantum many-body systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' CONTENTS I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Introduction 1 II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Energy scales hierarchies and effective Hamiltonians 3 A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Low energy exact emergent generalized symmetries 3 B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A holographic picture for emergent finite symmetries 5 III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Examples of exact emergent higher-form symmetries 8 A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Quantum clock model 10 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent Z(d) N symmetry and mixed ’t Hooft anomaly 11 B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Emergent ZN p-gauge theory for p ≥ 1 12 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent Z(p) N symmetry 13 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent anomalous Z(p) N × Z(d−p) N symmetry 16 C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Emergent U(1) p-gauge theory 19 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent U(1)(p) symmetry 19 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent anomalous U(1)(p) × U(1)(d−p−1) symmetry 21 IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Physical consequences of exact emergent higher-form symmetries 23 V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Conclusion and discussion 26 VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Acknowledgements 26 A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Review of discrete differential geometry for d-dimensional cubic lattices 26 B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A TQFT description of the p-form toric code ground states—p-form BF theory 28 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Review of p-form BF theory 29 a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN p-form gauge theory in the continuum 29 b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Symmetries 31 c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Mixed ’t Hooft anomaly and anomaly inflow 32 C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Taking the continuum limit—p-form Maxwell theory 33 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Review of p-form Maxwell theory 35 a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' U(1)(p) symmetry 36 b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Abelian duality 37 c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' U(1)(d−p−1) symmetry 39 d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Mixed ’t Hooft anomaly and anomaly inflow 39 References 41 I.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' INTRODUCTION A longstanding pillar for understanding strongly inter- acting quantum many-body systems is to identify and understand their symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, symmetries pro- vide powerful constraints and universal characterizations of a system’s dynamics and phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This point of view has become increasingly fruitful with modern general- izations of symmetry [1–8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, topological order [9], which provided the first indication that con- ventional symmetries [10, 11] are not all-powerful, can now be understood in a symmetry framework [6, 12–16].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These generalizations open up an exciting frontier for the discovery of new phases of quantum matter and the arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='05261v1 [cond-mat.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='str-el] 12 Jan 2023 2 conceptual organization/systematic understanding [4] of quantum phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, one may wonder if the gener- alization of symmetries can become so general that they could capture all possible IR symmetries in gapless liquid states, becoming a largely complete universal characteri- zation of gapless phases and thus a key to understanding gapless liquid states [17–20] and webs of dualities [4, 21– 23].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One of the simplest and best-understood generaliza- tions of symmetry is so-called higher-form symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For ordinary symmetries, charged operators act on a point in spacetime and the unitary operator that generates the symmetry transformation acts on a codimension-1 hy- persurface of spacetime (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', all of space at a fixed time slice).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Higher-form symmetries generalize this by allow- ing charged operators to be extended objects [1, 2, 12].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For a p-form symmetry1, the charged operators act on closed p-dimensional subspaces and, and the unitary generating the transformation acts on a closed (d − p)- dimensional subspace of d-dimensional space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Notice that an ordinary global symmetry is just a 0-form sym- metry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Most things 0-form symmetries can do, higher-form symmetries can also do.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For example, higher-form symmetries can spontaneously break, giving rise to a topological ground state degeneracy (gapless Goldstone bosons) when discrete (continuous) [2, 27–33].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- deed, abelian topological orders reflect discrete 1-form symmetries spontaneously breaking, and photons in a Coulomb phase arise from U(1) 1-form symmetries spon- taneously breaking.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A higher-form symmetry can also have a ’t Hooft anomaly, providing powerful constraints on the IR through generalized Lieb-Schultz-Mattis- Oshikawa-Hastings theorems and introducing higher- form symmetry-protected topological phases [13, 14, 34– 43].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These applications of higher-form symmetries make them a powerful tool in studying quantum many-body systems.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, unfortunately, models with exact higher-form symmetries are rather special and, in a sense, fine-tuned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, it is natural to wonder if they play a role in more typical, physically relevant models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One possi- bility is that while they may not be exact microscopic symmetries, they could still arise as emergent symme- tries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, experience with emergent ordinary (0- form) symmetries causes apprehension since their conse- quences are never exact and always approximate [44].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In other words, explicitly breaking emergent 0-form sym- metries at energy scale E creates O(Eγ) errors, even in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Amazingly, common folklore suggests that this 0-form symmetry-based intuition does not carry over to higher-form symmetries and that they can constrain a system exactly even as emergent symme- tries [13, 33, 45–49].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1 Here we will consider only pure p-form symmetries, and not the more general p-group symmetries [24–26].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this manuscript, we investigate this robustness of higher-form symmetries from a UV perspective, consid- ering bosonic lattice Hamiltonian models without higher- form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These UV-complete theories are sim- ple to work with, well-defined, and relevant to condensed matter physics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For this class of models, we demonstrate how higher-form symmetries can emerge and, when they do, why they nevertheless constrain the IR exactly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This result is not rigorously demonstrated and relies on phys- ically reasonable conjectures made in order to identify low-energy sub-Hilbert spaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We find that at energies with the emergent higher-form symmetry, the dynamics of states are affected by the emergent higher-form symmetry as if it were an exact UV symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' More precisely, any coming errors from the higher-form symmetries being emergent below a finite energy scale E are of order O(e−Lγ), where L is the sys- tem size measured by lattice constant, and thus vanish in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Our arguments apply to sym- metries more general then pure higher-form symmetries, such as higher-group symmetries and beyond higher- group symmetries (non-invertible higher-form symme- tries/algebraic higher symmetries [4, 50, 51]), but do not apply to 0-symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This suggests the phases of microscopic models with- out exact higher symmetries can be exactly character- ized by emergent higher symmetries2, except the 0- symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To emphasize this, we will refer to emer- gent higher symmetries as exact emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The rest of this paper is goes as follows: In section II, we review the importance of the sepa- ration of scales in many-body systems and show how to identify low-energy sub-Hilbert spaces for a general class of models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We then discuss how to identify the emergent symmetries of a low-energy sub-Hilbert space, providing motivation from the point of view that symmetries are described by algebras of local symmetric operators [52].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We identify these emergent symmetries by developing an effective Hamiltonian description for the low-energy sub- Hilbert space using the intuition that the microscopic dynamics generate low-energy dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In section III, we apply the framework introduced in section II to three bosonic lattice models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We start by warming up with the ZN quantum clock model in the ZN spontaneous symmetry broken phase in subsection III A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We then apply the framework to more sophisticated mod- els for emergent ZN p-gauge theory and emergent U(1) p- gauge theory in subsections III B and III C, respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These subsections include many technical details, ex- plicitly demonstrating how higher-form symmetries can emerge in these models and how they become exact sym- 2 Here the term “p-symmetry” and “higher symmetry” includes both higher-form symmetry described by higher-group and al- gebraic higher symmetry which are beyond higher-group.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For example, 0-symmetry includes both group-like 0-form symmetry and beyond-group algebraic symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 3 metries of the effective mid-IR Hamiltonians in the ther- modynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In section IV, we summarize the general lessons learned and the physical consequences from exact emergent higher-form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In particular, we first discuss why, from the point of view of effective Hamiltonians, breaking a higher-form symmetry in the UV does not au- tomatically break it at lower energies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Then we discuss how exact emergent higher-form symmetries can charac- terize phases of theories that do not have UV higher-form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In particular, how exact emergent higher- form symmetries can spontaneously break and how they can protect symmetry-protected topological phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An important takeaway is to understand how exact emergent higher-form symmetries characterize phases, one should first partition the parameter space by both the theory’s exact emergent IR symmetries and not just its exact UV symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These partitions do not necessarily resemble the system’s phase diagram and instead lay a foundation from which its phases can be labeled and characterized using generalized symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In section V, we conclude and discuss some open ques- tions arising from this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The appendix includes three additional sections which supplement the main text.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Firstly, in appendix section A, we review the discrete differential geometry notation (in a non-rigorous fashion) used throughout section III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Then, appendix sections B and C show how the deconfined phases of the models for emergent ZN p-gauge theory and emergent U(1) p-gauge theory, respectively, are related to the corresponding quantum field theory descriptions: p-form BF theory and p-form Maxwell theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The re- lated subsections review the higher-form symmetries and ’t Hooft anomalies in these quantum field theories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ENERGY SCALES HIERARCHIES AND EFFECTIVE HAMILTONIANS A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Low energy exact emergent generalized symmetries Consider a lattice bosonic quantum system described by the local Hamiltonian H and whose total Hilbert space V is tensor product decomposable: V = � i Vi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since H includes the exact interactions at the microscopic scale and describes the system at all energies throughout the entire parameter space, we refer to it as the UV Hamilto- nian, adopting the language used in field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' While, in theory, the system’s physical properties can be ex- tracted from H, this proves much too difficult in prac- tice [53].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A guiding principle to overcome this daunting prob- lem is the separation of energy scales (assuming there is no UV/IR mixing [54–57]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will always denote the lowest energy scale as EIR and refer to the sub-Hilbert space VIR = span{|En⟩ | En < EIR}, where |En⟩ is an energy eigenstate, as the IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, we will al- E(III) UV E(IV) UV E(IV) mid−IR E(IV) IR E(I) UV E(I) mid−IR I E(I) IR E(I) mid−IR II E(II) UV E(II) IR I IV II III Parameter Space FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The parameter space of a many-body Hamiltonian can be partitioned by its differing hierarchies of energy scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A schematic depiction of this is shown here.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The parameter space is partitioned into four regions, labeled I, II, III, and IV, with their differing energy scale hierarchies shown.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ways denote the largest possible energy value as EUV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, there can be other interesting energy scales between the IR and the UV scales, which we will call mid-IR energies Emid-IR and refer to the sub-Hilbert space Vmid-IR = span{|En⟩ | En < Emid-IR} as the mid- IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Generally, there can be multiple of these mid-IR scales, and as demonstrated in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1, different regions of parameter space will have a different hierarchy of en- ergy scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One reason to introduce the notion of the mid-IR is to make the connection between lattice models and quantum field theories clearer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, in condensed matter physics, the UV theory is a lattice model and quantum field theories are generally mid-IR theories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is helpful to organize a quantum many-body system around its scale hierarchies because the low-energy eigen- states will often have additional structures absent from high-energy eigenstates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For example, these additional structures could reflect the presence of new, emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, as depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2, states with energy EIR ≤ E < Emid-IR have equal or more symmetry than states with E ≥ Emid-IR but equal or less symmetry than states with E < EIR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is nontrivial to systematically identify the scale hi- erarchies of a general UV Hamiltonian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here we will spe- cialize to a typical situation where the UV Hamiltonian can be written as H = H0 + H1, (1) where a mid-IR scale Emid-IR of H0 is known (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', an en- ergy gap of a quasiparticle), and V(H0) mid-IR is spanned by en- ergy eigenstates of H0 satisfying ⟨Pi⟩ = 0,3 where {Pi} is a collection of mutually commuting local projection oper- ators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In other words, {Pi} act on |ψmid-IR⟩ ∈ V(H0) mid-IR as 3 Here, we will use the notation that an operator with the subscript i acts only on degrees of freedom near site i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4 Pi |ψmid-IR⟩ = 0, while Pi |ψ⟩ ̸= 0 for |ψ⟩ ̸∈ V(H0) mid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fol- lowing the previous discussion, the low energy physics of H0 below Emid-IR can have additional structures which are determined by Pi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, as we will soon ar- gue, these special structures commonly include emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Now, let us include the perturbation H1 in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will assume H1 includes terms that mix states with ⟨Pi⟩ = 0 and states with ⟨Pi⟩ ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because of H1, en- ergy eigenstates of H are a superposition of states with ⟨Pi⟩ = 0 and states with ⟨Pi⟩ ̸= 0 and, therefore, the sub- Hilbert space spanned by states satisfying ⟨Pi⟩ = 0 is not a mid-IR of H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consequently, it appears that any spe- cial structures arising due to Pi = 0 (such as emergent symmetry) are destroyed by the H1 term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On the other hand, if all parameters in H1 are much smaller than those in H0, it is tempting to think that the mid-IR of H is closely related to the ⟨Pi⟩ = 0 states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This intuition motivates one to introduce the parameter s ∈ [0, 1] and family of Hamiltonians H(s) = H0 + s H1, (2) from which the mid-IR of H can be constructed from the mid-IR of H0 by slowly tuning s = 0 to s = 1 [46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, let us denote the nth many-body energy eigen- state of H(s) as |ψ(s) n ⟩ and define the unitary operator Vs = � n |ψ(s) n ⟩⟨ψ(0) n | which satisfies Vs|ψ(0) n ⟩ = |ψ(s) n ⟩ and ⟨ψ(0) n |A|ψ(0) n ⟩ = ⟨ψ(s) n |VsAV † s |ψ(s) n ⟩ (3) for any operator A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the ⟨P⟩ = 0 sector of H0 is related to the ⟨V1PV † 1 ⟩ = 0 sector of H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, this definition of Vs is unphysical since VsPV † s is likely to be nonlocal even if P is local.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 46 found a local unitary operator ULU that approximates Vs very well, while ensuring local operators remain local when dressed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An explicit form of ULU is [58] ULU = S′ � exp � i � 1 0 ds′ Ds′ �� , Ds ≡ i � dt F(t)eiH(s)t∂sH(s)e−iH(s)t, (4) where S′ denotes s′-ordering and F(t) is a function sat- isfying a particular set of requirements, such as F(t) = −F(−t) so that Ds is anti-Hermitian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Motivated by those results, here we assume that there exists a proper local unitary operator ULU with the fol- lowing properties: (1) it maps a local operator Oi to a local operator �Oi ≡ ULUOiU † LU (with some fattening);' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (2) it maps the nth eigenstate |ψ(0) n ⟩ of H(0) with eigen- value E(0) n to a superposition of some eigenstates |ψ(1) n′ ⟩ of H(1) with eigenvalue E(1) n − δ < E(1) n′ < E(1) n + δ, where δ ≪ Emin-IR and E(1) n is the eigenvalue of the nth eigen- state |ψ(1) n ⟩ of H(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If such a unitary operator satisfying the aforementioned properties does not exist for a partic- ular H in parameter space, it means that the mid-IR does not exist at that point of parameter space (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', due to the gapped quasiparticles defining Emid-IR condensing).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will obtain our results based on this conjecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consider an eigenstate |ψ(0) n ⟩ of H(0) with eigenvalue E(0) n ≪ Emid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus |ψ(0) n ⟩ satisfies Pi|ψ(0) n ⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ULU will map it to some eigenstates of H(1) with eigenvalues much less then Emid-IR, which satisfy �Pi|ψ(1) n ⟩ = 0, where �Pi = ULUPiU † LU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The above is true for all the low energy eigenstates of H(0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can therefore identify the mid- IR of H as the sub-Hilbert space spanned by the mid-IR eigenstates of H(0) transformed by ULU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, since the mid-IR states of H(0) satisfied Pi = 0, the mid- IR states of H satisfy �Pi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Notice that { �Pi} is also a set of mutually commuting local projectors whose �Pi = 0 space corresponds to the low energy sub-Hilbert space of H, V(H) mid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus the exact low energy structures of H0 specified by the projectors Pi become the exact low en- ergy structures of H specified by the projectors �Pi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since {Pi} and { �Pi} are related by a local unitary transforma- tion ULU, we exact the two exact low energy structures are equivalent.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This result was obtained in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 46 for emergent Z2 and U(1) gauge symmetry (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' the low en- ergy subspace satisfies that Gauss’s law �ρi = 0 exactly and is exactly gauge invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') We believe such a result remains to be valid for more general situations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Having identified a mid-IR of H, we now discuss how to determine if, and what kind of, additional structures emerge at E < Emid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this paper, we will investi- gate the scenario where these additional structures are emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To identify emergent symmetries, it is helpful to adopt the perspective that a symmetry is described/defined by an algebra of local symmetric oper- ators [52].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, if the UV symmetries are gener- ated by the unitaries {Ug}, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' [Ug, H0] = [Ug, H1] = 0, then the associated algebra of local symmetric operators is AUV = {OUV | OUVUg = UgOUV ∀ g}, (5) where OUV is a local operator acting on the full Hilbert space V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, given A, one can recover the symme- try transformation operators by finding all operators that commute with the elements of A while also acting non- trivially on some physical operators4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this view, the mid-IR symmetries are described by the algebra of local symmetric operators Amid-IR = {Omid-IR | Omid-IR �Pi = �PiOmid-IR ∀ i, ∀ Omid-IR ∈ AUV}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (6) Indeed, the symmetry transformations of the symmetry are given by all the operators that commute with Amid-IR: Tmid-IR = {Umid-IR | Umid-IROmid-IR = Omid-IRUmid-IR, ∀ Omid-IR ∈ Amid-IR}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (7) 4 The latter requirement is required to avoid including gauge re- dundancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5 GUV ⊂ Gmid−IR ⊂ GIR EUV Emid−IR EIR UV, GUV mid-IR, Gmid−IR IR, GIR Energy FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetries of a quantum many-body system generally depend on the energy scale of an observer.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' While microscopic (UV) symmetries GUV are noticeable at all en- ergy scales, at lower energies an observer may discover addi- tional, emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These emergent symmetries can be ordinary symmetries, anomalous symmetries, higher-form symmetries, non-invertible symmetries, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' [2, 6, 7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Tmid-IR will include the UV symmetries but could include additional emergent symmetries, reflecting the possibil- ity depicted in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, it should generally be the case that the emergent symmetries of H determined by the algebra Amid-IR are exact symmetry of H0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We refer to emergent symmetries identified by Amid-IR as exact emergent symmetries to emphasize that at E < Emid-IR, they are equally impactful as exact UV symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- deed, exact emergent symmetries are not approximate, and Amid-IR cannot describe approximate symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The above description of symmetry using AUV is very general and capable of describing all generalizations of symmetries, with or without ’t Hooft anomalies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Further- more, for finite symmetries, an algebra of local symmet- ric operators determines a non-degenerate braided fusion (higher) category (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' a topological order in one higher dimension), which is referred to as categorical symmetry and is a direct description of the symmetry [19, 52].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Iden- tifying exact emergent symmetries using Amid-IR, speci- fied by local commuting projectors �Pi, includes all types of emergent generalized symmetries but does not include emergent 0-form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, emergent 0-form symmetries are usually not exact and instead approxi- mate symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On the other hand, as long as the lattice is free from defects (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', no lattice sites are miss- ing), emergent higher-form symmetries are always exact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will provide a more detailed discussion on this point in the next subsection and next section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One can possibly discover all of the emergent symme- tries of a system in a Hamiltonian-independent way by constructing A at all energy scales for each energy hierar- chy in parameter space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, it is desirable to have a Hamiltonian description reflecting the emergent sym- metries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetries that emerge at E < Emid-IR are hidden from the UV Hamiltonian H since it describes the dynamics of both states with �Pi = 0 and �Pi = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, to make the emergent symmetries manifest, we will develop an effective mid-IR theory Hmid-IR that describes only the dynamics of states with �Pi = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetries of Hmid-IR should include the UV symmetries but could also include additional ones, which we will identify as emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since H is a sum of only opera- tors in AUV, we expect that Hmid-IR should be a sum of only operators in Amid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective mid-IR Hamiltonian should act only on the mid-IR Hilbert space Vmid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, we develop Hmid-IR using the physical intuition that the UV dynam- ics generate the mid-IR dynamics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, decomposing the UV theory as a sum over local terms H = � i H(i), consider the amplitude ⟨ψ| eiH |ψ⟩ = ∞ � n=0 in n!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � i0···in ⟨ψ| H(i0) · · · H(in) |ψ⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (8) When |ψ⟩ ∈ Vmid-IR, we require that Hmid-IR satis- fies ⟨ψ| eiHmid-IR |ψ⟩ = ⟨ψ| eiH |ψ⟩ under the constraint that all terms in Hmid-IR commute with { �Pi}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' No- tice that since the amplitudes must match, terms in Hmid-IR can only be constructed from {H(i0) · · · H(in)} for n = 0, 1, · · · , ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the most general form of Hmid-IR is a sum of operators constructed from all combinations of the terms in H, or equivalently �H, that commute with �Pi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Letting A denote the set of all of these operators, we define Hmid-IR as Hmid-IR = � O∈A COO, (9) where {CO} are constants chosen such that the ampli- tudes match.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, as expected, Hmid-IR is a sum over operators in Amid-IR, but A ⊂ Amid-IR since A in- cludes only those which can generated from the terms in �H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The constants {CO} are renormalized versions of the UV parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On physical grounds, we require the ef- fective mid-IR theory to be a local Hamiltonian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, the greater number of terms from �H involved in O or the larger the region of the lattice O acts on, the smaller CO is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The ability to define a local effective mid- IR Hamiltonian is a requirement of the mid-IR to be well defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This definition of the effective mid-IR Hamilto- nian is physically reasonable but not rigorous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will not present a rigorous justification or proof of Hmid-IR, leaving it for future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, we state Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (9) with the restrictions on CO as the conjectured form of Hmid-IR, and the rest of this paper is dedicated to examining the consequences of this conjecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A holographic picture for emergent finite symmetries One way to obtain a systematic understanding of strongly correlated gapless states is to find all their uni- versal characterizations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Low-energy emergent symme- tries provide a possible candidate for such universal char- acterizations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As mentioned previously, emergent sym- 6 M QFTano FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A symmetric system with symmetry R, after be- ing restricted in the symmetric sub-Hilbert space in a closed space, can be viewed as a system (denoted as QFTano) with a non-invertible gravitational anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Low energy properties of QFTano can be exactly simulated by a boundary of a topo- logical order M in one higher dimension.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' QFTano uniquely determines the bulk topological order M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' metries can be very general.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' They can include group- like symmetries, anomalous symmetries, (anomalous) higher-form symmetries, (anomalous) algebraic higher- form symmetries (also called non-invertible symmetries), etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When these symmetries are finite, Refs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4 and 51 proposed a unified description of all types of symmetries in terms of topological orders in one higher dimension, called categorical symmetry5 [4, 50] or symmetry topo- logical field theory (TFT) [59].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This has the following physical meaning: given an anomaly-free system6 (de- noted as QFTaf) with a symmetry R, its low energy properties within the symmetric sub-Hilbert space in a closed space are exactly simulated by a boundary of the corresponding topological order M in one higher dimen- sion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is because, when restricted to symmetric sub- Hilbert space in a closed space, the system can be viewed as a system (denoted as QFTano) with a non-invertible gravitational anomaly [50, 60], which is the same as topo- logical order M in one higher dimension [61, 62] (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Certainly, there are many physically distinguishable systems with the same finite symmetry R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Neverthe- less, for each such system, we can find a boundary of M to exactly simulate it at low energies, since M can also have many physically distinguishable boundaries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus using bulk topological order M to described a symmetry R means that there is an one-to-one correspondence be- tween systems with the symmetry R and boundaries of bulk topological order M, such that the local low energy properties of the corresponding symmetric system and boundary of M are identical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For example, the low en- ergy spectrum in the symmetric sub-Hilbert space of the symmetric system is identical to the low energy spectrum of the corresponding boundary of M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The boundary of M in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 3 does not simulate all of QFTaf’s low energy properties since QFTano only de- scribes the symmetric sub-Hilbert space of QFTaf.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- deed, truly simulating QFTaf requires the boundary of 5 This is not to be confused with non-invertible symme- try/algebraic higher-form symmetry, which are sometimes also referred to as categorical symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 6 Throughout section II B, an anomaly-free system means a system with a lattice UV completion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' R R M M = QFT QFTano QFTano af FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The low energy properties QFTaf with symmetry R can be exactly simulated by a slab of topological order M with two boundaries QFTano and � R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The stacking of the two boundaries through the bulk topological order is denoted as QFTano ⊠M � R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' M to capture all states in the Hilbert space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This can be achieved by adding an additional gapped boundary �R of M [4, 8], as shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will denote the composition of the topological order M with two bound- aries QFTano and �R as QFTano ⊠M �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Provided that the topological order M and the boundary �R have an infinite energy gap, the low-energy properties of QFTaf are described by the composite system QFTano ⊠M �R, and thus QFTaf = QFTano ⊠M �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (10) If an anomaly-free system QFTaf admits a decomposi- tion QFTaf = QFTano ⊠M �R, then we say the anomaly- free system QFTaf is described by the categorical sym- metry M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The boundary �R contains gapped excitations that can generally be of various dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If the spatial dimen- sion of the boundary is n, these excitations are described by a fusion n-category, which we will denote as �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On the other hand, the bulk topological order M in (n + 1)- dimensional space will generally also have numerous bulk excitations of various dimensions, which are described by a braided fusion n-category denoted as M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The bound- ary fusion n-category �R uniquely determines the bulk braided fusion n-category M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, M and �R are re- lated to one another by M = Z( �R), (11) where Z( �R) is the center of �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When n = 1, Z( �R) is the Drinfeld center of �R and, if �R = Rep(G), M is the quantum double of �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the decomposition QFTaf = QFTano ⊠M �R, if �R is a local fusion n-category7, then QFTaf has an anomaly- free symmetry described by R, the dual of �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because R 7 A fusion n-category � R is local if there exists a fusion n-category R such that Z(R) = Z( � R) and R ⊠M � R = nVec, where nVec is the braided fusion n-category describing excitations in a trivial topological order (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' above a trivial product state).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The two local fusion n-categories R and � R are then said dual to each other.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7 and �R are dual, the anomaly-free symmetry R also deter- mines the categorical symmetry M = Z(R).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, if �R is not local, we cannot say QFTaf has an anomaly-free symmetry, although its symmetries are still described by the categorical symmetry M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We note that in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 8, the pair ( �R, M) is regarded as a generalized symmetry regardless if �R is local or not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using QFTano ⊠M �R to describe the symmetries of QFTaf is very general and provides a unifying formal- ism capable of describing all generalizations of symme- try.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, as we will now argue, QFTano ⊠M �R is also able to describe the exact emergent symmetries of QFTaf discussed in the previous subsection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, one may view QFTano ⊠M �R as the definition of (exact emergent) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Recall from the previous subsection the general Hamil- tonian Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (1), where a mid-IR of H0 was known and spanned by states satisfying Pi |ψ⟩ = 0 for local com- muting projectors {Pi}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There, we found that the ex- act emergent symmetries in the mid-IR are determined by {Pi}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent symmetries of H could be found by dressing operators with ULU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is of course still true here, but for simplicity we will just consider H0 instead of the full H0 + H1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The results will hold even af- ter we include an arbitrary perturbation H1 to H0 as we discussed in the last subsection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Without a loss of gen- erality, we will assume that H0 for the finite symmetry case has the form H0 = � i Oi + Emid-IR � i Pi, [Oi, Pj] = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (12) Here Oi are local operators and [Oi, Pj] = 0 is required, since Oi is assumed not to mix the Pi = 0 states and Pi = 1 states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let us now consider how exact emergent symmetries arise from Pi = 0 starting from ( �R, M) which is related to the physical theory H0 by QFTano ⊠M �R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In doing so, we will also see why 0-form symmetries cannot be exact emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is believed that a topological order with a gapped boundary can be realized by commuting projector model, which also has a commuting projector Hamiltonian real- izing the gapped boundary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the �R-boundary and the M-bulk in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4 can be realized by a commuting projector model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Pi in H0 are those commuting projec- tors, where H0 is is viewed as a Hamiltonian that de- scribes the slab in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4 which is a model in one lower dimension if the slab has a finite thickness compare to lattice spacing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Oi’s in H0 are the boundary Hamilto- nian terms describing the QFTano boundary in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the thickness of the bulk M is finite, the local op- erators Oi in H0 can also contain operators that connect the QFTano boundary and the �R boundary in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' By definition, these Oi must commute with Pi in order to be allowed in H0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If a symmetry on the boundary QFTano is going to be explicitly broken, there must be an al- lowed operator which transfers symmetry charge from �R R QFTano FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A lattice realization of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4, where qubits live on the links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The bulk Hamitonian contains the star terms (the diamonds around a vertex) and the plaquette terms (the di- amonds inside a square).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The intra-boundary terms act on qubits near a boundary, while the inter-boundary terms act on qubits that connect two boundaries (the vertical line).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' to QFTano.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For a p-form symmetry, its charges are cre- ated by operators acting on a p-dimensional subspace, and therefore transferring a symmetry charge from �R to QFTano requires a (p + 1)-dimensional operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For a 0-form symmetry, such an operator would include a fi- nite number of local operators acting in a line from �R to QFTano.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is allowed in the set of local operators {Oi} and therefore allowed in H0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the projectors Pi cannot produce exact emergent 0-form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For p-form symmetries with p > 0, any inter-boundary oper- ators that transfer symmetry charge are non-contractible extended operators, acting on the whole system.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These operators are not local and are not included in the set of local operators {Oi} and therefore the symmetry is pre- served.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus the projectors Pi can give rise to an exact emergent higher-form symmetry even when including all the local low energy operators Oi (regardless if they are inter-boundary or intra-boundary).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The above discussion is pretty general, so let us give an example to construct a model with an exact emergent Z(1) 2 symmetry in 1+1D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We consider M to be the toric code model (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' the Z2 lattice gauge theory) and �R is the Z2-charge condensed boundary (the so-called rough boundary [63]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The slab QFTano ⊠M �R in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 4 be- comes the lattice shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5, with qubits residing on the links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The bulk Hamiltonian that give rise to a toric code model contains star terms Pvert i = (1 − Z1Z2Z3Z4)/2 acting on the four qubits on the four links con- necting to each vertex and plaquette terms Pplaq i = (1 − X1X2X3X4)/2 acting on the four qubits on the four links around each square (see the diamond around a vertex and inside a square, respectively, in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The �R boundary has truncated plaquette terms Pbdry i = (1 − X1X2X3)/2 acting on the three qubits on the three links around each open square (see the up-side-down triangle in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5 in the �R boundary).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The lattice model Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5 can be viewed as a 1+1D lattice model H0, and the above three types of terms, Pvert i , Pplaq i , and Pbdry i , correspond to the projectors Pi in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Oi operators in H0 can be any operator that commutes with Pi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus the local energy dynamics 8 R i+1/2 i i+1 i−1 i−1/2 QFTano FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A thin slab limite of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5, where qubits live on the links.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' controlled by Oi operators are constrained by the local projectors Pi’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consequently, the local projectors Pi’s cam give rise to an emergent symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' But what is this emergent symmetry?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We note that the Oi operators can be divided into two classes: intra-boundary operators and inter-boundary operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The intra-boundary operators only act on the qubits near the boundary QFTano8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The inter- boundary operators can act on qubits that connect the two boundaries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An example of inter-boundary opera- tors is X1X2 · · · Xn acting on the vertical links connect- ing the two boundaries (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5), which commute with the projectors Pvert i , Pplaq i , and Pbdry i .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To make our explicit discussion as simple as possi- ble, let us take a thin slab limit of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 5, which gives us Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 6 where we label vertical (horizontal) links by i (i + 1 2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this limit, the only remain projector is Pbdry i : Pi = 1 2(1 − XiXi+ 1 2 Xi+1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The allowed local boundary operators Oi must commute with Pi’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the thin slab limit, we find that all such Oi’s are gen- erated by taking products of the operators Xi, Xi+ 1 2 , and Zi− 1 2 ZiZi+ 1 2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Notice that while Xi+ 1 2 , XiXi+ 1 2 Xi+1, Zi− 1 2 ZiZi+ 1 2 are intra-boundary operators, the Xi’s are inter-boundary operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let us first restrict ourselves to the local operators Oi that are intra-boundary operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will consider the full set up, where Oi includes intra and inter-boundary operators, after.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this case, we will obtain an exact emergent Z2 0-form symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To see this result, we note that the intra-boundary local operators form the algebra of the local symmetric operator A(intra-only) mid-IR = {Xi+ 1 2 , XiXi+ 1 2 Xi+1, Zi− 1 2 ZiZi+ 1 2 }.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (13) The operators (local or non-local) that commute with A(intra-only) mid-IR are generated by T (intra-only) mid-IR = {XiXi+ 1 2 Xi+1, � i (Zi− 1 2 ZiZi+ 1 2 )}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (14) 8 The commuting projectors Pbdry i etc already give the � R bound- ary a large energy gap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The intra-boundary operators near � R can only be combinations of those commuting projectors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There are no new operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' and give rise to all symmetry transformations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using the language of operator algebra, the symmetry transforma- tions T (intra-only) mid-IR are the double commutant of the local projectors {Pi}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From T (intra-only) mid-IR , we find that when re- stricted to the intra-boundary operators there are two ex- act emergent symmetries enforced by the projectors Pi’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' XiXi+ 1 2 Xi+1 generates symmetry transformations which act on loops of the slab, and therefore corresponds to a Z(1) 2 symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � i(Zi− 1 2 ZiZi+ 1 2 ) acts on the entire lat- tice and therefore corresponds to a Z(0) 2 symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that when the (2 + 1)D system QFTano ⊠M �R is mapped to the (1 + 1)D system QFTaf, the Z(0) 2 symmetry still acts on the entire lattice while the Z(1) 2 symmetry now acts on a single lattice site.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the previous general discussion, we expect that exact emergent 0-form symmetries will be explicitly bro- ken by inter-boundary operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s verify this ex- pectation in this example by now including the inter- boundary operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Doing so, the algebra of local sym- metric operators becomes Amid-IR = {Xi+ 1 2 , Xi, Zi− 1 2 ZiZi+ 1 2 }.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (15) The symmetry transformations and now generated by Tmid-IR = {XiXi+ 1 2 Xi+1}.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (16) So, the Z(1) 2 symmetry is still present, but the Z(0) 2 sym- metry is now explicitly broken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is because the inter- boundary operators Xi’s also commute with the projec- tors Pi but transfer the charges of the Z(0) 2 symmetry between the two boundaries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As a result, those inter- boundary operators break the Z(0) 2 symmetry previously enforced by the projectors Pi’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The operators that could transform the Z(1) 2 symmetry charges between the two boundaries were not included in Amid-IR since they are not local operators, and as a result, the Z(1) 2 symmetry is exact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' EXAMPLES OF EXACT EMERGENT HIGHER-FORM SYMMETRIES In this section, we apply the framework discussed in section II A to three lattice models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We organize our discussion around the energy hierarchies of these models and discover emergent higher-form symmetries by deriv- ing effective Hamiltonians.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These symmetries have been noticed previously in the literature in similar models, but typically from an IR point of view.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here we take a UV point of view, starting from lattice models for which these symmetries are not exact, and emphasizing that as emer- gent symmetries they are exact emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This means that they are symmetries that emerge be- low an energy scale yet constrain the IR as if they were UV symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Each subsection is dedicated to a single 9 K U I III II J U E(I) UV UV E(II) UV E(II) IR UV IR E(III) UV E(III) mid−IR E(III) IR UV mid-IR IR Model C: Model D: GUV GUV GUV GIR = GUV × U(1)(p) GUV GIR = GUV × ℤ(p) N GUV Gmid−IR = GUV × U(1)(p) GIR = GUV × U(1)(p) × U(1)(d−p−1) GUV Gmid−IR = GUV × ℤ(p) N GIR = GUV × ℤ(p) N × ℤ(d−p) N Model D: Model C: Model C Model D Parameter Space HUV FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (left) We partition the parameter space of models C (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (66)) and D (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (35)) into three regions labeled I, II, and III, which we structure our discussions in sections III B and III C around.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (right) In these regions, we identify energy scale hierarchies and the exact emergent symmetries at each scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent U(1)(d−p−1) symmetry in the IR of region III for model C is trivial at the lattice scale, but its action becomes nontrivial in the continuum limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These regions are not necessarily distinct phases of the models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, region I and II are likely in the same phase while region III is a different phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is emphasized in the left figure where solid lines indicate a phase transition while dashed lines do not.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' one of these models and is entirely self-contained.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, if desired, the reader should feel free to read only the sub- section(s) on their favorite model(s).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the reader who reads more than one, we apologize for any inconvenience due to subsections overlapping.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' All of the models we consider are described by Hamil- tonians governing degrees of freedom on a d-dimensional cubic spatial lattice with continuous time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We exten- sively use discrete differential geometry notation, which we review (in a non-rigorous fashion) in appendix sec- tion A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The remainder of this section is organized as fol- lowed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In subsection III A, as a warm-up we consider the quan- tum clock model Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (20) which has a UV ZN symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When this ZN symmetry is spontaneously broken, we find there is an exact emergent Z(d) N symmetry at energies below the domain wall gap.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The IR symmetry operators form a projective representation of ZN × Z(d) N , signaling the presence of a mixed ’t Hooft anomaly that protects the ground state degeneracy in the SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In subsection III B, we consider a model of emergent ZN p-gauge theory Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (35), which we call model D, and in subsection III C, we consider a model of emergent U(1) p-gauge theory Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (66), which we call model C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The ex- act emergent symmetries and energy scale hierarchies of these models are summarized in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We want to em- phasize that the left panel of Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7 is a schematic depic- tion and that the precise shapes of the regions and the nature of the boundaries between them are not investi- gated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Region II ∪ III exists in parameter space wherever there are gapped gauge charge excitations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The creation operator for the gauge charges is exactly known in the K, J → 0 limit, and the implicitly defined local unitary ULU from section II A is used to construct the creation operator away from this single point in parameter space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We do not construct an explicit form for ULU and thus cannot rigorously investigate the shape of region II ∪ III in parameter space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since region III corresponds to the deconfined phase of the gauge theory, assuming d is large enough that the exact emergent p-form symmetry can spontaneously break, we expect it to be a finite-sized re- gion in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Region II corresponds to the confined phase, where the gauge charges are con- fined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When J = 0, it is easy to confirm the exact emer- gent p-form symmetry is present, but for finite J, it re- lies on the existence of ULU and whether or not the gauge charges are genuinely gapped excitations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7 portrays the possibility that they are and that region II exists even when J ̸= 0, and the discussion throughout these examples will reflect this possibility.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Another possibility is that region II exists only for J → 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' outside of the deconfined phase, the exact emergent symmetry would then only exist along a portion of the vertical axis of the parameter space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let us summarize the results of model C and D in the familiar case p = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We first consider model D with p = 1, d = 3, and trivial GUV, which is emergent 3+1D Z2 lattice gauge theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (35), the Gauss’s law is 10 enforced at a large energy scale U which represents the energy gap of a Z2-gauge charge excitation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, the term creating a pair of Z2-charges has a energy scale J (which explicitly breaks a UV Z(1) 2 symmetry) and the term creating Z2-fluxes has an energy scale K (which explicitly breaks a UV Z(2) 2 symmetry).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus a large J drives a Z2-charge condensation transition (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' a Higgs transition) and a large K drives a Z2-flux condensation transition (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' a confinement transition).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The region III in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7 corresponds to the deconfined phase of the Z2 gauge theory, which has an exact emergent IR symmetry Z(1) 2 ×Z(2) 2 (below the energy gap of dressed Z2-charges).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetry operators of the Z(1) 2 symmetry and Z(2) 2 symmetry anti-commute if their intersect at odd number of points.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus model D realizes the exact emergent Z(1) 2 × Z(2) 2 in a projective representation, and therefore there is a mixed ’t Hooft anomaly between Z(1) 2 and Z(2) 2 symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Such a mixed anomaly can be described by anomaly in-flow using an invertible topological quantum field theory in one higher dimension, described by the following action amplitude (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B57)) e−S = eiπ � M5 A∪ ˆ A, (17) where A is a Z2-valued 2-cocycle field and ˆ A is a Z2- valued 3-cocycle field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A is the background gauge field from gauging the Z(1) 2 symmetry, while ˆ A is the back- ground gauge field from gauging the Z(2) 2 symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We note that, following the discussion in section (II B), once making A and ˆ A dynamical, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (17) can also be viewed as the action amplitude in the path integral describing the categorical symmetry (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' the topological order in one higher dimension) for the anomalous Z(1) 2 × Z(2) 2 sym- metry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Due to the mixed ’t Hooft anomaly, the system must have degenerate ground states on a 3-dimensional torus as long as Z(1) 2 × Z(2) 2 is present in the IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the emergent symmetry Z(1) 2 × Z(2) 2 remains to be exact against local UV perturbations, the ground states on a 3-dimensional torus also remain degenerate against any perturbations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is a way to understand the robust- ness of topological order using the robustness of exact emergent symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent mid-IR Z(1) 2 symmetry (existing at energies below ∼ U) is present on both sides of the confinement transition, II ↔ III, and is a consequence of weak Z2 charge fluctuations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent mid-IR symmetry Z(1) 2 controls this transition and its unphysical part corresponds to the exact emergent Z2 gauge redun- dancy [46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Next, let us consider model C with p = 1, d = 3, and trivial GUV, which is emergent 3+1D U(1) lattice gauge theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (66), the Gauss’s law is enforced at a large energy scale U which is the energy gap of a U(1)- gauge charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A term creating a pair of U(1)-charge has a energy scale J and a term creating U(1)-flux fluctu- ation has an energy scale K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus a large J drives a U(1)-charge condensation transition (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' a Higgs transi- tion) and a large K drives a U(1)-monopole condensa- tion transition (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' a confinement transition).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The re- gion III corresponds to the deconfined phase of the U(1) gauge theory, which has an exact emergent IR symmetry U(1)(1) × U(1)(1) (below the energy gap of U(1)-charges and U(1)-monopoles) in the continuum limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There is a mixed ’t Hooft anomaly between the two U(1)(1) symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is described by an invertible topo- logical quantum field theory in one higher dimension (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C77)) e−S = ei2π � M5 A∧d ˆ A, (18) where A, ˆ A are two R/Z-valued 2-form fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A is the background gauge field from gauging the first U(1)(1) symmetry, while ˆ A is the background gauge field from gauging the second U(1)(1) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Speculating that categorical symmetry can be generalized to continuous symmetry, once making A and ˆ A dynamical, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (18) can also be viewed as the action amplitude describing the categorical symmetry for the anomalous U(1)(1)×U(1)(1) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A result of the mixed ’t Hooft anomaly of the exact emergent U(1)(1) × U(1)(1) symmetry is that as long as the U(1)-charges and U(1)-monopoles have large energy gap the system must be gapless [64, 65] no matter how strong of the interaction between the U(1) photons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This would mean that as long as these excitations have a large energy gap, then due the exact emergent anoma- lous U(1)(1) × U(1)(1) symmetry, the system should re- main gapless even when a strong interaction between the U(1) photons drives a phase transition.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent mid-IR U(1)(1) symmetry (exist- ing at energies below ∼ U) is present on both sides of confinement transition II ↔ III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, it controls the transition and its unphysical part corresponds to the ex- act emergent U(1) gauge redundancy [46].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Quantum clock model In this section, we will apply the framework discussed in section II to the quantum clock model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consider ZN quantum rotors residing on the 0-cells (sites) of the spa- tial d-dimensional cubic lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A ZN quantum rotor is an N-level system described by clock operators Xc0 and Zc0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These unitary operators are N-dimensional gener- alizations of the Pauli matrices, satisfying Z�c0Xc0 = ωδc0,�c0 Xc0Z�c0, XN c0 = ZN c0 = 1, (19) where ω ≡ ei2π/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The eigenvalues of the clock opera- tors are {1, ω, ω2, · · · , ωN−1} ≃ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 11 The Hamiltonian of the quantum clock model is H = −J 2 � ⟨c0�c0⟩ � X† c0X�c0 + X† �c0Xc0 � − K 2 � c0 � Zc0 + Z† c0 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (20) where the first sum is over pairs of nearest neighbor 0- cells c0 and �c0 and the second sum is over all 0-cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This theory has an exact ZN 0-form—Z(0) N —symmetry, whose symmetry operator is generated by the unitary U = � c0 Zc0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (21) The charged operators of this symmetry are Xc0, which from the clock operator algebra transform as Xc0 → UXc0U † = e2π i/NXc0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (22) 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent Z(d) N symmetry and mixed ’t Hooft anomaly Assuming that d > 0, when K/J ≪ 1, the quantum clock model at zero temperature is in a Z(0) N spontaneous symmetry broken (SSB) phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, in the tractable K/J → 0 limit, the quantum clock model is H ���� K/J→0 = −J 2 � ⟨c0�c0⟩ � X† c0X�c0 + X† �c0Xc0 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (23) The ground state in this limit satisfies X† c0X�c0 |vac⟩ = |vac⟩ for all neighboring 0-cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consequently, since for any 0-cells c0 and c′ 0, X† c0Xc′ 0 = � c1∈O1 � �c0∈∂c1 X�c0 where ∂O1 = {−c0, c′ 0}, ⟨X† c0Xc′ 0⟩ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in this limit the Z(0) N symmetry is spontaneously broken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In a Z(0) N SSB phase, there are gapped (d − 1)- dimensional topological defects—domain walls—carrying ZN topological charge which populate the excited states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, in the K/J → 0 limit, the topological defect den- sity ˆρ for a state |ψ⟩ is defined by � c0∈∂c1 Xc0 |ψ⟩ = exp �2πi N (∗ ˆρ)c1 � |ψ⟩ , (24) where X−c0 ≡ X† c0 and (∗ ˆρ)c1 ≡ ˆρ∗ c1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the ZN clock algebra Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (34), � c0∈∂c1 Xc0 and Zc0 satisfy Zc0 � �c0∈∂c1 X�c0 = ω(−1)c0 � �c0∈∂c1 X�c0Zc0, (25) for all c0 ∈ ∂c1, where ω = e2π i/N and (−1)c0 is the sign in front of c0 in ∂c1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this, let’s act � �c0∈∂c1 X�c0 on the state (∗ Z)ˆcd |0⟩, with ∗ ˆcd ∈ ∂c1 and � �c0∈∂c1 X�c0 |0⟩ = |0⟩: � �c0∈∂c1 X�c0(∗ Z)ˆcd|0⟩ = ω(−1)∗ ˆcd (∗ Z)ˆcd |0⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (26) Because this is true for all ∗ ˆcd ∈ ∂c1, acting (∗ Z)ˆcd onto |0⟩ causes (∗ ˆρ)c1 ̸= 0 for all c1 ∈ δ ∗ ˆcd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the operator (∗ �Z)ˆcd excites a topological defect on ∂ˆcd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the K/J → 0 limit of the Z(0) N SSB phase, the fact that the ground state satisfies X† c0X�c0 |vac⟩ = |vac⟩ means that the topological defect density in the ground states is zero for all d-cells of the dual lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Equiva- lently, this can also be see from the fact that the ground state satisfies ⟨Zc0⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, because the topological de- fect creation operator does not have a vev, the topological defects are not condensed and thus gapped.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The domain wall gap provides a candidate energy scale below which new structures may emerge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, when K/J = 0, there exists a low energy sub-Hilbert space spanned by states satisfying ⟨ˆρˆcd−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is the ground state subspace and defines the IR of the SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, when K/J ̸= 0, there no longer exists a low-energy sub-Hilbert space spanned by states satisfy- ing ⟨ˆρˆcd−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is because the K term in H causes the ⟨ˆρˆcd−1⟩ = 0 and ⟨ˆρˆcd−1⟩ ̸= 0 states to mix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, a corresponding low-energy sub-Hilbert space can be iden- tified using ULU from section II A to continue any oper- ator A which we understand at K/J = 0 to a (fattened) local operator �A ≡ ULUAU † LU with the same expectation values of A but at K/J ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, there exists a low- energy sub-Hilbert space for both K/J = 0 and K/J ̸= 0 spanned by states satisfying ⟨�ˆρˆcd−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because the Z(0) N SSB phase is gapped, we can use the local unitary from the quasi-adiabatic continuation, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (4), to con- tinue local operators throughout the entirety of the Z(0) N SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because ULU in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (4) is constructed only from terms in H, operators that commute with every term in H are unaffected by ULU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In particular, because the Z(0) N sym- metry operator commutes with each term in H, the sym- metry operator U in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (21) satisfies U = �U = � c0 �Z0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (27) Having identified the IR of the SSB phase, we’d now like to find an effective IR theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As we learned in sec- tion II, the effective IR Hamiltonian HIR is a sum of all terms allowed in the IR that can be constructed from the terms in �H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The terms in �H are ( � X† c0 � X�c0 + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') and ( �Zc0 + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=').' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the IR, because �ˆρˆcd−1 = 0, from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (24), � c0∈∂c1 � Xc0 ≡ X† c0 � X�c0 = 1 and therefore ( � X† c0 � X�c0 + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') does not contribute in HIR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The operators ( �Zc0 + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') are not allowed operators in the IR since they excite dressed topological defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, allowed IR op- erators can be constructed from �Zc0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, because (∗ �Z)ˆcd excites a dressed topological defect on ∂ˆcd, acting (∗ �Z′)ˆcd0 on any d-cycle of the dual lattice ˆCd does not ex- cite dressed topological defects since ∂2 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, 12 the IR allowed operator constructed from �Zc0 is �T †[ ˆCd] = � ˆcd∈ ˆ Cd (∗ �Z)ˆcd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (28) This is a product of �Zc0 over all 0-cells in a connected part of the spatial lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, denoting a connected part of the spatial lattice as M, we can instead consider �T †[M] = � c0∈M �Zc0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (29) Interestingly, this is just the Z(0) N symmetry operator, and therefore does not need to be dressed by ULU: �T †[M] = T †[M].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective IR theory, therefore, includes all terms constructed from �T.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Denoting the set of all con- nected part of the spatial lattice with ZN coefficients as H0(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN), the effective IR Hamiltonian is HIR = −J � M∈H0(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='ZN) κ|M| �T[M], (30) where κ ∼ K/J and |M| is the number of 0-cells form which M is constructed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since K/J ≪ 1 in the SSB phase, in the thermodynamic limit where |M| → ∞, the effective IR Hamiltonian becomes a constant HIR ���� L→∞ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (31) This simply reflects the fact that the Z(0) N SSB phase is a gapped phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective IR Hamiltonian of the Z(0) N SSB phase has a new symmetry which was not present in the UV theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the IR has the symmetry where the IR-allowed operator �T transforms as �T[ ˆCd] �→ e 2π i N �T[ ˆCd].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (32) This cannot be a transformation by an arbitrary phase eiα and must be e 2π i N in order for ( �T[ ˆCd])N = 1 to re- main satisfied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The transformation can be accomplished by transforming �Zc0→ e 2π i N �Zc0 for only a single lattice site.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the operator that causes this transfor- mation is �ˆU[c0] = � Xc0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (33) At first glance of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (33), one sees a local transforma- tion and may think it is a conventional gauge transfor- mation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, it is not because a physical operator transforms nontrivially under it: �T[ ˆCd] transforms by a nontrivial element of ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, since the physi- cal operators are supported on d-cycles, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (33) is the symmetry operator of a ZN d-form symmetry—a Z(d) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Notice that since the Z(0) N SSB phase only ex- ists when d > 0, this symmetry is always a higher-form symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This emergent Z(d) N symmetry has been noted previ- ously throughout the literature [49, 66, 67].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here we find that it is an exact emergent symmetry, meaning that de- spite it being an emergent symmetry, it is an exact sym- metry of the effective IR Hamiltonian in the thermody- namic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, it constrains the IR as if it were an exact UV symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, this exact emer- gent symmetry is present throughout the entire Z(0) N SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, away from the tractable K/J = 0 point, local unitary operators dress the K/J = 0 charged and symmetry operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, we have found that in the IR of the Z(0) N SSB phase, there is an exact emergent Z(0) N × Z(d) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' How- ever, the Z(0) N and Z(d) N symmetries are not independent of one another, there is a mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The fact that the Z(0) N × Z(d) N symmetry is anomalous can be noticed from the fact the symmetry operator of the Z(0) N symmetry U of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (27) is charged under the Z(d) N sym- metry, reflecting an obstruction to gauging both symme- tries9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To summarize, when considering only the UV theory, it appeared that there was only an exact Z(0) N symme- try in all phases of the model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, by construct- ing the effective IR Hamiltonian of the Z(N) N SSB phase, we learned that there is actually an exact anomalous Z(0) N × Z(d) N symmetry in the IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' B.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Emergent ZN p-gauge theory for p ≥ 1 In this section, we will apply the framework discussed in section II to a model for emergent ZN p-gauge theory which we call model D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consider ZN quantum rotors re- siding on each p-cell of the spatial d-dimensional cubic lattice with p > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A ZN quantum rotor is an N-level system described by clock operators Xcp and Zcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These unitary operators are N-dimensional generalizations of the Pauli matrices, satisfying Z�cpXcp = ωδcp,�cp XcpZ�cp, XN cp = ZN cp = 1, (34) where ω ≡ ei2π/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The eigenvalues of the clock opera- tors are {1, ω, ω2, · · · , ωN−1} ≃ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The microscopic model we consider is described by the 9 See footnote 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 13 + − + − + − + − − + − − + model C: ρcp−1 = ∑ Lz ± model D: τz cp−1 = ∏Z ± + + − FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Graphical representation of the operator ρcp−1 of model C (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (67)) and the operator τ z cp−1 of model D (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (35)) in three spatial dimensions for (first row) p = 1, (second row) p = 2, and (third row) p = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Depending on the operator, the disks on the p-cells labeled by ± either denote the sign in front of Lz belonging to that p-cell in the sum for ρcp−1, or whether the Z operator belonging to that p-cell is Z+ ≡ Z or Z− ≡ Z† in the product for τ z cp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The (p − 1)-cell the operator is associated with is colored purple.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Hamiltonian HUV= −U 2 � cp−1 τ z cp−1 − K 2 � cp Zcp + J 2 � cp Xcp + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', τ z cp−1 ≡ � cp∈δcp−1 Zcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (35) The sum � cp is over all p-cells of the spatial lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The product � cp∈δcp−1 in the definition of τ z cp−1 is over the coboundary of cp−1, defined in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (A3) of the appendix, with the convention Z−cp = Z† cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that we need to require p ≥ 1 in order for (p − 1)-cell cp−1 to be well defined.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' τ z is generally a product of 2(d − p + 1) opera- tors, examples of which are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that because the eigenvalues of Zcp are elements of ZN, the eigenvalues of τ z cp−1 are also ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Lastly, since HUV has terms linear in Zcp and Xcp, there are no transformation of Zcp or Xcp that leave HUV invariant and thus no UV symmetries in this theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' L+ + − ± ρ = ± 1 + − + − − − + + − + + − − − + + − + X ± τz = e±2πi/N model C model D FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Graphical representation of the excitation created by L+ cp in model C and the excitation created by Xcp in model D, shown in three spatial dimensions for (first row) p = 1, (second row) p = 2, and (third row) p = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The yel- low disk represents the L+ cp or Xcp operator, depending on the model, acting on the U(1) or ZN rotor belonging to that p-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For model C, the purple disk labeled by ± represents the ± sign in ρcp−1(L+ cp |0⟩) = ±(L+ cp |0⟩) for that (p − 1)-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For model D, the disk labeled by ± represents the ± sign in τ z cp−1(Xcp |0⟩) = ω±1(Xcp |0⟩) for that (p − 1)-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent Z(p) N symmetry When J = K = 0, there exists a low energy sub- Hilbert space spanned by states satisfying ⟨τ z cp−1⟩ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the first term in HUV introduces an energetic penalty for states satisfying ⟨ψ| (τ z cp−1 + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') |ψ⟩ ̸= 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We interpret such states in the J = 0 and U ≫ K limit as describing a gapped excitation, a segment of which resides on the (p − 1)-cell cp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, from the clock operators’ algebra, τ z cp−1 and Xcp satisfy τ z cp−1Xcp = ω(−1)cp Xcpτ z cp−1 for all cp−1 ∈ ∂cp, where (−1)cp denotes the sign in front of cp in the expression for δcp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this, let us act τ z cp−1 on the state Xcp |0⟩, where cp−1 ∈ ∂cp and τ z cp−1 |0⟩ = |0⟩: τ z cp−1 � Xcp |0⟩ � = ω(−1)cp � Xcp |0⟩ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (36) Because this is true for all cp−1 ∈ ∂cp, Xcp excites the aforementioned excitation on ∂cp, examples of which are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We’ll refer to these bosonic (p − 1)- dimensional (in space) excitations as “charges.” How- ever, note that since XN cp = 1, exciting N charges is the same as not exciting any.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the charge number takes values in ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is tempting to consider the charge gap as a candidate energy scale below which new physics emerges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, 14 when J ̸= 0, there no longer exists a low-energy sub- Hilbert space spanned by states satisfying ⟨τ z cp−1⟩ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is because the J term in HUV causes the ⟨τ z cp−1⟩ = 1 and ⟨τ z cp−1⟩ ̸= 1 states to mix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, a correspond- ing low-energy sub-Hilbert space can be identified us- ing ULU from section II A to continue any operator A which we understand at J = 0 to a (fattened) local oper- ator �A ≡ U (1) LUA(U (1) LU)† with the same expectation values of A but at J ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, when U ≫ K, there ex- ists a low-energy sub-Hilbert space for both J = 0 and J ̸= 0 spanned by states satisfying ⟨�τ z cp−1⟩ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We view states with ⟨�τ z cp−1⟩ ̸= 1 as having dressed charges excited.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the undressed charges are created using Xcp, these dressed charges are created using � Xcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will not find an explicit form for U (1) LU and thus will not precisely know throughout how much of parameter space the dressed (fattened) operators can be defined without violating the assumptions of U (1) LU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Instead, we will assume that such an operator exists and can access a greater than measure- zero part of parameter space, and will investigate the consequences of this conjecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' At this point in our investigations, we cannot tell if the dressed charge gap ∆dressed-charge is an IR scale or a mid- IR I scale or a mid-II scale, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In section III B 2, we will learn that it is a mid-IR scale in region III of parameter space but an IR scale in region II of parameter space (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the rest of this section, however, we will adopt the language from the perspective of region III and call the dressed charge gap a mid-IR scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Given the mid-IR scale Emid-IR ≡ ∆dressed-charge, we would now like to the find an effective mid-IR theory, which by definition is a theory only describing states at energies E < Emid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As we learned in section II, the ef- fective mid-IR Hamiltonian Hmid-IR is a sum of all terms allowed in the mid-IR that can be constructed from the terms in �HUV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The terms in �HUV are �τ z cp−1, �Zcp, and � Xcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the mid-IR, �τ z cp−1 = 1, so it is trivial and will not contribute in Hmid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, since �Zcp commutes with �τ z cp−1, it does not excite any dressed charges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus �Zcp is an allowed mid-IR operator from which terms in Hmid-IR can be constructed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The operators � Xcp are not allowed operators in the mid-IR since they excite charges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, allowed mid-IR operators can be constructed from � Xcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, since � Xcp excites a dressed charge on ∂cp, acting � Xcp on any p-cycle does not excite dressed charges since ∂ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, an allowed operator in † † † ˜L+ model C ˜ X model D † † † † † † † † † FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Graphical representation of the Wilson operator � W †(Cp) of model C (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (70)) and model D (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (38)) sup- ported on Cp = ∂cp+1 in three spatial dimensions for (first row) p = 0, (second row) p = 1, and (third row) p = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For model C (D), the yellow colored disks denote �L+ cp ( � Xcp) op- erators belonging to that p-cell, the product of which yields � W †(Cp).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Discs labeled by † denote the hermitian conjugate of the operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In each row, the (p + 1)-cell cp+1 satisfying Cp = ∂cp+1 is colored green.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' the mid-IR is10 � W †[Cp] = � cp∈Cp � Xcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (38) We call � W † the Wilson operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It has the interpretation of exciting a dressed charge, transporting it along a p- cycle, and then ultimately annihilates it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 10 shows a few graphical representations of the Wilson operator supported on the smallest possible p-cycle: the boundary of a (p + 1)-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that the Wilson operator satisfies � W †[Cp] = � W[−Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective mid-IR theory, therefore, includes all terms constructed from � W and �Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Denoting the set of all oriented p-cycles with ZN coefficients on the spatial 10 Describing the extended object � W † using local operators intro- duces a gauge redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, � W † is invariant under � Xcp → Ξcp � Xcp with � cp∈Cp Ξcp = 1 ∀ Cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (37) For ( � Xcp)N = 1 to remain invariant, the gauge parameter must satisfy Ξcp ∈ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When Ξcp = � cp−1∈∂cp λcp−1, with λcp−1 ∈ ZN and λ−cp−1 = λ† cp−1, this is the canonical ZN gauge redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Otherwise, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (37) corresponds to large gauge transformations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 15 lattice Md as Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN), the mid-IR Hamiltonian takes the form H(III) mid-IR =−κU 2 � cp ( �Zcp+ h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=')− U 2 � Cp∈Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='ZN) ε|Cp|� W[Cp] + · · ·, (39) where κ ∼ K/U, ε ∼ J/U, |Cp| is the number of p-cells form which Cp is constructed, and the · · ·’s include all other possible terms constructed from both ( �Zcp + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') and � W[Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the dressed charge gap is the mid-IR scale of region III but the IR of region II, H(III) mid-IR ≡ H(II) IR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (40) The effective mid-IR theory is only well defined pro- vided ε < 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As a consequence, since the lattice is simply connected, the Wilson operators supported on nontrivial p-cycles are exponentially suppressed by εLp, where L is the linear system size.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, denot- ing contractible p-cycles with ZN coefficients on the spatial lattice Md as Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN), terms with Wilson operators supported on cycles in the homology class Hp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) = Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN)/Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) vanish in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in the thermodynamic limit H(III) mid-IR becomes H(III) mid-IR ���� L→∞ =−κU 2 � cp ( �Zcp+ h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=')− U 2 � Cp∈Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='ZN) ε|Cp|� W[Cp] + · · ·, (41) where the · ·’s include all possible terms con- structed from both ( �Zcp + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') and � W[Cp] with only Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the thermodynamic limit, H(III) mid-IR is invariant under transforming the UV operator as � Xcp→ e 2π i N Γcp � Xcp, (dΓ)cp+1= 0, Γcp ∈ Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (42) Here (dΓ)cp+1 is the lattice exterior derivative of Γcp, defined as (dΓ)cp+1 ≡ � cp∈∂cp+1 Γcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (43) Furthermore, Γcp is required to take integer values in order for (Xcp)N = 1 to be invariant under the transfor- mation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Under this transformation, the Wilson operator transforms as � W[Cp] �→ e 2π i N � cp∈Cp Γcp � W[Cp], (44) which leaves Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (41) unchanged because � cp∈Cp Γcp = 0 for Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) since (dΓ)cp+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This transfor- mation is importantly different than the gauge trans- formations Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (37) because the Wilson operator trans- forms nontrivially under it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the Wilson operators supported on p-cycles in Hp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) transform under Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (42) by a nontrivial element of ZN since Γcp ∈ Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' exp[iα˜Lz] † † † model C model D ˜Z † † † † † † † † † FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Graphical representation of the symmetry operator for the U(1)(p) symmetry in model C and the Z(p) N symme- try in model D, supported on the boundary of a (d − p + 1)- cell of the dual lattice in d = 3 spatial dimensions for (first row) p = 1, (second row) p = 2, and (third row) p = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For model C (D), the blue colored disks denote �L+ cp ( � Xcp) opera- tors belonging to that p-cell, the product of which yields the symmetry operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Discs labeled by † denote the hermitian conjugate of the operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In each row, the aforementioned (d − p + 1)-cell of the dual lattice is colored in red.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, since the physical operators are supported on a p-cycle, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (42) corresponds to the transformation of a ZN p-form symmetry—a Z(p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Throughout the remainder of this section, we will always assume to be working in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetry operator of this Z(p) N symmetry is �U(ˆΣd−p) = � ˆcd−p∈ˆΣd−p (∗ �Z)ˆcd−p, (45) where ˆΣd−p is a (d − p)-cycle of the dual lattice, and (∗ �Z)ˆcd−p ≡ �Z∗ ˆcd−p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We again see why this is a p-form symmetry: its symmetry operator acts on a (d − p)-cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 11 shows a graphical representation of �U(ˆΣd−p) when ˆΣd−p = ∂ˆcd−p+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To confirm that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (45) is the symmetry operator, first note that �Zcp � Xcp �Z† cp = e2π i/N � Xcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, let- ting #(A, B) denote the intersection number between the 16 chains A and B, �U(ˆΣd−p)� W[Cp]�U †(ˆΣd−p) = e 2π i N #(Cp,ˆΣd−p)� W[Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (46) Introducing Γcp, the Poincar´e dual of ˆΣd−p with respect to the spatial lattice, given by (∗ Γ)ˆcd−p(ˆΣd−p) = � ˆyd−p∈ˆΣd−p δˆyd−p,ˆcd−p, (47) the intersection number can be written as #(Cp, ˆΣd−p) = � cp∈Cp Γcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since ∂ ˆΣd−p = 0, Γcp satisfies (δ ∗ Γ)ˆcd−p−1 = 0, which from Eq (A6) is equiva- lent to (dΓ)cp+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, since Γcp ∈ Z, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (46) correctly reproduces the Z(p) N symmetry transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (44).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Z(p) N symmetry is a symmetry of the effec- tive mid-IR theory but not the UV theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, it is an emergent symmetry, emerging at energies E < ∆dressed-charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the thermodynamic limit, since it is an exact symmetry of the effective mid-IR theory, we say that the Z(p) N symmetry is an exact emergent symme- try.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because p > 0, this result that an emergent symme- try can act like an exact symmetry only applies to p-form symmetries with p > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent Z(p) N symmetry is not present throughout the entire parameter space of HUV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Whether or not it emerges depends on both the existence of the mid-IR and the existence of the effective mid-IR Hamil- tonian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As mentioned at the start of this subsection, the mid-IR only exists when U ≫ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective mid-IR Hamiltonian is only well defined provided that the infi- nite series expansions converge, which required that ε < 1 and so J/U ≪ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the Z(p) N symmetry only emerges when K/U ≪ 1 and J/U ≪ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent anomalous Z(p) N × Z(d−p) N symmetry We have seen that at energies below the dressed charge gap, there is an exact emergent Z(p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, we will search for additional energy scales where new sym- metries can emerge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, such a lower-energy scale only exists in region III of parameter space (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This makes the dressed charge gap the IR scale of region II but the mid-IR scale of region III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, we will iden- tify the lower energy scale of region III with the gap of the topological defects in the Z(p) N spontaneous symmetry breaking (SSB) phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since there are no other energy scales in region III, this is an IR scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To show this, let us first discuss when the Z(p) N symme- try is spontaneously broken11.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To gain some intuition, 11 See footnote 23 for the definition of spontaneous symmetry breaking.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' we consider two tractable limits of the effective mid-IR theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The first limit is in region II when J/U = 0 but K/U ̸= 0 such that H(III) mid-IR becomes H(III) mid-IR ���� J/U=0 = −κU 2 � cp � �Zcp + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (48) The ground state in this limit satisfies �Zcp |vac⟩ = |vac⟩ for all cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because acting � W †[Cp] onto a state changes the value of ⟨ �Zcp⟩ for each cp ∈ Cp, ⟨� W †[Cp]⟩ = 0 for all Cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consequently, this limit lies in a Z(p) N symmetric phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The other tractable limit is in region III K/U = 0 but J/U ̸= 0 such that H(III) mid-IR becomes H(III) mid-IR ���� K/U=0 = −U 2 � Cp∈Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='ZN) ε|Cp| � W[Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (49) The ground state in this limit clearly satisfies � W[Cp] |vac⟩ = |vac⟩ for all Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN), and conse- quently ⟨� W †[Cp]⟩ = 1 for all trivial p-cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in this limit the Z(p) N symmetry is spontaneously broken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' According to the higher Coleman-Mermin-Wagner the- orem, in (d + 1)-dimensional spacetime, a Z(p) N symmetry at zero temperature can spontaneously break in the ther- modynamic limit when d > p [2, 28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, when d ≤ p, there is no stable Z(p) N SSB phase, and any SSB fea- tures are unique to K/U = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, when d > p, we expect a stable SSB phase even for K/U ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For small κ ∼ K/U and small ε ∼ J/U, a reasonable expectation is that the SSB phase occurs when κ ≲ εmin |Cp| = ε2(p+1), which is equivalent to K/U ≪ (J/U)2(p+1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This iden- tifies region II of parameter space as the Z(p) N symmet- ric phase while region III of parameter space is the Z(p) N SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, the boundary between regions II and III in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7 is a depiction of the boundary between the Z(p) N symmetric and Z(p) N SSB phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We leave a more detailed investigation of this phase transition to future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the order parameter for Z(p) N symmetry break- ing is the vacuum expectation value of � W †[Cp], the Wil- son operator can detect topological defects related to the nontrivial mappings ⟨� W †[Cp]⟩ : Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) �→ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The topological defects excited in a state |ψ⟩ are probed by acting the Wilson operator on a trivial p-cycle Cp:12 � W †[Cp] |ψ⟩ = exp �2πi N ˆQ(Cp) � |ψ⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (50) Here, the eigenvalues of ˆQ(Cp) are the net number of topological defects enclosed by Cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 12 This is a natural generalization of the p = 0 case, where the topo- logical defects are domain walls (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (24)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 17 The topological defects can be characterized locally us- ing the topological defect density ˆρ which is defined im- plicitly as ˆQ(Cp = ∂Op+1) ≡ � cp+2∈Op+1 (∗ ˆρ)cp+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (51) We can find an implicit expression for the topological defect density by plugging in Cp = ∂Op+1 into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (50) and using Stoke’s theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Doing so, we find � cp∈∂cp+1 � Xcp |ψ⟩ = exp �2πi N (∗ ˆρ)cp+1 � |ψ⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (52) Since ˆρ is supported on a (d − p − 1)-cell of the dual lat- tice, the topological defects are (d − p − 1)-dimensional excitations in space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that because � XN cp = 1, the eigenvalues of (∗ ˆρ)cp+1 take values in ZN 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the ZN clock algebra Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (34), � W †[∂cp+1] and �Zcp satisfy �Zcp� W †[∂cp+1] = ω(−1)cp � W †[∂cp+1] �Zcp, (53) for all cp ∈ ∂cp+1, where ω = e2π i/N and (−1)cp is the sign in front of cp in ∂cp+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this, let’s act � W †[∂cp+1] on the state (∗ �Z)ˆcd−p |0⟩, with ∗ ˆcd−p ∈ ∂cp+1 and � W †[∂cp+1] |0⟩ = |0⟩: � W †[∂cp+1](∗ �Z)ˆcd−p|0⟩ = ω(−1)∗ ˆcd−p (∗ �Z)ˆcd−p |0⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (54) Because this is true for all ∗ ˆcd−p ∈ ∂cp+1, act- ing (∗ �Z)ˆcd−p onto |0⟩ causes (∗ ˆρ)cp+1 ̸= 0 for all cp+1 ∈ δ ∗ ˆcd−p (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the operator (∗ �Z)ˆcd−p excites a topological defect on ∂ˆcd−p In the J/U = 0 limit of the Z(p) N symmetric phase, as previously discussed the ground state satisfies �Zcp |vac⟩ = |vac⟩ and thus ⟨� W †[Cp]⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (50) and (52), ⟨� W †[Cp]⟩ = 0 implies the topological defect density in the ground state fluctuates wildly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, the topological defects are condensed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This can also be seen from �Zcp |vac⟩ = |vac⟩ implying that ⟨(∗ �Z)ˆcd−p⟩ = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The topological defect creation opera- tor having a nonzero vev implies that the topological de- fects are condensed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On the other hand, in the K/U = 0 limit of the Z(p) N SSB phase, the ground state satisfies � W[Cp] |vac⟩ = |vac⟩ and, therefore, (∗ ˆρ)cp+1 |vac⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, topological defects do not populate the ground state, so they are gapped excitations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This can also 13 Note that for p = 1, the Z(1) N SSB phase has ZN topological order and is the deconfined phase of ZN gauge theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this case, we find (d − 2)-dimensional topological defects carrying ZN topological charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These are the m excitations of ZN topological order in d-dimensional space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ˜Z ± ( * ̂ρ) = ± 1 mod N − + − + − + + − + + − − + + − − − − + + FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Graphical representation of the topological de- fects created by (∗ �Z)ˆcd−p in model D, shown in three spa- tial dimensions for (first row) p = 0, (second row) p = 1, and (third row) p = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The blue disk represents the (∗ �Z)ˆcd−p operator acting on the ZN rotor belonging to that p- cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The disks labeled by ± represents the ± sign in � W †[∂cp+1](∗ �Z)ˆcd−p |0⟩ = exp � ± 2πi N � (∗ �Z)ˆcd−p |0⟩, and thus the value of (∗ ˆρ)cp+1 for that cp+1 (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (52)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' be seen from the fact that � W[Cp] |vac⟩ = |vac⟩ implies ⟨(∗ �Z)ˆcd−p⟩ = 0 and so the topological defects are not con- densed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Other regions besides the extreme limits of these phases can be explored using ULU from section II A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since we are interested in identifying energy scales below which new structures can emerge, we restrict ourselves to the phase where the topological defects have a gap— the Z(p) N SSB phase—which is region III of parameter space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, region III will have an IR scale defined by the gapped dressed topological defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the defects are condensed in region II, they do not give rise to additional energy scales in region II.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When K/U = 0, a low energy sub-Hilbert space exists in the mid-IR spanned by states satisfying ⟨ˆρˆcd−p−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So when K/U = 0, the IR energy scale is the topolog- ical defect’s gap: EIR = ∆defect ∼ J2p+2/U 2p+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' How- ever, when K/U ̸= 0, this sub-Hilbert space is no longer a low-energy sector because the κU term in H(III) mid-IR causes the ⟨ˆρˆcd−p−1⟩ = 0 and ⟨ˆρˆcd−p−1⟩ ̸= 0 states to mix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can use the local unitary discussed in section II A, which 18 we’ll denote as U (2) LU, to continue the K/U = 0 states within the Z(p) N SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In general, U (2) LU is different than the local unitary U (1) LU used in the previous sub- section.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We’ll denote an operator A continued using U (2) LU as A′ ≡ U (2) LUA(U (2) LU)†.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the IR of region III for both K/U = 0 and K/U ̸= 0 is the sub-Hilbert space spanned by states satisfying ⟨ˆρ′ ˆcd−p−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We view states with ⟨ˆρ′ ˆcd−p−1⟩ ̸= 0 as having gapped dressed topological defects excited and the IR scale is their energy gap EIR = ∆dressed-defect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because the Z(p) N SSB phase is gapped, we can use the local unitary from the quasi- adiabatic continuation, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (4), to continue local opera- tors throughout the entirety of the Z(p) N SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because U (2) LU in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (4) is constructed only from terms in H(III) mid-IR, operators that commute with every term in H(III) mid-IR are unaffected by U (2) LU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In particular, because the Z(p) N symmetry operator commutes with each term in H(III) mid-IR, the symmetry operator �U(ˆΣd−p) in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (45) satisfies �U(ˆΣd−p) = �U ′(ˆΣd−p) = � ˆcd−p∈ˆΣd−p (∗ �Z′)ˆcd−p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (55) Having identified the IR of region III, we’d now like to find an effective IR theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As we learned in section II, the effective IR Hamiltonian H(III) IR is a sum of all terms allowed in the IR that can be constructed from the terms in H(III)′ mid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The terms in H(III)′ mid-IR are all constructed from � W ′[Cp] and ( �Z′ cp + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=').' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the IR, because ˆρ′ ˆcd−p−1 = 0, � W ′[Cp] = 1 and does not contribute in H(III) IR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The op- erators ( �Z′ cp + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=') are not allowed operators in the IR since they excite dressed topological defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, allowed IR operators can be constructed from �Z′ cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- deed, because (∗ �Z′)ˆcd−p excites a dressed topological de- fect on ∂ˆcd−p, acting (∗ �Z′)ˆcd−p on any (d − p)-cycle of the dual lattice ˆCd−p does not excite dressed topological defects since ∂2 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the IR allowed operator constructed from �Z′ cp is �T ′†[ ˆCd−p] = � ˆcd−p∈ ˆ Cd−p (∗ �Z′)ˆcd−p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (56) We call �T ′† the ’t Hooft operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Interestingly, this is just the Z(p) N symmetry operator, and therefore does not need to be dressed by U (2) LU: �T ′†[ ˆCd−p] = �T †[ ˆCd−p].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective mid-IR theory, therefore, includes all terms constructed from �T ′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Denoting the set of all con- tractible oriented (d − p)-cycles with ZN coefficients on the dual spatial lattice ˆ Md as Bd−p( ˆ Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN), the effec- tive IR Hamiltonian is H(III) IR = −U � ˆ Cd−p∈Bd−p( ˆ Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='ZN) κ| ˆ Cd−p| �T ′[ ˆCd−p], (57) where κ ∼ K/U has been renormalized and | ˆCd−p| is the number of (d − p)-cells form which ˆCd−p is constructed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective IR Hamiltonian of region III has a new symmetry which was not present in the mid-IR Hamil- tonian for region III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, H(III) IR is invariant under transforming the UV operator as (∗ �Z′)ˆcd−p→ e 2π i N ˆΓˆcd−p (∗ �Z′)ˆcd−p, (dˆΓ)ˆcd−p+1= 0, (58) where ˆΓˆcd−p ∈ Z such that ( �Z′ cp)N = 1 is invariant under the transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Under this transformation, the ’t Hooft operator transforms as �T ′[ ˆCd−p] �→ e 2π i N � ˆcd−p∈ ˆ Cd−p ˆΓˆcd−p �T ′[ ˆCd−p], (59) which leaves Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (57) unchanged because � ˆcd−p∈ ˆ Cd−p ˆΓˆcd−p = 0 for ˆCd−p ∈ Bd−p( ˆ Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) since (dˆΓ)ˆcd−p+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This transformation is not a gauge transformations since the ’t Hooft operator—a physical operator—transforms nontrivially under it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the ’t Hooft operators supported on (d − p)-cycles in Hd−p( ˆ Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) transform under Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (59) by a nontrivial element of ZN since ˆΓˆcd−p ∈ Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, since the physical operators are supported on a (d − p)-cycle, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (59) corresponds to the transformation of a ZN (d − p)-form symmetry—a Z(d−p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, this is an exact emergent symmetry because it is not an exact symmetry of the UV but is an exact symmetry of the IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is straight forward to confirm that the symmetry operator of this Z(d−p) N symmetry is �ˆU ′ (Σp) = � cp∈Σp � X′ cp, (60) where Σp is a p-cycle of the lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We again see why this is a (d − p)-form symmetry: its symmetry operator acts on a p-cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, we have found that in the IR of region III, there is an exact emergent Z(p) N × Z(d−p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, the Z(p) N and Z(d−p) N symmetries are not independent of one another, there is a mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The fact that the Z(p) N × Z(d−p) N symmetry is anomalous can be noticed by considering the symmetry operators when supported on an open subspace—the disorder operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the Z(p) N symmetry operator, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (55), on an open (d − p)-dimensional subspace of the dual lattice is �U ′( ˆOd−p) = � ˆcd−p∈ ˆ Od−p (∗ �Z′)ˆcd−p, (61) while the Z(d−p) N symmetry operator, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (60), on an open p-dimensional subspace of the direct lattice is �ˆU ′ (Op) = � cp∈Op � X′ cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (62) 19 When ˆOd−p and Op intersect, these operators generally do not commute.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is a manifestation of the mixed ’t Hooft anomaly between the Z(p) N and Z(d−p) N symmetries, reflecting an obstruction to gauging both symmetries14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Before moving onto the next section, we note one fi- nal thing about the effective IR Hamiltonian of region III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because the IR is also the dressed charge free sec- tor, �τ ′z cp−1 ≡ � cp∈δcp−1 �Z′ cp = 1 for all cp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, this also implies that � ˆcd−p∈∂ ∗ cp−1(∗ �Z′)ˆcd−p = 1 and, there- fore, �T ′[ ˆCd−p] = 1 for all ˆCd−p ∈ Bd−p( ˆ Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Be- cause of this, H(III) IR of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (57) is really just a constant: H(III) IR = 0, (63) This reflects the fact that region III is a gapped phase, so the IR is the degenerate ground states of HUV in this phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The ground state is defined as the state with no dressed charges or dressed topological defects: � cp∈δcp−1 �Z′ cp |vac⟩ = |vac⟩ , � cp∈∂cp+1 � X′ cp |vac⟩ = |vac⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (64) This ground state is also the ground state of the p-form toric code Hamiltonian HpTC = − � cp−1 � � � cp∈δcp−1 �Z′ cp � � − � cp+1 � � � cp∈∂cp+1 � X′ cp � � + h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='. (65) Importantly, this is not the p-form toric code model of the UV ZN clock operators: the clock operators in HpTC are dressed by the two local unitary operators used when identifying the mid-IR and the IR of region III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Further- more, this p-form toric code model captures the ground state of the entire Z(p) N SSB phase, and the the UV pa- rameters are hidden in the local unitaries dressing Xcp and Zcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The emergent anomalous Z(p) N × Z(d−p) N symmetry in the ground state is the same as the anomalous Z(p) N × Z(d−p) N symmetry of p-form BF theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is no accident, and it is well known that the vacuum of BF theory is the same as the ground states of the toric code.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In appendix section B, we show how this connection can be made exact by deriving the topological quantum field theory description for the ground states of the lattice model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 14 Gauging a symmetry U is the procedure of adding additional degrees of freedom such that the theory becomes invariant un- der the gauged symmetry operator Ugauged.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Ugauged acts on both open and closed subspaces and physical states must sat- isfy Ugauged |ψ⟩ = |ψ⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A contradiction arises when different Ugauged no longer commute, reflecting an obstruction to gaug- ing the symmetry (a ’t Hooft anomaly).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For example, con- sider U(1) gaugeU(2) gauge = −U(2) gaugeU(1) gauge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since U(1,2) gauge |ψ⟩ = |ψ⟩, this leads to the contradiction |ψ⟩ = − |ψ⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Emergent U(1) p-gauge theory In this section, we will apply the framework discussed in section II to a model for emergent U(1) p-gauge the- ory which we call model C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consider U(1) quantum ro- tors residing on each p-cell of the spatial d-dimensional cubic lattice with p > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Each rotor can be viewed as a particle on an infinitesimal circle, whose position we denote as the angle Θ, carrying angular momentum Lz.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The operators Lz and Θ are hermitian and satisfy the canonical commutation relation [Θcp, Lz �cp] = iδcp,�cp, so Lz = −i ∂ ∂Θ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Additionally, since the eigenvalue of Θ is an angle, the eigenvalues of Lz are integers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The microscopic model we consider is described by the Hamiltonian HUV= U 2 � cp−1 ρ2 cp−1+ K 2 � cp (Lz cp)2+J 2 � cp � L+ cp+ h.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � , ρcp−1 = � cp∈δcp−1 Lz cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (66) The sum � cp is over all p-cells of the spatial lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The sum � cp∈δcp−1 in the definition of ρcp−1 is over the coboundary of cp−1, defined in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (A3) of the appendix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using the definition of δcp, the expression for ρcp−1 can be written as (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 8) ρ(x)µ1···µp−1= � ν Lz(x)νµ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='µp−1 − Lz(x − ˆν)νµ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='µp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (67) Note that because the eigenvalues of Lz are integers, the eigenvalues of ρ are also integers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the third term of HUV, L+ cp = (L− cp)† = exp � iΘcp � is the raising operator for Lz cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Lastly, since HUV is invariant under the trans- formation Lz cp → −Lz cp, this theory has a UV Z(0) 2 sym- metry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent U(1)(p) symmetry When J = K = 0, there exists a low energy sub- Hilbert space spanned by states satisfying ⟨ρcp−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the first term in HUV introduces an energetic penalty for states satisfying ⟨ψ| ρcp−1 |ψ⟩ ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We inter- pret such states in the J = 0 and U ≫ K limit as describ- ing a gapped excitation, a segment of which resides on the (p − 1)-cell cp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, from the canonical commu- tation relation satisfied by Lz and Θ, the rotor operators of the same p-cell satisfy [Lz, L±] = ±L±.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, ρcp−1 and L± cp satisfy [ρcp−1, L± cp] = ±(−1)cpL± cp for all cp−1 ∈ ∂cp, where (−1)cp denotes the sign in front of cp in the expression for δcp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this, let us act ρcp−1 on the state L± cp |0⟩, with cp−1 ∈ ∂cp and ρcp−1 |0⟩ = 0: ρcp−1 � L± cp |0⟩ � = ±(−1)cp � L± cp |0⟩ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (68) 20 Because this is true for all cp−1 ∈ ∂cp, L± cp excites the aforementioned excitation on ∂cp, examples of which are shown in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We’ll refer to these bosonic (p − 1)- dimensional (in space) excitations as “charges.” It is tempting to consider the charge gap as a candidate energy scale below which new physics emerges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, when J ̸= 0, there no longer exists a low-energy sub- Hilbert space spanned by states satisfying ⟨ρcp−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is because the J term in HUV causes the ⟨ρcp−1⟩ = 0 and ⟨ρcp−1⟩ ̸= 0 states to mix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, a correspond- ing low-energy sub-Hilbert space can be identified us- ing ULU from section II A to continue any operator A which we understand at J = 0 to a (fattened) local oper- ator �A ≡ ULUA(ULU)† with the same expectation values of A but at J ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, when U ≫ K, there ex- ists a low-energy sub-Hilbert space for both J = 0 and J ̸= 0 spanned by states satisfying ⟨�ρcp−1⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We view states with ⟨�ρcp−1⟩ ̸= 0 as having dressed charges excited.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the undressed charges are created using L± cp, these dressed charges are created using �L± cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will not find an explicit form for ULU and thus will not precisely know throughout how much of parameter space the dressed (fattened) operators can be defined without violating the assumptions of ULU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Instead, we will assume that such an operator exists and can access a greater than measure- zero part of parameter space, and will investigate the consequences of this conjecture.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' At this point in our investigations, we cannot tell if the dressed charge gap ∆dressed-charge is an IR scale or a mid- IR I scale or a mid-II scale, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In section III C 2, we will learn that it is a mid-IR scale in region III of parameter space but an IR scale in region II of parameter space (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the rest of this section, however, we will adopt the language from the perspective of region III and call the dressed charge gap a mid-IR scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Given the mid-IR scale Emid-IR ≡ ∆dressed-charge, we would now like to the find an effective mid-IR theory, which by definition is a theory only describing states at energies E < Emid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As we learned in section II, the ef- fective mid-IR Hamiltonian Hmid-IR is a sum of all terms allowed in the mid-IR that can be constructed from the terms in �HUV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The terms in �HUV are �ρ2 cp−1, (�Lz cp)2, and �L± cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the mid-IR, �ρ2 cp−1 = 0 so it will not appear in Hmid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, since (�Lz cp)2 commutes with �ρ2 cp−1, it does not excite any dressed charges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus (�Lz cp)2 is an allowed mid-IR operator from which terms in Hmid-IR can be constructed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The operators �L± cp are not allowed oper- ators in the mid-IR since they excite charges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, allowed mid-IR operators can be constructed from �L± cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, since �L+ cp excites a dressed charge on ∂cp, acting �L+ cp on any p-cycle does not excite dressed charges since ∂ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, an allowed operator in the mid-IR is15 � W †[Cp] = � cp∈Cp �L+ cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (70) We call � W † the Wilson operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It has the interpretation of exciting a dressed charge, transporting it along a p- cycle, and then ultimately annihilates it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 10 shows a few graphical representations of the Wilson operator supported on the smallest possible p-cycle: the boundary of a (p + 1)-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that the Wilson operator satisfies � W †[Cp] = � W[−Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective mid-IR theory, therefore, includes all terms constructed from � W and �L2 z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Denoting the set of all oriented p-cycles with integer coefficients on the spatial lattice Md as Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), the mid-IR Hamiltonian takes the form H(III) mid-IR = κU 2 � cp (�Lz cp)2− U 2 � Cp∈Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ε|Cp|� W[Cp] + · · ·, (71) where κ ∼ K/U, ε ∼ J/U, |Cp| is the number of p-cells form which Cp is constructed, and the · · ·’s include all other possible terms constructed from both (�Lz cp)2 and � W[Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the dressed charge gap is the mid-IR scale of region III but the IR of region II, H(III) mid-IR ≡ H(II) IR .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (72) The effective mid-IR theory is only well defined pro- vided ε < 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As a consequence, since the lattice is simply connected, the Wilson operators supported on nontrivial p-cycles are exponentially suppressed by εLp, where L is the linear system size16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, de- noting contractible p-cycles with integer coefficients on the spatial lattice Md as Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), terms with Wil- son operators supported on cycles in the homology class Hp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) = Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z)/Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) vanish in the ther- modynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in the thermodynamic limit H(III) mid-IR becomes H(III) mid-IR ���� L→∞ = κU 2 � cp (�Lz cp)2− U 2 � Cp∈Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ε|Cp|� W[Cp] + · · ·, (73) 15 Describing the extended object � W † using local operators intro- duces a gauge redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, � W † is invariant under �L+ cp → e i Ξcp �L+ cp with � cp∈Cp Ξcp ∈ 2πZ ∀ Cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (69) When Ξcp = (dχ)cp (where d is the lattice exterior derivative, see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (75)), �Θcp transforms as the canonical U(1) gauge redun- dancy �Θcp → �Θcp + (dχ)cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For Ξcp ̸= (dχ)cp, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (69) corre- sponds to large gauge transformations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 16 When p = 1, the mid-IR theory Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (71) can be thought of as a lattice regularization of the Landau-Ginzburg string field theory developed in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, whereas the suppression of large loops needed to be inserted by hand in the string field theory, here it automatically arises from the UV theory Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (66).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 21 where the · · ·’s include all possible terms constructed from both (�Lz cp)2 and � W[Cp] with only Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the thermodynamic limit, H(III) mid-IR is invariant under transforming the UV operator as �L+ cp → eiΓcp �L+ cp, with (dΓ)cp+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (74) Here (dΓ)cp+1 is the lattice exterior derivative of Γcp, defined as (dΓ)cp+1 ≡ � cp∈∂cp+1 Γcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (75) Under this transformation, the Wilson operator trans- forms as � W[Cp] → ei � cp∈Cp Γcp � W[Cp], (76) which leaves Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (73) unchanged because � cp∈Cp Γcp = 0 for Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) since (dΓ)cp+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This transfor- mation is importantly different than the gauge trans- formations Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (69) because the Wilson operator trans- forms nontrivially under it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the Wilson opera- tors supported on p-cycles in Hp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) transform un- der Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (74) by a nontrivial element of U(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, since the physical operators are supported on a p-cycle and pick up a phase under the symmetry transformation, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (74) corresponds to the transformation of a U(1) p- form symmetry—a U(1)(p) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Throughout the remainder of this section, we will always assume to be working in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetry operator of this U(1)(p) symmetry is �Uα(ˆΣd−p) = � ˆcd−p∈ˆΣd−p exp � iα (∗ �Lz)ˆcd−p � , (77) where α ∈ [0, 2π), ˆΣd−p is a (d − p)-cycle of the dual lat- tice, and (∗ �Lz)ˆcd−p ≡ �Lz ∗ ˆcd−p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We again see why this is a p-form symmetry: its symmetry operator acts on a (d − p)-cycle.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 11 shows a graphical representation of �Uα(ˆΣd−p) when ˆΣd−p = ∂ˆcd−p+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, since Lz has integer eigenvalues, the charge operator �QˆΣd−p = � ˆcd−p∈ˆΣd−p (∗ �Lz)ˆcd−p (78) also has integer eigenvalues.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that when ˆΣd−p = ∂ ˆOd−p+1, using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (A6) �QˆΣd−p can be rewritten as �Q∂ ˆ Od−p+1= � ˆcd−p+1∈Od−p+1 (−1)p(∗ �ρ )ˆcd−p+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (79) To confirm that Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (77) is the symmetry operator, first note that eiα�Lz cp �L+ cp e−iα�Lz cp = eiα�L+ cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, letting #(A, B) denote the intersection number between the chains A and B, �Uα(ˆΣd−p)� W[Cp]�U † α(ˆΣd−p) = eiα#(Cp,ˆΣd−p)� W[Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (80) Introducing Γcp, the Poincar´e dual of ˆΣd−p with respect to the spatial lattice, given by (∗ Γ)ˆcd−p(ˆΣd−p) = � ˆyd−p∈ˆΣd−p δˆyd−p,ˆcd−p, (81) the intersection number can be written as #(Cp, ˆΣd−p) = � cp∈Cp Γcp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since ∂ ˆΣd−p = 0, Γcp satisfies (δ ∗ Γ)ˆcd−p−1 = 0, which from Eq (A6) is equivalent to (dΓ)cp+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (80) cor- rectly reproduces the U(1)(p) symmetry transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (76).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The U(1)(p) symmetry is a symmetry of the effec- tive mid-IR theory but not the UV theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, it is an emergent symmetry, emerging at energies E < ∆dressed-charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the thermodynamic limit, since it is an exact symmetry of the effective mid-IR theory, we say that the U(1)(p) symmetry is an exact emergent sym- metry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since p > 0, this result that an emergent symme- try can act like an exact symmetry only applies to p-form symmetries with p > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent U(1)(p) symmetry is not present throughout the entire parameter space of HUV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Whether or not it emerges depends on both the existence of the mid-IR and the existence of the effective mid-IR Hamil- tonian.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As mentioned at the start of this subsection, the mid-IR only exists when U ≫ K.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The effective mid- IR Hamiltonian is only well defined provided that the infinite series expansions converge, which required that ε < 1 and so J/U ≪ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the U(1)(p) symmetry only emerges when K/U ≪ 1 and J/U ≪ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An exact emergent anomalous U(1)(p) × U(1)(d−p−1) symmetry We have seen that at energies below the dressed charge gap, there is an exact emergent U(1)(p) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, we will search for additional energy scales where new symmetries can emerge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, such a lower-energy scale only exists in region III of parameter space (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This makes the dressed charge gap the IR scale of region II but the mid-IR scale of region III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, we will iden- tify the lower energy scale of region III with the gap of the topological defects in the U(1)(p) spontaneous sym- metry breaking (SSB) phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since there are no other energy scales in region III, this is an IR scale.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To show this, let us first discuss when the U(1)(p) sym- metry is spontaneously broken17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To gain some intuition, we consider two tractable limits of the effective mid-IR theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The first limit is in region II when J/U = 0 but 17 See footnote 23 for the definition of spontaneous symmetry breaking.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 22 K/U ̸= 0 such that H(III) mid-IR becomes H(III) mid-IR ���� J/U=0 = κU 2 � cp (�Lz cp)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (82) The ground state in this limit satisfies �Lz cp |vac⟩ = 0 for all cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because acting � W †[Cp] onto a state changes the value of ⟨�Lz cp⟩ for each cp ∈ Cp, ⟨� W †[Cp]⟩ = 0 for all Cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Con- sequently, this limit lies in a U(1)(p) symmetric phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The other tractable limit is in region III K/U = 0 but J/U ̸= 0 such that H(III) mid-IR becomes H(III) mid-IR ���� K/U=0 = −U 2 � Cp∈Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ε|Cp| � W[Cp].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (83) The ground state in this limit clearly satisfies � W[Cp] |vac⟩ = |vac⟩ for all Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN), and conse- quently ⟨� W †[Cp]⟩ = 1 for all trivial p-cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in this limit the U(1)(p) symmetry is spontaneously bro- ken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' According to the higher Coleman-Mermin-Wagner the- orem, in (d + 1)-dimensional spacetime, a U(1)(p) sym- metry at zero temperature can spontaneously break in the thermodynamic limit when d > p + 1 [2, 28].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, when d ≤ p + 1, there is no stable U(1)(p) SSB phase, and any SSB features are unique to K/U = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, when d > p + 1, we expect a stable SSB phase even for K/U ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For small κ ∼ K/U and small ε ∼ J/U, a reasonable expectation is that the SSB phase occurs when κ ≲ εmin |Cp| = ε2(p+1), which is equivalent to K/U ≪ (J/U)2(p+1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This identifies region II of pa- rameter space as the U(1)(p) symmetric phase while re- gion III of parameter space is the U(1)(p) SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, the boundary between regions II and III in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7 is a depiction of the boundary between the U(1)(p) sym- metric and U(1)(p) SSB phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We leave a more detailed investigation of this phase transition to future work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the order parameter for U(1)(p) symmetry break- ing is the vacuum expectation value of � W †[Cp], the Wil- son operator can detect topological defects related to the nontrivial mappings ⟨� W †[Cp]⟩ : Zp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) �→ U(1).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The topological defects excited in a state |ψ⟩ are probed by re- peatedly acting the Wilson operator over a trivial (p + 1)- cycle Cp+1:18 � cp+1∈Cp+1 � W †[∂cp+1] |ψ⟩ = exp � 2πi ˆQ(Cp+1) � |ψ⟩ .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (84) Here, ˆQ(Cp+1) is a winding number and yields the net number of topological defects enclosed by Cp+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Plugging 18 This is a natural generalization of the p = 0 case, where the topo- logical defects are vortices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' in � W † and using Stoke’s theorem, it can be expressed as ˆQ(Cp+1) = 1 2π � cp+1∈Cp+1 Fcp+1, (85) where Fcp+1 = (d�Θ)cp+1 mod 2π.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using the identity x mod n = x − n ⌊x/n⌉, where ⌊·⌉ rounds its input to the nearest integer, Fcp+1 can be written as Fcp+1 ≡ (d�Θ)cp+1 + ωcp+1, (86) where ωcp+1 ≡ −2π � (d�Θ)cp+1/(2π) � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The topological defects can be characterized locally us- ing the topological defect density ˆρ which is defined im- plicitly as ˆQ(Cp+1 = ∂Op+2) ≡ � cp+2∈Op+2 (∗ ˆρ)cp+2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (87) Plugging in Cp+1 = ∂Op+2 into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (85) and using Stoke’s theorem, we find (∗ ˆρ)cp+2 = 1 2π (dF)cp+2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (88) Since ˆρ is supported on a (d − p − 2)-cell of the dual lat- tice, the topological defects are (d − p − 2)-dimensional excitations in space, residing on the boundary of a (d − p − 1)-cell of the dual lattice (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that because the eigenvalues of ωcp+1 take values in 2πZ, the eigenvalues of (∗ ˆρ)cp+2 are integers19.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the J/U → 0 limit of the U(1)(p) symmetric phase, the ground state satisfies �Lz cp |vac⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since �Lz cp and �Θcp are conjugate variables, in the ground state �Θcp fluctuates wildly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consequently, Fcp+1 fluctuates wildly and the ground state satisfies (dF)cp+2 |vac⟩ ̸= 0, so the topological defects are condensed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On the other hand, in the K/U → 0 limit of the U(1)(p) SSB phase, the ground state satisfies � W[Cp] |vac⟩ = |vac⟩ for all Cp ∈ Bp(Md;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In terms of the dressed phase vari- able �Θcp, this implies that (d�Θ)cp+1 |vac⟩ = 2πn with n ∈ Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consequently, Fcp+1 |vac⟩ = 0 for all (p + 1)-cells and therefore ˆρˆcd−p−2 |vac⟩ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, topological defects do not populate the ground state and are gapped excita- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, these topological defects cannot be observed directly in the lattice model20.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed since Θcp always 19 Note that for p = 1, the U(1)(1) SSB phase is a Coulomb phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this case, we find (d − 3)-dimensional topological defects car- rying integer topological charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These are the Dirac magnetic “monopoles” of the Coulomb phase, whose interpretation as topological defects was also noted in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 33.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 20 One could instead consider a Villain type Hamiltonian model for which these topological defects are observable even in the UV/mid-IR [68–70].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Nevertheless, these different UV lattice models should have the same IR effective field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 23 + − − + − + − + + − + − ̂ρ ̂cd−p−2 = ∑ ⌊ d ˜Θ 2π ⌉ ± + − FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 13.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Graphical representation of ˆρˆcd−p−2 (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (88)) in three spatial dimensions for (first row) p = 0 and (second row) p = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The disks labeled by ± denote the sign in front of � d�Θ/(2π) � belonging to that (p + 1)-cell in the sum for ˆρˆcd−p−2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The direct lattice is colored in black while the dual lattice is in red.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, the (d − p − 2)-cell of the dual lattice ˆρˆcd−p−2 is associated with is highlighted in blue.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' appears as L+ cp = eiΘcp , (∗ ˆρ)cp+2 too always appears as ei2π(∗ ˆρ)cp+2 and so ˆρˆcd−p−2 ∼ ˆρˆcd−p−2 + 1 on the lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An additional sign that they are trivial on the lattice comes attempting to construct an operator which does not create any topological defects (the equivalent of the Wilson operator from the last section).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, they are created any operator which causes the eigenvalue of d�Θcp+1 to jump through the boundary of its range [0, 2π) (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', going from π to 3π).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If an operator can do this for only a single (p + 1)-cell cp+1, it would excite a single dressed topological defect residing on ∂ ∗ cp+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is tempting to consider the operator exp[ix(∗ �Lz)ˆcd−p] since it shifts d�Θcp+1 by x(−1)∗ ˆcd−p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, if x = 2π, it shifts � d�Θ 2π � cp+1 by (−1)∗ ˆcd−p: the sign of ∗ ˆcd−p in ∂cp+1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, steaming from the fact that ∂2 = 0, this shift of � d�Θ 2π � cp+1 does not cause d � d�Θ 2π � cp+2 to shift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, we find that an operator that does no excite topological charges is �T †[∂ ˆOd−p] = � ˆcd−p∈ ˆ Od−p exp � 2πi(∗ �Lz)ˆcd−p � (89) where ˆOd−p is an open (d − p)-dimensional subspace of the dual lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We call �T ′† the ’t Hooft operator, which is generally supported on (d − p − 1)-cycles of the dual lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Physically �T ′† excites a dressed topological de- fect, transports it along the (d − p − 1)-cycle, and ulti- mately annihilates it.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, since the eigenvalues of �Lz are integers, the operator �T † is in fact trivial.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' While the topological defects are unobservable on the lattice, their effects emergent in the continuum limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The general paradigm for most lattice models is that the effective IR theory deep into a phase of matter is a continuum quantum field theory which reflects only the universal properties of that phase21.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Finding the IR ef- fective field theory involves going deep into the U(1)(p) SSB phase and taking the continuum limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Deep into the SSB phase, the effective IR hamiltonian Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (73) includes only the leading order in κ and ε terms: Hdeep IR ≈ κU 2 � cp � �L′z cp �2 + ε2p+2U 2 � cp+1 � F ′ cp+1 �2 .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (90) In the field theory, these higher-order terms could con- tribute as higher-derivative terms, but do not affect the deep IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Appendix section C, shows how we take the contin- uum limit of Hdeep IR, doing so carefully to capture the topologically nontrivial parts of the quantum fields from the lattice operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We find that the IR effective field theory is compact p-form Maxwell theory, described by the path integral Zdeep IR = � D[a] � ωa∈2πHp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ei � X Ldeep IR, Ldeep IR = − 1 2g2 Fa ∧ ∗ Fa, (91) where a is a p-form in Minkowski spacetime X, Hp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) is the (p + 1)th de Rham cohomology group with integral periods, and Fa ≡ da + ωa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This field the- ory describes the dynamical fluctuations of the (d−1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (d−p−1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' p-form Goldstone bosons of the U(1)(p) SSB phase [31].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, as reviewed in depth in appendix sec- tion C 1, it has an anomalous U(1)(p) ×U(1)(d−p−1) sym- metry [2].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, deep into the U(1)(p) SSB phase of the lattice model, a new symmetry emerges.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' How- ever, the U(1)(p) and U(1)(d−p−1) symmetries are not independent of one another, there is a mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, the field theory also an emergent Lorentz invariance, and in terms of the UV parameters, the “speed of light” is c = Uεp+1√κ ∼ Jp+1 U p � K U .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' PHYSICAL CONSEQUENCES OF EXACT EMERGENT HIGHER-FORM SYMMETRIES In the previous section, we applied the framework in- troduced in section II to three lattice models without 21 There are fascinating counter-examples where exotic lattice mod- els exhibit UV/IR mixing [54–57].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In these cases, the UV lattice details sneak into the definitions of the IR (and mid-IRs), causing the IR to exhibit a sensitive dependency on UV details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Conse- quently, since the thermodynamic limit and continuum limit do not commute, the effective IR field theory is no longer a conven- tional continuum quantum field theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 24 exact higher-form symmetries and found that in particu- lar regions of parameter space, there are exact emergent higher-form symmetries below particular energy scales.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this section, we summarize the general lessons learned.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, we discuss the physical consequences of these general lessons and why the phases of a microscopic (UV) theory without exact higher-form symmetries be exactly characterized by emergent higher-form symme- tries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is well known that emergent 0-form symmetries are never exact;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' thus, their consequences are always approx- imate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, the emergent higher-form symmetries we identified are exact emergent symmetries;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' thus, they can exactly constrain the IR in the regions of parameter space they emerge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This important difference between 0-form and higher-form symmetries is natural from the point of view of an effective mid-IR theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Firstly, note how from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (9), if the UV theory has a symmetry, any effective mid-IR theory will also have that symme- try.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, if the symmetry is explicitly broken in the UV theory, the effective mid-IR theory will generically include terms charged under the symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For 0-form symmetries, the charged operators are local, so terms including them will persist in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For higher-form symmetries, however, the charged opera- tors are non-local, so terms including them will vanish in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A general consequence is that while emergent 0-form symmetries are never exact, emer- gent higher-form symmetries are always exact emergent symmetries whenever spacetime is simply connected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The exact emergent higher-form symmetries are robust against any local perturbations of the UV theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In other words, adding local terms to the UV will not change the fact that the higher-form symmetry emerges nor the fact that it becomes an exact symmetry of the effective theory in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, adding any local term to HUV does not affect the form of Hmid-IR because the perturbation will either not survive the pro- jection to the mid-IR or simply renormalize the effective Hamiltonian’s parameters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this sense, exact emergent higher-form symmetries are topologically robust, and any physical properties arising from their existence are also robust to local UV perturbations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' An immediate consequence of an exact emergent higher-form symmetry emerging at E < Emid-IR is that mid-IR states and mid-IR observables22 are organized into its representations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This implies the existence of an exact emergent conservation law obeyed at E < Emid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, this gives rise to selection rules on the cor- relation functions of mid-IR allowed operators [2, 71].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In particular, mid-IR operators charged under the exact 22 A mid-IR state is a quantum state in the the sub-Hilbert space spanned by energy-eigenstates with E < Emid-IR.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A mid-IR ob- servable is an operator that takes states in the sub-Hilbert space spanned by energy eigenstates with E < Emid-IR to only other states in that sub-Hilbert space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ̂x ̂y ̂t Emergent Symmetry No Emergent Symmetry FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The existence of an exact emergent p-form symmetry constrains the way a p-dimensional membrane excitation can decay.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Shown here is a cartoon of the different decay processes in spacetime for p = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The world sheet of the 1-dimensional membrane excitation is colored blue, while the worldline of charge excitations is orange.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' emergent symmetry must have a zero vacuum expecta- tion value.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The presence of an exact emergent higher-form sym- metry also affects the dynamics of a quantum-many body system in a phase where the exact emergent higher-form symmetry is not spontaneously broken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, if a p- form symmetry (with p > 0) emerges at E < Emid-IR, it constraints the dynamics of mid-IR states with excited p-dimensional membrane excitations created by an oper- ator charged under the p-form symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, con- sider starting in the state � W †[Cp] |vac⟩, where Cp is con- tractible and |vac⟩ is the ground state.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The lifetime of the p-dimensional membrane excitation is qualitatively different depending on whether or not the exact emer- gent p-form symmetry is present.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When the symmetry is present, the only way for the p-dimensional membrane excitation to decay is for it to contract to a point, so the lifetime of the p-dimensional membrane excitation depends on |Cp|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This also implies that if there is a trap potential for the p-dimensional membrane excita- tion (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', a term in the Hamiltonian such that there is a p-dimensional membrane excitation on Cp in the ground state), the exact emergent symmetry ensures that its life- time is infinity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the absence of the symmetry, the p- dimensional membrane excitation can decay by breaking apart.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, without the emergent symmetry the lifetime of the p-dimensional membrane excitation is independent of its size |Cp|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 14 shows a cartoon depicting these differing behaviors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because emergent higher-form symmetries are exact emergent symmetries, they characterize the IR of the parameter space region where they emerge as if they were UV symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This, combined with the fact that emergent higher-form symmetries become exact emer- gent symmetries in the thermodynamic, implies that emergent higher-form symmetries characterize phases of matter with the same power as exact UV symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One way that exact emergent higher-form symmetries characterize phases, which we encountered in our exam- ples, is by their ability to become spontaneously bro- 25 ken in the thermodynamic limit23.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, since sponta- neous symmetry breaking is diagnosed using the ground state, for which an emergent higher-form symmetry is exact, an emergent higher-form symmetry can be spon- taneously broken in the same way a UV symmetry can be spontaneously broken.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A consequence of this is that a phase with an emergent discrete higher-form symmetry spontaneously broken has an exact ground state degen- eracy which depends on spacetime’s topology.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Another consequence is that a phase with an emergent contin- uous higher-form symmetry spontaneously broken has Goldstone bosons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If the continuous higher-form sym- metry emerges at E < Emid-IR, these Goldstone bosons are exactly gapless for mid-IR states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, for states in the sub-Hilbert space spanned by energy eigenstates with E ≥ Emid-IR, the Goldstone bosons acquire a gap24.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is very different from a 0-form continuous symme- try where even weakly breaking the symmetry in the UV gaps out the Goldstone boson [44].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, be- cause exact emergent higher-form symmetries are topo- logically robust, a local UV perturbation does not gap out the higher-form Goldstone bosons nor lift the topological ground state degeneracy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The last physical consequence we will note is that the SSB phase of a p-form symmetry has gapped topological defect excitations, which formally arise due to nontrivial mappings from p-cycles to the or- der parameter manifold [33, 73].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the examples in section III, when an anomaly-free U(1)(p) (Z(p) N ) symme- try spontaneously breaks in d-dimensional space, there are d − p − 2 (d − p − 1) dimensional topological defects carrying Z (ZN) topological charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Another way exact emergent higher-form symmetries can characterize phases, which we did not encounter in our examples, is by giving rise to nontrivial emer- gent symmetry-protected topological (SPT) orders25.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, if a higher-form symmetry emerges at E < Emid-IR and is realized anomalously on the bound- 23 To be precise, by spontaneous symmetry breaking, we mean a phase where an order parameter constructed from oper- ators charged under a symmetry acquires a nonzero vac- uum expectation value in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For in- stance, |vac⟩ has spontaneously broken a U(1)(p) symmetry if ⟨vac| W[Cp] |vac⟩ ̸= 0 for Cp ∈ Bp(Md) as |Cp| → ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that when p = 0, C0 ∈ B0(Md) is an oriented collection of two lat- tice points C0 = {−x, y} and so W[C0] = W †(x)W(y), which makes a connection to the historical perspective of long-range order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Physically, ⟨vac| W[Cp] |vac⟩ ̸= 0 implies that objects car- rying (neutral amounts) of symmetry charge have condensed.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, when p = 0 SSB implies the condensation of particles while when p = 1 SSB implies the condensation of loops [15, 72].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 24 This is a familiar concept in the p = 1 case where electric screen- ing causes the photon to acquire a gap (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', plasmas and metals).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 25 If an SPT phase is protected by a G symmetry, the G symme- try is realized anomalously on the system’s boundary, endowing the boundary with gapless/degenerate modes or topological or- der [74].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The presence of the bulk SPT order is reflected by the ability to nevertheless couple a background G gauge field in the bulk+boundary theory since the ’t Hooft anomaly on the boundary is canceled by an anomaly in-flow mechanism [75].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ary, a corresponding nontrivial SPT order could also emerge at E < Emid-IR and cause the system to be in an SPT phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The boundary could then have sponta- neously broken exact emergent higher-form symmetries, therefore hosting abelian topological orders or gapless (for E < Emid-IR) higher-form Goldstone bosons, or con- tain additional gapless degrees of freedom.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This em- phasizes an important distinction between SPT phases protected by 0-form symmetries and those protected by higher-form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 0-form SPT phases cannot oc- cur in regions of parameter space where the 0-form sym- metry is explicitly broken in the UV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, explicitly breaking a 0-form symmetry in the UV breaks the sym- metry at all energy scales, hence preventing the boundary from realizing the symmetry anomalously, an anomaly inflow mechanism from occurring, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Amazingly, this is not true for higher-form SPT phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, as we have seen, breaking a higher-form symmetry in the UV does not guarantee it remains broken in the IR due to the topological robustness of emergent higher-form sym- metries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, while there may not be any higher- form symmetries at E > Emid-IR, there could be an exact emergent higher-form symmetry at E < Emid-IR which is realized anomalously on the boundary.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If so, the system will have nontrivial exact emergent SPT order if there also exists a corresponding anomaly inflow mechanism at E < Emid-IR that allows one to turn on background gauge fields of the higher-form symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, to understand higher-form SPT phases, instead of partition- ing parameter space by the UV higher-form symmetries, as done for 0-form SPT phases, one must partition pa- rameter space by the exact emergent higher-form sym- metries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The final physical consequence of exact emergent higher-form symmetries that we will emphasize is their ability to be anomalous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When a ’t Hooft anomaly is present, the ground state cannot be a trivial product state, and the phase is guaranteed to be gapless, topo- logically ordered, or a gapped SSB phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in the presence of an anomalous symmetry, the ground state cannot be made into a trivial product state with- out getting rid of the ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Exact emergent higher-form symmetries can also be anomalous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, this was the case in all of the examples we considered in section III: in the SSB phases discussed, there were exact emergent anomalous higher-form symmetries that guaranteed these phases would have degenerate ground states or gapless modes in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, the ground state degeneracies and the gaplessness of Goldstone bosons in these phases were protected by the ’t Hooft anomaly, and the only way to eliminate them would be to destroy the exact emergent anomalous sym- metry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the example, this could be done by condensing either the gauge charges (if present) or the topological de- fects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, if their gaps were held at infinity, the ground state in the SSB phase could never become a trivial prod- uct state due to the ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 26 V.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' CONCLUSION AND DISCUSSION In this paper, we have investigated the robustness of emergent higher-form symmetries from a UV perspec- tive, considering bosonic lattice Hamiltonian models.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' By identifying low-energy sub-Hilbert spaces using ULU from section II A, in section II we discussed how to write down effective Hamiltonians to identify emergent symmetries, which we applied to three lattice models in section III.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We found that even when the lattice models did not have exact UV higher-form symmetries, there could be emer- gent higher-form symmetries whose effects in the IR are the same as if they were UV symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To empha- size this robustness, we referred to emergent higher-form symmetries as exact emergent symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this, we argued that exact emergent higher-form symmetries can exactly characterize the phases of microscopic models without exact UV higher-form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The physical consequences of this were summarized in detail in sec- tion IV.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There are many exciting follow-up questions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Firstly, in section II, we arrived at our expression for the effective Hamiltonian in a non-rigorous manner.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' While its defini- tion is physically very reasonable, it would be desirable to have a rigorous derivation for its form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A possible starting point for such a proof could be building off of perturbatively defined effective Hamiltonians found using Brillouin-Wigner perturbation theory [76] or Schrieffer- Wolff transformations [77].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It would also be interesting to investigate if emergent higher-form symmetries are no longer exact emergent symmetries, and instead approximate symmetries, in lat- tice models with lattice defects.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the reason we found why emergent higher-form symmetries act as ex- act symmetries boiled down to the fact that their charged operators are supported on nontrivial cycles and there- fore did not appear in the effective Hamiltonian in the thermodynamic limit.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, imagine removing lat- tice sites and introducing nontrivial cycles that did not involve a sub-extensive number of cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Then, like 0- form symmetries, operators charged under the higher- form symmetry would appear in the effective Hamilto- nian if the UV theory did not have that higher-form symmetry, thus causing the emergent higher-form sym- metry to be approximate.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This could be confirmed in spontaneous higher-form symmetry broken phases by in- vestigating if removing lattice sites lifts the topological ground state degeneracy/gaps the Goldstone bosons Another important follow-up would be an in-depth study of region II in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As discussed at the begin- ning of section III, the size of region II and the boundary between region II and I in models C and D is not rigor- ously investigated.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It would be interesting to numerically investigate these models C and D to better understand region II in parameter space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Alternatively, if one could explicitly construct the local unitary ULU, it may be pos- sible for this question to be addressed analytically.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Lastly, while we discussed symmetry-protected topo- logical (SPT) phases protected by exact emergent higher- form symmetries in section IV, the models we consid- ered in section III did not have SPT phases.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It would be interesting to modify the models for emergent ZN p- gauge theory and U(1) p-gauge theory so they can have SPT phases protected by their exact emergent higher- form symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, the confined phase (the Z(p) N and U(1)(p) symmetric phases) of these gauge theories becomes an SPT upon adding a topological θ term to the Lagrangian [2, 42, 43].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, it would be inter- esting if one could modify the UV theories of the emer- gent gauge theory models to have the 2π quantized topo- logical term appear in the mid-IR effective Hamiltonian and investigate the resulting emergent SPT order from a Hamiltonian perspective.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' VI.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ACKNOWLEDGEMENTS We are grateful for fun and helpful discussions with Arkya Chatterjee, Hart Goldman, Ethan Lake, Ho Tat Lam, Yu Leon Liu, and Carolyn Zhang.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='P.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' is sup- ported by the National Science Foundation Graduate Re- search Fellowship under Grant No.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2141064 and by the Henry W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Kendall Fellowship.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This work is partially sup- ported by NSF DMR-2022428 and by the Simons Collab- oration on Ultra-Quantum Matter, which is a grant from the Simons Foundation (651446, XGW).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Appendix A: Review of discrete differential geometry for d-dimensional cubic lattices In this appendix section, we review relevant parts of discrete differential geometry (in a non-rigorous fashion) used throughout the main text.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Consider a cubic lat- tice in d-dimensional space with periodic boundary con- ditions, denoted by Md.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' While a Bravais lattice is a collection of lattice sites x ∈ Zd, it is useful to view it as also formed by higher-dimensional objects, like links, plaquettes, cubes, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We call a p-dimensional object a p-cell, with 0 ≤ p ≤ d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, a 0-cell is a lattice site, a 1-cell is a link, a 2-cell is a plaquette, etc.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This does not add additional structures to the lattice, but instead is just a useful way of organizing the lattice sites.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, denoting a p-cell associated with site x as cp(x)µ1µ2···µp, where µ1 < µ2 < · · · < µp and µi ∈ {1, 2, · · · , d}, a p-cell of the cubic lattice is the set of 2p lattice sites26 cp(x)µ1µ2···µp= {x} ∪ {x + ˆµi | 1 ≤ i ≤ p} ∪ {x + ˆµi + ˆµj | 1 ≤ i < j ≤ p} ∪ · · · ∪ {x + ˆµ1 + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' + ˆµp}, (A1) 26 We adopt the discrete differential geometry and exterior calculus notations and conventions used in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 78.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 27 p = 1 p = 2 p = 1 p = 2 p = 3 FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The p-cells of the d-dimensional cubic lattice are equivalently the 0-cells—the sites—of some other d- dimensional lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Shown here are examples of this equiv- alent lattice (drawn in pink) embedded in the conventional unit cell of the cubic lattice (drawn in black).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (First row) In 2 dimensions, the 1-cells form another square lattice, rotated by 45 degrees, whose lattice constant is 1/ √ 2 times that of the original square lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The 2-cells also form another square lattice, which is the original shifted by the vector (ˆµ1 + ˆµ2)/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (Second row) In 3 dimensions, both the 1-cells and also the 2- cells form a lattice of corner-sharing octahedra with a lattice constant that is 1/ √ 2 times the cubic lattice’s.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When p = 1, the octagons are centered at the cubic lattice’s 0-cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When p = 2, the octagons are centered at the cubic lattices 3-cells.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Lastly, the 3-cells form another cubic lattice of the same size, but shifted by the vector (ˆµ1 + ˆµ2 + ˆµ3)/2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' where ˆµi is the unit vector in the µi-direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is often convenient to drop the requirement that the indices are canonically ordered (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', that they satisfy µ1 < µ2 < · · · < µp < ν) and instead let cp(x)µ1µ2···µp obey the relation cp(x)···µ1µ2··· = −cp(x)···µ2µ1···.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The p-cells of the d-dimensional cubic lattice are equiva- lently viewed as the 0-cells of some other lattice in d- dimensions, as demonstrated for d = 2 and 3 in Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Introducing the concept of p-cells is strictly unneces- sary but very convenient because “sewing” p-cells to- gether gives a natural way to form p-dimensional sub- spaces of the lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore these subspaces can also be given an orientation by defining an orientation structure to the lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A nice local scheme for the lattice orientation is a branching structure, where the orientation on each 1-cell is chosen such that a collec- tion of 1-cells cannot form an oriented closed loop.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A canonical orientation on all other p-cells then follows from the branching structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We use the branching structure where each 1-cell c1(x)µ has an arrow pointing in the ˆµ direction (see Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 16).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, it is important to note that the choice of lattice orientation is a formal conven- tion, and choosing different branching structures does not affect the physics27.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A p-cell can be related to (p − 1) cells using the bound- ary operator ∂.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The boundary operator acting on a p- 27 However, according to a conjecture from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 79, observables are independent of the branching structure only if the continuum effective field theory is free of a framing anomaly [80].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ̂x ̂y ̂z FIG.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Example of the branching structure used for a chunk of the cubic lattice in three-dimensional space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' cell—∂cp—is the oriented sum of (p − 1)-cells on the boundary of cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the branching structure we use, it is given by ∂cp(x)µ1···µp= p � k=1 (−1)k+1� cp−1(x + ˆµk)µ1··· oµk···µp −cp−1(x)µ1··· oµk···µp � , (A2) where the notation oµk indicates that the µk index is omit- ted.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From its definition, the boundary operator satisfies ∂2cp = 0 for any p-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, as there are no (−1)-cells, the boundary operator acting on a 0-cell is defined to be zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' On the other hand, a p-cell can be related to (p + 1)- cells using the coboundary operator δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The cobound- ary operator acting on a p-cell—δcp—is an oriented sum of all (p + 1)-cells whose boundary includes cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the branching structure we use, it is given by δcp(x)µ1···µp = � ν cp+1(x)νµ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='µp − cp+1(x − ˆν)νµ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='µp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (A3) From its definition, the coboundary operator satisfies δ2cp = 0 for any p-cell.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, as there are no (d + 1)-cells, the coboundary operator acting on a d-cell is defined to be zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Lastly, the lattice has an associated dual lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The dual lattice has its lattice sites centered at the d-cells of the direct lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the cubic lattice, one way to relate a dual lattice site ˆx to a direct lattice site x is by ˆx = x + 1 2 ˆr with ˆr = � i ˆµi.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Each p-cell cp on the direct lattice is associated with a (d − p)-cell ˆcd−p on the dual lattice.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is imple- mented by the dual operator ∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A p-cell cp(x)µ1···µp (with canonical ordering µ1 < · · · < µp) and a (d − p)-cell of the dual lattice ˆcd−p(ˆx)µ1···µd−p (with canonical ordering µ1 < · · · < µd−p) are related to one another by ∗ cp(x)µ1···µp = ϵµ1···µpµp+1···µd (A4) × ˆcd−p(ˆx − ˆµp+1 − .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − ˆµd)µp+1···µd, ∗ ˆcp(ˆx)µ1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='..' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='µp = ϵµ1···µpµp+1···µd (A5) × cd−p(x + ˆµ1 + .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' + ˆµp)µp+1···µd, where summation is not implied on the right hand side.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here ϵ is the Levi-Civita symbol, which takes into ac- 28 count the lattice’s and dual lattice’s relative orienta- tions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the definition of ∗, acting ∗ twice on a p-cell of the direct (dual) lattice yields ∗ ∗ cp = (−1)p(d−p)cp (∗ ∗ ˆcp = (−1)p(d−p)ˆcp).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, from the defini- tions of the boundary, coboundary, and dual operators, they are related to one another by δcp = (−1)d(p+1)+1 ∗ ∂ ∗ cp, (A6) which, equivalently, is ∗ δcp = (−1)p∂ ∗ cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Appendix B: A TQFT description of the p-form toric code ground states—p-form BF theory In section III B 2 of the main text, we found that the ground states of the Z(p) N SSB phase is equivalent to the ground states of the p-form toric code Hamiltonian Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (65) in terms of the dressed clock operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this appendix section, we relate the lattice description of the ground states to an equivalent topological quantum field theory description.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Doing so demonstrates the connec- tion between exact emergent higher-form symmetries in lattice models and exact higher-form symmetries in La- grangian quantum field theories, where higher-form sym- metries are most commonly studied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The ground states of the Z(p) N SSB phase are defined by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (64).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To develop a field theory description of these ground states, we take inspiration from Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 81 and parameterize the clock operators as Xcp = exp � iΘcp � , Zcp = exp � i(∗ Φ)cp � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B1) The dressed clock operators in the Z(p) N SSB phase then become � X′ cp = exp � i �Θ′ cp � , (B2) �Z′ cp = exp � i(∗ �Φ′)cp � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B3) Note that in order for ( � X′ cp)N = ( �Z′ cp)N = 1, it must be that the eigenvalues of �Θ′ cp and (∗ �Φ′)cp satisfy �Θ′ cp ∈ 2πZ/N, and (∗ �Φ′)cp ∈ 2πZ/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, in order for the clock operators algebra Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (34) to be sat- isfied, �Θ′ cp and (∗ �Φ′)cp must obey the commutation re- lation [�Θ′ cp, (∗ �Φ′)�cp] = 2π i N δcp,�cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In terms of �Θ′ cp and (∗ �Φ′)cp, the constraints Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (64) defining the IR are N 2π δ(∗ �Φ′)cp−1 = N 2π (d�Θ′)cp+1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B4) The the lattice Heisenberg operators �Θ′ cp(t) and (∗ �Φ′)cp(t) are related to their continuum counterparts �Θ′(t, x) and ∗ �Φ′(t, x) by �Θ′ cp = � cp �Θ′, (∗ �Φ′)cp = � cp ∗ �Φ′, (B5) where � cp denotes spatial integration over the p-cell cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For simplicity, we will work locally and treat the con- tinuum quantum fields as differential forms in space (�Θ′ is a p-form while �Φ′ is a (d − p)-form), mapping from spacetime to R/2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One of the many conveniences of using the discrete exterior calculus notation is that in the continuum limit these lattice operators become their continuum versions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, the constraint Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B4) in the continuum limit becomes N 2π d† ∗ �Φ′ = N 2π d�Θ′ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B6) Here, d† is the adjoint of d, which when acting on a p-form is given by d† ≡ (−1)d(p+1)+1 ∗ d ∗.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The lattice Hamiltonian in the IR is just the ground state energy, which we’ll set to zero.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the continuum limit of H(III) IR , Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (63), is H(III) IR = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B7) To write down the path integral, we can find the Lorentzian action from H(III) IR and then perform a func- tional integral over all dynamical fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, the path integral only integrates over field configurations sat- isfying Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Taking these constraints into account, the path integral in Lorentzian signature is Z(III) IR = � D[�Θ′]D[�Φ′] δ � N 2π d† ∗ �Φ′ � (B8) × δ � N 2π d�Θ′ � ei � dtddxL(III) IR , L(III) IR = N 2πp!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (∗ �Φ′)i1···ip∂t �Θ′ i1···ip The first term in L(III) IR enforces the equal-time commu- tation relation [�Θ′ i1···ip(x), (∗ �Φ′)j1···jp(y)] p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' = 2πi N δi1 [j1· · · δip jp]δd(x − y).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B9) Since we work locally, we do not enforce the constraint that the holonomies of �Θ′ and ∗ �Φ′ are restricted to values in 2πZ/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' All that is left is to massage this path integral into a more familiar form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can rewrite both of the func- tional delta functions by integrating in new fields acting as Lagrange multipliers and modifying the action.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, the first delta function can be rewritten using a (p − 1)-form Lagrange multiplier λ: δ � N 2π d†∗ �Φ′ � = � Dλ e i N 2π � λi1···ip−1 ( d† ∗ � Φ′)i1···ip−1 (p−1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B10) Likewise, the second delta function can be rewritten us- ing a (p + 1)-form Lagrange multiplier ∗ η: δ � N 2π d�Θ′ � = � Dη e i N 2π � (∗ η)i1···ip+1 ( d � Θ′)i1···ip+1 (p+1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B11) 29 Plugging these expressions into the Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B8), the path integral becomes Z(III) IR = � D[�Θ′]D[�Φ′]D[λ]D[η] ei � dtddxL(III) IR , (B12) L(III) IR = N 2π � (∗ �Φ′)i1···ip∂t �Θ′ i1···ip p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' +λi1···ip−1(d†∗ �Φ′)i1···ip−1 (p − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' +(∗ η)i1···ip+1(d�Θ′)i1···ip+1 (p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Plugging in the components of d�Θ′ and d† ∗ �Φ′ and sim- plifying, L(III) IR can be rewritten as L(III) IR = N 2πp!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � (∗ �Φ′)i1···ip � ∂t �Θ′ i1···ip + p ∂[i1 λ i2···ip] � + (∗ η)i1i2···ip+1∂[i1 �Θ′ i2···ip+1] � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B13) Let’s now introduce the p-form a and (d − p)- form b in spacetime whose spatial components are ai1···ip = �Θ′ i1···ip and bi1···id−p = (−1)d−p�Φ′ i1···id−p and timelike components are a0i2···ip = −λi2···ip and b0i2···id−p = −ηi2···id−p.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that with this identification, (∗ η)i1···ip+1 = −(∗ b)i1···ip+1 and (∗ �Φ′)i1···ip = (∗ b)0i1···ip.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Plugging these in, the path integral becomes Z(III) IR = � D[a]D[b] ei � dtddxL(III) IR , L(III) IR = N 2πp!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � (∗ b)0i1···ip � ∂tai1···ip + (−1)pp ∂[i1 a i2···ip]0 � − (∗ b)i1i2···ip+1∂[i1 a i2···ip+1] � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B14) The term in brackets can be rewritten using ∂0ai1···ip + (−1)pp ∂[i1ai2···ip]0 = (p + 1)∂[0ai1···ip].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, working in flat spacetime, X is equipped with Minkowski metric (−, +, · · · +).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using it and sum- ming over spacetime indices µ, L(III) IR can be rewritten as L(III) IR = − N 2π �(∗ b)µ1µ2···µp+1∂[µ1 a µ2···ip+1] p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B15) Lasting, using differential forms notation, we arrive at our final expression for the path integral Z(III) IR = � D[a]D[b] ei � L(III) IR , L(III) IR = N 2π b ∧ da.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B16) As anticipated, the low-energy effective field theory, which describes the ground states of the Z(p) N symme- try broken phase, is p-form ZN gauge theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is arguably the simplest field theory with an anomalous Z(p) N × Z(d−p) N symmetry [66].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Review of p-form BF theory In the remainder of this appendix section, we will re- view p-form BF theory, focusing on its symmetries and anomalies, working in D = d + 1 dimensional spacetime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From canonical quantization, the fields a and b satisfy the equal-time commutation relations [aµ1···µp(x), bµp+1···µd(y)] = 2πi N ϵ0µ1···µdδd(x − y).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B17) a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN p-form gauge theory in the continuum We start by review how p-form BF theory can be obtained by condensing charge-N gauge charges in p- form Maxwell theory [82–84].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' p-form Maxwell theory is reviewed in appendix section C 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This will be use- ful as we’ll encounter dual representations of this theory which will make the symmetry analysis of the next sec- tion easier.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, for the reader who would like to jump straight to p-form BF theory, they should skip to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B28).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We modify p-form Maxwell theory Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C19) by intro- ducing the dynamical (p − 1)-form bosonic field H and the gauge redundancy a → a + dχ, H → H + Nχ, (B18) where N ∈ Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A gauge-invariant globally defined quan- tity in terms of only H is FH = dH + ωH, where ωH ∈ 2πHp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' FH satisfies a Bianchi iden- tity 1 2π ∗ dFH = 0 and its periods are quantized as � FH ∈ 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We note that the local part of FH, dH, is only there when p ≥ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When p = 0, FH has no lo- cal fluctuations but only purely topological contributions from the 0-form ωH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' With the additional degrees of freedom provided by H, we can now introduce the Wilson operator Wa,H(O) = exp � i � O Na − dH � , = exp � iN � O a � exp � −i � ∂O H � , = W N a (O)W † H(∂O).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B19) where O is an open p-submanifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Physically Wa,H(O) is an operator that creates a charge excitation on ∂O, but one carrying N-units of a-charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' H is the contin- uum phase operator of created fractionalized charges that carries N-units of a-charge.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Minimally coupling FH to a in light of the gauge redundancy Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B18), we find the 30 partition function Z = � D[a]D[H] � ωa 2π ∈Hp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ωH 2π ∈Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) e− � X L, L = 1 2g2 |Fa|2 + v2 2 |FH − Na|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B20) Expanding out the new term, we can rewrite the La- grangian density as L = 1 2g2 |Fa|2 + v2 2 |FH|2 + N 2v2 2 |a|2 − Nv2a ∧ ∗ FH.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B21) Thus, we find that L ⊃ −a∧ ∗ J with J = Nv2FH for which generally d†J ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, there is now a mass term for a: L ⊃ N 2v2 2 |a|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the new term added to p-form Maxwell theory is essentially a Higgs term with H the phase of the Higgs field and v ∈ R the vev of the Higgs field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The gauge redundancy described by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B18) is a ZN gauge redundancy, reflecting how the initial U(1) gauge redundancy has been Higgsed down to a ZN gauge redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As we saw in appendix section C 1 b, these types of theories have a generalized “particle-vortex” like du- ality called abelian duality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, since the action’s dependency on H is entirely in the form of FH we can dualize H → ˆH using the same method shown in section C 1 b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, dualizing H to the (D − p − 1)-form ˆH satisfying � F ˆ H ∈ 2πZ and dF ˆ H (where F ˆ H = d ˆH + ω ˆ H), the Euclidean Lagrangian be- comes L = |Fa|2 2g2 + |F ˆ H|2 8π2v2 − iN 2π a ∧ F ˆ H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B22) The Euclidean path integral now integrates over the dynamical fields a and ˆH and sums over ωa ∈ 2πHp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) and ω ˆ H ∈ 2πHD−p(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We note that without changing the action amplitude, the La- grangian density can be rewritten as L = |Fa|2 2g2 + |F ˆ H|2 8π2v2 − iN 2π ˆH ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B23) Locally, we have just integrated by parts in the BF term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, keeping track of the globally nontrivial parts of F ˆ H and Fa makes showing this difficult (it’s most natu- rally seen using Deligne-Beilinson cohomology [85]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Utilizing abelian duality we have found two representa- tions for the theory: the (a, H) representation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B20) and the (a, ˆH) representation Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B22) and (B23), the latter being dual only locally.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In representation (a, ˆH), the deep IR is governed by p-form BF theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Here, the deep IR refers to energies below the gap of a and ˆH, which have a gap through topological mass generation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, to find their en- ergy gaps, first note that in the (a, ˆH) representation, the Lorentzian action is S = � X � −|Fa|2 2g2 − |F ˆ H|2 8π2v2 + N 2π a ∧ F ˆ H � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B24) Since this theory is Gaussian, we can show that the a∧F ˆ H term causes all excitations to be gapped using the equa- tions of motion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Varying the action, we find that δS = � X � − 1 g2 � d†Fa + (−1)p(D−p) Ng2 2π ∗ F ˆ H � ∧ ∗ δa − 1 4π2v2 � d†F ˆ H − (−1)p2+D2πNv2 ∗ Fa � ∧ ∗ δ ˆH � , and therefore the classical equations of motion are d†Fa + (−1)p(D−p) Ng2 2π ∗ F ˆ H = 0, d†F ˆ H − (−1)p2+D2πNv2 ∗ Fa = 0 (B25) We can now decouple ∗ Fa and ∗ F ˆ H to get the equations � d† d + N 2g2v2� ∗ F ˆ H = 0, � d† d + N 2g2v2� ∗ Fa = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B26) Using that d† ∗ Fb, ˆ H = 0, we can then rewrite this in terms of the Hodge Laplacian δ = d† d + dd† as � δ + N 2g2v2� ∗ F ˆ H = 0, � δ + N 2g2v2� ∗ Fa = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B27) Therefore, we see that the p-form ∗ F ˆ H and the (D − p − 1)-form ∗ Fa both have an energy gap Ngv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To go below the energy gap into the deep IR, we take the limit g → ∞ and v → ∞.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this limit, the Euclidean path integral becomes ZBF = � D[a]D[ ˆH] � ω ˆ H 2π ∈HD−p(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) e− � X LBF , LBF = − iN 2π a ∧ F ˆ H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B28) This is p-form BF theory, and it is in terms of the p-form bosonic field a, which is the U(1) gauge field we started with and ˆH, which is the abelian dual of the Higgs field phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Taking the deep IR limit us- ing the Lagrangian density in this representation written as Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B23), the Lagrangian in the topological limit is equivalent to LBF = − iN 2π ˆH∧Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Plugging in F ˆ H = d ˆH + ω ˆ H into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B28), the path integral becomes ZBF = � D[a]D[ ˆH] � ω ˆ H 2π ∈HD−p(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) e i N 2π � (a∧d ˆ H+a∧ω ˆ H) (B29) Integrating by parts on the first term and using Poincar´e duality on the second term, we can rewrite this as ZBF = � D[a]D[ ˆH] � ω∈Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) exp � iN 2π � X ˆH ∧ da + iN � ω a � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B30) 31 Integrating over ˆH and summing over ω, the path integral becomes ZBF = � D[a] δ(da) δ �� a ∈ 2πZ N � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B31) Notice that if we would have instead started with the Lagrangian density written as LBF = − iN 2π ˆH∧Fa, upon integrating out a and ωa we’d get ZBF = � D[ ˆH] δ(d ˆH) δ �� ˆH ∈ 2πZ N � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B32) Having massaged p-form BF theory into Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B31), we find that the U(1) gauge fields are closed forms and have quantized holonomies28.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This has an important effect on the Wilson operators Wa[Cp] = exp � i � Cp a � , (B34) W ˆ H[CD−p−1] = exp � i � CD−p−1 ˆH � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B35) Indeed, since the holonomies of a and ˆH are quantized, the Wilson operators are constrained as Wa ∈ ZN, W ˆ H ∈ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B36) Thus, because the holonomies are quantized the Wilson operators satisfy (Wa)N = (W ˆ H)N = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B37) When Cp ∈ Bp(X) (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', there exists an Op+1 such that Cp = ∂Op+1), Wa can be written as Wa[Cp] ≡ exp � i � Cp a � = exp � i � Op+1 da � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, since da = 0, Wa supported on a contractible cycle is trivial element of ZN: Wa [Cp ∈ Bp(X)] = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B38) This is also true for W ˆ H: W ˆ H [CD−p−1 ∈ BD−p−1(X)] = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B39) 28 This can also be deduced from the equations of motion.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, in the (a, H) representation, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B20), the H equations of mo- tion in the deep IR are FH = Na.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B33) Therefore, because of the Bianchi identity dFH = 0, a is a closed p-form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, since FH satisfies � FH = 2πZ, the holonomies of a are quantized as � a = 2πZ/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the Wilson operators are topological opera- tors, meaning that they can be continuously deformed: W[C + ∂O] = W[C].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B40) Therefore, at low-energies, any contractible Wilson oper- ators can condense into vacuum, but for non-contractible Wilson operators only N of them can condense into vac- uum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can evaluate ZBF by considering the Wilson op- erators, which is convenient as we do not have to worry about performing the path integral in the presence of gauge redundancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the path integral simply counts the number of nontrivial Wilson operators W(C) which satisfy W(C)N = 1, and thus the number of con- figurations a ∈ Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN): ZBF = � a∈Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='ZN) 1, = |Hp(X, ZN)|.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The coefficients of Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN) are ZN to preserve the condition Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B36).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The number of ground states is given by the partition function evaluated on X = R × M, where M is a space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, there are |Hp(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' ZN)| degenerate ground states.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Symmetries Having reviewed the basics of p-form BF theory in the previous section, we now turn to identifying the theory’s symmetries, showing that there is a Z(p) N × Z(d−p) N sym- metry [66].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s first consider the symmetries manifest in the (a, H) representation, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B20).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The path integral is invariant under the transformation a → a + Γ, FH → FH + NΓ, (B41) with dΓ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since FH satisfies � FH ∈ 2πZ, in order to shift FH → FH + NΓ we require that � Γ ∈ 2πZ/N.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' When Γ = dω, the transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B41) becomes the gauge transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the Γ that correspond to physical transformations are N 2πΓ ∈ Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The quantization condition of the periods of Γ has a significant consequence.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, note that the Wilson operator Wa (Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B34)) is charged under this symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because of the quantization condition � Γ ∈ 2πZ/N, it transforms as Wa[Cp] → ei � ΓWa[Cp] ei � Γ ∈ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B42) Since the charged operators are p-dimensional and trans- form by an element of ZN, this is a Z(p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It’s tempting to think that there may be an additional symmetry associated with the H field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B20) 32 is invariant under the transformation H → H + ω for dω = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, there are no physical observables that transform under this.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, while the Wilson operator exp � i � H � picks up a phase, it is not a physical opera- tor since it is not invariant under the gauge redundancy Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B18).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since there are no charged operators under H → H + ω, it does not have physical implications and is therefore not a symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Z(p) N symmetry can also be seen in the (a, ˆH) representation, when the Lagrangian is de- scribed by Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B22).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, under the symme- try transformation, the action amplitude transforms as exp[−S] → exp[−S] exp[−δS], where exp[−δS] = exp � − iN 2π � Γ ∧ F ˆ H � , (B43) with N 2πΓ ∈ Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Plugging in F ˆ H = d ˆH + ω ˆ H, the phase factor exp[−δS] becomes exp[−δS] = e− i N 2π � Γ∧d ˆ H e− i N 2π � Γ∧ω ˆ H = e i N 2π (−1)p � dΓ∧ ˆ H e−2π i � N Γ 2π ∧ ω ˆ H 2π = exp � −2πi � N Γ 2π ∧ ω ˆ H 2π � , where we used integration by parts and that dΓ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Re- call that N 2πΓ ∈ Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) and ω ˆ H 2π ∈ HD−p(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Then, since the wedge product preserves integral de Rham cohomology classes, N Γ 2π ∧ ω ˆ H 2π ∈ HD(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, exp[−δS] becomes exp[−δS] = exp[−2πiZ] = 1, (B44) and thus the action amplitude is invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Lagrangian in the (a, ˆH) representation can also be written as Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B23) without changing the partition function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this form, following the same argument used to show that there is a Z(p) N symmetry, we find there is also Z(d−p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, the action amplitude is invariant under ˆH → ˆH + ˆΓ where N 2π ˆΓ ∈ Hd−p(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The charged operator of this Z(d−p) N symmetry is the Wil- son operator W ˆ H = exp � i � ˆH � , which transforms as W ˆ H(C) → ei � ˆΓW ˆ H(C) ei � ˆΓ ∈ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B45) To summarize, the symmetry of p-form BF theory is Z(p) N × Z(d−p) N .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetry transformations associated with Z(p) N and Z(d−p) N are Z(p) N : a → a + 2π N Γ, Γ ∈ Hp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), Z(d−p) N : ˆH → ˆH + 2π N ˆΓ, ˆΓ ∈ Hd−p(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), (B46) respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note how only in the (a, ˆH) representation are both of these symmetries manifest.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the (a, H) representations, the Z(d−p) N symmetry is hidden as the charged operators are ’t Hooft operators.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetry operator of the Z(p) N symmetry is U(Σ) = exp � i � Σ ˆH � , = exp � i � Md ˆH ∧ Γ � , (B47) where Γ is the Poincar´e dual of the p-cycle Σ with respect to space Md.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, using the equal-time commutation relation (B17), which form Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B22) is [aµ1···µp(x), ˆHµp+1···µd(y)] = 2πi N ϵ0µ1···µdδd(x − y), (B48) we have that U(Σ)Wa(C)U †(Σ) = e 2π i N � C ΓWa(C), = e 2π i N #(Σ,C)Wa(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B49) Interesting the symmetry operator of Z(p) N was the charged operator of Z(d−p) N : U = W ˆ H.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Similarly, the sym- metry operator of the Z(d−p) N symmetry is ˆU(ˆΣ) = exp � i � ˆΣ a � , (B50) which is just Wa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Mixed ’t Hooft anomaly and anomaly inflow In the last section, we found that p-form BF theory has an Z(p) N and Z(d−p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, these sym- metries are not independent of one another: the symme- try operator of one symmetry is a charged operator of the other symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In other words, these two symme- try operators do not commute.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is a manifestation of the fact that the Z(p) N × Z(d−p) N symmetry is anomalous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In this section, we will turn on a background gauge field for these symmetries to learn more about this mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s first turn on a background gauge field for the Z(p) N symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We introduce the background gauge field A ∈ 2π N Hp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) and the gauge redundancy a → a + β, A → A + dβ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B51) Minimally coupling A, the p-form BF theory path inte- gral becomes Z[A] = � D[a]D[ ˆH] e− � X L[A], L = − iN 2π � a ∧ F ˆ H + (−1)pA ∧ ˆH � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B52) 33 We next turn on a background gauge field for the Z(d−p) N symmetry, introducing the background gauge field ˆ A ∈ 2π N Hd−p+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) and the gauge redundancy ˆH → ˆH + ζ, ˆ A → ˆ A + dζ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B53) Minimally coupling ˆ A, Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B52) becomes Z[A, ˆ A] = � D[a]D[ ˆH] e− � X L[A, ˆ A], L = − iN 2π � a ∧ (F ˆ H − ˆ A) + (−1)pA ∧ ˆH � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B54) When the Z(p) N background gauge field is turned off (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e, A = 0), the path integral is gauge invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' How- ever, when the Z(p) N background gauge field is turned on, there are no local counter terms which can be added such that the path integral is invariant under Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B53).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- deed, under this gauge transformation, the path integral transforms as Z[A, ˆ A] → Z[A, ˆ A] exp � (−1)p iN 2π � X A ∧ ζ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B55) We thus see that there is an obstruction to coupling a background gauge field of both symmetries, and hence a mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' a ’t Hooft anomaly can be classified by an invertible theory in one higher-dimension whose boundary realizes the anomalous symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s now extend the back- ground fields to one higher-dimension and have X be the boundary of the new spacetime Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The phase picked up by Z[A, ˆ A] in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B55) can then be written as exp � (−1)p iN 2π � X A ∧ ζ � = exp � − iN 2π � Y A ∧ dζ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B56) In order to make the theory gauge invariant and cancel out the phase Z picks up, let’s consider the invertible theory Zinv[A, ˆ A] = exp � iN 2π � Y A ∧ ˆ A � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B57) Under the gauge transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B53), Zinv trans- forms as Zinv[A, ˆ A] → Zinv[A, ˆ A] exp � iN 2π � Y A ∧ dζ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B58) This is the same as the inverse of the phase picked up by Z.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, we replace Z with Z[A, ˆ A] → Zinv[A, ˆ A]Z[A, ˆ A], (B59) which is now gauge invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The path integral of the new gauge invariant theory is Z[A, ˆ A] = � D[a]D[ ˆH] e− � Y Lbulk+dLboundary, Lbulk = − iN 2π A ∧ ˆ A, Lboundary = − iN 2π � a ∧ F ˆ H + (−1)pA ∧ ˆH � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Given that we have found the theory in Y spacetime such that the mixed ’t Hooft anomaly is canceled, we can now close the one higher-dimensional spacetime.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let- ting ∂Y = ∅, the topological part of the path integral is Zinv[A, ˆ A], Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B57).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since A ∈ 2π N Hp+1(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) and ˆ A ∈ 2π N Hd−p+1(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), A∧ ˆ A ∈ 4π2 N 2 Hd+2(Y ;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' There- fore, the mixed anomaly is classified by Zinv[A, ˆ A] = exp � i2π N Z � ∈ ZN.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (B60) The form of Zinv and the ZN classification agrees with the d = 3, p = 1 lattice result found in Ref.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 43, which started from a bulk twisted U(1) gauge theory in the confined phase.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Appendix C: Taking the continuum limit—p-form Maxwell theory In this appendix section, we present how we take the continuum limit of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (90) in section III C 2 of the main text.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Doing so also demonstrates the connection between exact emergent higher-form symmetries in lattice models and exact higher-form symmetries in Lagrangian quan- tum field theories, where higher-form symmetries are most commonly studied.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The lattice Heisenberg operators Lz cp(t) and Θcp(t) in the IR are dressed by two local unitary opera- tors U (1) LU and U (2) LU and denoted as �L′z cp(t) and �Θ′ cp(t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Furthermore, in the mid-IR we defined the variable ωcp+1 ≡ −2π � (d�Θ)cp+1/(2π) � , which in the IR was dressed by U (2) LU and denoted as ω′ cp+1(t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the three elementary operators in the IR are �L′z cp(t), �Θ′ cp(t), and ω′ cp+1(t).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We relate these lattice operators to their continuum counterparts �L′z(t, x), �Θ′(t, x), and ω′(t, x) by �L′z cp = � cp �L′z, �Θ′ cp = � cp �Θ′, ω′ cp+1 = � cp+1 ω′, (C1) where, for instance, � cp denotes spatial integral over the p-cell cp.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The continuum quantum fields are globally differential forms in space M (�L′z and �Θ′ are p-forms while ω′ is a (p + 1)-form), mapping from spacetime X to R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' One of the many conveniences of using the dis- crete exterior calculus notation is that in the contin- uum limit, these lattice operators become their contin- 34 uum versions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, for instance, the lattice opera- tor F ′ cp+1 = (d�Θ′)cp+1 + (ω′)cp+1 is related to its contin- uum version by F ′ cp+1 = � cp+1 F ′ where F ′ = d�Θ′ + ω′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, taking the continuum limit of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (90), the deep IR continuum Hamiltonian is Hdeep IR= � ddx � κU 2 |�L′z i1···ip|2 p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' + ε2p+2U 2 |F ′ i1···ip+1|2 (p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � , (C2) where, for instance, |�L′z i1···ip|2 ≡ �d i1,··· ,ip=1(�L′z i1···ip)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To write down the path integral, we can find the Lorentzian action from H(III) IR and then perform a func- tional integral over all dynamical fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, the path integral only integrates over field configurations obeying particular constraints: 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Firstly, since the IR does not include dressed charge excitations, we only integrate over �L′z configura- tions satisfying �ρ ′ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The expression for �ρ ′ cp−1 in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (66) can be rewritten using discrete exterior calculus notation as �ρ ′ cp−1 ∼ (∗ d ∗ �L′z)cp−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, �ρ ′ = 0 in the continuum limit is the Gauss law ∂j �L′z ji1···ip−1 = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C3) Despite there being no dressed charges in the IR, �L′z can still be sourced along nontrivial p-cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, because �L′z cp ∈ Z on the lattice, in the con- tinuum limit, the flux of �L′z is quantized � Cd−p ∗ �L′z ∈ Z, (C4) where Cd−p is any closed (d − p)-submanifold of space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Notice how using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C3), when Cd−p is contractible, this is automatically satisfied since the left-hand side is zero by Stoke’s theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, this additional constraint only affects Cd−p in the (d − p)th homology group: Cd−p ∈ Hd−p(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Additionally, since the IR does not include dressed topological defects, we only integrate over �Θ′ and ω′ configurations satisfying ˆρ′ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The expres- sion for (∗ ˆρ′)cp+2 of Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (88) in the continuum limit becomes ˆρ′ = 1 2π ∗ dF ′, and ˆρ′ = 0 becomes the Bianchi identity 1 2π ∗ dF ′ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C5) Despite there being no dressed topological defects in the IR, ∗ F ′ can still be sourced along nontrivial (d − p)-cycles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, because ω′ cp ∈ 2πZ on the lattice, in the continuum limit, the flux of ∗ F ′ is quantized � Cp+1 F ′ ∈ 2πZ, (C6) where Cp+1 is any closed (p + 1)-submanifold of space.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Notice how plugging in F ′ = d�Θ′ + ω′, the �Θ′ vanishes and Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C5) and (C6) only put con- straints on ω′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, because ω′ is not an exact form, these constraints can be summarized as ω′ 2π ∈ Hp+1(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), (C7) where Hp+1(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z) denotes the (p + 1)th de Rham cohomology group with integral periods.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the above, we learn that there are three con- straints given by Eqs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C3), (C4), and (C7) that must be added by hand into the path integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Taking into ac- count these constraints, the path integral in Lorentzian signature is Zdeep IR = � D[�Θ′] D�L′z � ω′∈2πHp+1(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) δ(∂i1 �L′z i1···ip) (C8) × δ �� ∗ �L′z ∈ Z � ei � X dtddx Ldeep IR Ldeep IR = �L′z i1···ip∂t �Θ′ i1···ip p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − � κU 2 |�L′z i1···ip|2 p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' + ε2p+2U 2 |F ′ i1···ip+1|2 (p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The first term in Ldeep IR enforces the equal-time com- mutation relation [�Θ′ i1···ip(x), �L′z j1···jp(y)] p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' = iδi1 [j1· · · δip jp]δd(x − y), (C9) and the second term in parenthesis is Hamiltonian den- sity from Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C2) This expression of the path integral is perfectly correct.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, to get it into a more familiar form, we rewrite this phase space path integral as a coordinate space path integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To do so, we rewrite both of the functional delta functions by integrating in new fields and modifying the action.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For the delta function enforcing the �L′z quanti- zation condition, we can rewrite it by summing over all nontrivial closed p-submanifolds in space δ �� ∗ �L′z ∈ Z � = � C∈Hd−p(M) exp � 2πi � C ∗ �L′z � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C10) Using Poincar´e duality to write 2π � C ∗ �L′z = � X ∗ �L′z∧η, where η/2π is the poincare dual of C with respect to spacetime, this can be rewritten as δ �� ∗ �L′z ∈ Z � = � η∈2πHp(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ei � X dtddx � L′z i1···ip ηi1···ip p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C11) 35 Since C is closed and has integer coefficients, η is a closed form and satisfies � η ∈ 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The delta function enforc- ing Gauss law can be rewritten using a (p − 1)-form La- grange multiplier δ(∂i1 �L′z i1···ip) = � Dλei � X λi2···ip∂i1 �L′z i1i2···ip/(p−1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='. (C12) Plugging in both of these delta functions, the path in- tegral takes the cumbersome form Zdeep IR = � D[�Θ′] D�L′z Dλ � ω′∈2πHp+1(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) η∈2πHp(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ei � X dtddx Ldeep IR, Ldeep IR = λi2···ip∂i1 �L′z i1i2···ip (p − 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' + �L′z i1···ipηi1···ip p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C13) + �L′z i1···ip∂t �Θ′ i1···ip p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − κU|�L′z i1···ip|2 2p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − ε2p+2U|F ′ i1···ip+1|2 2(p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is now straight forward to integrate out the �L′z field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Assuming spacetime is closed, we integrate by parts on the first term in Ldeep IR and use the anti-symmetry of �L′z to rewrite Ldeep IR as Ldeep IR = �L′z i1···ip � ∂t �Θ′ i1···ip − p ∂[i1λi2···ip] + ηi1···ip � p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − κU|�L′z i1···ip|2 2p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − ε2p+2U|F ′ i1···ip+1|2 2(p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C14) Integrating out �L′z, rescaling t → t/(Uεp+1√κ), λ → Uεp+1√κ λ, and η → Uεp+1√κ η, and introducing g = 1/(εp+1√ U), the path integral becomes Zdeep IR = � D[�Θ′] Dλ � ω′∈2πHp+1(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) η∈2πHp(M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ei � X dtddx Ldeep IR, (C15) Ldeep IR= |∂t �Θ′ i1···ip− p∂[i1λi2···ip] +ηi1···ip|2 2g2p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − |F ′ i1···ip+1|2 2g2(p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='. Having found the coordinate path integral, we now massage this to get it into a canonical form.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Namely, let’s introduce the p-form a and (p + 1)-form ωa in spacetime whose spatial components are ai1···ip = �Θ′ i1···ip and (ωa)i1···ip+1 = ω′ i1···ip+1 and timelike components are a0i2···ip = λi2···ip and (ωa)0i1···ip = ηi1···ip.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using a and letting Fa = da + ωa, we can reexpress the path integral as Zdeep IR = � D[a] � ωa∈2πHp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ei � X dtddx Ldeep IR, (C16) Ldeep IR = |∂0ai1···ip + (−1)pp ∂[i1ai2···ip]0 + (ωa)0i1···ip|2 2g2p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − |(Fa)i1···ip+1|2 2g2(p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using ∂0ai1···ip + (−1)pp ∂[i1ai2···ip]0 = (p + 1)∂[0ai1···ip], the first term in Ldeep IR can be rewritten in terms of Fa: Ldeep IR = 1 2g2 �|(Fa)0i1···ip|2 p!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' − |(Fa)i1···ip+1|2 (p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C17) Furthermore, working in flat spacetime, X is equipped with Minkowski metric (−, +, · · · +).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, summing over spacetime indices µ = 0, · · · , d, Ldeep IR can be rewritten as Ldeep IR = − 1 2g2(p + 1)!' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (Fa)µ1···µp+1(Fa)µ1···µp+1 (C18) Lastly, using differential forms notation, we arrive at our final expression for the path integral Zdeep IR = � D[a] � ωa∈2πHp+1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) ei � X Ldeep IR, Ldeep IR = − 1 2g2 |Fa|2, (C19) where |F|2 ≡ F ∧ ∗ F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is exactly p-form Maxwell the- ory, as stated in the main text.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Review of p-form Maxwell theory In the remainder of this appendix section, we will re- view p-form Maxwell theory, focusing on its symmetries and anomalies, working in D = d + 1 dimensional space- time.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The canonical momentum field Π is locally a (D − p − 1)-form associated with a codimension-1 sub- manifold of X in a Lorentzian signature.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We choose this to be the 0-direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Then, Π’s components are defined by varying the action with respect to ∂0aµ1···µp which yields Π = − 1 g2 ∗ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C20) Therefore, from canonical quantization we have the equal-time commutation relations � aµ1···µp(x), (∗ Fa)µp+1···µd(y) g2 � = iϵ0µ1···µdδd(x − y).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C21) 36 a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' U(1)(p) symmetry The action amplitude is only a function of the field strength, and so the path integral is invariant under a being shifted by a closed p-form: a �→ a + Γ where dΓ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C22) However, just because the action amplitude is invariant does not mean it is a symmetry transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- deed, it could be a gauge redundancy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If it is a gen- uine symmetry, it must transform observables nontriv- ially.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' These physical operators are the Wilson opera- tors Wa(Cp) = exp � i � Cp a � , and under the transforma- tion Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C22) they transform as Wa (Cp) �→ exp � i � Cp Γ � Wa (Cp) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C23) Since there are no restrictions on the holonomies of a, Γ satisfies � Γ ∈ R.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus exp � i � Cp Γ � ∈ U(1) and Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C23) is the symmetry transformation of a U(1)(p) symmetry (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', an operator supported on a p- submanifold picks up a phase).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that when Cp is a boundary, then by Stokes theorem � Cp Γ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, only Wilson loops defined on non-contractible Cp can be charged under the U(1)(p) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Given that Wa (Cp) are the physical quantities of the theory instead of a, not all transformations a → a + Γ with dΓ = 0 necessarily correspond to symmetry trans- formations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For Γ that satisfy exp � i � Cp Γ � = 1, the transformation a → a + Γ is instead a gauge transfor- mations corresponding to formal redundancies29.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s denote Γ that correspond to gauge redundancies as Γgauge, and since exp � i � Cp Γgauge � = 1, their periods are � Cp Γgauge ∈ 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In the case where Γgauge is exact (Γgauge = dω, which is the canonical gauge transforma- tion), the periods are zero by Stokes theorem.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, there also exist closed but not exact Γgauge whose periods are 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, these are Γgauge ∈ 2πHp(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Z), and these types of gauge transformations are the so-called large gauge transformations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The physical transforma- tion on a therefore require that Γ be closed but not exact and the periods of Γ are not in 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Given that we’ve identified a U(1)(p) symmetry, let’s now find the symmetry transformation operator which performs said transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can do so using Noether’s theorem and the fact that the conserved charge operator is the generator of the corresponding symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' 29 This gives rise to an intriguing explanation to why gauge redun- dancies appear in theories that describe physical systems: the physical system’s constituents are extended objects but the for- malism used describes them is in terms of strictly local fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' It is physicists’ attachment to locality that infects the formalism with redundancies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A nice trick to find the conserved current is to introduc- ing a closed (p + 1)-form background field A and the gauge redundancy a �→ a + β, A �→ A + dβ, (C24) where dβ ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Minimally coupling the background field such that the theory is gauge invariant, the action be- comes S[A] = − 1 2g2 � X |Fa − A|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C25) The conserved current J corresponding to the symmetry will minimally couple to A as the term � A∧ ∗ J.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Ex- panding out the terms in S[A], we find that J = 1 g2 Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C26) The requirement that � A∧ ∗ J is gauge invariant enforces the expected conservation law d ∗ J = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the charge operator Q ≡ � ∗ J is supported on a (D − p − 1)- dimensional closed surface Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The symmetry transforma- tion Uα = eiαQ is Uα (Σ) = exp � iα � Σ ∗ Fa g2 � , (C27) where α ∈ [0, 2π) parametrizes the U(1) transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Uα(Σ) is a topological operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In fact, any operator of the form U(Σ) = exp � i � Σ η � , where dη = 0, is.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, let’s continuously deform Σ → Σ′.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Given that σ is homotopically equivalent to Σ′, the surfaces differ by a boundary and thus we can write Σ′ = Σ + ∂δ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Using this, we find that: U(Σ + ∂δ) = exp � iα � Σ+∂δ η � , = exp � iα �� Σ η + � ∂δ η �� , = exp � �iα � � � Σ η + � δ dη ���� =0 � � � �, = exp � iα � Σ η � , = U(Σ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C28) So, number of transformations is given by number of ho- motopic equivalence classes for nontrivial contractible p- dimensional surfaces.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s now see how Uα acts on Wa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' First, note that the closed manifold Σ ⊂ M, where M denotes a closed codimension-1 submanifold (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', a fixed imaginary-time 37 slice of Euclidean spacetime).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let the p-form ˆΣ be the Poincar´e dual of Σ with respect to M so the symmetry operator can be written as Uα (Σ) = exp � iα g2 � M ∗ Fa∧ˆΣ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because Σ is closed, the Poincar´e dual satisfies dˆΣ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From the Baker–Campbell–Hausdorff formula, the Wil- son operator transforms as Uα (Σ) Wa (C) U † α (Σ) = e α g2 [ � M ∗ Fa∧ˆΣ, � C a]Wa (C) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From canonical commutation relations Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C21), the commutator in the exponential is �� M ∗ Fa ∧ ˆΣ, � C a � = ig2 � C ˆΣ, (C29) and thus we find Uα (Σ) Wa (C) U † α (Σ) = exp � iα � C ˆΣ � Wa (C) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C30) Comparing this to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C23), we identify Γ ≡ αˆΣ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Nev- ertheless, we find that q = � C ˆΣ is the charge of the operator Wa (C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can rewrite the phase noting that � C ˆΣ = � Σ∩C 1, which is the intersection number between Σ and C in M: # (Σ, C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore q = # (Σ, C) ∈ Z and the U(1)(p) symmetry transformation is Uα (Σ) Wa (C) U † α (Σ) = exp [iα # (Σ, C)] Wa (C) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C31) b.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Abelian duality To make the other symmetry manifest we must effec- tively change the representation of our degrees of free- dom using Abelian duality [86] to dualize the field a to the field ˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is a particle-vortex duality since, as we will see, the sources (topological defects) of a corre- spond to the topological defects (sources) of ˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Abelian duality is further useful since it maps the strong coupling limit in the a-representation to a weak coupling limit ˆa- representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s now dualize (change representation from a to ˆa) the quantum theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Instead of integrating over the equivalence classes of a and summing over ωa, we can in- stead integrate over Fa since the action only depends on Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, in doing so we have to ensure that we only integrate over Fa which satisfy the Bianchi identity30 1 2π ∗ dFa = 0, (C32) 30 If there were topological defects described by a current ˆ J , then the Bianchi identity would be modified to 1 2π ∗ dFa = ˆ J .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The presence of topological defects would be captured by the field strength globally being give by Fa = db + ωa + d†βa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The periods of Fa would be � Fa = � (ωa + d†βa) ∈ 2πZ and now dFa = d(d†βa) ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' and which obey the quantization condition � Cp+1 Fa ∈ 2πZ, (C33) for all Cp+1 ∈ Hp+1(X).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, with these two constraints in mind we can change variables and write the Euclidean path integral as Z = � DFa δ �∗ dFa 2π � δ �� Fa 2π ∈ Z � e− � X L, L = 1 2g2 |Fa|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C34) Let’s now rewrite the functional delta functions by in- tegrating in fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Firstly, introducing the (D − p − 2)- form ˆa, we write δ �∗ dFa 2π � = � Dˆa exp � i � X ˆa ∧ ∗ �∗ dFa 2π �� , = � Dˆa exp � i 2π � X dˆa ∧ Fa � , (C35) where we absorbed any minus signs from the ∗ ∗ and inte- grating by parts into ˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As for the second delta function, we can rewrite it as δ �� Fa 2π ∈ Z � = � ˆωˆa∈Hp+1(X) exp � 2πi �� ˆωˆa Fa 2π �� , = � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) exp � i 2π � X ωˆa ∧ Fa � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C36) We start off by summing over all closed (p + 1)- submanifold ˆωˆa, and then using Poincar´e duality we change that sum to a sum over all dual closed (D − p − 1)-forms ωˆa/(2π).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because we sum over ˆωˆa with integer coefficients, ωˆa satisfies the quantization condition � ωˆa ∈ 2πZ (the factor of 2π is for conve- nience).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus the product of the delta functions give δ �∗ dFa 2π � δ �� Fa 2π ∈ Z � = � Dˆa � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) exp � i 2π � X (dˆa + ωˆa) ∧ Fa � = � Dˆa � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) exp � i 2π � X Fˆa ∧ Fa � , (C37) where we introduced Fˆa = dˆa + ωˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Note that from the quantization condition � ωˆa ∈ 2πZ, we have that � Fˆa ∈ 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C38) Furthermore, because ωˆa is closed, Fˆa also satisfies a Bianchi identity 1 2π ∗ dFˆa = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C39) 38 Returning back to the Euclidean path integral (C34), using Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C37) it becomes Z[X, g] = � DFaDˆa � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) e− � X L, L[Fa, Fˆa;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' g] = 1 2g2 |Fa|2 − i 2π Fˆa ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C40) Let’s now complete the square, and introducing G = Fa − i g2 2π ∗ Fˆa, the path integral becomes Z = � DG Dˆa � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) e− � X L, L = 1 2g2 |G|2 + g2 8π2 |Fˆa|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C41) We can now integrate out G and arrive at the path inte- gral only in terms of the dual field ˆa: Z[X, g] = � D[ˆa] � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) exp � − g2 8π2 � X |Fˆa|2 � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C42) Remarkably, this theory has the same form as what we started with, expect now that initial p-form a is a (D − p − 2)-form ˆa and the coupling constant g is now 2π/g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, strongly coupling (g ≫ 1) in the a represen- tation gets mapped to weak coupling in the ˆa represen- tation, and vice versa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Having gone through the process of dualizing a to ˆa, let’s now see how operators in terms of a transform un- der dualizing.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We introduce the map S which takes an operator in the a representation to the ˆa representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s first check to see what the field strength Fa maps to by inserting Fa into the path integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This is quite easy to find, noting that when completing the square we did a change of variables Fa = G + i g2 2π ∗ Fˆa, the insertion becomes ⟨Fa⟩a = ⟨G⟩ˆa + � i g2 2π ∗ Fˆa � ˆa .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C43) We use the notation that ⟨·⟩a is the vev evaluated in the a-representation and ⟨·⟩ˆa is the vev evaluated in the ˆa-representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since the G part of the action is Gaus- sian, ⟨G⟩ = 0 and so ⟨Fa⟩ = ⟨i g2 2π ∗ Fˆa⟩.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, we find that in Euclidean signature S : Fa �→ i g2 2π ∗ Fˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C44) In the Lorentzian signature, this would of course become S : Fa �→ g2 2π ∗ Fˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can dualizing ˆa back to a by simply repeating the same steps as before to find S : Fˆa �→ i 2π g2 ∗ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C45) Therefore, Dualizing a twice gives us S2 : Fa �→ i2 ∗ ∗ Fa which using the expression for ∗ ∗ in Euclidean spacetime becomes S2 : Fa �→ (−1)D(p+1)+pFa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C46) When both D and p are even, dualizing twice acts as S2 : Fa �→ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, if D or p or both are odd, then S2 : Fa �→ −Fa and thus one must dualize four times to get the identity map: S4 : Fa �→ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Repeating the above argument, we find that d†Fa and ∗ dFa get mapped to ∗ dFˆa and d†Fˆa, respectively, and vice versa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the excitations (topological defects) of a are the topological defects (excitations) of ˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Hence, abelian duality is a particle-vortex type duality.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We emphasize that the above mappings does not im- ply that Fa = i g2 2π ∗ Fˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Instead, while operators linear in Fa simply have Fa replaced with i g2 2π ∗ Fˆa, more care is required to find the dual representation of operators nonlinear in Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, (Fa)2 does not become (i g2 2π ∗ Fˆa)2 due to the addition terms pick up when squar- ing Fa = G + i g2 2π ∗ Fˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Now let’s see what Wilson operator of a gets mapped to.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We will assume that Wa is supported on a con- tractible manifold C = ∂M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, there are infinitely many such M whose boundary is C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' As such, to avoid this ambiguity we simply sum over all such M: Wa[C] = � M:∂M=C exp � i � ∂M a � , = � M:∂M=C exp � i � M Fa � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C47) Let’s now introduce ˆ M, the Poincar´e dual of M with respect to X, which satisfies � ˆ M ∈ 2πZ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Poincar´e dual ˆC is related to ˆ M by ˆC = d ˆ M/(2π).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, using Poincar´e duality, we rewrite Wa as Wa[C] = � D ˆ M δ(d ˆ M − 2π ˆC) exp � i 2π � X Fa ∧ ˆ M � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Inserting this into the path integral after the dual field strength ˆa has been integrated in gives Z = � DFaD ˆ MD[ˆa] � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) δ(d ˆ M − 2π ˆC) e− � X L L = 1 2g2 |Fa|2 + i 2π (Fˆa − ˆ M) ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C48) Now integrating out Fa, the resulting theory is Z = � D ˆ MD[ˆa] � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) δ(d ˆ M − 2π ˆC) e− � X L, L = g2 8π2 |Fˆa − ˆ M|2 (C49) 39 Note that this can be written as Z = � D[ˆa] � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) T[C] e− � X L, T = � D ˆ M δ(d ˆ M − 2π ˆC) e− � X g2 8π2 [−2Fˆa∧ ∗ ˆ M+| ˆ M|2], L = g2 8π2 |Fˆa|2 We thus see that a contractible Wilson loop dualizes to T, which is a rather cumbersome expression.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Path integral Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C49) is the path integral we found without the Wilson loop insertion Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C42) but now with the connection ˆ M which is restrained to d ˆ M = 2π ˆC.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We can get ride of the ˆ M connection in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C49) and have the path integral look similar to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C42) if we let ˆa be singular field not defined on C: Z = � D[ˆa] � ωˆa∈2πHD−p−1(X;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='Z) e− � X/C L, L = g2 8π2 |Fˆa|2, (C50) and with � σ Fˆa = 2π for any open submanifold σ which have a nonzero intersection number with C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, the Wilson loop in the a representation has become a ’t Hooft loop in the ˆa representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' c.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' U(1)(d−p−1) symmetry When the theory is in the a representation, it would ap- pear that the model only has a U(1)(p) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' How- ever, upon dualizing a to ˆa, the path integral Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C42) took a similar form in terms of Fˆa but with g replaced by 2π/g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, we find that there is a new globally defined differential (D − p − 2)-form ˆa which shifting by a closed form leaves the path integral invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Following the same process as used in investigating the U(1)(p) sym- metry, this transformation has a physical part associated with a U(1)(D−p−2) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Everything about this U(1)(D−p−2) symmetry follows in a similar fashion from the U(1)(p) case.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In particular, the symmetry transformation acts on ˆa as ˆa �→ ˆa + ˆΓ where dˆΓ = 0 (C51) and the charged operators are Wilson operators in terms of ˆa Wˆa (C) = exp � i � C ˆa � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C52) These correspond to the ’t Hooft operators in the a rep- resentation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Noether’s current associated with this U(1)(D−p−2) symmetry is ˆJ = g2 4π2 Fˆa, (C53) and thus the symmetry operator is ˆUˆα (Σ) = exp � i ˆα g2 4π2 � Σ ∗ Fˆa � , (C54) where ˆα ∈ [0, 2π) parametrizes the U(1) transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To see what ˆU is in the a representation, let’s start with the operator exp � iθ � Σ Fa � and find its image under S.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We’ve already done this calculation while finding the image of the Wilson operator.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This time, we simply do not sum over all Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' We therefore have that (in Lorentzian signature) S : eiθ � Σ Fa �→ eiθ � Σ g2 2π ∗ Fˆa−i θ2g2 2 � X |ˆΣ|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C55) Setting θ = ˆα 2π, the U(1)(D−p−2) symmetry operator in the a-representation is ˆUˆα(Σ) = exp � i ˆα � Σ Fa 2π + i ˆα2g2 8π2 � X |ˆΣ|2 � (C56) since under S it transforms to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C54).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, note that the term � X |ˆΣ|2 is an overall phase and therefore does not affect the symmetry transformation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, we can drop this overall phase and treat the U(1)(D−p−2) symmetry operator in the a-representation instead as ˆUˆα(Σ) = exp � i ˆα � Σ Fa 2π � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C57) From this expression, it is easy to see that the Noether current of the U(1)(D−p−2) symmetry in the a represen- tation ˆJ satisfies ∗ ˆJ = 1 2π Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C58) The fact the ˆJ is conserved is simply a reflection of the Bianchi identity.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The charged objects under the U(1)(D−p−2) symmetry are the Wilson loops of ˆa, or equivalently the ’t Hooft loops of a.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To see so in the ˆa representation is straight forward and follows exactly as how we found that the Wilson loops of a were charged operators of U(1)(p) in the a representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So, let’s instead see that the Wilson loops of ˆa are charged operators of U(1)(D−p−2) in the a representation Let’s denote the ’t Hooft loop of a supported on the closed (D − p − 2) submanifold C as Ta(C).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' A part of the definition of Ta(C) is that in it’s presence � Σ Fˆb = 2π for any open submanifold Σ which have a nonzero inter- section number with C.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore ˆUˆα(σ)Ta(C) ˆU † ˆα(σ) = exp [i ˆα # (Σ, C)] Ta (C) .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C59) d.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Mixed ’t Hooft anomaly and anomaly inflow In the last section, we reviewed that p-form Maxwell theory has a U(1)(p) and a U(1)(d−p−1) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' How- ever, it turns out that these two symmetries are not fully 40 independent from one another: there is a mixed ’t Hooft anomaly preventing us from simultaneously turning on a background gauge field of both symmetries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The main idea of gauging a symmetry is to add addi- tional degrees of freedom such that the theory is invari- ant under the symmetry operator even when it is sup- ported on open submanifolds31.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' For instance, let’s start off in the in the a representation and gauge the U(1)(p) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The U(1)(p) symmetry operator Uα(Σ) (see Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C27)) is supported on the closed submanifold Σ, and acting it on a shifted a by ˆΣ, the Poincar´e dual of Σ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Because Σ is a closed submanifold (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', ∂Σ = ∅), the Poincar´e dual ˆΣ is a closed form (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=', dˆΣ = 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, gauging the symmetry requires the theory to be invari- ant under Uα(σ) for ∂Σ ̸= ∅, and therefore invariant un- der shifting a by a ˆΣ such that dˆΣ ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s first turn on a background field A of the U(1)(p) symmetry, which satisfies � FA ∈ 2πZ and dFA = 0, and includes the gauge redundancy a �→ a + β, A �→ A + dβ, (C60) where dβ ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If we were to gauge the symmetry, A would be a dynamical field rather than a background gauge field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Nevertheless, minimally coupling A to a, the path integral becomes Z[A] = � D[a] e− � X L, L = 1 2g2 |Fa − A|2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C61) We now dualize a to ˆa to see how A couples to ˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Re- peating the first steps of abelian duality is reviewed in section C 1 b, we can rewrite the path integral as Z[A] = � DFaD[ˆa] e− � X L, L = 1 2g2 |Fa − A|2 − i 2π Fˆa ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C62) In the A = 0 theory, at this step in dualizing we com- pleted the square.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' But instead, let’s first make the change of variables Fa = K + A such that the path integral be- comes Z[A] = � DKD[ˆa] e− � X L, L = 1 2g2 |K|2 − i 2π Fˆa ∧ K − i 2π A ∧ Fˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C63) 31 This can be thought of as a generalization of the 0-form sym- metry case, where gauging a symmetry is typically thought of as requiring the theory to be invariant under local symmetry transformations.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The two first terms in L that depend on K are the same two terms we encountered when dualizing the theory pre- viously.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The A dependency is entirely in the third term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Since it does not include K, upon integrating out K we will arrive at the same dual theory as before plus this third term.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Therefore, in the ˆa representation, A mini- mally couples as Z[A] = � D[ˆa] e− � X L, L = g2 8π2 |Fˆa|2 − i 2π A ∧ Fˆa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C64) Note that because dFˆa = 0 and spacetime is closed, the path integral in the ˆa-representation is still invariant un- der the gauge transformation Eq (C60).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C64) reveals that coupling a U(1)(p) symmetry background gauge field is equivalent to adding a topologi- cal term in the ˆa representation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' This new term has a no- ticeable effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The Noether current for the U(1)(D−p−2) symmetry, ˆJ = g2 4π2 Fˆa, is no longer conserved: d† ˆJ = 1 2π ∗ dA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C65) This is a manifestation of the mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s not turn off A but turn on a background gauge field for the U(1)(D−p−2) symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' From our above discussion, this means that we introduce a background field ˆ A and the gauge redundancy ˆa �→ ˆa + ˆβ, ˆ A �→ ˆ A + dˆβ, (C66) where dˆβ ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Inspired by how A coupled to ˆa in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C63), we minimally couple ˆ A to a in a similar fash- ion and consider Z[ ˆ A] = � D[a] e− � X L, L = 1 2g2 |Fa|2 − i 2π ˆ A ∧ Fa, (C67) Note that because Fa closed, shifting ˆ A by an exact form does not change the path integral and thus this is cor- rectly gauge invariant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To check if this way of coupling ˆ A to a is correct, we note that we expect in the ˆa repre- sentation that ˆ A couples to ˆa in the form Fˆa − ˆ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let’s check this by dualizing a to ˆa in Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C67).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Repeating the first steps of abelian duality, we can rewrite the path integral as Z[ ˆ A] = � DFaD[ˆa] e− � X L, L = 1 2g2 |Fa|2 − i 2π (Fˆa − ˆ A) ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C68) which integrating out Fa yields Z[ ˆ A] = � D[ˆa]D[ ˆ A] e− � X L, L = g2 8π2 |Fˆa − ˆ A|2, (C69) 41 as expected.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Returning back to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C67), due to the new topological term, the U(1)(p) symmetry Noether current J = 1 g2 Fa is no longer conserved: d†J = 1 2π ∗ d ˆ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C70) Once again, this is a manifestation of the mixed ’t Hooft anomaly.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Let us now turn on both of the background gauge fields A and ˆ A.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Working in the a representation and using what we just found, the path integral becomes Z[A, ˆ A] = � D[a] e− � X L, L = 1 2g2 |Fa − A|2 − i 2π ˆ A ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C71) This path integral is invariant under the gauge transfor- mation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C66).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, due to the second term in L, this path integral is no longer invariant under the gauge transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C60), and transforms as Z[A, ˆ A] �→ Z[A, ˆ A] exp � i 2π � X ˆ A ∧ dβ � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C72) One could add a local-counter term to remedy this, and the path integral becomes Z[A, ˆ A] = � D[a] e− � X L, L = 1 2g2 |Fa − A|2 − i 2π ˆ A ∧ (Fa − A).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C73) This is indeed now invariant under the gauge transforma- tion Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C60).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' However, it is no longer invariant under the gauge transformation Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C66), transforming as Z[A, ˆ A] �→ Z[A, ˆ A] exp � − i 2π � X dˆβ ∧ A � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C74) In fact, there are no local counter terms which will make the path integral gauge invariant when both A and ˆ A are turned on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, the U(1)(p) × U(1)(d−p−1) symmetry is anomalous.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' If the theory is going to be gauge invariant, we must do something more drastic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Indeed, we can make the theory invariant under the gauge transformations by introducing the (D + 1)-dimensional spacetime Y such that X = ∂Y and extending the background gauge fields A and ˆ A into Y .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' To get a hint as to why, let’s return to Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C72) and note that using Stoke’s theorem we can rewrite the integral in the exponential as � X=∂Y ˆ A ∧ dβ = � Y d( ˆ A ∧ dβ) = � Y d ˆ A ∧ dβ (C75) This then motivates the new gauge invariant partition function Z[A, ˆ A] = exp � − i 2π � Y d ˆ A ∧ A � � D[a] e− � ∂Y L, L = 1 2g2 |Fa − A|2 − i 2π ˆ A ∧ Fa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C76) Indeed, Z[A, ˆ A] is invariant under the gauge trans- formations Eq.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C72) since the phase picked up from � D[ˆa] e− � ∂Y L cancels with the phase we added.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' Thus, we see the ’t Hooft anomaly through the mod- ern prospective of anomaly inflow.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The theory Lboundary with A and ˆ A was not well defined in D-dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In- stead, in order to turn on both A and ˆ A, it costs us having the theory Lboundary resides on the boundary of an invertible theory Lbulk in (D + 1)-dimensions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' The invertible theory is [87] Zinv[A, ˆ A] = exp � − i 2π � Y d ˆ A ∧ A � .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' (C77) We remark that in the above discussion, we have as- sumed that dFa = 0 and dFˆa = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' In other words, we have assumed the absence of the electric and magnetic- branes in the path integral.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/ydE4T4oBgHgl3EQfxw3J/content/2301.05261v1.pdf'} +page_content=' So the above 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Casey,1 Maximilien Franco,1 Arianna S. Long,1, ∗ +Seiji Fujimoto,1, 3, 4, ∗ Jorge A. Zavala,5 Olivia Cooper,1 Hollis Akins,1 Alexandra Pope,6 Lee Armus,7 +B. T. Soifer,8 Kirsten Larson,9 Keith Matthews,8 Jason Melbourne,8 and Michael Cushing10 +1Department of Astronomy, The University of Texas at Austin, 2515 Speedway Blvd Stop C1400, Austin, TX 78712, USA +2Department of Physics & Astronomy, 430 Portola Plaza, University of California, Los Angeles, CA 90095, USA +3Cosmic Dawn Center (DAWN), Jagtvej 128, DK2200 Copenhagen N, Denmark +4Niels Bohr Institute, University of Copenhagen, Lyngbyvej 2, DK2100 Copenhagen Ø, Denmark +5National Astronomical Observatory of Japan, 2-21-1 Osawa, Mitaka, Tokyo 181-8588, Japan +6Department of Astronomy, University of Massachusetts, Amherst, MA 01003, USA. +7IPAC, California Institute of Technology, 1200 E. California Blvd., Pasadena, CA 91125, USA +8Division of Physics, Math, and Astronomy, California Institute of Technology, 1200 E California Blvd., Pasadena, CA 91125, USA +9AURA for the European Space Agency (ESA), Space Telescope Science Institute, 3700 San Martin Drive, Baltimore, MD 21218, USA +10Department of Physics and Astronomy, University of Toledo, 2801 West Bancroft St., Toledo, OH 43606, USA +ABSTRACT +Selecting the first galaxies at z > 7 − 10 from JWST surveys is complicated by z < 6 contaminants with degenerate +photometry. For example, strong optical nebular emission lines at z < 6 may mimic JWST/NIRCam photometry of +z > 7 − 10 Lyman Break Galaxies (LBGs). Dust-obscured 3 < z < 6 galaxies in particular are potentially important +contaminants, and their faint rest-optical spectra have been historically difficult to observe. A lack of optical emission +line and continuum measures for 3 < z < 6 dusty galaxies now makes it difficult to test their expected JWST/NIRCam +photometry for degenerate solutions with NIRCam dropouts. Towards this end, we quantify the contribution by strong +emission lines to NIRCam photometry in a physically motivated manner by stacking 21 Keck II/NIRES spectra of +hot, dust-obscured, massive (log M∗/M⊙ ≳ 10 − 11) and infrared (IR) luminous galaxies at z ∼ 1 − 4. We derive an +average spectrum and measure strong narrow (broad) [OIII]5007 and Hα features with equivalent widths of 130 ± 20 ˚A +(150±50 ˚A) and 220±30 ˚A (540±80 ˚A) respectively. These features can increase broadband NIRCam fluxes by factors +of 1.2−1.7 (0.2−0.6 mag). Due to significant dust-attenuation (AV ∼ 6), we find Hα+[NII] to be significantly brighter +than [OIII]+Hβ, and therefore find that emission-line dominated contaminants of high−z galaxy searches can only +reproduce moderately blue perceived UV continua of Sλ ∝ λβ with β > −1.5 and z > 4. While there are some redshifts +(z ∼ 3.75) where our stack is more degenerate with the photometry of z > 10 LBGs between λrest ∼ 0.3 − 0.8 µm, +redder filter coverage beyond λobs > 3.5 µm and far-IR/sub-mm follow-up may be useful for breaking the degeneracy +and making a crucial separation between two fairly unconstrained populations, dust-obscured galaxies at z∼ 3 − 6 and +LBGs at z> 10. +∗ NASA Hubble Fellow +arXiv:2301.00017v1 [astro-ph.GA] 30 Dec 2022 + +2 +1. INTRODUCTION +A major objective baked into the design of JWST is +detecting the light from the first galaxies residing at +ultra-high redshifts (z > 10). Delivering on its promise, +more than 30 galaxy candidates with photometric red- +shift solutions favoring z > 10 were identified within the +first months of publicly available data (Bradley et al. +2022; Donnan et al. 2022; Naidu et al. 2022a; Harikane +et al. 2022; Finkelstein et al. 2022a; Yu-Yang Hsiao et al. +2022). Assessing the fidelity of these samples is criti- +cal, particularly because the statistics assuming current +z > 10 − 15 candidates are real may or may not violate +ΛCDM predictions (Naidu et al. 2022a; Boylan-Kolchin +2022; Labbe et al. 2022; Maio & Viel 2022). +Spectroscopic confirmation is needed to verify these +redshifts. +However, some early attempts at spectro- +scopic follow-up using facilities such as ALMA have +yielded upper limits or tentative low-SNR detections +(e.g., Bakx et al. 2022; Kaasinen et al. 2022; Yoon et al. +2022; Fujimoto et al. 2022). JWST/NIRSpec has proven +capable of spectroscopically detecting the rest-frame op- +tical light from galaxies up to z ∼ 9 − 10 (Carnall et al. +2022; Roberts-Borsani et al. 2022), but this might not +be well-suited for rapidly validating redshifts in statis- +tical samples. +A complimentary approach, born from +similar rest-frame optical colors of z > 10 Lyman Break +Galaxies (LBGs) and dusty galaxies (Howell et al. 2010; +Casey et al. 2014), is to use far-IR/sub-mm followup ob- +servations of cold dust continuum (Zavala et al. 2022) +and/or far-IR cooling lines (Fujimoto et al. 2022) to +identify or rule out z < 6 IR-luminous galaxies lurking +within z > 10 candidate catalogs. Dusty sources have +posed a problem to the fidelity of high−z galaxy cata- +logs since selection from Hubble Space Telescope (HST) +extragalactic deep fields (e.g., Dunlop et al. 2007). HST +samples at z ∼ 6 − 7 were contaminated by z ∼ 2 dusty, +star-forming galaxies. Now, z ∼ 3−6 dusty galaxies may +be contaminating z > 7 − 10 JWST samples. A con- +tributing factor to this contamination is that both pop- +ulations have similar, and uncertain, number densities: +dusty star-forming galaxies at z ∼ 3 − 6 have volume +number densities n ∼ 10−5 − 10−6 Mpc−3 (Micha�lowski +et al. 2017; Koprowski et al. 2017; Rowan-Robinson et al. +2018; Dudzeviˇci¯ut˙e et al. 2020; Gruppioni et al. 2020; +Manning et al. 2022; Long et al. 2022), similar to early +measurements of bright z > 10 LBGs (Finkelstein et al. +2022a; Naidu et al. 2022a; Harikane et al. 2022; Bouwens +et al. 2022). +Disentangling these two populations is +therefore also crucial for reducing uncertainties in their +respective number densities, which are currently inflated +by sample purity (e.g., Bouwens et al. 2022). +Of particular concern within the rest-frame optical/near- +IR spectra of IR-luminous galaxies is the relative con- +tribution of strong narrow and broad emission lines +to broadband filter fluxes, which could mask red con- +tinuum slopes produced by dust attenuation. +Strong +nebular lines can change JWST/NIRCam colors (Za- +ckrisson et al. 2008; Schaerer & de Barros 2009; Stark +et al. 2013; Wilkins et al. 2013, 2020, 2022). This may +be a promising tool for pseudo-spectroscopy of lower +redshift galaxies using narrow-band filters, but in this +particular instance is a source of potential population +confusion for broadband high-redshift surveys. Indeed, +some of the hottest and most luminous dusty galaxies at +z > 1 exhibit very high rest-frame optical line equivalent +widths (EWs) (Finnerty et al. 2020). These arise from +a combination of low dust-attenuated continuum levels +with bright lines emergent from less obscured regions, +as well as ionized outflows driven by Active Galactic +Nuclei (AGN). To what extent do these strong lines +contribute to JWST photometry? +In this letter, we take an empirically-grounded ap- +proach and quantify the contamination from emission +lines from hot dust-obscured galaxies to JWST/NIRCam +photometry. In Section 2 we describe Keck II/NIRES +observations of a sample of 4 luminous, IR galaxies +(log LIR/L⊙∼ 12.5) and 17 hot dust, obscured galaxies +(DOGs, log LIR/L⊙ > 13) between z ∼ 1 − 4, which +we stack to derive an average optical spectrum (Section +3). We quantify the contribution of strong and broad +optical emission lines to NIRCam fluxes in Section 4, +and discuss their impact on distinguishing between such +sources at z < 6 and z > 10 LBGs. +Section 5 sum- +marizes our main findings. +Throughout this work we +adopt a ΛCDM cosmology with Ωm = 0.3, ΩΛ = 0.7 +and H0 = 70 km s−1 Mpc−1. +2. SAMPLE AND DATA +Hot DOGs were originally selected from WISE pho- +tometry as W1W2-dropouts and include the most- +luminous galaxies in the Universe (Eisenhardt et al. +2012; Wu et al. 2012). This extreme population is expe- +riencing a rapid phase of both supermassive black-hole +and stellar mass assembly (Eisenhardt et al. 2012), and +are mostly found at z ∼ 2−3 with log LIR/L⊙ ≥ 13 (Wu +et al. 2012; Assef et al. 2015; Tsai et al. 2015). Most +hot DOGs exhibit strong ionized outflows in optical +spectroscopy (Wu et al. 2018; Finnerty et al. 2020; Jun +et al. 2020), as implied by broad line components likely +driven by radiative AGN feedback Wu et al. (2018). +These sources are rare with only ∼ 1000 over the full +WISE All-sky survey (Cutri & et al. 2012). + +3 +(A) +(B) +(C) + [arbitrary units] +Fν +Wavelength [ m] +μ +Figure 1. Stacked rest-frame optical spectrum of z ∼ 1 − 4 IR-luminous galaxies detected with Keck II/NIRES. (A) The +mean-weighted stacked spectrum (black). Shaded grey errors correspond to 16th-84th percentiles on the flux density derived +from the boostrapped stack distribution per wavelength. The upper panel gives the number of galaxies included in the stack as +a function of wavelength. On average, 70% (> 14) of the sample is represented between λrest = 0.34 − 0.80 µm. We compare +against the stacked (N= 20) continuum-normalized DSFG spectrum from Casey et al. (2017) (blue). Panels (B) and (C) show +zoom-ins on the [O III], Hβ and [N II], Hα, [SII], [OI] features respectively. We measure broad and narrow components as +expected from the individual spectra (Finnerty et al. 2020). Line fits are shown in purple with solid lines indicating the total +line+continuum fit and dashed lines for individual line profiles. 16th and 84th percentiles derived from 1000 bootstrapped stacks +are shown in blue. +The Hot DOG spectra were previously described in +Finnerty et al. (2020). In brief, we obtained simulta- +neous JHK spectra at R ∼ 2700 with Keck II/NIRES +(Wilson et al. 2004) and reduced the data using SPEX- +TOOL (Cushing et al. 2004). Flux calibration was per- +formed by comparing the integrated flux with K′ pho- +tometry, see Finnerty et al. (2020) for details. +Our +stacked spectrum uses the 17 sources with detections +of [OIII], Hβ and/or [NII], Hα. +In addition to the hot DOGs, we include in our anal- +ysis previously unpublished Keck II/NIRES spectra of +four z ∼ 1 − 2 galaxies with log M∗/M⊙ ∼ 11 and +log LIR/L⊙ ∼ 12.5: +GS 3 (z = 0.544, RA/DEC = +03:32:08.66, -27:47:34.4), GS 7 (z = 1.042, RA/DEC += 03:32:26.49, -27:40:35.7), GN 1 (z = 1.432, RA/DEC += 12:36:45.83, +62:07:54.0), and GN 40 (z = 1.609, +RA/DEC = 12:36:49.65, +62:07:38.6). +These targets +were selected for existing Spitzer/IRS mid-infrared spec- +troscopy and bright IRAC Ch. 1 photometry from a +24 µm-selected parent sample (Kirkpatrick et al. 2012, +2015). GS 3, GS 7, and GN 40 are mid-IR AGN (Kirk- +patrick et al. 2015), and GN 1 is a composite source with +a mid-IR AGN fraction of 50%. These sources have LIR +on-average an order of magnitude lower than those of +the hot DOGs. We reduce the data for this sub-sample +following the exact same procedures as the hot DOGs +described in Finnerty et al. 2020. +[O II], [OIII], Hβ +and [NII], Hα are individually detected with EWs on- +average lower than those of the hot DOGs but within +their range. +3. ANALYSIS +In this work we compute synthetic photometry in +broadband JWST/NIRCam filters for the rest-frame op- +tical spectrum of our stacked spectrum redshifted be- +tween z = 1 − 9. While we do not claim our sample to +be definitively representative of all dusty systems owing +to the extreme nature of hot DOGs, the final stack is +derived from empirical data with no modelling required. +While a more detailed study exploring a range of con- +tinuum templates with added nebular lines is warranted, +such analysis is beyond the scope of this work given the +current lack of constraint on rest-frame optical spectra +of dusty galaxies beyond z > 4 − 5. To supplement our +analysis of very luminous, massive hot DOGs, we also +compute synthetic photometry for the average dusty, +star-forming galaxy (DSFG) spectrum from Casey et al. +2017. The Casey et al. 2017 stack is constructed from +Keck/MOSFIRE spectra of 20 LIRGs and ULIRGs with +⟨z⟩ = 2.1, a more typical IR-bright galaxy population + +4 +selected from ground-based single dish sub-mm surveys +(Casey et al. 2013). +3.1. Stacking +Prior to stacking the data, we convert the observed +wavelength range of each spectrum to the rest-frame +with spectroscopic redshifts derived from optical lines +with low errors (∆z ∼ 10−3, Finnerty et al. 2020). +Next, we rebin the spectra to a common wavelength grid +corresponding to the lowest rest-frame spectral resolu- +tion (R ∼ 6400). Finally, we calculate the sigma-clipped +mean continuum flux from line-free regions which we use +to normalize each spectra in the stack. +We tested multiple stacking procedures and found +that a mean noise-weighted continuum stack produced +the cleanest continuum and highest line SNRs. In the +stack, the input spectrum is first normalized by its +sigma-clipped mean flux and then weighted by the spec- +tral uncertainty per channel. This ensures that the stack +is not dominated by particularly noisy spectral regions +and/or the brightest spectra. As the goal of this analy- +sis is the relative contribution of strong emission lines to +photometry, we are not concerned with absolute normal- +ization of the spectrum. To quantify the uncertainty on +the continuum and line profiles, we repeat the stacking +analysis 1000 times, using in each iteration 21 random +samples of the input spectra with replacement (“boot- +strapping”). +From the bootstrapped uncertainties we +determine that our final stacked spectrum is reliable be- +tween λrest = 0.34 − 0.8 µm. +The final stacked spectrum is shown in Figure 1. We +detect strong [OIII], Hβ, [NII], Hα emission lines, as well +as [S II], [O II], [O I], [Ne III] and Hγ. The [O I]6300/Hα +line ratio is 0.5±0.1, which is on the high end of the dis- +tribution measured for Seyfert galaxies in the Swift-BAT +AGN Spectroscopic Survey (Koss et al. 2017). EWs for +the strong lines around the [OIII], Hβ and [NII], Hα +complexes are listed in Table 1. Quoted uncertainties +correspond to the standard deviation of EWs measured +for 100 realizations of the spectrum perturbed by the +spectral uncertainty per channel, and assuming a 10% +error on the continuum (uncertainties increase by a fac- +tor of 2.3 assuming a 20% error on the continuum). +We also compare our stacked spectrum to the stack +from Casey et al. 2017 derived from 20 MOSFIRE spec- +tra of DSFGs.1 The stack of Casey et al. 2017 exhibits +narrower emission lines than our spectrum, and does +not contain the broad outflow signatures founds in hot +1 +Available +at +http://www.as.utexas.edu/~cmcasey/ +downloads.html +DOG rest-frame optical spectra (Finnerty et al. 2020; +Wu et al. 2018). +3.2. Synthetic Photometry +To test the effect of emission lines on JWST/NIRCam +photometry, we subtract strong spectral features from +the stack to produce a line-free continuum spectrum. +To do so, we subtract the gaussian model fits from the +stack. +These lines include all shown in Figure 1 (B, +C) and include the range of velocity components re- +quired to fit individual hot DOGs, namely: broad [O +III] and Hα emission, narrow [O I], [O III], [S II], Hα, +and Hβ (Finnerty et al. 2020). +We do not mask out +[OII], [NeIII] and Hγ in this exercise as their lower EWs +correspond to significantly less increase in broadband +fluxes relative to [OIII]+Hβ and [NII]+Hα. +Follow- +ing Finnerty et al. 2020, we assume narrow and broad +profiles across different lines arise from the same kine- +matic components. This amounts to fixing [N II] widths +to that of the corresponding Hα component. We also +fix the [N II]λ6548, λ6584 ˚A ratio to 0.338 and the [O +III]λ4959, λ5007 ˚A ratio to 0.335. +In addition to the +line-free stacked spectrum, we also compute a broad-line +only spectrum (continuum + broad line emission). +We calculate synthetic JWST/NIRCam photometry +using the filter response profiles provided by the JWST +User Documentation. We convolve each filter with both +the stacked spectrum and line-subtracted stack for a +range in redshift between z = 1−9 in steps of ∆z = 0.05. +We then take the ratio of filter flux between the line +stack and line-subtracted (or broad line only) stack to +infer the increase in flux attributed to emission lines as +a function of redshift. +3.2.1. Composite DSFG spectrum from Casey et al. (2017) +As both a check against our stack and a test for +systems at lower LIR than the hot DOGs, we repeat +our synthetic photometry calculations for the compos- +ite DSFG spectrum from Casey et al. 2017. We scale +their continuum-subtracted Hα flux in their stack to +the equivalent of 100 M⊙ yr−1 in star-formation rate us- +ing the FHα calibration of Murphy et al. (2011). +As +the change in flux density due to nebular emission is +a function of the relative strength between lines and +continuum, we add the scaled DSFG spectrum to the +empirically-derived rest-frame 0.1 − 1 µm mean DSFG +SED from Casey et al. 2014. For the line-free calcula- +tion we simply mask Hα, [O III] and Hβ from the stack +prior to performing synthetic photometry, equivalent to +computing fluxes for the continuum DSFG SED without +adding the lines. +4. RESULTS AND DISCUSSION + +5 +1.2 +1.0 +0.8 +0.6 +0.4 +0.2 +1.5 +2.0 +2.5 +3.0 +This work, broad + narrow +This work, broad only +F115W +F150W +F200W +F277W +F356W +F410M +F444W +1.2 +1.0 +0.8 +0.6 +0.4 +0.2 +1 +2 +3 +4 +5 +6 +7 +8 +9 +redshift +1.5 +2.0 +2.5 +3.0 +Casey+2017 DSFGs +This work, narrow only +F , lines + cont / F , cont +MAG = MAGlines + cont +MAGcont +Figure 2. Increase in JWST/NIRCam flux by strong rest-frame emission lines for the average SED of hot, dust-obscured and +IR-lumionous galaxies between λrest = 0.34 − 0.8 µm as a function of redshift. (Top) Solid lines account for broad and narrow +velocity components, whereas dashed lines include only the broad component. Maximally, strong nebular emission lines can +boost the broadband flux between ∼ 25 − 80% (|∆MAG| = 0.2 − 0.6) from z ∼ 1 − 8. Medium-band filters such as F410M can +be boosted by up to a factor of 2.5 when they overlap with strong emission lines at z ∼ 5.5. The increase in flux attributed +to velocity-broadened features is ∼25% on-average (|∆MAG| = 0.2). The double-peak effect for a given filter arises from the +Hα complex first passing through, followed by [OIII]+Hβ. (Bottom) Increase in flux attributed to strong line emission for the +average DSFG spectrum of Casey et al. 2017 scaled to an Hα star-formation rate of 100 M⊙ yr−1 (solid) and the narrow velocity +component in our stack (dashed). The increase in flux by strong Hα+[NII] in the DSFG stack is consistent with the narrow line +component for these lines the hot DOG stack. At z ∼ 5, all of the NIRCam LW filters are boosted by ∼ 20% − 100% for hot +DOGs and DSFGs. +The results of our synthetic photometry are shown +in Figure 2, which gives the flux ratio between our fidu- +cial and line-subtracted stacked spectrum and the DSFG +stack from Casey et al. (2017). For the former, we also +show the increase in flux seperated between the nar- +row and broad velocity components. On average, strong +narrow+broad rest-frame optical lines increase NIRCam +fluxes by factors of ∼ 1.2 − 1.7, with corresponding +change in apparent magnitude by 0.2−0.6. The maximal +increase in flux occurs when any particular wide-band +filter is centered on the strong [NII]+Hα complex. The +[OIII] and Hβ lines collectively increase the wide-band +flux maximally by ∼20%. Their broad components and +those of [NII] and Hα increase synthetic flux densities +by 1.2× on average, accounting for ∼ 66% of the boost +for [OIII]+Hβ and 25% for [NII]+Hα. +Medium-band +filters are more affected by the presence of strong emis- +sion lines and can be dominated by factors of ∼ 2.5 (1 +mag) by emission lines when redshifted to the line’s rest +wavelength. For example, the F410M flux is increased +by a factor of 2.5 at z = 5.5. In fact, z = 5 is a spe- +cial regime where a boost in flux density is seen for all +NIRCam LW filters. While we do not show the increase +in flux attributed to the relatively weaker [OII] line on +Fig. 2, this effect is maximally ∼ 10% if we mask the +line following the methods outlined for [OIII]+Hβ and +[NII]+Hα. +The strong lines in the DSFG stack from Casey et al. +2017 which we have scaled to an Hα SFR of 100 M⊙ yr−1 +(see section 3.2.1) increase broadband fluxes by up to a +factor of ∼ 1.5. Such boosting occurs over similar ranges +in redshift and to the same degree as found for the nar- +row line components in the hot DOG stack. This demon- +strates that significant line contamination can be present +in the NIRCam photometry for IR-luminous galaxies +more normal than the relatively extreme hot DOGs. +Given extreme levels of attenuation in massive dust- +obscured galaxies at high-redshift, their rest-frame op- + +6 +10 +11 +12 +13 +14 +15 +16 +17 +Best-fit LBG redshift +3.0 +2.5 +2.0 +1.5 +1.0 +0.5 +0.0 +0.5 +Best-fit LBG +3.5 < zstack < 4 +4 < zstack < 5 +5 < zstack < 6 +0.25 +0.50 +0.75 +Transmission +F115W +F150W +F200W +F277W +F356W +1.0 +1.5 +2.0 +2.5 +3.0 +3.5 +4.0 +Observed wavelength [um] +100 +101 +102 +F [nJy] +CEERS +COSMOS-Web +z = 15 LBG Template ( += -2.4) +Stack (this work) at z = 3.75 +Figure 3. +(Left) Allowed LBG redshift and UV slope β solutions when fitting the synthetic NIRCam flux densities of our stack +redshifted to z = 3.5−4 (blue), z = 4−5 (green), and z = 5−6 (pink). Posterior contours are drawn at the 16th, 50th, and 84th +percentiles. At z > 4 [NII]+Hα increase the NIRCam flux density more so than [OIII]+Hβ which does not allow the strong lines +to mask the red continuum and therefore precludes LBG solutions with β < −1.5. Between 3.5 < z < 4 [NII]+Hα falls within +F277W while [OIII]+Hβ is missed by F200W, allowing degenerate solutions with blue β ≤ −2 LBGs at z ∼ 14 − 17. (Right) +Illustration of the degeneracy between z ∼ 15 candidates and z < 4 dusty galaxies with strong rest-frame optical/emission lines. +In this example, we redshift our stacked spectrum to z = 3.75 where strong line emission boosts the F277W filter flux by 60%. +We then compute F200W, F277W, and F356W JWST/NIRCam photometry (black circles), assuming non-detections in F115W +and F150W. We fit the synthetic photometry from the stack (circles) with an LBG template (red), deriving a photometric +redshift of zphot = 15 and UV spectral index β = −2.4. Strong emission lines mask the red slope of the dusty template between +F277W and F356W, and the SED is further confused with the Lyman break falling halfway between F200W. Such scenarios are +possible given the relative filter depths of JWST Cycle 1 NIRCam extragalactic surveys in CEERS (blue, Bagley et al. 2022; +Finkelstein et al. 2022b) and COSMOS-Web (pink, Casey et al. 2022) for example. +tical spectra contain a combination of significantly red- +dened continuum with ≲ 5% of the total un-obscured +light escaping from the least obscured regions (Chap- +man et al. 2005; Howell et al. 2010). With a combina- +tion of strong lines emergent from less obscured regions +on top of the very red continuum, ∼ 0.1 − 1 µm pho- +tometry of dusty galaxies can mimic that of ultra-high +redshift LBG candidates in large surveys (Zavala et al. +2022; Fujimoto et al. 2022). To quantify the parame- +ter space where this confusion is significant, we fit an +LBG template to the synthetic NIRCam flux densities +derived from our stacked spectrum. We first normalize +the stack to a continuum flux on the order of ∼ 10 nJy +over λobs = 2 − 3.5 µm, and assume it to be undetected +in F115W and F150W. This represents a plausible sce- +nario given the relative filter depths of JWST Cycle 1 +extragalactic deep fields (Bagley et al. 2022; Finkelstein +et al. 2022b; Casey et al. 2022), and is similar to CEERS- +93316 (Donnan et al. 2022) (CEERS2 2159, Finkelstein +et al. 2022b) − a z = 16.4 LBG candidate selected from +CEERS (Finkelstein et al. 2022a; Bagley et al. 2022). +CEERS-93316 has a tentative 2.6σ SCUBA-2 detection +(Zavala et al. 2022) and environmental evidence (Naidu +et al. 2022b) both indicating a possible lower redshift +solution at z ∼ 4.8. +Figure 3 (Left) shows the 2D posterior distribution +in redshift and UV slope β for LBG template fits to +our stacked spectrum’s synthetic NIRCam flux densi- +ties. We repeat the fitting analysis 1000 times after per- +turbing the input spectrum by the spectral uncertainty, +and in three redshift ranges for the stack: 3.5 < z < 4, +4 < z < 5, and 5 < z < 6. +The cumulative EW of +Hα+[NII] is greater than EW([OIII]+Hβ) by a factor +of ∼ 3 which precludes LBG fits with β < −1.5 when +the stack is redshifted to z > 4. This is because both +features fall within a broadband filter and so the strong +lines do not mask the red continuum in the stack. At +3.5 < z < 4 F277W picks up the strong Hα+[NII] emis- +sion while [OIII]+Hβ is missed by F200W. This pro- +duces degenerate photometry with z ∼ 16 LBGs. At +z ∼ 16, the Lyman break falls halfway between F200W +mimicking the red slope of the dusty galaxy stack while +the very blue continuum mimics the F277W flux den- +sity of the line-contaminated stack. In summary, the hot +DOG stack can reproduce very blue UV slopes β ∼ −2.5 +for zstack ∼ 3.5 − 4 but not for zstack > 4. This supports + +7 +Table 1. Strong optical emission line characteristics +in our stacked spectrum +Line +EW (˚A) +FWHM (km s−1) +Hβ +45 ± 12 +1450 +Hαnarrow +222 ± 27 +730 +Hαbroad +540 ± 80 +4000 +[OIII]5007 +127 ± 19 +1000 +[OIII]4959 +43 ± 8 +1000 +[OIII]5007,broad +144 ± 49 +7300 +[OIII]4959,broad +48 ± 32 +7300 +[OI]6300 +109 ± 20 +1600 +[OI]6363 +38 ± 13 +1600 +[NII]6548 +35 ± 8 +730 +[NII]6583 +102 ± 17 +730 +[SII]6716 +103 ± 18 +1200 +[SII]6730 +43 ± 11 +1200 +AV (Hαnarrow /Hβ) +6 ± 1 +AV (Hαtot /Hβ) +10 ± 1 +the purity of the very blue NIRCam samples of Cullen +et al. 2022 and Topping et al. 2022, which predominantly +have β < −1.5 and 7 < z < 14. +As further demonstration of the confusion between our +stack at z ∼ 3.5 − 4 and z ∼ 16 LBGs, we show in Fig- +ure 3 (Right) the LBG fit to our stack’s JWST/NIRCam +flux densities. At zstack = 3.75 we find a best-fit LBG +solution with z = 16 and UV spectral index β = −2.4. +Lower redshift (z < 4) solutions with red continuum +slopes and flux densities dominated by strong emis- +sion lines should be considered when fitting the very +blue (β < −2) spectral energy distributions (SEDs) of +z ∼ 16 candidates. The lower redshift solutions could be +ruled out with medium-band filters, longer wavelength +sampling using NIRCam’s redder filters, MIRI observa- +tions, and/or far-IR/sub-mm follow-up to detect cold +dust continuum and fine-structure lines (Fujimoto et al. +2022). Measurements that strongly rule out UV spectral +indices β < −1.5 and only allow lower−z solutions at +z > 4 should be particularly constraining against mas- +sive, IR-luminous interlopers with strong optical lines +provided they sample the SED with more than three +filters. +Based on the first analysis of JWST deep field obser- +vations at 5σ point-source depths between ∼ 28 − 29 +MAG, the projected sky density of candidates at z > 10 +is approximately 350 ±120 deg−2 (Donnan et al. 2022; +Finkelstein et al. 2022a; Naidu et al. 2022a; Harikane +et al. 2022). Although preliminary, these source counts +represent the population which could potentially be con- +taminated by low−z dusty interlopers. In contrast, the +sky density of luminous IR galaxies with log LIR/L⊙ > +12 (12.5) and z ∼ 3 − 4 is 400 deg−2 (100 deg−2) (Casey +et al. 2018; Zavala et al. 2021). If we assume the sam- +ples of Finnerty et al. (2020) and Casey et al. (2017) +include a range of physically possible rest-frame opti- +cal properties for IR-bright galaxies (log LIR/L⊙ > 11), +then their similar number counts to ultra high-redshift +LBG candidates may be reason to be concerned about +contamination. +The fainter dusty galaxy population +with log LIR/L⊙ < 11 are much more numerous based +on the general shape of 1 mm number counts (Fujimoto +et al. 2016; Gonz´alez-L´opez et al. 2020), and may also +be an important source of contamination as galaxies +fainter in the IR are less likely to be significantly ob- +scured in the rest-frame optical. Further spectroscopic +follow up is required to assess the purity of ultra-high +redshift catalogs. +In the meantime, F150W dropouts +(z > 10) with β ∼ −2 and no/poor SED constraint +above NIRCam/F356W should be checked against pos- +sible intermediate-redshift dusty galaxy solutions. +5. SUMMARY AND CONCLUSION +In this Letter we test the response of JWST NIR- +Cam filters over broad rest-frame optical emission lines +in the average spectrum of hot, dust-obscured galaxies +at z ∼ 1 − 4 and dusty, star-forming galaxies. As an +empirical approach, we stack a sample of 21 IR lumi- +nous galaxies with rest-frame optical spectra from Keck +II/NIRES which we then compute synthetic photometry +for between z = 1 − 9. Our main results are as follows: +1. We measure broad rest-frame optical emission +lines in the stack of z ∼ 1 − 4 hot, dust-obscured +galaxies. In particular, we measure [OIII] and Hα +EWs between 100 − 500 ˚A which are high relative +to normal star-forming galaxies at high-redshift. +2. After masking out strong emission features from +the spectrum, we measure synthetic NIRCam pho- +tometry with and without the lines. Narrow and +broad components for [OIII] and Hβ increase the +measured filter flux by 30%, and Hα+[NII] by 60% +on average. +Narrowband filters such as F410M +can have their flux increased by a factor of 2 − 3 +(0.7 − 1.2 MAG). +3. Rest-frame optical photometry of dusty galaxies +with strong nebular lines at z ∼ 3.5 − 4 could + +8 +be important contaminants in F150W dropout +(z > 10 candidate) catalogs as the strong lines +can help mask red UV spectral indices. However, +UV spectral indices β < −1.5 are difficult for our +stacked spectrum to reproduce for interloper red- +shifts z > 4. +Distinguishing between different galaxy populations +with JWST imaging is a key first step towards test- +ing various aspects of galaxy formation. +While this +work has focused just on JWST’s NIRCam filters, the +inclusion of deep MIRI photometry extending to longer +wavelengths will add significant constraint on various +redshift solutions to photometric fitting codes. In the +absence of high SNR coverage in redder filters, far- +IR/sub-mm followup can help identify dusty galaxies. +On the near horizon, ToLTEC on the Large Millimeter +Telescope (LMT) Alfonso Serrano will map multiple ex- +tragalactic fields (COSMOS, UDS, GOODS-S) down to +the LIRG limit at 1.1, 1.4, and 2 mm as part of “The +TolTEC Ultra-Deep Galaxy Survey,” a public legacy +program. +These public data sets are well suited to +quickly identify sub-mm bright DSFG counterparts to +JWST sources. +L.F. is a member of Student Researchers United +(SRU-UAW). The data presented herein were obtained +at the W. M. Keck Observatory, which is operated as +a scientific partnership among the California Institute +of Technology, the University of California, and the +National Aeronautics and Space Administration. The +Observatory was made possible by the generous finan- +cial support of the W. M. Keck Foundation. We wish +to acknowledge the critical importance of the current +and recent Maunakea Observatories daycrew, techni- +cians, telescope operators, computer support, and office +staff employees, especially during the challenging times +presented by the COVID-19 pandemic. +Their exper- +tise, ingenuity, and dedication is indispensable to the +continued successful operation of these observatories. +The authors wish to recognize and acknowledge the +very significant cultural role and reverence that the +summit of Maunakea has always had within the indige- +nous Hawaiian community. We are most fortunate to +have the opportunity to conduct observations from this +mountain. + +9 +REFERENCES +Assef, R. J., Eisenhardt, P. R. M., Stern, D., et al. 2015, +ApJ, 804, 27, doi: 10.1088/0004-637X/804/1/27 +Bagley, M. B., Finkelstein, S. L., Koekemoer, A. M., et al. +2022, arXiv e-prints, arXiv:2211.02495. +https://arxiv.org/abs/2211.02495 +Bakx, T. J. L. C., Zavala, J. 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M., et al. 2022, arXiv +e-prints, arXiv:2208.01816. +https://arxiv.org/abs/2208.01816 + diff --git a/zNAyT4oBgHgl3EQfO_a9/content/tmp_files/load_file.txt b/zNAyT4oBgHgl3EQfO_a9/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..5c08c24eb1138cc9b04f4793859035ce1d772b9f --- /dev/null +++ b/zNAyT4oBgHgl3EQfO_a9/content/tmp_files/load_file.txt @@ -0,0 +1,978 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf,len=977 +page_content='Draft version January 3, 2023 Typeset using LATEX twocolumn style in AASTeX61 BROAD EMISSION LINES IN OPTICAL SPECTRA OF HOT DUST-OBSCURED GALAXIES CAN CONTRIBUTE SIGNIFICANTLY TO JWST/NIRCAM PHOTOMETRY Jed McKinney,1 Luke Finnerty,2 Caitlin M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Casey,1 Maximilien Franco,1 Arianna S.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Amherst,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' MA 01003,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' USA.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 7IPAC, California Institute of Technology, 1200 E.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' California Blvd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', Pasadena, CA 91125, USA 8Division of Physics, Math, and Astronomy, California Institute of Technology, 1200 E California Blvd.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', Pasadena, CA 91125, USA 9AURA for the European Space Agency (ESA), Space Telescope Science Institute, 3700 San Martin Drive, Baltimore, MD 21218, USA 10Department of Physics and Astronomy, University of Toledo, 2801 West Bancroft St.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', Toledo, OH 43606, USA ABSTRACT Selecting the first galaxies at z > 7 − 10 from JWST surveys is complicated by z < 6 contaminants with degenerate photometry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' For example, strong optical nebular emission lines at z < 6 may mimic JWST/NIRCam photometry of z > 7 − 10 Lyman Break Galaxies (LBGs).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Dust-obscured 3 < z < 6 galaxies in particular are potentially important contaminants, and their faint rest-optical spectra have been historically difficult to observe.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' A lack of optical emission line and continuum measures for 3 < z < 6 dusty galaxies now makes it difficult to test their expected JWST/NIRCam photometry for degenerate solutions with NIRCam dropouts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Towards this end, we quantify the contribution by strong emission lines to NIRCam photometry in a physically motivated manner by stacking 21 Keck II/NIRES spectra of hot, dust-obscured, massive (log M∗/M⊙ ≳ 10 − 11) and infrared (IR) luminous galaxies at z ∼ 1 − 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We derive an average spectrum and measure strong narrow (broad) [OIII]5007 and Hα features with equivalent widths of 130 ± 20 ˚A (150±50 ˚A) and 220±30 ˚A (540±80 ˚A) respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These features can increase broadband NIRCam fluxes by factors of 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='7 (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2−0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6 mag).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Due to significant dust-attenuation (AV ∼ 6), we find Hα+[NII] to be significantly brighter than [OIII]+Hβ, and therefore find that emission-line dominated contaminants of high−z galaxy searches can only reproduce moderately blue perceived UV continua of Sλ ∝ λβ with β > −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 and z > 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' While there are some redshifts (z ∼ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='75) where our stack is more degenerate with the photometry of z > 10 LBGs between λrest ∼ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='3 − 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='8 µm, redder filter coverage beyond λobs > 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 µm and far-IR/sub-mm follow-up may be useful for breaking the degeneracy and making a crucial separation between two fairly unconstrained populations, dust-obscured galaxies at z∼ 3 − 6 and LBGs at z> 10.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' ∗ NASA Hubble Fellow arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='00017v1 [astro-ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='GA] 30 Dec 2022 2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' INTRODUCTION A major objective baked into the design of JWST is detecting the light from the first galaxies residing at ultra-high redshifts (z > 10).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Delivering on its promise, more than 30 galaxy candidates with photometric red- shift solutions favoring z > 10 were identified within the first months of publicly available data (Bradley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Donnan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Naidu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Harikane et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Yu-Yang Hsiao et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Assessing the fidelity of these samples is criti- cal, particularly because the statistics assuming current z > 10 − 15 candidates are real may or may not violate ΛCDM predictions (Naidu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Boylan-Kolchin 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Labbe et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Maio & Viel 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Spectroscopic confirmation is needed to verify these redshifts.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' However, some early attempts at spectro- scopic follow-up using facilities such as ALMA have yielded upper limits or tentative low-SNR detections (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', Bakx et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Kaasinen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Yoon et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Fujimoto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' JWST/NIRSpec has proven capable of spectroscopically detecting the rest-frame op- tical light from galaxies up to z ∼ 9 − 10 (Carnall et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Roberts-Borsani et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022), but this might not be well-suited for rapidly validating redshifts in statis- tical samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' A complimentary approach, born from similar rest-frame optical colors of z > 10 Lyman Break Galaxies (LBGs) and dusty galaxies (Howell et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2010;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2014), is to use far-IR/sub-mm followup ob- servations of cold dust continuum (Zavala et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022) and/or far-IR cooling lines (Fujimoto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022) to identify or rule out z < 6 IR-luminous galaxies lurking within z > 10 candidate catalogs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Dusty sources have posed a problem to the fidelity of high−z galaxy cata- logs since selection from Hubble Space Telescope (HST) extragalactic deep fields (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', Dunlop et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2007).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' HST samples at z ∼ 6 − 7 were contaminated by z ∼ 2 dusty, star-forming galaxies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Now, z ∼ 3−6 dusty galaxies may be contaminating z > 7 − 10 JWST samples.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' A con- tributing factor to this contamination is that both pop- ulations have similar, and uncertain, number densities: dusty star-forming galaxies at z ∼ 3 − 6 have volume number densities n ∼ 10−5 − 10−6 Mpc−3 (Micha�lowski et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Koprowski et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Rowan-Robinson et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2018;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Dudzeviˇci¯ut˙e et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Gruppioni et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Manning et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Long et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022), similar to early measurements of bright z > 10 LBGs (Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Naidu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Harikane et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Bouwens et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Disentangling these two populations is therefore also crucial for reducing uncertainties in their respective number densities, which are currently inflated by sample purity (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', Bouwens et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Of particular concern within the rest-frame optical/near- IR spectra of IR-luminous galaxies is the relative con- tribution of strong narrow and broad emission lines to broadband filter fluxes, which could mask red con- tinuum slopes produced by dust attenuation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Strong nebular lines can change JWST/NIRCam colors (Za- ckrisson et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2008;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Schaerer & de Barros 2009;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Stark et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2013;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Wilkins et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2013, 2020, 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This may be a promising tool for pseudo-spectroscopy of lower redshift galaxies using narrow-band filters, but in this particular instance is a source of potential population confusion for broadband high-redshift surveys.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Indeed, some of the hottest and most luminous dusty galaxies at z > 1 exhibit very high rest-frame optical line equivalent widths (EWs) (Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These arise from a combination of low dust-attenuated continuum levels with bright lines emergent from less obscured regions, as well as ionized outflows driven by Active Galactic Nuclei (AGN).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' To what extent do these strong lines contribute to JWST photometry?' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In this letter, we take an empirically-grounded ap- proach and quantify the contamination from emission lines from hot dust-obscured galaxies to JWST/NIRCam photometry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In Section 2 we describe Keck II/NIRES observations of a sample of 4 luminous, IR galaxies (log LIR/L⊙∼ 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5) and 17 hot dust, obscured galaxies (DOGs, log LIR/L⊙ > 13) between z ∼ 1 − 4, which we stack to derive an average optical spectrum (Section 3).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We quantify the contribution of strong and broad optical emission lines to NIRCam fluxes in Section 4, and discuss their impact on distinguishing between such sources at z < 6 and z > 10 LBGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Section 5 sum- marizes our main findings.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Throughout this work we adopt a ΛCDM cosmology with Ωm = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='3, ΩΛ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='7 and H0 = 70 km s−1 Mpc−1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' SAMPLE AND DATA Hot DOGs were originally selected from WISE pho- tometry as W1W2-dropouts and include the most- luminous galaxies in the Universe (Eisenhardt et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2012;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Wu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2012).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This extreme population is expe- riencing a rapid phase of both supermassive black-hole and stellar mass assembly (Eisenhardt et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2012), and are mostly found at z ∼ 2−3 with log LIR/L⊙ ≥ 13 (Wu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2012;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Assef et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2015;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Tsai et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2015).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Most hot DOGs exhibit strong ionized outflows in optical spectroscopy (Wu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2018;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Jun et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020), as implied by broad line components likely driven by radiative AGN feedback Wu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These sources are rare with only ∼ 1000 over the full WISE All-sky survey (Cutri & et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2012).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 3 (A) (B) (C) [arbitrary units] Fν Wavelength [ m] μ Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Stacked rest-frame optical spectrum of z ∼ 1 − 4 IR-luminous galaxies detected with Keck II/NIRES.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (A) The mean-weighted stacked spectrum (black).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Shaded grey errors correspond to 16th-84th percentiles on the flux density derived from the boostrapped stack distribution per wavelength.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The upper panel gives the number of galaxies included in the stack as a function of wavelength.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' On average, 70% (> 14) of the sample is represented between λrest = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='34 − 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='80 µm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We compare against the stacked (N= 20) continuum-normalized DSFG spectrum from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2017) (blue).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Panels (B) and (C) show zoom-ins on the [O III], Hβ and [N II], Hα, [SII], [OI] features respectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We measure broad and narrow components as expected from the individual spectra (Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Line fits are shown in purple with solid lines indicating the total line+continuum fit and dashed lines for individual line profiles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 16th and 84th percentiles derived from 1000 bootstrapped stacks are shown in blue.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The Hot DOG spectra were previously described in Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In brief, we obtained simulta- neous JHK spectra at R ∼ 2700 with Keck II/NIRES (Wilson et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2004) and reduced the data using SPEX- TOOL (Cushing et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2004).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Flux calibration was per- formed by comparing the integrated flux with K′ pho- tometry, see Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2020) for details.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Our stacked spectrum uses the 17 sources with detections of [OIII], Hβ and/or [NII], Hα.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In addition to the hot DOGs, we include in our anal- ysis previously unpublished Keck II/NIRES spectra of four z ∼ 1 − 2 galaxies with log M∗/M⊙ ∼ 11 and log LIR/L⊙ ∼ 12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5: GS 3 (z = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='544, RA/DEC = 03:32:08.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='66, -27:47:34.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4), GS 7 (z = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='042, RA/DEC = 03:32:26.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='49, -27:40:35.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='7), GN 1 (z = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='432, RA/DEC = 12:36:45.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='83, +62:07:54.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0), and GN 40 (z = 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='609, RA/DEC = 12:36:49.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='65, +62:07:38.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These targets were selected for existing Spitzer/IRS mid-infrared spec- troscopy and bright IRAC Ch.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 1 photometry from a 24 µm-selected parent sample (Kirkpatrick et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2012, 2015).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' GS 3, GS 7, and GN 40 are mid-IR AGN (Kirk- patrick et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2015), and GN 1 is a composite source with a mid-IR AGN fraction of 50%.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These sources have LIR on-average an order of magnitude lower than those of the hot DOGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We reduce the data for this sub-sample following the exact same procedures as the hot DOGs described in Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' [O II], [OIII], Hβ and [NII], Hα are individually detected with EWs on- average lower than those of the hot DOGs but within their range.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' ANALYSIS In this work we compute synthetic photometry in broadband JWST/NIRCam filters for the rest-frame op- tical spectrum of our stacked spectrum redshifted be- tween z = 1 − 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' While we do not claim our sample to be definitively representative of all dusty systems owing to the extreme nature of hot DOGs, the final stack is derived from empirical data with no modelling required.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' While a more detailed study exploring a range of con- tinuum templates with added nebular lines is warranted, such analysis is beyond the scope of this work given the current lack of constraint on rest-frame optical spectra of dusty galaxies beyond z > 4 − 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' To supplement our analysis of very luminous, massive hot DOGs, we also compute synthetic photometry for the average dusty, star-forming galaxy (DSFG) spectrum from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017 stack is constructed from Keck/MOSFIRE spectra of 20 LIRGs and ULIRGs with ⟨z⟩ = 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1, a more typical IR-bright galaxy population 4 selected from ground-based single dish sub-mm surveys (Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2013).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Stacking Prior to stacking the data, we convert the observed wavelength range of each spectrum to the rest-frame with spectroscopic redshifts derived from optical lines with low errors (∆z ∼ 10−3, Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Next, we rebin the spectra to a common wavelength grid corresponding to the lowest rest-frame spectral resolu- tion (R ∼ 6400).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Finally, we calculate the sigma-clipped mean continuum flux from line-free regions which we use to normalize each spectra in the stack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We tested multiple stacking procedures and found that a mean noise-weighted continuum stack produced the cleanest continuum and highest line SNRs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In the stack, the input spectrum is first normalized by its sigma-clipped mean flux and then weighted by the spec- tral uncertainty per channel.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This ensures that the stack is not dominated by particularly noisy spectral regions and/or the brightest spectra.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' As the goal of this analy- sis is the relative contribution of strong emission lines to photometry, we are not concerned with absolute normal- ization of the spectrum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' To quantify the uncertainty on the continuum and line profiles, we repeat the stacking analysis 1000 times, using in each iteration 21 random samples of the input spectra with replacement (“boot- strapping”).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' From the bootstrapped uncertainties we determine that our final stacked spectrum is reliable be- tween λrest = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='34 − 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='8 µm.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The final stacked spectrum is shown in Figure 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We detect strong [OIII], Hβ, [NII], Hα emission lines, as well as [S II], [O II], [O I], [Ne III] and Hγ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The [O I]6300/Hα line ratio is 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5±0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1, which is on the high end of the dis- tribution measured for Seyfert galaxies in the Swift-BAT AGN Spectroscopic Survey (Koss et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' EWs for the strong lines around the [OIII], Hβ and [NII], Hα complexes are listed in Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Quoted uncertainties correspond to the standard deviation of EWs measured for 100 realizations of the spectrum perturbed by the spectral uncertainty per channel, and assuming a 10% error on the continuum (uncertainties increase by a fac- tor of 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='3 assuming a 20% error on the continuum).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We also compare our stacked spectrum to the stack from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017 derived from 20 MOSFIRE spec- tra of DSFGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1 The stack of Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017 exhibits narrower emission lines than our spectrum, and does not contain the broad outflow signatures founds in hot 1 Available at http://www.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='as.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='utexas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='edu/~cmcasey/ downloads.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='html DOG rest-frame optical spectra (Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Wu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Synthetic Photometry To test the effect of emission lines on JWST/NIRCam photometry, we subtract strong spectral features from the stack to produce a line-free continuum spectrum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' To do so, we subtract the gaussian model fits from the stack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These lines include all shown in Figure 1 (B, C) and include the range of velocity components re- quired to fit individual hot DOGs, namely: broad [O III] and Hα emission, narrow [O I], [O III], [S II], Hα, and Hβ (Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We do not mask out [OII], [NeIII] and Hγ in this exercise as their lower EWs correspond to significantly less increase in broadband fluxes relative to [OIII]+Hβ and [NII]+Hα.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Follow- ing Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020, we assume narrow and broad profiles across different lines arise from the same kine- matic components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This amounts to fixing [N II] widths to that of the corresponding Hα component.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We also fix the [N II]λ6548, λ6584 ˚A ratio to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='338 and the [O III]λ4959, λ5007 ˚A ratio to 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='335.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In addition to the line-free stacked spectrum, we also compute a broad-line only spectrum (continuum + broad line emission).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We calculate synthetic JWST/NIRCam photometry using the filter response profiles provided by the JWST User Documentation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We convolve each filter with both the stacked spectrum and line-subtracted stack for a range in redshift between z = 1−9 in steps of ∆z = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='05.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We then take the ratio of filter flux between the line stack and line-subtracted (or broad line only) stack to infer the increase in flux attributed to emission lines as a function of redshift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Composite DSFG spectrum from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2017) As both a check against our stack and a test for systems at lower LIR than the hot DOGs, we repeat our synthetic photometry calculations for the compos- ite DSFG spectrum from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We scale their continuum-subtracted Hα flux in their stack to the equivalent of 100 M⊙ yr−1 in star-formation rate us- ing the FHα calibration of Murphy et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2011).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' As the change in flux density due to nebular emission is a function of the relative strength between lines and continuum, we add the scaled DSFG spectrum to the empirically-derived rest-frame 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1 − 1 µm mean DSFG SED from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2014.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' For the line-free calcula- tion we simply mask Hα, [O III] and Hβ from the stack prior to performing synthetic photometry, equivalent to computing fluxes for the continuum DSFG SED without adding the lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' RESULTS AND DISCUSSION 5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 This work, broad + narrow This work, broad only F115W F150W F200W F277W F356W F410M F444W 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='8 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 1 2 3 4 5 6 7 8 9 redshift 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 Casey+2017 DSFGs This work, narrow only F , lines + cont / F , cont MAG = MAGlines + cont MAGcont Figure 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Increase in JWST/NIRCam flux by strong rest-frame emission lines for the average SED of hot, dust-obscured and IR-lumionous galaxies between λrest = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='34 − 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='8 µm as a function of redshift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (Top) Solid lines account for broad and narrow velocity components, whereas dashed lines include only the broad component.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Maximally, strong nebular emission lines can boost the broadband flux between ∼ 25 − 80% (|∆MAG| = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 − 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6) from z ∼ 1 − 8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Medium-band filters such as F410M can be boosted by up to a factor of 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 when they overlap with strong emission lines at z ∼ 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The increase in flux attributed to velocity-broadened features is ∼25% on-average (|∆MAG| = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The double-peak effect for a given filter arises from the Hα complex first passing through, followed by [OIII]+Hβ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (Bottom) Increase in flux attributed to strong line emission for the average DSFG spectrum of Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017 scaled to an Hα star-formation rate of 100 M⊙ yr−1 (solid) and the narrow velocity component in our stack (dashed).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The increase in flux by strong Hα+[NII] in the DSFG stack is consistent with the narrow line component for these lines the hot DOG stack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' At z ∼ 5, all of the NIRCam LW filters are boosted by ∼ 20% − 100% for hot DOGs and DSFGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The results of our synthetic photometry are shown in Figure 2, which gives the flux ratio between our fidu- cial and line-subtracted stacked spectrum and the DSFG stack from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2017).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' For the former, we also show the increase in flux seperated between the nar- row and broad velocity components.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' On average, strong narrow+broad rest-frame optical lines increase NIRCam fluxes by factors of ∼ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='7, with corresponding change in apparent magnitude by 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2−0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The maximal increase in flux occurs when any particular wide-band filter is centered on the strong [NII]+Hα complex.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The [OIII] and Hβ lines collectively increase the wide-band flux maximally by ∼20%.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Their broad components and those of [NII] and Hα increase synthetic flux densities by 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2× on average, accounting for ∼ 66% of the boost for [OIII]+Hβ and 25% for [NII]+Hα.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Medium-band filters are more affected by the presence of strong emis- sion lines and can be dominated by factors of ∼ 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 (1 mag) by emission lines when redshifted to the line’s rest wavelength.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' For example, the F410M flux is increased by a factor of 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 at z = 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In fact, z = 5 is a spe- cial regime where a boost in flux density is seen for all NIRCam LW filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' While we do not show the increase in flux attributed to the relatively weaker [OII] line on Fig.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2, this effect is maximally ∼ 10% if we mask the line following the methods outlined for [OIII]+Hβ and [NII]+Hα.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The strong lines in the DSFG stack from Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2017 which we have scaled to an Hα SFR of 100 M⊙ yr−1 (see section 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1) increase broadband fluxes by up to a factor of ∼ 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Such boosting occurs over similar ranges in redshift and to the same degree as found for the nar- row line components in the hot DOG stack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This demon- strates that significant line contamination can be present in the NIRCam photometry for IR-luminous galaxies more normal than the relatively extreme hot DOGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Given extreme levels of attenuation in massive dust- obscured galaxies at high-redshift, their rest-frame op- 6 10 11 12 13 14 15 16 17 Best-fit LBG redshift 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 Best-fit LBG 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 < zstack < 4 4 < zstack < 5 5 < zstack < 6 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='25 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='50 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='75 Transmission F115W F150W F200W F277W F356W 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='0 Observed wavelength [um] 100 101 102 F [nJy] CEERS COSMOS-Web z = 15 LBG Template ( = -2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4) Stack (this work) at z = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='75 Figure 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (Left) Allowed LBG redshift and UV slope β solutions when fitting the synthetic NIRCam flux densities of our stack redshifted to z = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5−4 (blue), z = 4−5 (green), and z = 5−6 (pink).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Posterior contours are drawn at the 16th, 50th, and 84th percentiles.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' At z > 4 [NII]+Hα increase the NIRCam flux density more so than [OIII]+Hβ which does not allow the strong lines to mask the red continuum and therefore precludes LBG solutions with β < −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Between 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 < z < 4 [NII]+Hα falls within F277W while [OIII]+Hβ is missed by F200W, allowing degenerate solutions with blue β ≤ −2 LBGs at z ∼ 14 − 17.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (Right) Illustration of the degeneracy between z ∼ 15 candidates and z < 4 dusty galaxies with strong rest-frame optical/emission lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In this example, we redshift our stacked spectrum to z = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='75 where strong line emission boosts the F277W filter flux by 60%.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We then compute F200W, F277W, and F356W JWST/NIRCam photometry (black circles), assuming non-detections in F115W and F150W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We fit the synthetic photometry from the stack (circles) with an LBG template (red), deriving a photometric redshift of zphot = 15 and UV spectral index β = −2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Strong emission lines mask the red slope of the dusty template between F277W and F356W, and the SED is further confused with the Lyman break falling halfway between F200W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Such scenarios are possible given the relative filter depths of JWST Cycle 1 NIRCam extragalactic surveys in CEERS (blue, Bagley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022b) and COSMOS-Web (pink, Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022) for example.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' tical spectra contain a combination of significantly red- dened continuum with ≲ 5% of the total un-obscured light escaping from the least obscured regions (Chap- man et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2005;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Howell et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2010).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' With a combina- tion of strong lines emergent from less obscured regions on top of the very red continuum, ∼ 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1 − 1 µm pho- tometry of dusty galaxies can mimic that of ultra-high redshift LBG candidates in large surveys (Zavala et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Fujimoto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' To quantify the parame- ter space where this confusion is significant, we fit an LBG template to the synthetic NIRCam flux densities derived from our stacked spectrum.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We first normalize the stack to a continuum flux on the order of ∼ 10 nJy over λobs = 2 − 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 µm, and assume it to be undetected in F115W and F150W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This represents a plausible sce- nario given the relative filter depths of JWST Cycle 1 extragalactic deep fields (Bagley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022b;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022), and is similar to CEERS- 93316 (Donnan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022) (CEERS2 2159, Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022b) − a z = 16.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4 LBG candidate selected from CEERS (Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Bagley et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' CEERS-93316 has a tentative 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='6σ SCUBA-2 detection (Zavala et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022) and environmental evidence (Naidu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022b) both indicating a possible lower redshift solution at z ∼ 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='8.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Figure 3 (Left) shows the 2D posterior distribution in redshift and UV slope β for LBG template fits to our stacked spectrum’s synthetic NIRCam flux densi- ties.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We repeat the fitting analysis 1000 times after per- turbing the input spectrum by the spectral uncertainty, and in three redshift ranges for the stack: 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 < z < 4, 4 < z < 5, and 5 < z < 6.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The cumulative EW of Hα+[NII] is greater than EW([OIII]+Hβ) by a factor of ∼ 3 which precludes LBG fits with β < −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 when the stack is redshifted to z > 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This is because both features fall within a broadband filter and so the strong lines do not mask the red continuum in the stack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' At 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 < z < 4 F277W picks up the strong Hα+[NII] emis- sion while [OIII]+Hβ is missed by F200W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This pro- duces degenerate photometry with z ∼ 16 LBGs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' At z ∼ 16, the Lyman break falls halfway between F200W mimicking the red slope of the dusty galaxy stack while the very blue continuum mimics the F277W flux den- sity of the line-contaminated stack.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In summary, the hot DOG stack can reproduce very blue UV slopes β ∼ −2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 for zstack ∼ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 − 4 but not for zstack > 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' This supports 7 Table 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Strong optical emission line characteristics in our stacked spectrum Line EW (˚A) FWHM (km s−1) Hβ 45 ± 12 1450 Hαnarrow 222 ± 27 730 Hαbroad 540 ± 80 4000 [OIII]5007 127 ± 19 1000 [OIII]4959 43 ± 8 1000 [OIII]5007,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='broad 144 ± 49 7300 [OIII]4959,' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='broad 48 ± 32 7300 [OI]6300 109 ± 20 1600 [OI]6363 38 ± 13 1600 [NII]6548 35 ± 8 730 [NII]6583 102 ± 17 730 [SII]6716 103 ± 18 1200 [SII]6730 43 ± 11 1200 AV (Hαnarrow /Hβ) 6 ± 1 AV (Hαtot /Hβ) 10 ± 1 the purity of the very blue NIRCam samples of Cullen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022 and Topping et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022, which predominantly have β < −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 and 7 < z < 14.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' As further demonstration of the confusion between our stack at z ∼ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 − 4 and z ∼ 16 LBGs, we show in Fig- ure 3 (Right) the LBG fit to our stack’s JWST/NIRCam flux densities.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' At zstack = 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='75 we find a best-fit LBG solution with z = 16 and UV spectral index β = −2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Lower redshift (z < 4) solutions with red continuum slopes and flux densities dominated by strong emis- sion lines should be considered when fitting the very blue (β < −2) spectral energy distributions (SEDs) of z ∼ 16 candidates.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The lower redshift solutions could be ruled out with medium-band filters, longer wavelength sampling using NIRCam’s redder filters, MIRI observa- tions, and/or far-IR/sub-mm follow-up to detect cold dust continuum and fine-structure lines (Fujimoto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Measurements that strongly rule out UV spectral indices β < −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 and only allow lower−z solutions at z > 4 should be particularly constraining against mas- sive, IR-luminous interlopers with strong optical lines provided they sample the SED with more than three filters.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Based on the first analysis of JWST deep field obser- vations at 5σ point-source depths between ∼ 28 − 29 MAG, the projected sky density of candidates at z > 10 is approximately 350 ±120 deg−2 (Donnan et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Finkelstein et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Naidu et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022a;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Harikane et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Although preliminary, these source counts represent the population which could potentially be con- taminated by low−z dusty interlopers.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In contrast, the sky density of luminous IR galaxies with log LIR/L⊙ > 12 (12.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5) and z ∼ 3 − 4 is 400 deg−2 (100 deg−2) (Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2018;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Zavala et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' If we assume the sam- ples of Finnerty et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2020) and Casey et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' (2017) include a range of physically possible rest-frame opti- cal properties for IR-bright galaxies (log LIR/L⊙ > 11), then their similar number counts to ultra high-redshift LBG candidates may be reason to be concerned about contamination.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The fainter dusty galaxy population with log LIR/L⊙ < 11 are much more numerous based on the general shape of 1 mm number counts (Fujimoto et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2016;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Gonz´alez-L´opez et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2020), and may also be an important source of contamination as galaxies fainter in the IR are less likely to be significantly ob- scured in the rest-frame optical.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Further spectroscopic follow up is required to assess the purity of ultra-high redshift catalogs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In the meantime, F150W dropouts (z > 10) with β ∼ −2 and no/poor SED constraint above NIRCam/F356W should be checked against pos- sible intermediate-redshift dusty galaxy solutions.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' SUMMARY AND CONCLUSION In this Letter we test the response of JWST NIR- Cam filters over broad rest-frame optical emission lines in the average spectrum of hot, dust-obscured galaxies at z ∼ 1 − 4 and dusty, star-forming galaxies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' As an empirical approach, we stack a sample of 21 IR lumi- nous galaxies with rest-frame optical spectra from Keck II/NIRES which we then compute synthetic photometry for between z = 1 − 9.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Our main results are as follows: 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We measure broad rest-frame optical emission lines in the stack of z ∼ 1 − 4 hot, dust-obscured galaxies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In particular, we measure [OIII] and Hα EWs between 100 − 500 ˚A which are high relative to normal star-forming galaxies at high-redshift.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' After masking out strong emission features from the spectrum, we measure synthetic NIRCam pho- tometry with and without the lines.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Narrow and broad components for [OIII] and Hβ increase the measured filter flux by 30%, and Hα+[NII] by 60% on average.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Narrowband filters such as F410M can have their flux increased by a factor of 2 − 3 (0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='7 − 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='2 MAG).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Rest-frame optical photometry of dusty galaxies with strong nebular lines at z ∼ 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 − 4 could 8 be important contaminants in F150W dropout (z > 10 candidate) catalogs as the strong lines can help mask red UV spectral indices.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' However, UV spectral indices β < −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='5 are difficult for our stacked spectrum to reproduce for interloper red- shifts z > 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Distinguishing between different galaxy populations with JWST imaging is a key first step towards test- ing various aspects of galaxy formation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' While this work has focused just on JWST’s NIRCam filters, the inclusion of deep MIRI photometry extending to longer wavelengths will add significant constraint on various redshift solutions to photometric fitting codes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' In the absence of high SNR coverage in redder filters, far- IR/sub-mm followup can help identify dusty galaxies.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' On the near horizon, ToLTEC on the Large Millimeter Telescope (LMT) Alfonso Serrano will map multiple ex- tragalactic fields (COSMOS, UDS, GOODS-S) down to the LIRG limit at 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='1, 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='4, and 2 mm as part of “The TolTEC Ultra-Deep Galaxy Survey,” a public legacy program.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' These public data sets are well suited to quickly identify sub-mm bright DSFG counterparts to JWST sources.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' L.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='F.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' is a member of Student Researchers United (SRU-UAW).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The data presented herein were obtained at the W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California, and the National Aeronautics and Space Administration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The Observatory was made possible by the generous finan- cial support of the W.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Keck Foundation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We wish to acknowledge the critical importance of the current and recent Maunakea Observatories daycrew, techni- cians, telescope operators, computer support, and office staff employees, especially during the challenging times presented by the COVID-19 pandemic.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' Their exper- tise, ingenuity, and dedication is indispensable to the continued successful operation of these observatories.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' The authors wish to recognize and acknowledge the very significant cultural role and reverence that the summit of Maunakea has always had within the indige- nous Hawaiian community.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' We are most fortunate to have the opportunity to conduct observations from this mountain.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 9 REFERENCES Assef, R.' metadata={'source': 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'/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=', et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' 2022, arXiv e-prints, arXiv:2208.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='01816.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content=' https://arxiv.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='org/abs/2208.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} +page_content='01816' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zNAyT4oBgHgl3EQfO_a9/content/2301.00017v1.pdf'} diff --git a/zdE1T4oBgHgl3EQf4QX8/content/tmp_files/2301.03500v1.pdf.txt b/zdE1T4oBgHgl3EQf4QX8/content/tmp_files/2301.03500v1.pdf.txt new file mode 100644 index 0000000000000000000000000000000000000000..2f7aff0584fb14818621140c835c2d696472b176 --- /dev/null +++ b/zdE1T4oBgHgl3EQf4QX8/content/tmp_files/2301.03500v1.pdf.txt @@ -0,0 +1,407 @@ +arXiv:2301.03500v1 [math.DG] 9 Jan 2023 +Generalized Ricci solitons and Einstein metrics on weak +K-contact manifolds +Vladimir Rovenski∗ +Abstract +We study metric structures on a smooth manifold (introduced in our recent works [8, +10] and called a weak contact metric structure and a weak K-structure) which generalize +the metric contact and K-contact structures, and allow a new look at the classical theory. +First, we characterize weak K-contact manifolds among all weak contact metric manifolds +by the property well known for K-contact manifolds, and prove that a Riemannian manifold +endowed with a unit Killing vector field forms a weak K-contact structure. +Second, we +find sufficient conditions for a weak K-contact manifold with parallel Ricci tensor or with a +generalized Ricci soliton structure to be an Einstein manifold. +Keywords: weak K-contact manifold, unit Killing vector field, Einstein metric, generalized +Ricci soliton +Mathematics Subject Classifications (2010) 53C15, 53C25, 53D15 +1 +Introduction +Contact geometry is of growing interest due to its important role in mechanics in explaining +physical phenomena. In addition, many recent articles have been motivated by the question of +how interesting self-similar solutions of the Ricci flow equation, i.e. Ricci solitons, can be for +contact metric geometry. Some of them find conditions when a contact manifold equipped with +a Ricci-type soliton structure carries a canonical (e.g., Einstein or constant curvature) metric, +e.g. [2, 5, 7]. +K-contact manifolds (i.e. metric contact manifolds whose characteristic vector field generates +a 1-parameter group of isometries) have been studied by several geometers, e.g., [1, 11], and it is +seen that the K-contact structure is intermediate between the contact and Sasakian structures. +The characteristic vector field ξ of the K-contact structure is a unit Killing vector field, and +the influence of constant length Killing vector fields on the geometry of Riemannian manifolds +has been studied by several authors from different points of view, e.g., [3, 4, 6]. An interesting +result related to the above question is that a K-contact manifold equipped with generalised +Ricci soliton structure has an Einstein metric, e.g., [5]. +In [10], we introduced the “weakened” metric structures on a smooth manifold (replacing the +complex structure on the characteristic distribution with a nonsingular skew-symmetric tensor). +They generalize the metric contact, K-contact, Sasakian and cosymplectic structures, and allow +a new look at the classical theory. In [10], we build retraction of weak structures with positive +partial Ricci curvature onto the subspace of classical structures. In [8], we proved that a weak +Sasakian manifold is a weak K-contact manifold; and a weak almost contact metric manifold is +weak Sasakian if and only if it is a Sasakian manifold. In this article we study weak K-contact +manifolds using their Jacobi operator Rξ and Ricci curvature in the ξ-direction. Our goal is to +show that the weak K-contact structure can be a useful tool for studying unit Killing vector +fields on Riemannian manifolds, and that some results for K-contact manifolds can be extended +∗Department of Mathematics, University of Haifa, Israel +e-mail: vrovenski@univ.haifa.ac.il +1 + +to the case of weak K-contact manifolds. For example, we answer the question of when a weak +K-contact manifold carries a generalized Ricci soliton structure or just an Einstein metric. +The article is organized as follows. In Section 2, following the introductory Section 1, we +recall basics of weak contact metric manifolds. In Section 3, we characterize (in Theorem 3.1) +weak K-contact manifolds among all weakly contact metric manifolds by the property ϕ = −∇ξ +(well known for K-contact manifolds), and prove (in Theorem 3.2) that a Riemannian manifold +endowed with a unit Killing vector field forms a weak K-contact structure. In Section 4, for a +weak K-contact manifold, we calculate (in Proposition 4.1) the Ricci curvature in the ξ-direction, +then find (in Theorem 4.1) sufficient condition for such a manifold with parallel Ricci tensor to +be an Einstein manifold. In Section 5, we find (in Theorem 5.1) sufficient conditions for a weak +K-contact manifold admitting a generalized Ricci soliton structure to be an Einstein manifold. +2 +Preliminaries +Here, we recall (see [8, 9, 10]) basics of some metric structures that generalize the almost contact +metric structure. A weak almost contact structure on a (2n + 1)-dimensional smooth manifold +M is a set (ϕ, Q, ξ, η), where ϕ is a (1, 1)-tensor, Q is a nonsingular (1, 1)-tensor, ξ is the +characteristic vector field and η is a dual 1-form, i.e. η(ξ) = 1, satisfying +ϕ2 = −Q + η ⊗ ξ, +Q ξ = ξ. +(1) +The form η determines a smooth 2n-dimensional contact distribution D := ker η, the collection +of subspaces Dm = {X ∈ TmM : η(X) = 0} for m ∈ M. We assume that D is ϕ-invariant, +ϕX ∈ D, +X ∈ D, +(2) +as in the theory of almost contact structure [1, 11], where Q = id TM. By (1) and (2), the +distribution D is invariant for Q: Q(D) = D. If there is a Riemannian metric g on M such that +g(ϕX, ϕY ) = g(X, Q Y ) − η(X) η(Q Y ), +X, Y ∈ XM, +(3) +then (ϕ, Q, ξ, η, g) is called a weak almost contact metric structure on M, and g is called a +compatible metric. +A weak almost contact manifold M(ϕ, Q, ξ, η) endowed with a compati- +ble Riemannian metric g is called a weak almost contact metric manifold and is denoted by +M(ϕ, Q, ξ, η, g). +Putting Y = ξ in (3) and using Q ξ = ξ, we get, as in the classical theory, η(X) = g(X, ξ). +In particular, ξ is g-orthogonal to D for any compatible metric g. +For a weak almost contact structure on a smooth manifold M, the tensor ϕ has rank 2n and +ϕ ξ = 0, +η ◦ ϕ = 0, +[Q, ϕ] = 0; +moreover, for a weak almost contact metric structure, ϕ is skew-symmetric and Q is self-adjoint. +Remark 2.1. According to [10], a weak almost contact structure admits a compatible metric if +ϕ in (1)–(2) has a skew-symmetric representation, i.e. for any x ∈ M there exist a neighborhood +Ux ⊂ M and a frame {ei} on Ux, for which ϕ has a skew-symmetric matrix. By (3), we get +g(X, Q X) = g(ϕX, ϕX) > 0 for any nonzero vector X ∈ D, thus Q is positive definite. +A weak contact metric structure is defined as a weak almost contact metric structure satis- +fying Φ = dη, where Φ(X, Y ) = g(X, ϕY ) (X, Y ∈ XM) is the fundamental 2-form, and +dη(X, Y ) = 1 +2 {X(η(Y )) − Y (η(X)) − η([X, Y ])}, +X, Y ∈ XM. +(4) +For weak contact metric structure, the distribution D is nowhere integrable, since g([X, ϕX], ξ) = +2 dη(ϕX, X) = g(ϕX, ϕX) > 0 for any nonzero X ∈ D. +2 + +The Nijenhuis torsion [ϕ, ϕ] of ϕ is given by +[ϕ, ϕ](X, Y ) = ϕ2[X, Y ] + [ϕX, ϕY ] − ϕ[ϕX, Y ] − ϕ[X, ϕY ], +X, Y ∈ XM. +A weak almost contact structure (ϕ, Q, ξ, η) is called normal if the following tensor is zero: +N (1)(X, Y ) = [ϕ, ϕ](X, Y ) + 2 dη(X, Y ) ξ, +X, Y ∈ XM. +(5) +A weak K-contact manifold is defined as a weak contact metric manifold whose characteristic +vector field ξ is Killing, i.e. +(£ξ g)(X, Y ) := ξ(g(X, Y )) − g([ξ, X], Y ) − g(X, [ξ, Y ]) = g(∇Xξ, Y ) + g(∇Y ξ, X) = 0. +(6) +Here £ξ is the Lie derivative in the ξ-direction and ∇ is the Levi-Civita connection. A normal +(weak) contact metric manifold is called a (weak) Sasakian manifold. +The following tensors N (2), N (3) and N (4) are well known in the classical theory, see [1, 11]: +N (2)(X, Y ) = (£ϕX η)(Y ) − (£ϕY η)(X) +(4) += 2 dη(ϕX, Y ) − 2 dη(ϕY, X), +N (3)(X) = (£ξ ϕ)X = [ξ, ϕX] − ϕ[ξ, X], +N (4)(X) = (£ξ η)(X) = ξ(η(X)) − η([ξ, X]) +(4) += 2 dη(ξ, X). +For a weak contact metric manifold, the tensors N (2) and N (4) vanish and the integral curves +of ξ are geodesics; moreover, N (3) vanishes if and only if ξ is a Killing vector field, see [8]. +Definition 2.1 (see [8]). Two weak almost contact structures (ϕ, Q, ξ, η) and (ϕ′, Q′, ξ, η) on +M are said to be homothetically equivalent if the following is valid for some real λ > 0: +ϕ = +√ +λ ϕ′, +(7a) +Q | D = λ Q′| D. +(7b) +Two weak contact metric structures (ϕ, Q, ξ, η, g) and (ϕ′, Q′, ξ, η, g′) on M are said to be ho- +mothetically equivalent if they satisfy conditions (7a,b) and +g| D = λ− 1 +2 g′| D, +g(ξ, ·) = g′(ξ, ·). +(7c) +Lemma 2.1 (see [8]). Let (ϕ, Q, ξ, η) be a weak almost contact structure such that +Q | D = λ idD, +for some real λ > 0. Then the following is true: +• (ϕ′, ξ, η) is an almost contact structure, where ϕ′ is given by (7a). +• If (ϕ, Q, ξ, η, g) is a weak contact metric structure satisfying (7a,c), then (ϕ′, ξ, η, g′) is a +contact metric structure. +The following “small” (1,1)-tensor: ˜Q = Q − id is essential for the weak contact structure, +and ˜Q = 0 means the classical contact geometry. Note that [ ˜Q, ϕ] = 0 and ˜Q ξ = 0. +Lemma 2.2 ([8]). For a weak contact metric manifold, we have +g((∇X ϕ)Y, Z) = 1 +2 g(N (1)(Y, Z), ϕX) + g(ϕX, ϕY ) η(Z) − g(ϕX, ϕZ) η(Y ) ++ 1 +2 N (5)(X, Y, Z), +(9) +where the skew-symmetric with respect to Y and Z tensor N (5)(X, Y, Z) supplements the sequence +of tensors N (i) (i = 1, 2, 3, 4) and is given by +N (5)(X, Y, Z) = (ϕZ) (g(X, ˜QY )) − (ϕY ) (g(X, ˜QZ)) ++ g([X, ϕZ], ˜QY ) − g([X, ϕY ], ˜QZ) + g([Y, ϕZ] − [Z, ϕY ] − ϕ[Y, Z], ˜QX). +3 + +In particular, (∇ξ ϕ)Y = 1 +2 N (5)(ξ, Y, ·) and +N (5)(X, ξ, Z) = g(N (3)(Z), ˜QX), +N (5)(ξ, Y, Z) = g([ξ, ϕZ], ˜QY ) − g([ξ, ϕY ], ˜QZ), +N (5)(ξ, ξ, Z) = N (5)(ξ, Y, ξ) = 0. +(10) +3 +Killing vector fields of unit length +Lemma 3.1. On a weak K-contact manifold, we have N (1)(ξ, ·) = 0 and +N (5)(ξ, · , ·) += +N (5)( · , ξ, ·) = 0, +(11) +£ξ ˜Q += +∇ξ ˜Q = 0, +(12) +∇ξ ϕ += +0. +(13) +Proof. By (5) and dη(ξ, ·) = 0 we have +N (1)(ξ, X) = [ϕ, ϕ](X, ξ) = ϕ2[X, ξ] − ϕ[ϕX, ξ] = ϕN (3)(X) = 0. +By [8, Lemma 3.1] with h = 0, we get N (5)(ξ, · , ·) = 0, £ξ ˜Q = 0 and +g(Q ∇X ξ, Z) = g(ϕZ, QX) − 1 +2 N (5)(X, ξ, ϕZ). +By (10)1 with N (3) = 0, we get N (5)( · , ξ, ·) = 0. We use [ϕ, ˜Q] = 0 to obtain ∇ξ ˜Q = 0: +(£ξ ˜Q)X = [ξ, ˜QX] − ˜Q[ξ, X] = (∇ξ ˜Q)X + [ϕ, ˜Q]X = (∇ξ ˜Q)X. +This completes the proof of (11) and (12). Next, from (9) with X = ξ we get (13). +In the next theorem, we characterize weak K-contact manifolds among all weak contact +metric manifolds by the following well known property of K-contact manifolds, see [1]: +∇ ξ = −ϕ. +(14) +Theorem 3.1. A weak contact manifold is weak K-contact (that is ξ is a Killing vector field) +if and only if (14) is valid. +Proof. Let a weak contact manifold satisfy (14). By skew-symmetry of ϕ, we get (£ξ g)(X, Y ) = +g(∇X ξ, Y ) + g(∇Y ξ, X) = −g(ϕX, Y ) − g(ϕY, X) = 0, thus, ξ is a Killing vector field. +Conversely, let our manifold be weak K-contact. By (9) with Y = ξ, using N (1)(ξ, ·) = 0 +and N (5)(X, ξ, Z) = 0, we get +g((∇X ϕ) ξ, Z) = 1 +2 g(N (1)(ξ, Z), ϕX) − g(ϕX, ϕZ) + 1 +2 N (5)(X, ξ, Z) = g(ϕ2X, Z). +Hence, (∇X ϕ) ξ = ϕ2X. From this and 0 = ∇X (ϕ ξ) = (∇X ϕ) ξ + ϕ∇X ξ, we obtain ϕ∇X ξ = +−ϕ2X. Since ϕ is nondegenerate on D, this completes the proof of (14). +It is well known that a Riemannian manifold with a unit Killing vector field and the property +RX,ξ ξ = X (X⊥ ξ) is a K-contact manifold, e.g., [11, Theorem 3.1] or [1, Proposition 7.4]. +We generalize this result in the following +Theorem 3.2. A Riemannian manifold admitting a unit Killing vector field ξ is a weak K- +contact manifold with certainly defined tensors: ϕ = −∇ ξ, see (14), and QX = RX,ξ ξ for +X ∈ D. +4 + +Proof. Let η = g( · , ξ) and D = ker η. Put ϕX = −∇X ξ and QX = RX,ξ ξ for X ∈ D. Since ξ +is a unit Killing vector field, we get ∇ξ ξ = 0 and ∇X∇Y ξ − ∇∇X Y ξ = Rξ,X ξ. Thus, ϕ ξ = 0 +and +ϕ2X = ∇∇X ξ ξ = Rξ,X ξ = −QX +(X ∈ D). +Put Q ξ = ξ. Therefore, (1) is valid. Since ξ is Killing, we obtain +dη(X, Y ) = 1 +2 (g(∇X ξ, Y ) − g(∇Y ξ, X)) = −g(∇Y ξ, X) = g(X, ϕY ) = Φ(X, Y ), +that completes the proof. +The sectional curvature of the plane containing ξ is called mixed, see [9]. +Corollary 3.1. Weak K-contact structure (ϕ, Q, ξ, η, g) with constant mixed sectional curvature +K(ξ, X) = λ > 0 (X ∈ D) is homothetically equivalent to a K-contact structure (ϕ′, ξ, η, g′) after +the transformation (7a,c). +Proof. Note that K(ξ, X) = λ (X ∈ D) if and only if RX,ξ ξ = λ X (X ∈ D). +By QX = +RX,ξ ξ (X ∈ D), see Theorem 3.2, we get QX = λX (X ∈ D). By Lemma 2.1(ii), (ϕ′, ξ, η, g′) +is a contact metric structure. Using (6), we get (£ξ g′)(X, Y ) = λ(£ξ g)(X, Y ) (X, Y ∈ D) and +(£ξ g′)(ξ, ·) = 0. By £ξ g = 0, we get £ξ g′ = 0; thus (ϕ′, ξ, η, g′) is a K-contact structure. +4 +The Jacobi operator and Ricci curvature in the ξ-direction +Here, (M, ϕ, Q, ξ, η, g) is a (2n + 1)-dimensional weak K-contact manifold. The Jacobi operator +Rξ in the ξ-direction is defined as Rξ(X) := RX, ξ ξ, e.g., [9]. The Ricci curvature in the ξ- +direction is given by Ric(ξ, ξ) = � 2n +i=1 g(Rei, ξ ξ, ei), where (ei) is any local orthonormal basis +of D. +Proposition 4.1. For a weak K-manifold, the following equalities are true: +Rξ, X Y = (∇X ϕ)Y, +(15) +RX, ξ ξ = −ϕ2X = X − η(X) ξ + ˜Q X, +(16) +Ric(ξ, ξ) = 2 n + trace ˜Q. +(17) +Proof. Using (14), we derive +RZ, X ξ = ∇Z(∇X ξ) − ∇X(∇Z ξ) − ∇[Z,X] ξ) += ∇X(ϕZ) − ∇Z(ϕX) + ϕ([Z, X]) = (∇X ϕ)Z − (∇Z ϕ)X. +(18) +Note that (∇XΦ)(Y, Z) = −g((∇X ϕ)Y, Z). Using condition dΦ = d2η = 0, we get +(∇XΦ)(Y, Z) + (∇Y Φ)(Z, X) + (∇ZΦ)(X, Y ) = 0. +(19) +From (18), using (19) and skew-symmetry of Φ, we get (15): +g(Rξ, X Y, Z) = g(RY, Z ξ, X) +(18) += (∇Z Φ)(X, Y ) + (∇Y Φ)(Z, X) +(19) += −(∇X Φ)(Y, Z) = g((∇X ϕ)Y, Z). +By (15) with Y = ξ, using ϕ ξ = 0 and (14), we find +Rξ,X ξ = (∇X ϕ) ξ = −ϕ∇X ξ = ϕ2X. +This and (1)1 yield (16) for the Jacobi operator in the ξ-direction. By this, we get +Ric(ξ, ξ) +(16) += − +� 2n +i=1 g(ϕ2ei, ei) +(1) += +� 2n +i=1 g(ei + ˜Qei, ei), +where (ei) is any local orthonormal basis of D. Thus, (17) is true. +5 + +Corollary 4.1. For a weak K-contact manifold we have Ric(ξ, ξ) > 0. +Proof. For any unit vector X ∈ D we get +0 < g(ϕX, ϕX) = g(QX, X) = 1 + g( ˜QX, X), +thus trace ˜Q > −2 n. Therefore, from (17) we get the statement. +The following theorem generalizes a well known result, e.g., [11, Proposition 5.1]. +Theorem 4.1. A weak K-contact manifold with (∇ Ric)(ξ, ·) = 0 (in particular, the Ricci +tensor is parallel) and trace ˜Q = const is an Einstein manifold of scalar curvature (2 n+1)(2 n+ +trace ˜Q). +Proof. Differentiating (17) and using (14) and the conditions, we have +0 = ∇Y (Ric(ξ, ξ)) = (∇Y Ric)(ξ, ξ) + 2 Ric(∇Y ξ, ξ)) = −2 Ric(ϕY, ξ)), +hence Ric(Y, ξ) = (2 n + trace ˜Q) η(Y ). Differentiating this, then using +X(η(Y )) = g(∇Xξ, Y ) = −g(ϕX, Y ) + g(∇XY, ξ) +and assuming ∇XY = 0 at x ∈ M, gives +(2 n + trace ˜Q) g(ϕY, X) = ∇X (Ric(Y, ξ)) = (∇X Ric)(Y, ξ) + 2 Ric(Y, ∇X ξ) = −2 Ric(Y, ϕX), +and hence Ric(Y, ϕX) = (2 n + trace ˜Q) g(Y, ϕX). Therefore, we obtain +Ric(X, Y ) = (2 n + trace ˜Q) g(X, Y ) +for any vector fields X and Y on M, which means that (M, g) is an Einstein manifold. Using +the definition of scalar curvature, τ = trace Ric, we find τ = (2 n + 1)(2 n + trace ˜Q). +5 +Generalized Ricci solitons +The generalized Ricci soliton equation in a Riemannian manifold (M, g) is defined by [7], +£X g = −2 c1X♭ ⊗ X♭ + 2 c2 Ric +2 λ g +(20) +for some smooth vector field X and real c1, c2 and λ. If X = ∇f in (20), then using the definition +Hessf(X, Y ) = 1 +2 (£∇f g)(X,Y), we get the generalized gradient Ricci soliton equation +Hessf = −c1df ⊗ df + c2 Ric +λ g . +(21) +For different values of c1, c2 and λ, equation (20) is a generalization of Killing equation (c1 = +c2 = λ = 0), equation for homotheties (c1 = c2 = 0), Ricci soliton equation (c1 = 0, c2 = −1), +vacuum near-horizon geometry equation (c1 = 1, c2 = 1/2), e.g., [5]. +First, we formulate some lemmas. +Lemma 5.1. For a weak K-contact manifold the following holds: +(£ξ(£X g))(Y, ξ) = g(X, Y ) + g(∇ξ∇ξ X, Y ) + Y g(∇ξ X, ξ) +for all smooth vector fields X, Y with Y orthogonal to ξ. +Proof. This uses the equalities ∇ξ ξ = 0 and (16), and is the same as for [5, Lemma 3.1]. +6 + +Lemma 5.2 (see, for example, [5]). Let (M; g) be a Riemannian manifold and f be a smooth +function on M. Then the following holds for every vector field Y : +£ξ(df ⊗ df)(Y, ξ) = Y (ξ(f)) ξ(f) + Y (f) ξ(ξ(f)). +Lemma 5.3. Let a weak K-contact manifold satisfies the generalized Ricci soliton equation. +Then +∇ξ∇f = (λ + 2 c2n + c2 trace ˜Q) ξ − c1ξ(f) ∇f. +Proof. This uses (17) and (21), and is similar to the proof of [5, Lemma 3.3]. By (17) we get +λ η(Y ) + c2 Ric(ξ, Y ) = (λ + 2 c2n + c2 trace ˜Q) η(Y ). +(22) +Using (21) and (22), we get +Hessf(ξ, Y ) = −c1ξ(f) g(∇f, Y ) + (λ + 2 c2n + c2 trace ˜Q) η(Y ). +(23) +Thus, (23) and the definition of the Hessian (21) complete the proof. +Recall that the Ricci curvature of any K-contact manifold satisfies the following condition: +Ric(X, ξ) = 0 +(X ∈ D). +(24) +The following theorem generalizes [5, Theorem 3.1]. +Theorem 5.1. Let a weak K-contact manifold satisfies the generalized gradient Ricci soliton +equation (21) with c1(λ+2 c2n+c2 trace ˜Q) ̸= −1. Suppose that conditions trace ˜Q = const and +(24) are true. Then f = const. Furthermore, if c2 ̸= 0, then the manifold is an Einstein one. +Proof. Let Y ∈ D. Then by Lemma 5.1 with X = ∇f, we obtain +2 (£ξ(Hessf))(Y, ξ) = Y (f) + g(∇ξ∇ξ∇f, Y ) + Y g(∇ξ∇f, ξ). +(25) +Using Lemma 5.3 in (25) and the property ∇ξ ξ = 0 yields +2 (£ξ(Hessf))(Y, ξ) = Y (f) − c1g(∇ξ(ξ(f)∇f), Y ) ++ (λ + 2 cn2 + c2 trace ˜Q) Y − c1Y (ξ(f)2). +(26) +Using Lemma 5.3 with Y ∈ D, from (26) it follows that +2 (£ξ(Hessf))(Y, ξ) = Y (f) − c1ξ(ξ(f)) Y (f) + c2 +1ξ(f)2Y (f) − 2 c1ξ(f)Y (ξ(f)). +(27) +Since ξ is a Killing vector field, thus £ξ g = 0, this implies £ξ Ric = 0. Using the above fact +and applying the Lie derivative to equation (21), gives +2 (£ξ(Hessf))(Y, ξ) = −2 c1(£ξ(df ⊗ df))(Y, ξ). +(28) +Using (27), (28) and Lemma 5.2, we obtain +Y (f) +� +1 + c1ξ(ξ(f)) + c2 +1 ξ(f)2� += 0. +(29) +By Lemma 5.3, we get +c1ξ(ξ(f)) = c1 ξ(g(ξ, ∇f)) = c1g(ξ, ∇ξ∇f) = c1(λ + 2 c2n + c2 trace ˜Q) − c2 +1 ξ(f)2. +(30) +Using (29) in (30), we get Y (f)(c1(λ + 2 c2n + c2 trace ˜Q) + 1) = 0. This implies Y (f) = 0 +provided by c1(λ + 2 c2n + c2 trace ˜Q) + 1 ̸= 0. Hence, ∇f is parallel to ξ. Taking the covariant +derivative of ∇f = ξ(f) ξ and using (14), we obtain +g(∇X ∇f, Y ) = X(ξ(f)) η(Y ) − ξ(f) g(ϕX, Y ), +X, Y ∈ XM. +From this, by symmetry of Hessf, i.e. g(∇X ∇f, Y ) = g(∇Y ∇f, X), we get ξ(f) g(ϕX, Y ) = 0. +For Y = ϕX for some X ̸= 0, since g(ϕX, ϕX) > 0, we get ξ(f) = 0; so ∇f = 0, i.e. f = const. +Thus, from (21) and c2 ̸= 0 it follows that the manifold is an Einstein manifold. +7 + +6 +Conclusion +It is shown that the weak K-contact structure is a useful tool for studying unit Killing vector +fields on Riemannian manifolds and that some results for K-contact manifolds can be extended +to the case of weak K-contact manifolds. In conclusion, we ask about “weak” analogues of +the following results mentioned in [5, Remark 3.2]: a compact K-contact Einstein manifold is +a Sasakian manifold, thus, a compact K-contact manifold admitting generalized Ricci soliton +sructure is a Sasakian manifold. +References +[1] D. Blair, Riemannian geometry of contact and symplectic manifolds, 2nd edition, Springer- +Verlag, New York, 2010. +[2] +D.E. Blair, +A Survey of Riemannian contact geometry, +Complex Manifolds, 6 (2019), +31–64. https://doi.org/10.1515/coma-2019-0002 +[3] V.N. Berestovskij, and Yu.G. Nikonorov, Killing vector fields of constant length on Rie- +mannian manifolds, Sib. Math. J., 49:3 (2008), 395–407. +[4] S. Deshmukh, and O. Belova, On Killing vector fields on Riemannian manifolds, Mathe- +matics, 9, 259 (2021), 1–17. https://doi.org/10.3390/math9030259 +[5] G. Ghosh, and U.C. De, Generalized Ricci soliton on K-contact manifolds, Math. Sci. +Appl. E-Notes, 8 (2020), 165–169. +[6] Y.G. Nikonorov, Spectral properties of Killing vector fields of constant length and bounded +Killing vector fields, in Operator Theory and Differential Equations. Trends in Mathematics +(eds. A.G. Kusraev and Z.D. Totieva), Birkh¨auser, Cham, (2021), 143–154. +[7] +P. Nurowski, and M. Randall, +Generalised Ricci solitons, +J. Geom. Anal., 26 (2016), +1280–1345. +[8] V. Rovenski, and D.S. Patra, On the rigidity of the Sasakian structure and characterization +of cosymplectic manifolds, preprint, arXiv:2203.04597 v2, 2022, 15 pp. +[9] V. Rovenski, and P.G. Walczak, Extrinsic geometry of foliations, Progress in Mathematics, +vol. 339, Birkh¨auser, Cham, 2021. +[10] V. Rovenski, and R. Wolak, New metric structures on g-foliations, Indagationes Mathe- +maticae, 33 (2022), 518–532. +[11] K. Yano, and M. Kon, Structures on Manifolds, Vol. 3 of Series in Pure Math. World +Scientific Publ. Co., Singapore, 1985. +8 + diff --git a/zdE1T4oBgHgl3EQf4QX8/content/tmp_files/load_file.txt b/zdE1T4oBgHgl3EQf4QX8/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..e25c0e670e63e9ee0ef40be39cd8304940f92b1e --- /dev/null +++ b/zdE1T4oBgHgl3EQf4QX8/content/tmp_files/load_file.txt @@ -0,0 +1,308 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf,len=307 +page_content='arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='03500v1 [math.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='DG] 9 Jan 2023 Generalized Ricci solitons and Einstein metrics on weak K-contact manifolds Vladimir Rovenski∗ Abstract We study metric structures on a smooth manifold (introduced in our recent works [8, 10] and called a weak contact metric structure and a weak K-structure) which generalize the metric contact and K-contact structures, and allow a new look at the classical theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' First, we characterize weak K-contact manifolds among all weak contact metric manifolds by the property well known for K-contact manifolds, and prove that a Riemannian manifold endowed with a unit Killing vector field forms a weak K-contact structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Second, we find sufficient conditions for a weak K-contact manifold with parallel Ricci tensor or with a generalized Ricci soliton structure to be an Einstein manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Keywords: weak K-contact manifold, unit Killing vector field, Einstein metric, generalized Ricci soliton Mathematics Subject Classifications (2010) 53C15, 53C25, 53D15 1 Introduction Contact geometry is of growing interest due to its important role in mechanics in explaining physical phenomena.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In addition, many recent articles have been motivated by the question of how interesting self-similar solutions of the Ricci flow equation, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Ricci solitons, can be for contact metric geometry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Some of them find conditions when a contact manifold equipped with a Ricci-type soliton structure carries a canonical (e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', Einstein or constant curvature) metric, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' [2, 5, 7].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' K-contact manifolds (i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' metric contact manifolds whose characteristic vector field generates a 1-parameter group of isometries) have been studied by several geometers, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [1, 11], and it is seen that the K-contact structure is intermediate between the contact and Sasakian structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The characteristic vector field ξ of the K-contact structure is a unit Killing vector field, and the influence of constant length Killing vector fields on the geometry of Riemannian manifolds has been studied by several authors from different points of view, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [3, 4, 6].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' An interesting result related to the above question is that a K-contact manifold equipped with generalised Ricci soliton structure has an Einstein metric, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In [10], we introduced the “weakened” metric structures on a smooth manifold (replacing the complex structure on the characteristic distribution with a nonsingular skew-symmetric tensor).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' They generalize the metric contact, K-contact, Sasakian and cosymplectic structures, and allow a new look at the classical theory.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In [10], we build retraction of weak structures with positive partial Ricci curvature onto the subspace of classical structures.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In [8], we proved that a weak Sasakian manifold is a weak K-contact manifold;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' and a weak almost contact metric manifold is weak Sasakian if and only if it is a Sasakian manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In this article we study weak K-contact manifolds using their Jacobi operator Rξ and Ricci curvature in the ξ-direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Our goal is to show that the weak K-contact structure can be a useful tool for studying unit Killing vector fields on Riemannian manifolds, and that some results for K-contact manifolds can be extended ∗Department of Mathematics, University of Haifa, Israel e-mail: vrovenski@univ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='haifa.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='ac.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='il 1 to the case of weak K-contact manifolds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For example, we answer the question of when a weak K-contact manifold carries a generalized Ricci soliton structure or just an Einstein metric.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The article is organized as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In Section 2, following the introductory Section 1, we recall basics of weak contact metric manifolds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In Section 3, we characterize (in Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1) weak K-contact manifolds among all weakly contact metric manifolds by the property ϕ = −∇ξ (well known for K-contact manifolds), and prove (in Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2) that a Riemannian manifold endowed with a unit Killing vector field forms a weak K-contact structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In Section 4, for a weak K-contact manifold, we calculate (in Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1) the Ricci curvature in the ξ-direction, then find (in Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1) sufficient condition for such a manifold with parallel Ricci tensor to be an Einstein manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In Section 5, we find (in Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1) sufficient conditions for a weak K-contact manifold admitting a generalized Ricci soliton structure to be an Einstein manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 2 Preliminaries Here, we recall (see [8, 9, 10]) basics of some metric structures that generalize the almost contact metric structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A weak almost contact structure on a (2n + 1)-dimensional smooth manifold M is a set (ϕ, Q, ξ, η), where ϕ is a (1, 1)-tensor, Q is a nonsingular (1, 1)-tensor, ξ is the characteristic vector field and η is a dual 1-form, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' η(ξ) = 1, satisfying ϕ2 = −Q + η ⊗ ξ, Q ξ = ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (1) The form η determines a smooth 2n-dimensional contact distribution D := ker η, the collection of subspaces Dm = {X ∈ TmM : η(X) = 0} for m ∈ M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' We assume that D is ϕ-invariant, ϕX ∈ D, X ∈ D, (2) as in the theory of almost contact structure [1, 11], where Q = id TM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (1) and (2), the distribution D is invariant for Q: Q(D) = D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' If there is a Riemannian metric g on M such that g(ϕX, ϕY ) = g(X, Q Y ) − η(X) η(Q Y ), X, Y ∈ XM, (3) then (ϕ, Q, ξ, η, g) is called a weak almost contact metric structure on M, and g is called a compatible metric.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A weak almost contact manifold M(ϕ, Q, ξ, η) endowed with a compati- ble Riemannian metric g is called a weak almost contact metric manifold and is denoted by M(ϕ, Q, ξ, η, g).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Putting Y = ξ in (3) and using Q ξ = ξ, we get, as in the classical theory, η(X) = g(X, ξ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In particular, ξ is g-orthogonal to D for any compatible metric g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For a weak almost contact structure on a smooth manifold M, the tensor ϕ has rank 2n and ϕ ξ = 0, η ◦ ϕ = 0, [Q, ϕ] = 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' moreover, for a weak almost contact metric structure, ϕ is skew-symmetric and Q is self-adjoint.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Remark 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' According to [10], a weak almost contact structure admits a compatible metric if ϕ in (1)–(2) has a skew-symmetric representation, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' for any x ∈ M there exist a neighborhood Ux ⊂ M and a frame {ei} on Ux, for which ϕ has a skew-symmetric matrix.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (3), we get g(X, Q X) = g(ϕX, ϕX) > 0 for any nonzero vector X ∈ D, thus Q is positive definite.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A weak contact metric structure is defined as a weak almost contact metric structure satis- fying Φ = dη, where Φ(X, Y ) = g(X, ϕY ) (X, Y ∈ XM) is the fundamental 2-form, and dη(X, Y ) = 1 2 {X(η(Y )) − Y (η(X)) − η([X, Y ])}, X, Y ∈ XM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (4) For weak contact metric structure, the distribution D is nowhere integrable, since g([X, ϕX], ξ) = 2 dη(ϕX, X) = g(ϕX, ϕX) > 0 for any nonzero X ∈ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 2 The Nijenhuis torsion [ϕ, ϕ] of ϕ is given by [ϕ, ϕ](X, Y ) = ϕ2[X, Y ] + [ϕX, ϕY ] − ϕ[ϕX, Y ] − ϕ[X, ϕY ], X, Y ∈ XM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A weak almost contact structure (ϕ, Q, ξ, η) is called normal if the following tensor is zero: N (1)(X, Y ) = [ϕ, ϕ](X, Y ) + 2 dη(X, Y ) ξ, X, Y ∈ XM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (5) A weak K-contact manifold is defined as a weak contact metric manifold whose characteristic vector field ξ is Killing, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (£ξ g)(X, Y ) := ξ(g(X, Y )) − g([ξ, X], Y ) − g(X, [ξ, Y ]) = g(∇Xξ, Y ) + g(∇Y ξ, X) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (6) Here £ξ is the Lie derivative in the ξ-direction and ∇ is the Levi-Civita connection.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A normal (weak) contact metric manifold is called a (weak) Sasakian manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The following tensors N (2), N (3) and N (4) are well known in the classical theory, see [1, 11]: N (2)(X, Y ) = (£ϕX η)(Y ) − (£ϕY η)(X) (4) = 2 dη(ϕX, Y ) − 2 dη(ϕY, X), N (3)(X) = (£ξ ϕ)X = [ξ, ϕX] − ϕ[ξ, X], N (4)(X) = (£ξ η)(X) = ξ(η(X)) − η([ξ, X]) (4) = 2 dη(ξ, X).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For a weak contact metric manifold, the tensors N (2) and N (4) vanish and the integral curves of ξ are geodesics;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' moreover, N (3) vanishes if and only if ξ is a Killing vector field, see [8].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Definition 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1 (see [8]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Two weak almost contact structures (ϕ, Q, ξ, η) and (ϕ′, Q′, ξ, η) on M are said to be homothetically equivalent if the following is valid for some real λ > 0: ϕ = √ λ ϕ′, (7a) Q | D = λ Q′| D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (7b) Two weak contact metric structures (ϕ, Q, ξ, η, g) and (ϕ′, Q′, ξ, η, g′) on M are said to be ho- mothetically equivalent if they satisfy conditions (7a,b) and g| D = λ− 1 2 g′| D, g(ξ, ·) = g′(ξ, ·).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (7c) Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1 (see [8]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let (ϕ, Q, ξ, η) be a weak almost contact structure such that Q | D = λ idD, for some real λ > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Then the following is true: (ϕ′, ξ, η) is an almost contact structure, where ϕ′ is given by (7a).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' If (ϕ, Q, ξ, η, g) is a weak contact metric structure satisfying (7a,c), then (ϕ′, ξ, η, g′) is a contact metric structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The following “small” (1,1)-tensor: ˜Q = Q − id is essential for the weak contact structure, and ˜Q = 0 means the classical contact geometry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Note that [ ˜Q, ϕ] = 0 and ˜Q ξ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2 ([8]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For a weak contact metric manifold, we have g((∇X ϕ)Y, Z) = 1 2 g(N (1)(Y, Z), ϕX) + g(ϕX, ϕY ) η(Z) − g(ϕX, ϕZ) η(Y ) + 1 2 N (5)(X, Y, Z), (9) where the skew-symmetric with respect to Y and Z tensor N (5)(X, Y, Z) supplements the sequence of tensors N (i) (i = 1, 2, 3, 4) and is given by N (5)(X, Y, Z) = (ϕZ) (g(X, ˜QY )) − (ϕY ) (g(X, ˜QZ)) + g([X, ϕZ], ˜QY ) − g([X, ϕY ], ˜QZ) + g([Y, ϕZ] − [Z, ϕY ] − ϕ[Y, Z], ˜QX).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 3 In particular, (∇ξ ϕ)Y = 1 2 N (5)(ξ, Y, ·) and N (5)(X, ξ, Z) = g(N (3)(Z), ˜QX), N (5)(ξ, Y, Z) = g([ξ, ϕZ], ˜QY ) − g([ξ, ϕY ], ˜QZ), N (5)(ξ, ξ, Z) = N (5)(ξ, Y, ξ) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (10) 3 Killing vector fields of unit length Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' On a weak K-contact manifold, we have N (1)(ξ, ·) = 0 and N (5)(ξ, · , ·) = N (5)( · , ξ, ·) = 0, (11) £ξ ˜Q = ∇ξ ˜Q = 0, (12) ∇ξ ϕ = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (13) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (5) and dη(ξ, ·) = 0 we have N (1)(ξ, X) = [ϕ, ϕ](X, ξ) = ϕ2[X, ξ] − ϕ[ϕX, ξ] = ϕN (3)(X) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By [8, Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1] with h = 0, we get N (5)(ξ, · , ·) = 0, £ξ ˜Q = 0 and g(Q ∇X ξ, Z) = g(ϕZ, QX) − 1 2 N (5)(X, ξ, ϕZ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (10)1 with N (3) = 0, we get N (5)( · , ξ, ·) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' We use [ϕ, ˜Q] = 0 to obtain ∇ξ ˜Q = 0: (£ξ ˜Q)X = [ξ, ˜QX] − ˜Q[ξ, X] = (∇ξ ˜Q)X + [ϕ, ˜Q]X = (∇ξ ˜Q)X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' This completes the proof of (11) and (12).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Next, from (9) with X = ξ we get (13).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In the next theorem, we characterize weak K-contact manifolds among all weak contact metric manifolds by the following well known property of K-contact manifolds, see [1]: ∇ ξ = −ϕ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (14) Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A weak contact manifold is weak K-contact (that is ξ is a Killing vector field) if and only if (14) is valid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let a weak contact manifold satisfy (14).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By skew-symmetry of ϕ, we get (£ξ g)(X, Y ) = g(∇X ξ, Y ) + g(∇Y ξ, X) = −g(ϕX, Y ) − g(ϕY, X) = 0, thus, ξ is a Killing vector field.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Conversely, let our manifold be weak K-contact.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (9) with Y = ξ, using N (1)(ξ, ·) = 0 and N (5)(X, ξ, Z) = 0, we get g((∇X ϕ) ξ, Z) = 1 2 g(N (1)(ξ, Z), ϕX) − g(ϕX, ϕZ) + 1 2 N (5)(X, ξ, Z) = g(ϕ2X, Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Hence, (∇X ϕ) ξ = ϕ2X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' From this and 0 = ∇X (ϕ ξ) = (∇X ϕ) ξ + ϕ∇X ξ, we obtain ϕ∇X ξ = −ϕ2X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Since ϕ is nondegenerate on D, this completes the proof of (14).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' It is well known that a Riemannian manifold with a unit Killing vector field and the property RX,ξ ξ = X (X⊥ ξ) is a K-contact manifold, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [11, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1] or [1, Proposition 7.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='4].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' We generalize this result in the following Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A Riemannian manifold admitting a unit Killing vector field ξ is a weak K- contact manifold with certainly defined tensors: ϕ = −∇ ξ, see (14), and QX = RX,ξ ξ for X ∈ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 4 Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let η = g( · , ξ) and D = ker η.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Put ϕX = −∇X ξ and QX = RX,ξ ξ for X ∈ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Since ξ is a unit Killing vector field, we get ∇ξ ξ = 0 and ∇X∇Y ξ − ∇∇X Y ξ = Rξ,X ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Thus, ϕ ξ = 0 and ϕ2X = ∇∇X ξ ξ = Rξ,X ξ = −QX (X ∈ D).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Put Q ξ = ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Therefore, (1) is valid.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Since ξ is Killing, we obtain dη(X, Y ) = 1 2 (g(∇X ξ, Y ) − g(∇Y ξ, X)) = −g(∇Y ξ, X) = g(X, ϕY ) = Φ(X, Y ), that completes the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The sectional curvature of the plane containing ξ is called mixed, see [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Corollary 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Weak K-contact structure (ϕ, Q, ξ, η, g) with constant mixed sectional curvature K(ξ, X) = λ > 0 (X ∈ D) is homothetically equivalent to a K-contact structure (ϕ′, ξ, η, g′) after the transformation (7a,c).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Note that K(ξ, X) = λ (X ∈ D) if and only if RX,ξ ξ = λ X (X ∈ D).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By QX = RX,ξ ξ (X ∈ D), see Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2, we get QX = λX (X ∈ D).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By Lemma 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1(ii), (ϕ′, ξ, η, g′) is a contact metric structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Using (6), we get (£ξ g′)(X, Y ) = λ(£ξ g)(X, Y ) (X, Y ∈ D) and (£ξ g′)(ξ, ·) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By £ξ g = 0, we get £ξ g′ = 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' thus (ϕ′, ξ, η, g′) is a K-contact structure.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 4 The Jacobi operator and Ricci curvature in the ξ-direction Here, (M, ϕ, Q, ξ, η, g) is a (2n + 1)-dimensional weak K-contact manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The Jacobi operator Rξ in the ξ-direction is defined as Rξ(X) := RX, ξ ξ, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [9].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The Ricci curvature in the ξ- direction is given by Ric(ξ, ξ) = � 2n i=1 g(Rei, ξ ξ, ei), where (ei) is any local orthonormal basis of D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proposition 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For a weak K-manifold, the following equalities are true: Rξ, X Y = (∇X ϕ)Y, (15) RX, ξ ξ = −ϕ2X = X − η(X) ξ + ˜Q X, (16) Ric(ξ, ξ) = 2 n + trace ˜Q.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (17) Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Using (14), we derive RZ, X ξ = ∇Z(∇X ξ) − ∇X(∇Z ξ) − ∇[Z,X] ξ) = ∇X(ϕZ) − ∇Z(ϕX) + ϕ([Z, X]) = (∇X ϕ)Z − (∇Z ϕ)X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (18) Note that (∇XΦ)(Y, Z) = −g((∇X ϕ)Y, Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Using condition dΦ = d2η = 0, we get (∇XΦ)(Y, Z) + (∇Y Φ)(Z, X) + (∇ZΦ)(X, Y ) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (19) From (18), using (19) and skew-symmetry of Φ, we get (15): g(Rξ, X Y, Z) = g(RY, Z ξ, X) (18) = (∇Z Φ)(X, Y ) + (∇Y Φ)(Z, X) (19) = −(∇X Φ)(Y, Z) = g((∇X ϕ)Y, Z).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (15) with Y = ξ, using ϕ ξ = 0 and (14), we find Rξ,X ξ = (∇X ϕ) ξ = −ϕ∇X ξ = ϕ2X.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' This and (1)1 yield (16) for the Jacobi operator in the ξ-direction.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By this, we get Ric(ξ, ξ) (16) = − � 2n i=1 g(ϕ2ei, ei) (1) = � 2n i=1 g(ei + ˜Qei, ei), where (ei) is any local orthonormal basis of D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Thus, (17) is true.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 5 Corollary 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For a weak K-contact manifold we have Ric(ξ, ξ) > 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For any unit vector X ∈ D we get 0 < g(ϕX, ϕX) = g(QX, X) = 1 + g( ˜QX, X), thus trace ˜Q > −2 n.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Therefore, from (17) we get the statement.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' The following theorem generalizes a well known result, e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [11, Proposition 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Theorem 4.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' A weak K-contact manifold with (∇ Ric)(ξ, ·) = 0 (in particular, the Ricci tensor is parallel) and trace ˜Q = const is an Einstein manifold of scalar curvature (2 n+1)(2 n+ trace ˜Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Differentiating (17) and using (14) and the conditions, we have 0 = ∇Y (Ric(ξ, ξ)) = (∇Y Ric)(ξ, ξ) + 2 Ric(∇Y ξ, ξ)) = −2 Ric(ϕY, ξ)), hence Ric(Y, ξ) = (2 n + trace ˜Q) η(Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Differentiating this, then using X(η(Y )) = g(∇Xξ, Y ) = −g(ϕX, Y ) + g(∇XY, ξ) and assuming ∇XY = 0 at x ∈ M, gives (2 n + trace ˜Q) g(ϕY, X) = ∇X (Ric(Y, ξ)) = (∇X Ric)(Y, ξ) + 2 Ric(Y, ∇X ξ) = −2 Ric(Y, ϕX), and hence Ric(Y, ϕX) = (2 n + trace ˜Q) g(Y, ϕX).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Therefore, we obtain Ric(X, Y ) = (2 n + trace ˜Q) g(X, Y ) for any vector fields X and Y on M, which means that (M, g) is an Einstein manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Using the definition of scalar curvature, τ = trace Ric, we find τ = (2 n + 1)(2 n + trace ˜Q).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 5 Generalized Ricci solitons The generalized Ricci soliton equation in a Riemannian manifold (M, g) is defined by [7], £X g = −2 c1X♭ ⊗ X♭ + 2 c2 Ric +2 λ g (20) for some smooth vector field X and real c1, c2 and λ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' If X = ∇f in (20), then using the definition Hessf(X, Y ) = 1 2 (£∇f g)(X,Y), we get the generalized gradient Ricci soliton equation Hessf = −c1df ⊗ df + c2 Ric +λ g .' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (21) For different values of c1, c2 and λ, equation (20) is a generalization of Killing equation (c1 = c2 = λ = 0), equation for homotheties (c1 = c2 = 0), Ricci soliton equation (c1 = 0, c2 = −1), vacuum near-horizon geometry equation (c1 = 1, c2 = 1/2), e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=', [5].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' First, we formulate some lemmas.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For a weak K-contact manifold the following holds: (£ξ(£X g))(Y, ξ) = g(X, Y ) + g(∇ξ∇ξ X, Y ) + Y g(∇ξ X, ξ) for all smooth vector fields X, Y with Y orthogonal to ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' This uses the equalities ∇ξ ξ = 0 and (16), and is the same as for [5, Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 6 Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2 (see, for example, [5]).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let (M;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' g) be a Riemannian manifold and f be a smooth function on M.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Then the following holds for every vector field Y : £ξ(df ⊗ df)(Y, ξ) = Y (ξ(f)) ξ(f) + Y (f) ξ(ξ(f)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let a weak K-contact manifold satisfies the generalized Ricci soliton equation.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Then ∇ξ∇f = (λ + 2 c2n + c2 trace ˜Q) ξ − c1ξ(f) ∇f.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' This uses (17) and (21), and is similar to the proof of [5, Lemma 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='3].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' By (17) we get λ η(Y ) + c2 Ric(ξ, Y ) = (λ + 2 c2n + c2 trace ˜Q) η(Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (22) Using (21) and (22), we get Hessf(ξ, Y ) = −c1ξ(f) g(∇f, Y ) + (λ + 2 c2n + c2 trace ˜Q) η(Y ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (23) Thus, (23) and the definition of the Hessian (21) complete the proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Recall that the Ricci curvature of any K-contact manifold satisfies the following condition: Ric(X, ξ) = 0 (X ∈ D).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (24) The following theorem generalizes [5, Theorem 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1].' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Theorem 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let a weak K-contact manifold satisfies the generalized gradient Ricci soliton equation (21) with c1(λ+2 c2n+c2 trace ˜Q) ̸= −1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Suppose that conditions trace ˜Q = const and (24) are true.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Then f = const.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Furthermore, if c2 ̸= 0, then the manifold is an Einstein one.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Proof.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Let Y ∈ D.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Then by Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='1 with X = ∇f, we obtain 2 (£ξ(Hessf))(Y, ξ) = Y (f) + g(∇ξ∇ξ∇f, Y ) + Y g(∇ξ∇f, ξ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (25) Using Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='3 in (25) and the property ∇ξ ξ = 0 yields 2 (£ξ(Hessf))(Y, ξ) = Y (f) − c1g(∇ξ(ξ(f)∇f), Y ) + (λ + 2 cn2 + c2 trace ˜Q) Y − c1Y (ξ(f)2).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (26) Using Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='3 with Y ∈ D, from (26) it follows that 2 (£ξ(Hessf))(Y, ξ) = Y (f) − c1ξ(ξ(f)) Y (f) + c2 1ξ(f)2Y (f) − 2 c1ξ(f)Y (ξ(f)).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (27) Since ξ is a Killing vector field, thus £ξ g = 0, this implies £ξ Ric = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Using the above fact and applying the Lie derivative to equation (21), gives 2 (£ξ(Hessf))(Y, ξ) = −2 c1(£ξ(df ⊗ df))(Y, ξ).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (28) Using (27), (28) and Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2, we obtain Y (f) � 1 + c1ξ(ξ(f)) + c2 1 ξ(f)2� = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (29) By Lemma 5.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='3, we get c1ξ(ξ(f)) = c1 ξ(g(ξ, ∇f)) = c1g(ξ, ∇ξ∇f) = c1(λ + 2 c2n + c2 trace ˜Q) − c2 1 ξ(f)2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' (30) Using (29) in (30), we get Y (f)(c1(λ + 2 c2n + c2 trace ˜Q) + 1) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' This implies Y (f) = 0 provided by c1(λ + 2 c2n + c2 trace ˜Q) + 1 ̸= 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Hence, ∇f is parallel to ξ.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Taking the covariant derivative of ∇f = ξ(f) ξ and using (14), we obtain g(∇X ∇f, Y ) = X(ξ(f)) η(Y ) − ξ(f) g(ϕX, Y ), X, Y ∈ XM.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' From this, by symmetry of Hessf, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' g(∇X ∇f, Y ) = g(∇Y ∇f, X), we get ξ(f) g(ϕX, Y ) = 0.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' For Y = ϕX for some X ̸= 0, since g(ϕX, ϕX) > 0, we get ξ(f) = 0;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' so ∇f = 0, i.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' f = const.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' Thus, from (21) and c2 ̸= 0 it follows that the manifold is an Einstein manifold.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' 7 6 Conclusion It is shown that the weak K-contact structure is a useful tool for studying unit Killing vector fields on Riemannian manifolds and that some results for K-contact manifolds can be extended to the case of weak K-contact manifolds.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content=' In conclusion, we ask about “weak” analogues of the following results mentioned in [5, Remark 3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQf4QX8/content/2301.03500v1.pdf'} +page_content='2]: a compact K-contact Einstein manifold is a Sasakian 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Physique Nucléaire et de Hautes +Énergies, F-75005, Paris, France +Received Mont DD, YYYY; accepted Mont DD, YYYY +ABSTRACT +The brighter-fatter effect affects all CCD sensors to various degrees. Deep-depleted thick sensors are seriously affected +and the measurement of galaxy shapes for cosmic shear measurements requires an accurate correction of the effect in +science images. We describe the whole correction chain we have implemented for the CCDs of the Hyper Suprime-Cam +imager on the Subaru Telescope. We derive non linearity corrections from a new sequence of flat field images, and +measure their statistics, namely their two-pixel function. We constrain an electrostatic model from flat field statistics +that we use to correct science images. We find evidence that some fraction of the observed variance and some covariances +is not due to the combination of Poisson statistics and electrostatics – and the cause remains elusive. We then have +to ignore some measurements when deriving the electrostatic model. Over a wide range of image qualities and in the +5 bands of the imager, stars in corrected science images exhibit size variations with flux small enough to predict the +point spread function for faint objects to an accuracy better than 10−3 for the trace of second moments – and even +better for the ellipticity and the fourth radial moment. This performance is sufficient for upcoming large-scale cosmic +shear surveys such as Rubin/LSST. +1. Introduction +The brighter-fatter (BF) effect refers to a dynamical image +distortion that affects CCD sensors. The most spectacu- +lar manifestation of the effect is that bright stars appear +slightly bigger in size than faint ones, a manifestation that +is reflected the very name of the effect. All studies of the +effect have attributed it to distortions of the drift electric +field sourced by the charges stored in the pixel potential +wells during image integration. This modifies the apparent +shape of bright objects and the two-point statistics of uni- +form exposures, and thick CCDs are more vulnerable to +the effect than thinner sensors. Evidence of the effect and +the physical explanation can be found in Guyonnet et al. +(2015, and references therein, G15 hereafter), together with +the relation of the effect with non-trivial flat field statistics. +Electrostatic calculations are shown to reproduce the data +in Rasmussen et al. (2016) and in Lage et al. (2021) for a +specific sensor. +On deep-depleted thick CCDs, bright stars thus gener- +ally appear bigger by a few percent than faint stars, com- +promising the modeling of the image point spread function +(PSF) at a level that is not tolerable for large-scale cosmic +shear measurements (see e.g., Mandelbaum et al. 2018). +The correction method proposed in G15 relies on flat field +statistics to constrain the correction applied to science im- +ages, which mostly consists of correcting the recorded image +for dynamically displaced pixel boundaries. The method +has been implemented for DECam in Gruen et al. (2015), +and for Hyper Suprime-Cam (HSC) on the Subaru tele- +scope in Coulton et al. (2018, C18 hereafter) with some +minor differences with respect to G15. +Send offprint requests to: pierre.astier@in2p3.fr +The method proposed in G15 relies on first-order per- +turbations both in the modeling of flat field correlations +and when correcting science images. In Astier et al. (2019, +A19 hereafter), the relation between pixel area alterations +and flat field statistics is extended to higher orders, which +removes significant biases from the analysis. In the same pa- +per, correcting for non-linearity of the video chain is shown +to play a potentially important role when constraining the +BF effect from flat fields. One other evolution since the +G15 proposal is that detailed electrostatic calculations have +been shown to reproduce the measured flat-field statistics, +when the mandatory manufacturing data is available (see, +in particular, Lage et al. 2021). However, the CCD ven- +dors do not necessarily release this data, or they do not +even have it available to the required level of accuracy. As +we show in this paper, there is also some detectable demo- +graphic variability among the CCDs of the HSC camera, +which are all of a unique type from a single vendor. Gruen +et al. (2015) also detected some variability among DECam +CCDs. Thus, constraining the image corrections from mea- +surements of the actual sensors is still in order. +In the present paper, we revisit the BF correction for +the HSC camera described in C18 and applied to science +images in Mandelbaum et al. (2018). We take advantage +of a new flat-field sequence that allows us to re-determine +both the non-linearity correction and the two-point correla- +tion function of flat fields. We apply to these images some +potentially important corrections (described in A19) and +we fit a variance and covariance model that has been im- +proved since C18. We also propose a different approach for +transforming the information extracted from flat fields into +the correction of science images. Finally, we test the correc- +tion of the images separately over a broad range of image +qualities and in the five bands of the camera. +Article number, page 1 of 18 +arXiv:2301.03274v1 [astro-ph.IM] 9 Jan 2023 + +A&A proofs: manuscript no. bf-hsc +The flow of the paper is as follows. We first detail in +§ 2 why it is necessary to correct non-linearities prior to +measuring flat field statistics and the non-linearity mea- +surement itself. In §3, we describe the measurements of flat +field statistics and the fit of the measurements, as well as +the variability observed among the sensors. The informa- +tion extracted from flat field statistics is fundamentally in- +sufficient to correct the science images, thus, we describe +in § 4 the electrostatic model we use to derive the correc- +tion from the flat-field results and the outcome of different +fits we perform. Once we obtain models that allow us to +correct science images, we apply those to real data, as de- +scribed in § 5, and we compare the various outcomes. We +face the evidence that the BF correction is inadequate for +the y band and we compute a physically motivated reduced +correction for this band, which we eventually apply to the +science data. In § 6, we compute some PSF modeling quality +indicators commonly used in the context of shear estima- +tion and conclude that the quality of our correction exceeds +the requirements for a large-scale cosmic shear survey such +as Rubin/LSST. It also fulfills the less stringent require- +ments of the PSF fidelity implied by photometry accuracy +of high-redshift faint supernovae in order to estimate their +distances, which is our initial motivation for this work. +2. Non-linearity correction +2.1. Importance of the non-linearity correction +Following A19, we assume that the effective area A of a +pixel is linearly altered by the charge content of the sensor: +δA = A g +� +i,j +aijQij, +(1) +where aij is a characteristic of the sensor and Qij denotes +the charge content of the image, which evolves as light in- +tegration goes on. The indices i and j refer to distances +in pixel units along the serial and parallel directions, re- +spectively. In the same coordinates, δA applies to the pixel +located at (i = 0, j = 0). Conventionally, aij is expressed +in el−1, Qij in ADU and g is the gain in el/ADU. We note +that, equivalently, we may set g = 1 and express Q in elec- +trons. From parity symmetry, we assume that: +aij = a|i||j|, +(2) +so that we measure the aij on the i, j ⩾ 0 quadrant. If +we consider a uniform image, with all Qij identical, then +δA has to be zero, because of translation symmetry. This +imposes the following “sum rule”: +� +−∞≃ −1.3 10−6, the +violation of the sum rule is hence at least 5% of a00 and we +eventually see that it reaches ∼10% once we have a model to +evaluate the large-distance contributions. This means that +the sum of all covariances rises with signal level faster than +Poisson, at variance with expectations from statistics (see +Eq. 8 in A19). Our measurements are thus affected by some +noise, which increases with signal level and contributes as +µ2. +Since the variations of well-measured aij is at most 10 +% across channels, we decide to average the measurements +in order to average the shot noise at large distance. Once +equipped with this average, we fit an electrostatic model to +it that, by construction, satisfies the sum rule. In the next +section, we show that the mismatch between the model and +the data is indeed localized. +4. Electrostatic fit +4.1. From the area coefficients to science image corrections +We study the BF effect in order to suppress its impacts from +the science images. The scheme proposed in G15 consists +of evaluating from the science image itself the motions of +pixel boundaries with respect to a perfect grid, as well as +evaluating via interpolation how much charge was flowing +over these pixel boundaries during integration, and then +placing this amount of charge back where it belongs. +We can readily note that the measurements we have per- +formed so far constrain the change in the area of a pixel, but +do not tell how its shape is altered. If we describe the shape +change by different motions of the serial and parallel sides +of a pixel, this simplistic shape description already requires +two quantities per pixel, while we only have one. Defin- +ing a shape change by distinct serial and parallel boundary +shifts means in turn that we have to “split” the aij coef- +ficients (into aN +ij, aW +ij , aS +ij, aE +ij) and rely on area-conserving +symmetries such as aW +10 ≡ −aE +20. We can also regard aij as +the discrete divergence of the pixel boundary displacement +field and we are faced with the ill-posed problem of deter- +mining a vector field from its divergence, in a a 2d discrete +space. +Various implementations of the correction method pro- +posed in G15 differ in the way they perform this promotion +of pixel area change into two directional components. In +G15 and in Gruen et al. (2015), some ratios are imposed, +which were estimated from the area changes themselves. +C18 argue that the motions of pixel boundaries is a 2D vec- +tor field that results from the (perturbation) electric field +sourced by the charges that represent the image, and, hence, +the 2d displacement field is (as is the 3d electric field) curl- +free. The “scalar” aij field can then be transformed into a 2d +vector curl-free field. While this curl-free assumption seems +appealing, we show in § 4.4 that it turns out to be violated +by a solution of the Poisson equation. We may guess (and +Article number, page 6 of 18 + +0.006 + -model)/μ(e) +0.004 +0.002 +0.000 +8 +0.002 +0.004 +-0.006 +0.004 +model)/μ(e) +0.002 +0.000 +0.002 +Co1 +-0.004 +0.006 +0.004 +0.002 +0.000 +-0.002 +0.004 +0 +20000 +40000 +60000 +80000 +100000 +μ (e)Pierre Astier and Nicolas Regnault: BF on HSC +1.3 +1.2 +a00 +1e +6 +3.0 +3.5 +4.0 +4.5 +5.0 +5.5 +6.0 +6.5 +a10 +1e +8 +1.3 +1.2 +a00 +1e +6 +1.50 +1.55 +1.60 +1.65 +1.70 +1.75 +a01 +1e +7 +4 +6 +a10 +1e +8 +1.50 +1.55 +1.60 +1.65 +1.70 +1.75 +a01 +1e +7 +4 +6 +a10 +1e +8 +4.8 +5.0 +5.2 +5.4 +5.6 +5.8 +a11 +1e +8 +1.5 +1.6 +1.7 +a01 +1e +7 +4.8 +5.0 +5.2 +5.4 +5.6 +5.8 +a11 +1e +8 +1.5 +1.6 +1.7 +a01 +1e +7 +4 +2 +0 +2 +4 +a +1e +7 +Fig. 8. Distribution of area coefficients over the ∼400 hundred channels of HSC (blue) and the averages over each sensor (orange). +All aij coefficients are expressed in el−1. We may note that the trends for channels and sensors are similar, which indicates some +homogeneity within sensors (except for � a, where the scatter is dominated by shot noise). � a is the sum for −10 < i, j < 10. +we show below) that the pixel boundaries motions are pro- +portional to the integral over pixel boundaries of the per- +turbating electric field. These integrals would themselves be +curl-free (as is the electric field) if the integration paths were +all identical for serial and parallel boundaries. The funda- +mental anisotropy (e.g., from the ratio of a01 and a10) indi- +cates that this is not true at small distances, and questions +the curl-free hypothesis applied to the pixel boundaries dis- +placement field. Even without this anisotropy, we might also +question whether the curl-free property of the continuous +3D electric field is precisely transferred to a curl-like com- +bination of finite differences over the pixel lattice. +Our practical approach is to promote the discrete aij +scalar field into a discrete 2D vector field relying on electro- +statics; namely, to propose to fit the geometrical parameters +of a simple electrostatic model of the perturbating electric +field to the data and to evaluate the 2D vector field we need +from the model. We note that since the model reports ac- +tual pixel areas, the sum rule is by construction satisfied by +the outcome of a fit. +4.2. The electrostatic model +We are interested in pixel boundary shifts under the in- +fluence of stored charge and here we sketch a first-order +perturbation scheme that allows us to predict these shifts +from a few geometrical quantities. The first ingredient is +the electric field sourced by the stored charges inside the +sensor, which we refer above as the “perturbating” electric +field (because it adds to the drift field that defines pix- +els). We assume that the field sourced by collected charges +causes no rearrangement of charge within the bulk of the +device. We model this perturbating field as sourced by a +charge between two infinite grounded equipotentials figur- +ing the light entrance window (on which the drift voltage is +applied) and the parallel clock stripes. This is a text-book +problem and using the image charge technique, we can write +the corresponding potential as: +φ(ρ, z) = Q +4πϵ +∞ +� +n=−∞ +1/ +� +ρ2 + (2nt + zq − z)2 +− 1/ +� +ρ2 + (2nt − zq − z)2, +(10) +where ρ2 = x2 + y2, t is the sensor thickness, the source +charge Q is located at (0, 0, zq), and the equipotential planes +are at z = 0 (representing the parallel clock stripes) and +z = t (the light entrance face of the sensor). We can check +that φ(ρ, 0) = φ(ρ, t) = 0: in these cases, each positive term +(first line) of the series has an exact opposite among the +negative terms (second line), which is how the image tech- +nique works. This expression for the potential converges +poorly with n for ρ much larger than t and alternative ex- +pressions should then be used (Pumplin 1969). For the fit, +we do not need to evaluate the model at ρ > t. +The field that results from the normal operation of the +sensor drives the charges into the pixel wells. The drift +lines on the pixel boundaries have a peculiar point at which +the field is null and the potential has a saddle point. This +point is commonly located a few microns away from the +clock stripes (at z=0). These points are located at differ- +ent heights above serial and parallel boundaries, and this +difference contributes to the anisotropy of flat field small- +distance covariances. We display in Fig. 9 a contour crafted +to relate the pixel boundary shifts to the source charge us- +ing Gauss’s theorem, applied to the total electric field, the +drift field plus the perturbation introduced by the charge. +This contour is made from four segments (numbers match- +ing Fig. 9). Segment 1 corresponds to the perturbed drift +line that separates two pixels and the integral of the trans- +verse electric field is null. Segment 2 represents the short +path between the unperturbed zero-field point and the per- +turbed zero-field point and is very close to a drift line; the +integral of the electric field is then a second order quantity, +Article number, page 7 of 18 + +A&A proofs: manuscript no. bf-hsc +1 +2 +3 +4 +Q +Fig. 9. Contour to which we are going to apply Gauss’s theorem +to relate the boundary shift (the length of segment 4) to the +electric field sourced by the charge Q. +which we ignore. Along segment 3, the integral of the un- +perturbed field vanishes because it is the unperturbed drift +line; we are thus left with the integral of the perturbation +field. Over segment 4, the integral of the field is the product +of the drift field, Ed, times the boundary displacement, d, +that we wish to estimate. +So, Gauss’s theorem is finally expressed as: +� z=z0 +z=t +ET +Q(xb, yb, z)dz + dEd = +� +C +ρ/ϵ +(11) +where z0 is the zero-field point altitude, xb and yb are the +coordinates of the unperturbed drift line, ET +Q is the field +transverse to the boundary sourced by the charge Q, Ed +is the drift field (at the top), and the right-hand side is +the bulk charge contained inside the contour, because the +Silicon material can contain residual impurities sourcing a +small bulk electric charge. We do not know this right-hand +side, but we can assume that (to first order) it is propor- +tional to d, our perturbation parameter. So, we eventually +obtain: +d ∝ +� z=z0 +z=t +ET +Q(xb, yb, z)dz. +(12) +In other words, the boundary displacement is proportional +to the integral of the perturbating (transverse) field over +the unperturbed trajectory. This is usually called the Born +approximation. In a charge-free material, the normalization +is expressed as 1/Ed. The expression assumes that charges +are produced when light enters the sensor, at z = t. For the +reddest bands, we should instead account for the conversion +depth of photons in the sensor, as we will do in §5.3. This +expression should be averaged over the pixel side in the +direction perpendicular to the Fig. 9. +In order to constrain the rhs of the expression, it is +tempting to carry out the the measurements at different +values of Ed by changing the drift voltage applied to the +entrance side of the sensor. However, changing the drift ac- +tually alters Ed but also z0 (for both flavors of boundaries), +so measuring the sensor under different drift voltages would +not help significantly at constraining the model. We may, +in principle, predict the proportionality coefficient of Eq. 12 +because the (empty CCD) charge density, thickness, applied +drift voltage, and drift field are related by basic electrostat- +ics. We nonetheless stick to fitting the global scale because +precisely estimating the drift electric field involves at least +the clock stripe sizes and their potentials during image in- +tegration. In this specific study, we have to fit the overall +model scale because we were not able to find the drift and +parallel clock potentials applied to the sensors. +Q +a +b +d +(0,1) +(1,1) +(1,0) +zs +t +y +x +z +Fig. 10. Schematic of the geometry of the electrostatic fit. +We add some flexibility to the model by allowing source +charges to be extended and we stick to a very crude model: a +uniformly charged rectangle. This refinement, as compared +to point sources, only influences the very first neighbors. +So the model eventually has six parameters (see Fig. 10): a +global normalization factor, the height of the source charge +zQ, the height of the zero-field points over parallel and serial +pixel boundaries zp and zs, and the sides of the (uniform) +rectangular source charge a and b. +The calculations of the model also require the thickness +of the sensor (200 µm) and the pixel side (15 µm). For +the practical implementation of the integrals from Eq. 12, +we settle for integrating analytically the terms of the series +similar to Eq. 10 for the electric field and emulating the +rectangular source by splitting the charge into nine equally +spaced point charges (only for n = −1, 0, 1). We sum the +series of the expressions in Eq. 10 up to n = ±11. This +seems to be sufficient for up to 10 pixels because increas- +ing to n = 12 only changes outputs at the sixth decimal +place. This electrostatic modeling approach was initially +presented in Le Breton (2017), which we adapted Figs. 9 +and 10 from. +Article number, page 8 of 18 + +Pierre Astier and Nicolas Regnault: BF on HSC +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +model +10 +9 +10 +8 +10 +7 +10 +6 +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +data (a00 +a00) +10 +9 +10 +8 +10 +7 +10 +6 +0 +2 +4 +6 +8 +i +0 +2 +4 +6 +8 +j +data-model +4 +3 +2 +1 +0 +1 +2 +3 +4 +1e +9 +Fig. 11. Data (top), fitted electrostatic model (middle), and +difference (bottom). The sign of a00 has been flipped in the top +plots, but not in the difference. We can note the clear difference +of the two nearest neighbors, an anisotropy that is already visible +in Fig. 6. We expect a poor fit because the data violates the sum +rule, while the fit cannot. +4.3. Fit of the electrostatic model to the data +We performed a least-squares fit to the average area coef- +ficient data, using the spread over channels to weight the +squares. We first fit the average data obtained at the previ- +ous section. The data, fit, and difference are shown in Fig. +11. We can see that the measurements reach a signal-to- +noise ratio of about 1 at a distance of 8 to 9 pixels from the +source. Beyond the small separations, the measurements +exhibit a radial symmetry as expected from electrostatics +and displayed as well by the model. The residuals do not +average to zero and the data is larger than the model. This +reflects that the data violates the sum rule but the fit can- +not. The sum of the model area coefficients is −7 10−8 up +to i, j < 10 (and tends to 0 with increasing bounds, so the +contribution of unmeasured aij is 7 10−8). Since the sum of +measured aij is 7 10−8, the data violates the sum rule by +about 1.4 10−7, which is more than 10% of a00. The details +of the electrostatic model cannot change the contribution +of unmeasured aij significantly (at i > 9 or j > 9) and +certainly cannot flip its sign. The excess of the data with +respect to the model is concentrated on the 3 first serial +pixels and the first parallel neighbor. +Some excess of variance and covariance along the serial +direction is expected if a video signal experiences rapid gain +variation (or “gain noise”): rapid gain changes contribute a +variance component that scales as the square of signal level +and, hence, artificially increase the value of a00 (see Eq. 5). +If gain fluctuations last longer than the time to read a pixel, +they also bias covariances along the serial direction. Since +the residuals seem to decay along the serial direction, possi- +ble gain variations have also to decay rapidly. They cannot +be invoked to explain the excess on the first parallel neigh- +bor because while serial pixels are read out microseconds +apart, milliseconds separate neighboring lines. +We now attempt a fit that ignores the variance and the +two next serial pixels, that is, a00, a10 and a20. The fit dis- +played in Fig. 12 seems acceptable: the residuals are at most +1% of the largest used coefficient a01 ≃ 1.6 10−7, and an +even lower fraction of a00. The residuals exhibit some sort +of low-level “chessboard pattern”, which is not entirely sys- +tematic. Assuming it is real, we have no proposition for its +source, and we could not invent a small periodic variation +of the physical size of pixels that would produce this 2 × 2 +pixel pattern of the two-pixel correlation functions. +We display the measured and fitted values, and their ra- +tio in Fig. 13. The model reproduces the data well and gives +some confidence that the model delivers sensible values for +the data we decided not to use. We note that the decay of +signal with distance is reproduced very well by the model +over more than two orders of magnitude of signal level. In +Pumplin (1969), it is shown that the large-distance decay +of the perturbating electric field from a point charge in +the sensor depends essentially exponentially on the inverse +thickness of the sensor. The other geometrical parameters +of the model cannot alter significantly the logarithmic slope +of this decay at large distances. So, the evaluation of the +model at large distances, needed to gauge the compliance +of data to the sum rule, is a robust outcome of the model +if the slopes of data and model match. +In Table 1, we display the measured and fitted largest +area coefficients of the data and the two fitted models. We +can see in particular the size of the discrepancies along +the serial direction. We can now extract from the fitted +model the pixel boundary displacement caused by a unit +charge. This allows us to compute for a given science image, +the accumulated boundary displacements resulting from all +present charges. We will test the quality of the BF effect +correction derived from the models on science images in the +following section. We now question the curl-free hypothesis, +and then discuss the gain noise issue. +Article number, page 9 of 18 + +A&A proofs: manuscript no. bf-hsc +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +model +10 +9 +10 +8 +10 +7 +10 +6 +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +data (a00 +a00) +10 +9 +10 +8 +10 +7 +10 +6 +0 +2 +4 +6 +8 +i +0 +2 +4 +6 +8 +j +data-model +2.0 +1.5 +1.0 +0.5 +0.0 +0.5 +1.0 +1.5 +2.0 +1e +9 +Fig. 12. Data (top), fitted electrostatic model (middle), and +difference (bottom). This fit ignores the three first serial pixels, +marked with crosses in the bottom plot. Compared to Fig. 11, +we see that the data excess in a01 has disappeared. We note +that the color scale of the difference is zoomed-in, as compared +to Fig. 11 +4.4. Considering whether the pixel boundary displacement +field is curl-free +In C18, the authors assume that the boundary displacement +field is curl-free. Our definition of discrete curl is expressed +as: +ci,j = (aN +i,j+1 − aN +i,j) − (aW +i+1,j − aW +i,j). +(13) +0.0 +2.5 +5.0 +7.5 +10.0 +12.5 +i2 + j2 +0 +10 +9 +10 +8 +10 +7 +10 +6 +|aij| +fit +data +0.0 +2.5 +5.0 +7.5 +10.0 +12.5 +i2 + j2 +1.5 +1.0 +0.5 +0.0 +0.5 +1.0 +1.5 +2.0 +(data-model)/|model| +Fig. 13. Data and fit (left) as a function of distance, difference +normalized to the model (right). The fit ignores the three first +serial pixels, which are labeled with crosses in the rhs plot. The +dashed line in the lhs plot separates the logarithmic and linear +scale regions. +Table 1. Values of the largest area coefficients for the data and +two fitted models +i = 0 +i = 1 +i = 2 +d +2.60 10−8 +1.88 10−8 +9.95 10−9 +j = 2 +m1 +2.57 10−8 +1.78 10−8 +8.66 10−9 +m2 +2.77 10−8 +1.93 10−8 +9.57 10−9 +d +1.61 10−7 +5.19 10−8 +1.85 10−8 +j = 1 +m1 +1.55 10−7 +5.23 10−8 +1.57 10−8 +m2 +1.60 10−7 +5.24 10−8 +1.68 10−8 +d +−1.24 10−6 +4.79 10−8 +2.56 10−8 +j = 0 +m1 +−1.29 10−6 +3.90 10−8 +1.99 10−8 +m2 +−1.37 10−6 +3.43 10−8 +2.08 10−8 +Notes. The three rows for each value of j refer to the data, +model 1, and model 2. Model 1 fits all the measured aij, while +model 2 ignores the data from the bottom row. +In Fig. 14, we display the discrete 2D curl of the field, the +displacement of one boundary (arbitrarily chosen as the +parallel one, the serial one is in fact smaller) and their ra- +tio. We used the electrostatic solution displayed in Fig. 12, +which (by definition) satisfies the Poisson equation and, +hence, has a curl-free 3D electric field. We can readily see +that the curl-free assumption may lead to sizable errors +(several tens of percent) in the correction. +One reason for the displacement field to be rotational is +that drift paths along serial and parallel boundaries do not +end at the same distance from the parallel clock stripes. +The importance of this difference vanishes with distance +because at large distances, the field varies less steeply with +z than at short distances and, hence, the fractional con- +tribution to the boundary displacement of the end of the +drift path decays with distance. When it comes to science +images, and especially when the image quality is good, the +short-distance boundary displacements dominate the effec- +tive correction for stars. +Article number, page 10 of 18 + +Pierre Astier and Nicolas Regnault: BF on HSC +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +curl value +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +top boundary shift +0 +2 +4 +6 +8 +i +0 +2 +4 +6 +8 +j +ratio +0.0 +0.5 +1.0 +1e +7 +1 +2 +3 +4 +1e +7 +0.2 +0.0 +0.2 +0.4 +Fig. 14. Values of the (discrete) curl, the top boundary dis- +placement and their ratio. One can see that assuming a curl-free +displacement field is acceptable only at distances larger than ∼ +3 pixels. +4.5. Gain noise +We measure a00 = −1.24 10−6, while the fit of Fig. 12 +indicates a00 = −1.37 10−6. This means that the model +predicts a variance that is smaller than the measured one, +and the leading difference is quadratic in signal level. This +difference of a00 values also contributes to the apparent +curvature of the residuals displayed in Fig. 3: it roughly +explains the curvature for C00 and C01 – but not for C10. +While questioning the area coefficients along the serial +direction, it is tempting to relate the excess we observe +to charge transfer issues; however, we provide a few argu- +ments against this explanation. First, we have measured +and corrected deferred signals and we find that the linear +dependence displayed in Fig. 5, causes, if uncorrected, a +linear contribution to C10 (∝ µ); however, the a10 excess +we observe corresponds to a quadratic contribution to C10 +(∝ µ2). Second, any mechanism relying on imperfect charge +transfer will unavoidably affect C00 and C10 in comparable +and opposite amounts, but the data in Table 1 indicate that +the excess of a00 is about 20 times larger that the one of +a10, and they have the same sign. Third, serial charge trans- +fer inefficiency is usually associated to localized and rare +defects that is typically 1 or more frequently 0 along the +serial register. The distributions of area coefficients (Fig. 8) +do not seem quantized. +So, assuming that this difference of a00 values is due +to gain variations during the read out, the relative gain +variations should be about 3.5 10−4 rms. Gain variations +of the HSC electronics have been studied during the HSC +camera fabrication process and are reported in Miyatake +et al. (2012). They are evaluated as ∼ 2.4 10−5, however, +this is only considering the video chain and not the CCD +(and perhaps in a context that is different from what the +instrument actually faces). +The CCD readout chain of HSC relies on correlated dou- +ble sampling, an approach that integrates the video signal +during logical gates provided by the clocking system. The +collected signal is hence vulnerable to fluctuations of the +timing of the integration gates. We cross-correlated the sub- +images from different channels of the same sensor in order +to diagnose synchronous correlations, including variations +of the gains (whatever the cause). We did not find any com- +pelling signal for any sensor. We were hoping that cross- +correlations would deliver the size of gain fluctuations, or +any other common-mode fluctuation of channel response, +thus allowing us to subtract this contributions from flat- +field statistics. +In summary, we are not able to provide a convincing +cause of the sum rule violation. Because the electrostatic +fit indicates an excess of fluctuations along the serial direc- +tion, we ignore three area coefficients. This excess is obvi- +ously puzzling, albeit compatible with rapid gain fluctua- +tions (with some ad hoc time decay). Fortunately, we do +not have to rely in any way on this hypothesis to use the +electrostatic model. +5. Correction of science images +5.1. Data set and reduction +We process the images of the Cosmos field from the ultra- +deep part of the Subaru Strategic Program, acquired be- +tween 2014 and 2019. The ultra-deep part of the survey is +geared at obtaining extremely deep images by co-adding +a large number of observations, as well as detecting high- +redshift supernovae and measuring their light curves. The +sample of images covers the five bands: g, r, i, z and y of +the camera, and also covers a broad range of image qual- +ities. We use data acquired with the new i and r filters, +which are called r2 and i2 in HSC parlance and we stick to +these names. This image sample constitutes a representa- +tive playground for testing the quality of the brighter-fatter +correction on HSC science images. +Article number, page 11 of 18 + +A&A proofs: manuscript no. bf-hsc +The image reduction we perform is fairly standard for +the brighter-fatter correction. We first average the overscan +and subtract it from the actual image data. We then cor- +rect each image segment for non-linearity. Then we have +to express the image in electrons in order to perform the +BF correction, so we multiply each image segment by its +corresponding gain (as determined when fitting the covari- +ance data), perform the correction, and divide back each +segment by the gain. We note that the BF correction has +to deliver an image that has not been corrected by chan- +nel gains because our flats contain the gain differences and, +hence, they should be applied to an unscaled image. We pre- +fer to use flats that encode the relative gains because their +evolution with time encodes a possible evolution of gains. +Using approximate gains for the BF correction is clearly a +second-order issue, while using approximate relative gains +on a sensor can cause artificial steps in the sky background +at the channel boundaries. +The brighter-fatter correction consists in computing the +boundary shifts by summing all the actions of all image +charges on all boundaries. For parallel boundaries, the shifts +are expressed as: +δN +ij = 1/2 +� +kl +aN +k,lQi−k,j−l, +(14) +and similarly for serial boundaries. The factor of 1/2 ac- +counts for the fact that source charges alter pixel shapes +only once they have reached the pixel wells; thus, on aver- +age, during half of the integration time. In Eq. 1, the charge +on the rhs refers to the charge accumulated so far during the +integration and, hence, the time-averaged boundary shift +should be derived from the time-averaged charge content. +The charge to displace from one pixel to its neighbor is com- +puted from the pixel boundary shift and the charge flowing +over the same pixel boundary. We compute the latter as +the average between the two pixels that share the bound- +ary. We tried a quadratic order interpolator (involving 4 +pixels), and did not find a decisive difference. We should +note that the vast majority of our images are well sampled +(the image quality is larger than 3 pixels) and sharper im- +ages could react differently. Ultimately, the correction of +the BF effect in the images themselves requires that an ac- +curate estimation of the charge at pixel boundaries can be +devised. +Once the BF correction has been applied, we divide back +each channel section by its gain and apply the flat field +constructed from dome flats accumulated over about one +month. For the y band, we have to subtract a fringe pattern +constructed from a large set of science images. +On each individual CCD from each exposure, we run +SExtractor (Bertin & Arnouts 1996) to detect objects and +measure the Gaussian second moments of these objects +from an unweighted 2D Gaussian fit to the light distribu- +tion. Because we do not integrate the Gaussian over pixels, +we use the fast procedure described in Astier et al. (2013) +to solve the normal equations. These second moments are +similar if not identical to the “SDSS adaptive moments.” We +identify stars in the image from the distribution of moments +(see Astier et al. 2013). Because we have to accommodate +significant variations of the PSF over the field of a single +CCD, the cut that selects stars is broad enough to avoid re- +jecting genuine stars because of the BF effect. We get three +moments per star: MXX, MY Y and MXY , where X and Y +refer to the serial and parallel directions on the sensor. As +an indicator of PSF size, we use: +IQ2 ≡ TP SF /2 = (MXX + MY Y )/2. +(15) +We then need color measurements of our stars, which +we obtain by averaging fluxes over images and calibrating +instrumental magnitudes over the common footprint of our +star catalog and the field D2 from Betoule et al. (2013). +This is not a critical step since only small color corrections +are involved in what follows and we, hence, do not need +colors measured to better than ∼0.1 mag. +5.2. Processings and results +0 +10000 +20000 +30000 +fmax +0.02 +0.00 +0.02 +0.04 +0.06 +0.08 +0.10 +MXX +< MXX > +0 +10000 +20000 +30000 +fmax +MYY +< MYY > +0.00 +0.25 +0.50 +0.75 +1.00 +i2-z +0.08 +0.06 +0.04 +0.02 +0.00 +0.02 +MXX +< MXX > +0.00 +0.25 +0.50 +0.75 +1.00 +i2-z +MYY +< MYY > +Fig. 15. Differences between the star second moments and their +expectations from the spatial smoothing, as a function of fmax +(top) and color (bottom). We have selected stars with 3 < IQ2 < +4 pix2, in the z band. The color range was chosen so that the +color dependence is roughly linear. One can see that the slope +of the top right plot is slightly steeper than the top left plot, +reflecting the anisotropy of pixel covariances in flat fields. +In order to assess the variation of star moments with +their flux, we report the variation of star sizes with peak +flux fmax, rather than with the flux itself. The variation +with fmax is of practical interest, because fmax determines +if a given star can enter into the PSF modeling. In order +to isolate the variation of moments with peak flux we have +to account for two other variations: the spatial variation in +every exposure (mostly due to optics), and the color depen- +dence of apparent star sizes. We remove the spatial depen- +dence by fitting a second-order 2D polynomial to the star +moments measured on a given CCD in a given exposure. +We then interpolate this crude model at the star position +and study the residual of the measurement to the model. We +model MXX and MY Y independently. We apply a conserva- +tive cut at fmax < 35000 ADU, in order to avoid any effect +of sensor saturation. The dependence on fmax and color +Article number, page 12 of 18 + +Pierre Astier and Nicolas Regnault: BF on HSC +of these residuals are shown in Fig. 15, for a processing in +which no BF correction was applied. We see that for stars +selected at (MXX + MY Y )/2 ≃ 3.5 pix2, the total increase +of moments with fmax is ∼ 0.13 pix2, which is about 3.7% +for stars varying from 0 to saturation. This slope depends +on the selection of image quality. Figure 15 also indicates +that the variation of apparent size with color in the z band +are not considerably smaller than the ones with flux. Since +the fmax-color correlation coefficient is about −0.18 (in z +band), we should account for color-induced size variations. +In order to account for both the peak flux and color +dependence of the moments, we regress the star moment +residuals against both fmax and color: +MAA − M expected +AA += αfmax + βc + γ, +(16) +where A stands for X or Y . We then use α (i.e., the BF +slope) as a color-independent indicator of the BF effect in- +tensity (both before and after correction). The linear cor- +rection in color can only work within a finite color range, +and the selected color indicators and their range are pro- +vided in Table 2. For this fit, we ignore the measurements +with fmax<5000 because the measured moments could be +affected by a biased background estimation. Out of about +15 106 star measurements, the flux and color cuts retain +2.4 106 measurements contributing to the slope measure- +ments that are reported here. +Table 2. Color indicators and color ranges used for the various +HSC bands +band +color +cmin +cmax +g +g-r2 +0.3 +1.1 +r2 +r2-i2 +1.0 +2.0 +i2 +i2-z +0.0 +1.0 +z +i2-z +0.0 +1.0 +y +z-y +0.0 +0.5 +Notes. For each band, the analysis selects stars with color be- +tween cmin and cmax in order to perform the regression of Eq. +16. +In order to study the quality of the BF correction on +real science conditions, we bin stars in moments bins and +restrict the range to (MXX +MY Y )/2 < 10, which roughly +corresponds to an image quality of 1.35′′ FWHM. We do +not apply a lower cut because the best image qualities are +precious for at least cosmic shear. The bin selection operates +on the expected moments at the location of the star rather +than the measured ones, so that the quantity used to select +the bins contents is statistically independent of flux and +color. +The measurements of α (accounting for color correc- +tions) for both CCD directions and in IQ2 bins are dis- +played in Fig. 16. We can notice an increase of the slopes +with IQ2, as well as the fact that the y band is notably +less affected by the BF effect than the other bands. In the +y band, the photons convert deeper in the sensor bulk and +the charges experience a shorter drift path than for bluer +bands, thus reducing the action of the perturbating electric +field. For the y band, the starting point of the integral of +Eq. 12 is noticeably smaller that the sensor thickness t. +For some time, we ignore this subtlety and correct all +bands using a same model for all bands, derived from co- +2 +3 +4 +5 +6 + (BF slope) in pix2/ADU +1e +6 +MXX +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pix2) +2 +3 +4 +5 +6 + (BF slope) in pix2/ADU +1e +6 +MYY +Fig. 16. BF slopes (with color correction) in IQ2 bins for the +five bands of HSC, without any BF correction, for the serial +(top) and parallel (bottom) directions. We can note a roughly +linear increase of the slopes with IQ2, and that for the best +image qualities, the slope for MY Y is larger than for MXX, as +expected from the anisotropy of the nearest neighbor aij (as seen +in Fig. 11) +variances measured in the g band. We first apply the cor- +rection derived from “model 1” (displayed in Fig. 11) and +the residual BF slopes are displayed in Fig. 17. Although +the BF slopes are significantly reduced with respect to the +raw data (Fig. 16), the residual slopes are large at low IQ2, +indicating that the correction is underestimated at small +distances. This correction leaves about 10% of the BF ef- +fect at the best image qualities and about 3% at the upper +end. +We then apply the “model 2” correction (Fig. +12), +namely, the one that ignores the three first suspicious mea- +surements along the serial direction. The corresponding BF +slopes are displayed in Fig. 18. The quality of the correction, +in particular at the lowest IQ is improved. Ignoring the y +band, we can interpret the figure as a global small overcor- +rection that leaves BF slopes about 30 times smaller than +in the raw data. +5.3. Brighter-fatter correction for the y-band +When the energy of photons becomes comparable to the +silicon band gap, the absorption cross-section tends to van- +ish and silicon becomes transparent. The band gap is about +E = 1.2 eV corresponding to λ = 1.1 µm. In the y band, the +Article number, page 13 of 18 + +A&A proofs: manuscript no. bf-hsc +0.6 +0.4 +0.2 +0.0 +0.2 +0.4 + (BF slope) in pix2/ADU +1e +6 +MXX +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pix2) +0.6 +0.4 +0.2 +0.0 +0.2 +0.4 + (BF slope) in pix2/ADU +1e +6 +MYY +Fig. 17. BF slopes (with color correction) in IQ2 bins for the +five bands of HSC, with the BF correction derived from “model +1” (Fig. 11) which uses all the covariance measurements. One +can note a residual BF slope essentially independent of image +quality, for all bands, except y that deserves a specific treatment +(detailed in 5.3). +absorption length of photons becomes comparable to the +sensor thickness and we can no longer assume that charges +produced by converted photons drift all the way from the +entrance window (z=t in the coordinates of §4.2). The flat- +field data was acquired in g band, where the mean free path +of photons is well below 1 µm, and the approximation of im- +mediate conversion is adequate. This approximation works +up to i band, may be questioned for z band and does not +seem to apply to y band. +Once we have our electrostatic model, the prediction for +boundary motions in y band can be computed by altering +the lower bound of the integral of Eq. 12 : +d(zc) = k +� z=z0 +z=zc +ET +Q(xb, yb, z)dz, +(17) +where zc is where the photon converts and k is the nor- +malization determined when fitting the model to the area +coefficient data (obtained in g band in our case). Since the +integrand can vary rapidly with z, d(zc) ̸= d(zc), it is un- +wise to evaluate these integrals at the average conversion +depth of photons in the y band. We instead compute the +average of d(zc) for a realistic distribution of zc: +dy = +� zc=szb +zc=t +d(zc)dN/dzc dzc, +(18) +1.2 +1.0 +0.8 +0.6 +0.4 +0.2 +0.0 + (BF slope) in pix2/ADU +1e +6 +MXX +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pix2) +1.2 +1.0 +0.8 +0.6 +0.4 +0.2 +0.0 + (BF slope) in pix2/ADU +1e +6 +MYY +Fig. 18. BF slopes (with color correction) in IQ2 bins for the +five bands of HSC, with the BF correction derived from “model +2” (Fig. 12) which uses all the covariance measurements but the +three first serial pixels. We face a small over correction, and the +BF slopes have been reduced by a factor of about 30 as compared +to the raw values of Fig. 16. The y band still requires a specific +treatment. +where dN/d zc is the distribution of conversion points (and +should integrate to unity over the integration domain), and +zb refers to zs or zp, depending on which boundary we are +considering. The distribution of conversion depths depends +on photon absorption length and some assumption for the +object spectrum. The latter may be regarded as inconve- +nient, but this is a small chromatic dependence of a small +flux dependence and, hence, a second-order effect. +We choose the spectrum of a color 0 (in AB magnitudes) +object to compute the conversion depth distribution, noting +that z−y = 0 lies inside the observed star color distribution, +which has an average of < z−y >≃ 0.13. For the absorption +length as a function of wavelength, we use the expression +from Rajkanan et al. (1979) for Silicon at 173oK, which +typically predicts 103 µm at λ = 950 nm. The conversion +depth distributions for z and y bands is displayed in Fig. +19, and we can note that in y band, the conversions are +spread over the whole thickness and the depth distribution +is stable when changing the color by about the width of +the z − y distribution of stars. In Fig. 20, we compare the +electrostatic model 2 integrated over the full thickness with +the same model for the y band, using Eq. 17, with the +distribution of Fig. 19. The largest relative changes happen +Article number, page 14 of 18 + +Pierre Astier and Nicolas Regnault: BF on HSC +0 +25 +50 +75 +100 +125 +150 +175 +200 +Conversion depth ( m) +0.000 +0.005 +0.010 +0.015 +0.020 +0.025 +Differential probablilty ( m +1) +Conversion depth distribution in HSC CCDs +y (z-y=0) +y (z-y=0.2) +z +Fig. 19. Distributions of conversion depth for a zero color ob- +ject in the HSC CCDs. The y distribution is much flatter and +leads to a globally reduced BF effect. Changing the color of the +object by about the width of the our z − y distribution does not +significantly alter the expected depth distribution in the y band. +For the z band, most of the conversions occur at small depths, +where the perturbating electric field is small. For the i2 band, +the average conversion depth is about 10 µm. +at large distances, where the perturbating electric field has +a sizable contribution over most of the drift path. +Next, we apply this modified BF correction for the y +band to the actual science data. We can see in Fig. 21 that +the y band thus behaves similarly to the other bands, which +indicates that the reduced BF effect in y likely originates in +shorter drift paths in this very red band. This also indicates +that for these CCDs, flat field correlations measured in a +blue band can be used to predict (via a model) the BF +correction for a red band. Alternatively, we could certainly +consider measuring flat-field statistics in y band. We have +not applied the same treatment to the z band, where the +correction is much smaller than for y, and the need for +reducing the BF correction is considerably less obvious. We +will however apply the BF model for z band in our final +image processing. +6. Discussion +6.1. Quality of the BF correction +The practical uses of PSF models crucially depend on the +size of the model capable of faithfully representing the ac- +tual PSF size for faint objects. Two applications may come +to mind: first, the measurement of faint supernovae for cos- +mological applications where fluxes have to be measured +using PSF photometry and supernova fluxes are calibrated +against the ones of bright stars; second, the measurement +of galaxy shapes where one is interested in the intrinsic +shape, namely, “before” it is smeared by the PSF. An in- +accurate PSF size results in general in a biased shape. For +both of these applications, the gauge is the difference of the +PSF model size to the real size of a faint object, relative +to the PSF size. The LSST Dark Energy Science Collabo- +ration et al. (2018) set the maximum acceptable PSF size +bias (δT/T) to 10−3 for the ten-year Rubin/LSST survey +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +model 2 (full drift) +0 +2 +4 +6 +8 +0 +2 +4 +6 +8 +j +y band +0 +2 +4 +6 +8 +i +0 +2 +4 +6 +8 +j +(m1-m2)/m1 +10 +9 +10 +8 +10 +7 +10 +6 +10 +9 +10 +8 +10 +7 +10 +6 +0.1 +0.0 +0.1 +0.2 +0.3 +Fig. 20. Area coefficients for “model 2” (displayed in Fig. 12) +based on the same model with shorter drift paths meant to de- +scribe the y band (center) and the relative difference at the bot- +tom. The differences tend to increase with distance to the source. +for all sources of PSF size bias, where T = MXX + MY Y +is the trace of the second moment matrix. So, in what fol- +lows, the PSF “size” is, in fact, the “area”. Regarding PSF +photometry, the relative flux bias caused by PSF size bias +reads δf/f = 1/2(δT/T). Shear measurements also require +an accurate estimation of the PSF ellipticity. When sur- +veys measure the same object with the same orientation of +the sensors, sensor-induced ellipticities are transferred to +shape measurements. For the Euclid mission the require- +ment on ellipticities transferred to objects is 5 10−5 of the +Article number, page 15 of 18 + +A&A proofs: manuscript no. bf-hsc +0.7 +0.6 +0.5 +0.4 +0.3 +0.2 +0.1 +0.0 + (BF slope) in pix2/ADU +1e +6 +MXX +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pix2) +0.7 +0.6 +0.5 +0.4 +0.3 +0.2 +0.1 +0.0 + (BF slope) in pix2/ADU +1e +6 +MYY +Fig. 21. BF slopes computed after correcting images with model +2, with the modifications described above for y band. With re- +spect to Fig. 18, only the y data has changed. We may note that +all bands now behave in a similar way. +rms (Table 1 of Cropper et al. 2013). In the context of the +BF effect, we concentrate on the X/Y ellipticity, namely, +(MXX − MY Y )/T. Cropper et al. (2013) also provide a re- +quirement for the PSF size for Euclid, which reads 5 10−4 +rms, comparable to the Rubin 10−3 bound. +In Fig. 22, we see that on corrected images, the relative +PSF size difference is below 10−3 in all bands at all levels +of image quality. In Fig. 23, we see that in the corrected +images, the residual PSF ellipticity δ(MXX − MY Y )/TP SF +is mostly below 10−4 across the range of image quality and +meets the 5 10−5 r.m.s bound. We thus note that the need +to omit three nearby serial pixels when fitting model 2 did +not significantly degrade the quality of the BF correction in +one direction. In Fig. 24, we display the slope of the radial +fourth moment inaccuracies of the PSF, which also induces +adverse effects on shear measurements, with a factor on +the order of 1, as for the PSF size (see Zhang et al. 2021). +The residuals are even smaller than for the PSF size. We +note that our residual trends after correction all indicate an +overcorrection of the BF effect and all this could thus be +improved by adjusting the overall scale of the correction. +We also note that these results were obtained in a blind +way: we did not change the procedure after having seen +them. +Gruen et al. (2015) evaluated their image correction for +DECam in ways similar to ours (their Fig. 12): their method +overcorrects the size of objects and leaves a negative BF +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pixel2) +0.006 +0.008 +0.010 +0.012 +0.014 +TPSF/TPSF +raw +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pixel2) +1.0 +0.8 +0.6 +0.4 +0.2 +0.0 +TPSF/TPSF +1e +3 +model 2 y +Fig. 22. Relative change of the PSF size between an average +PSF star and a faint object, as a function of TP SF /2. For the +PSF size extimator, we use as well the trace of the second mo- +ment matrix of the PSF. The top plot refers to the raw data, +the bottom one to the data corrected by model 2 with the short- +ened drift paths in y band. We assume that an average PSF star +peaks at 1/3 of the saturation. +slope, about -1/3 of the uncorrected one. This is certainly +too large for a large-scale cosmic shear survey. The cor- +rected ellipticities seem significantly better (and probably +small enough for a DES-like survey) but they are weakly +affected by the BF effect in the test sample (as compared +with the top plot of our Fig. 23). Mandelbaum et al. (2018) +assessed the correction derived in C18 for HSC images: the +(linear) size of corrected stars varies with magnitude by +about 0.2 % over three magnitudes (an eyeball estimation +from their fig 6). Then, TP SF would evolve twice as much +and this is small enough for the analysis of the first year +of the HSC survey. Regarding the ellipticities, trends with +regard to the flux are not provided. For both DECam and +HSC, the methods overcorrect the BF trend and both as- +sessments ignore chromatic contributions to star size varia- +tions. If the color-flux correlation is similar to ours, correct- +ing sizes for color decreases the apparent BF slope, hence +degrading the performance of the BF correction in both +instances. +We have insisted on the importance of higher order +terms in Eq. 4 when analyzing the covariance curves. Those +terms result from the integration over time of Eq. 1. Re- +garding the correction of the images, we did not carry out +integration over time, and we just considered that half of +Article number, page 16 of 18 + +Pierre Astier and Nicolas Regnault: BF on HSC +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pixel2) +0.0008 +0.0007 +0.0006 +0.0005 +0.0004 +0.0003 +0.0002 +0.0001 +0.0000 +ePSF +raw +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pixel2) +1 +0 +1 +2 +3 +ePSF +1e +4 +model 2 y +Fig. 23. Change of the PSF ellipticity eP SF +≡ (MXX − +MY Y )/TP SF between an average PSF star and a faint object, +as a function of TP SF /2. The top plot refers to the raw data, +the bottom one to the data corrected by model 2 with the short- +ened drift paths in y band. We assume that an average PSF star +peaks at 1/3 of the saturation. +the end-of-exposure image is a good approximation of the +source of electrostatic distortions, hence, neglecting second +order effects which are important for covariance curves. We +anticipate that neglected second order effects in image cor- +rection should manifest themselves as structured residuals +to the moments versus fmax linear fits. We analyzed these +residuals in band and image quality bins, summing differ- +ent bands at the same image quality, and we could not find +any hint of departure from linearity. This is fortunate since +accounting for next to leading order effects in image cor- +rection is more difficult than for the shape of covariance +curves. +6.2. Possible further developments +While the obtained performance of the BF correction seems +sufficient, we may consider potential avenues for improve- +ments. First, in our analysis, the overall normalization of +the BF correction model primarily depends on a01, which +is the best measured area coefficient actually used in the +electrostatic fit (the model 2 fit). This coefficient is slightly +biased by an erroneous value for a00 through the µ3 terms +in the covariance fit to a level compatible with the small +over-correction we are facing. It may then seem legitimate +to actually tune the overall normalization of the correction +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pixel2) +0.001 +0.002 +0.003 +0.004 +0.005 +0.006 +0.007 +0.008 +M4PSF/M4PSF +raw +g +r2 +i2 +z +y +2 +3 +4 +5 +6 +7 +8 +9 +TPSF/2 (pixel2) +4.0 +3.5 +3.0 +2.5 +2.0 +1.5 +1.0 +0.5 +0.0 +M4PSF/M4PSF +1e +4 +model 2 y +Fig. 24. Relative change of the radial fourth moment as a func- +tion of image quality for all HSC bands, between a faint source +and an average PSF star, before (top) and after (bottom) BF +correction. We assumed that an average PSF star peaks at 1/3 +of the saturation. +in order to bring the average BF slope to 0, at least for the +best observing conditions. +Second, the BF correction we implemented is the out- +come of an analysis where three area coefficients of the BF +effect (the three first serial measurements, including the +largest coefficient) had to be ignored because they could +not be accommodated by an electrostatic model. Those +coefficients had to be derived from the measurements of +other area coefficients through an electrostatic modeling. +We might then anticipate that for a camera that does not +suffer from this noise bias (which is first manifested by a +violation of the sum rule), a better correction model could +be constructed. In particular, an analysis of test data of +the Vera Rubin Observatory camera indicates that the sum +rule is satisfied on the integrated instrument. +One appealing – and very different – approach could +be to determine the electrostatic model from the science +data by fitting the pixel distortion pattern that makes the +PSF homothetic. The electrostatic modeling could proba- +bly be computed sufficiently rapidly to be inserted into a +PSF modeling fitting loop. The concerns about the preci- +sion measurement of the two-point function of flat fields +would become pointless. +Article number, page 17 of 18 + +A&A proofs: manuscript no. bf-hsc +6.3. Computer codes +Our code is split in three different parts: code to measure +covariances and fit the covariance curves, code to perform +the electrostatic fit, and code to process the images and in +particular corrects those for the BF effect. Our public repos- +itory1 contains the python code for the two first steps. The +code that measures covariances did not evolve significantly +since it was developed for A19. We publish here the elec- +trostatic modeling code for the first time. Our image cor- +rection code is fairly straightforward and would probably +run much faster with the convolution in Eq. 14 computed +in Fourier space. The parts of the analysis that are not in +the repository can be made available upon request. +Acknowledgements. We are indebt to the Subaru Telescope technical +staff that very efficiently operates the observatory and its instruments. +HSC images are made available on the SMOKA server2, that we have +used extensively. We perform all our reductions and store our results +at the Centre de Calcul de l’IN2P33, a computing facility of CNRS. +This work benefited from useful discussions with N. Suzuky (LBL) +and N. Yasuda (IPMU), and our colleagues from the Paris team. The +manuscript eventually benefited from excellent suggestions from our +referee. +References +Antilogus, P., Astier, P., Doherty, P., Guyonnet, A., & Regnault, N. +2014, Journal of Instrumentation, 9, C3048 +Astier, P., Antilogus, P., Juramy, C., et al. 2019, A&A, 629, A36 +Astier, P., El Hage, P., Guy, J., et al. 2013, A&A, 557, A55 +Bertin, E. & Arnouts, S. 1996, A&AS, 117, 393 +Betoule, M., Marriner, J., Regnault, N., et al. 2013, A&A, 552, A124 +Coulton, W. R., Armstrong, R., Smith, K. M., Lupton, R. H., & +Spergel, D. N. 2018, Astron. Journ., 155, 258 +Cropper, M., Hoekstra, H., Kitching, T., et al. 2013, MNRAS, 431, +3103 +Downing, M., +Baade, B., Sinclaire, P., Deiries, S., & Christen, F. +2006, Proc SPIE, 6276 +Gruen, D., Bernstein, G., Jarvis, M., et al. 2015, Journal of Instru- +mentation, 10, C05032 +Guyonnet, A., Astier, P., Antilogus, P., Regnault, N., & Doherty, P. +2015, A&A, 575, A41 +Lage, C., Bradshaw, A., Anthony Tyson, J., & LSST Dark Energy Sci- +ence Collaboration. 2021, Journal of Applied Physics, 130, 164502 +Le +Breton, +R. +2017, +Theses, +Université +Pierre +et +Marie +Curie +- +Paris +VI, +https://tel.archives-ouvertes.fr/tel- +01720422/file/2017PA066298.pdf +Mandelbaum, R., Miyatake, H., Hamana, T., et al. 2018, PASJ, 70, +S25 +Miyatake, H., Aihara, H., Fujimori, H., et al. 2012, Physics Proce- +dia, 37, 1413, proceedings of the 2nd International Conference on +Technology and Instrumentation in Particle Physics (TIPP 2011) +Miyazaki, S., Komiyama, Y., Kawanomoto, S., et al. 2018, PASJ, 70, +S1 +Pumplin, J. 1969, American Journal of Physics, 37, 737 +Rajkanan, K., Singh, R., & Shewchun, J. 1979, Solid-State Electronics, +22, 793 +Rasmussen, A., Guyonnet, A., Lage, C., et al. 2016, in Proc. SPIE, Vol. +9915, High Energy, Optical, and Infrared Detectors for Astronomy +VII, 99151A +The LSST Dark Energy Science Collaboration, Mandelbaum, R., Ei- +fler, T., et al. 2018, arXiv, 1809.01669 +Zhang, T., Mandelbaum, R., & Collaboration, T. L. D. E. S. 2021, +Monthly Notices of the Royal Astronomical Society, 510, 1978 +1 https://gitlab.in2p3.fr/astier/bfptc +2 https://smoka.nao.ac.jp/index.jsp +3 https://cc.in2p3.fr +Article number, page 18 of 18 + diff --git a/zdE1T4oBgHgl3EQfkgRW/content/tmp_files/load_file.txt b/zdE1T4oBgHgl3EQfkgRW/content/tmp_files/load_file.txt new file mode 100644 index 0000000000000000000000000000000000000000..92424af697db0753a2e092605d2443d1ee64208a --- /dev/null +++ b/zdE1T4oBgHgl3EQfkgRW/content/tmp_files/load_file.txt @@ -0,0 +1,1137 @@ +filepath=/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf,len=1136 +page_content='Astronomy & Astrophysics manuscript no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' bf-hsc ©ESO 2023 January 10, 2023 Correction of the brighter-fatter effect on the CCDs of Hyper Suprime-Cam Pierre Astier1 and Nicolas Regnault1 LPNHE, (CNRS/IN2P3, Sorbonne Université, Université Paris Cité), Laboratoire de Physique Nucléaire et de Hautes Énergies, F-75005, Paris, France Received Mont DD, YYYY;' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' accepted Mont DD, YYYY ABSTRACT The brighter-fatter effect affects all CCD sensors to various degrees.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Deep-depleted thick sensors are seriously affected and the measurement of galaxy shapes for cosmic shear measurements requires an accurate correction of the effect in science images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We describe the whole correction chain we have implemented for the CCDs of the Hyper Suprime-Cam imager on the Subaru Telescope.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We derive non linearity corrections from a new sequence of flat field images, and measure their statistics, namely their two-pixel function.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We constrain an electrostatic model from flat field statistics that we use to correct science images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We find evidence that some fraction of the observed variance and some covariances is not due to the combination of Poisson statistics and electrostatics – and the cause remains elusive.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We then have to ignore some measurements when deriving the electrostatic model.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Over a wide range of image qualities and in the 5 bands of the imager, stars in corrected science images exhibit size variations with flux small enough to predict the point spread function for faint objects to an accuracy better than 10−3 for the trace of second moments – and even better for the ellipticity and the fourth radial moment.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' This performance is sufficient for upcoming large-scale cosmic shear surveys such as Rubin/LSST.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' 1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Introduction The brighter-fatter (BF) effect refers to a dynamical image distortion that affects CCD sensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' The most spectacu- lar manifestation of the effect is that bright stars appear slightly bigger in size than faint ones, a manifestation that is reflected the very name of the effect.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' All studies of the effect have attributed it to distortions of the drift electric field sourced by the charges stored in the pixel potential wells during image integration.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' This modifies the apparent shape of bright objects and the two-point statistics of uni- form exposures, and thick CCDs are more vulnerable to the effect than thinner sensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Evidence of the effect and the physical explanation can be found in Guyonnet et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2015, and references therein, G15 hereafter), together with the relation of the effect with non-trivial flat field statistics.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Electrostatic calculations are shown to reproduce the data in Rasmussen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2016) and in Lage et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2021) for a specific sensor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' On deep-depleted thick CCDs, bright stars thus gener- ally appear bigger by a few percent than faint stars, com- promising the modeling of the image point spread function (PSF) at a level that is not tolerable for large-scale cosmic shear measurements (see e.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content='g.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=', Mandelbaum et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' 2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' The correction method proposed in G15 relies on flat field statistics to constrain the correction applied to science im- ages, which mostly consists of correcting the recorded image for dynamically displaced pixel boundaries.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' The method has been implemented for DECam in Gruen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2015), and for Hyper Suprime-Cam (HSC) on the Subaru tele- scope in Coulton et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2018, C18 hereafter) with some minor differences with respect to G15.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Send offprint requests to: pierre.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content='astier@in2p3.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content='fr The method proposed in G15 relies on first-order per- turbations both in the modeling of flat field correlations and when correcting science images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' In Astier et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2019, A19 hereafter), the relation between pixel area alterations and flat field statistics is extended to higher orders, which removes significant biases from the analysis.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' In the same pa- per, correcting for non-linearity of the video chain is shown to play a potentially important role when constraining the BF effect from flat fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' One other evolution since the G15 proposal is that detailed electrostatic calculations have been shown to reproduce the measured flat-field statistics, when the mandatory manufacturing data is available (see, in particular, Lage et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' 2021).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' However, the CCD ven- dors do not necessarily release this data, or they do not even have it available to the required level of accuracy.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' As we show in this paper, there is also some detectable demo- graphic variability among the CCDs of the HSC camera, which are all of a unique type from a single vendor.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Gruen et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2015) also detected some variability among DECam CCDs.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Thus, constraining the image corrections from mea- surements of the actual sensors is still in order.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' In the present paper, we revisit the BF correction for the HSC camera described in C18 and applied to science images in Mandelbaum et al.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' (2018).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We take advantage of a new flat-field sequence that allows us to re-determine both the non-linearity correction and the two-point correla- tion function of flat fields.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We apply to these images some potentially important corrections (described in A19) and we fit a variance and covariance model that has been im- proved since C18.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We also propose a different approach for transforming the information extracted from flat fields into the correction of science images.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Finally, we test the correc- tion of the images separately over a broad range of image qualities and in the five bands of the camera.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Article number, page 1 of 18 arXiv:2301.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content='03274v1 [astro-ph.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content='IM] 9 Jan 2023 A&A proofs: manuscript no.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' bf-hsc The flow of the paper is as follows.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We first detail in § 2 why it is necessary to correct non-linearities prior to measuring flat field statistics and the non-linearity mea- surement itself.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' In §3, we describe the measurements of flat field statistics and the fit of the measurements, as well as the variability observed among the sensors.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' The informa- tion extracted from flat field statistics is fundamentally in- sufficient to correct the science images, thus, we describe in § 4 the electrostatic model we use to derive the correc- tion from the flat-field results and the outcome of different fits we perform.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Once we obtain models that allow us to correct science images, we apply those to real data, as de- scribed in § 5, and we compare the various outcomes.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We face the evidence that the BF correction is inadequate for the y band and we compute a physically motivated reduced correction for this band, which we eventually apply to the science data.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' In § 6, we compute some PSF modeling quality indicators commonly used in the context of shear estima- tion and conclude that the quality of our correction exceeds the requirements for a large-scale cosmic shear survey such as Rubin/LSST.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' It also fulfills the less stringent require- ments of the PSF fidelity implied by photometry accuracy of high-redshift faint supernovae in order to estimate their distances, which is our initial motivation for this work.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Non-linearity correction 2.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content='1.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Importance of the non-linearity correction Following A19, we assume that the effective area A of a pixel is linearly altered by the charge content of the sensor: δA = A g � i,j aijQij, (1) where aij is a characteristic of the sensor and Qij denotes the charge content of the image, which evolves as light in- tegration goes on.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' The indices i and j refer to distances in pixel units along the serial and parallel directions, re- spectively.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' In the same coordinates, δA applies to the pixel located at (i = 0, j = 0).' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' Conventionally, aij is expressed in el−1, Qij in ADU and g is the gain in el/ADU.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' We note that, equivalently, we may set g = 1 and express Q in elec- trons.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' From parity symmetry, we assume that: aij = a|i||j|, (2) so that we measure the aij on the i, j ⩾ 0 quadrant.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' If we consider a uniform image, with all Qij identical, then δA has to be zero, because of translation symmetry.' metadata={'source': '/home/zjlab/wf/langchain-ChatGLM/knowledge_base/zdE1T4oBgHgl3EQfkgRW/content/2301.03274v1.pdf'} +page_content=' This imposes the following “sum rule”: � −∞