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# Effective Geometry

## I Introduction

In recent years, there has been a lot of interest in models that mimic in the laboratory some features of gravitation analog . These models are built using systems that sometimes look (deceivingly) simple, and are very different in nature: ordinary nonviscous fluids, superfluids, flowing and non-flowing dielectrics, non-linear electromagnetism in vacuum, and Bose-Einstein condensates (see v1  for a complete list of references). The underlying physics in all these cases is the same: the behaviour of the fluctuations around a background solution is governed by an “effective metric”. More precisely, the particles associated to the perturbations do not follow geodesics of the background spacetime but of a Lorentzian geometry described by the effective metric, which depends on the background solution. This allows a rather complete analogy of some kinematical aspects of general relativity visserprl , but not of its dynamical features (see however v1 ; v2 ).

Using this analogy, the geometrical tools of General Relativity can be used to study some condensed matter systems viss . More important perhaps is the fact that the analogy has permitted the simulation of several configurations of the gravitational field, such as wormholes and closed space-like curves for photons in nonlinear electrodynamics biwh ; ctc , and warped spacetimes for phonons mattuwe . Particular attention has been paid to yet another configuration, namely analog black holes, because these would emit Hawking radiation exactly as gravitational black holes do, and they are obviously much easier to generate in the laboratory than their astrophysical counterpart. The fact that analog black holes emit thermal radiation was shown first by Unruh in the case of dumb black holes unruh , and it is the prospect of observing this radiation (thus testing the hypothesis that the thermal emission is independent of the physics at arbitrarily short wavelengths unruh ) that motivates the quest for a realization of analog black holes in the laboratory. Let us emphasize that the actual observation of the radiation is a difficult task from the point of view of the experiment, if only because of the extremely low temperatures involved. In the case of a quasi one-dimensional flow of a Bose-Einstein condensate for instance, the temperature of the radiation would be around 70 nK, which is comparable but lower than the temperature needed form the condensate matto .

We shall begin by presenting in Sect.II the basics of the idea of the effective geometry by giving a sketch of an example given many years ago by W. Gordon gordon . Then we shall move on to the more interesting case of nonlinear electromagnetism, where we introduce the mathematical tool of surface discontinuity. In Sect. III we shall analyze another example: photons in a flowing dielectric medium. We shall see that, in analogy to the most general nonlinear electromagnetic case, the photons experience bi-refringence and bi-metricity. Then we demonstrate in Sect. IV that it is possible to build a static and spherically symmetric analog black hole, generated by a flowing isotropic dielectric that depends on an applied electric field. We give a specific example in Sect.V, in which the radius of the horizon and the temperature depend on three parameters (the zeroth order permittivity, the charge that generates the external field, and the linear susceptibility) instead of depending only on the zeroth order permittivity. As we shall show in Sect.VI, another feature of this black hole is that there is a new term in the surface gravity (and hence in the temperature of Hawking radiation), in addition to the usual term proportional to the acceleration of the fluid. This new term depends exclusively on the dielectric properties of the fluid, and it might give an opportunity to get Hawking radiation with temperature higher than that reported up to date.

## II The effective metric

Historically, the first example of the idea of effective metric was presented by W. Gordon in 1923 gordon . In modern language, the wave equation for the propagation of light in a moving nondispersive medium, with slowly varying refractive index $`n`$ and 4-velocity $`u^\mu `$ is given by

$$\left[_\alpha ^\alpha +(n^21)(u^\alpha _\alpha )^2\right]F_{\mu \nu }=0.$$

Note that in this equation the components of $`F_{\mu \nu }`$ are not coupled. Consequently, the propagation will be the same independently of the polarization. In other words, there is no bi-refringence in moving media with constant refraction index (we shall see later that this is not the case if $`n`$ is a function of the coordinates). Taking the geometrical optics limit, with the eikonal Ansatz, given by $`F_{\mu \nu }=_{\mu \nu }e^{i(\stackrel{}{k}.\stackrel{}{x}\omega t)}`$, the Hamilton-Jacobi equation for light rays can be written as $`g^{\mu \nu }k_\mu k_\nu =0`$ (see lp  for details), where

$$g^{\mu \nu }=\eta ^{\mu \nu }+(n^21)u^\mu u^\nu $$
(1)
is the effective metric for this problem. It must be remarked that only photons in the geometric optics approximation move on geodesics of $`g^{\mu \nu }`$: the particles that compose the fluid couple instead to the background Minkowskian metric (in fact, the dynamics of the fluid is described by Euler’s equation, and hence the background spacetime seen by the fluid particles is Newtonian).

Let us study now in detail the example of nonlinear electromagnetism. We start with the action

$$S=\sqrt{\gamma }L(F)d^4x,$$
(2)
where the invariant $`F`$ is given by $`FF^{\mu \nu }F_{\mu \nu }`$ 111We could have considered $`L=L(F,F^{})`$ instead, where $`F^{}F_{\mu \nu }^{}F^{\mu \nu }`$. This case is studied in novelloplb ., and $`L`$ is an arbitrary function of $`F`$. Notice that $`\gamma `$ is the determinant of the background metric, which we take in the following to be that of flat spacetime. However, the same techniques can be applied when the background is curved (see for instance sns ). Varying this action w.r.t. the potential $`A_\mu `$, related to the field by the expression $`F_{\mu \nu }=A_{\mu ,\nu }A_{\nu ,\mu },`$ we obtain the Euler-Lagrange equations of motion (EOM):

$$(\sqrt{\gamma }L_FF^{\mu \nu })_{;\nu }=0,$$
(3)
where $`L_F`$ is the functional derivative $`L_F\frac{\delta L}{\delta F}.`$ In the particular case of a linear dependence of the Lagrangian with the invariant $`F`$ we recover Maxwell’s EOM.

As mentioned in the Introduction, we would like to study the behaviour of perturbations of these EOM around a fixed background solution. In particular, we shall be interested in the causal structure inherent to the EOM (3). This structure is described by the characteristics of the EOM ch . Instead of using the infinite-momentum limit of the eikonal approximation mattfest , we shall use a more elegant method set out by Hadamard hadamard . In this method, the propagation of low-energy photons is studied by following the evolution of the wave front (i.e. the characteristic surface), through which the electromagnetic field is continuous but its first derivative is not. To be specific, let $`\mathrm{\Sigma }`$ be the surface of discontinuity defined by the equation

$$\mathrm{\Sigma }(x^\mu )=\mathrm{constant}.$$

The discontinuity of a function $`J`$ through $`\mathrm{\Sigma }`$ will be represented by $`[J]_\mathrm{\Sigma }`$, and its definition is

$$[J]_\mathrm{\Sigma }\underset{\delta 0^+}{lim}\left(J|_{\mathrm{\Sigma }+\delta }J|_{\mathrm{\Sigma }\delta }\right).$$

The discontinuities of the field and its first derivative are given by

$$[F_{\mu \nu }]_\mathrm{\Sigma }=0,[F_{\mu \nu ,\lambda }]_\mathrm{\Sigma }=f_{\mu \nu }k_\lambda ,$$
(4)
where the vector $`k_\lambda `$ is nothing but the normal to the surface $`\mathrm{\Sigma }`$, that is, $`k_\lambda =\mathrm{\Sigma }_{,\lambda }.`$

To set the stage for the nonlinear case, let us first discuss the causal properties of Maxwell’s electrodynamics, for which $`L_F=`$const. The EOM then reduces to $`F_{,\nu }^{\mu \nu }=0`$, and taking its discontinuity we get

$$f^{\mu \nu }k_\nu =0.$$
(5)
The other Maxwell equation is given by $`F_{\mu \nu }^{}{}_{}{}^{,\nu }=0`$ or equivalently,

$$F_{\mu \nu ,\lambda }+F_{\nu \lambda ,\mu }+F_{\lambda \mu ,\nu }=0.$$
(6)
The discontinuity of this equation yields

$$f_{\mu \nu }k_\lambda +f_{\nu \lambda }k_\mu +f_{\lambda \mu }k_\nu =0.$$
(7)
Multiplying this equation by $`k^\lambda `$ gives

$$f_{\mu \nu }k^2+f_{\nu \lambda }k^\lambda k_\mu +f_{\lambda \mu }k^\lambda k_\nu =0,$$
(8)
where $`k^2k_\mu k_\nu \gamma ^{\mu \nu }.`$ Using the orthogonality condition from Eqn.(5) it follows that

$$f^{\mu \nu }k^2=0.$$
(9)
Since the tensor associated to the discontinuity cannot vanish (we are assuming that there is a true discontinuity!) we conclude that the surface of discontinuity is null w.r.t. the metric $`\gamma ^{\mu \nu }`$. That is,

$$k_\mu k_\nu \gamma ^{\mu \nu }=0.$$
(10)
(compare with Eqn.(1)). It follows that $`k_{\lambda ,\mu }k^\lambda =0`$, and since the vector of discontinuity is a gradient,

$$k_{\mu ,\lambda }k^\lambda =0.$$
(11)
This shows that the propagation of discontinuities of the electromagnetic field, in the case of Maxwell’s equations (which are linear), is along the null geodesics of the Minkowski background metric.

Let us apply the same technique to the case of a nonlinear Lagrangian for the electromagnetic field, given by $`L(F)`$. Taking the discontinuity of the EOM (3), we get

$$L_Ff^{\mu \nu }k_\nu +2aL_{FF}F^{\mu \nu }k_\nu =0,$$
(12)
where we defined the quantity $`a`$ by $`F^{\alpha \beta }f_{\alpha \beta }a.`$ Note that contrary to the linear case in which the discontinuity tensor $`f_{\mu \nu }`$ is orthogonal to the propagation vector $`k^\mu `$, here there is a complicated relation between the vector $`f^{\mu \nu }k_\nu `$ and quantities dependent on the background field. This is the origin of a more involved expression for the evolution of the discontinuity vector, as we shall see next. Multiplying equation (8) by $`F^{\mu \nu }`$ we obtain

$$ak^2+F^{\mu \nu }f_{\nu \lambda }k^\lambda k_\mu +F^{\mu \nu }f_{\lambda \mu }k^\lambda k_\nu =0.$$
(13)
Now we substitute in this equation the term $`f^{\mu \nu }k_\nu `$ from Eqn.(12), and we arrive at the expression

$$ak^22\frac{L_{FF}}{L_F}a(F^{\mu \lambda }k_\mu k_\lambda F^{\lambda \mu }k_\mu k_\lambda ),$$
(14)
which can be written as $`g^{\mu \nu }k_\mu k_\nu =0`$, where

$$g^{\mu \nu }=\gamma ^{\mu \nu }4\frac{L_{FF}}{L_F}F^{\mu \nu }.$$
(15)
We then conclude that

The low-energy photons of a nonlinear theory of electrodynamics with $`L=L(F)`$ do not propagate on the null cones of the background metric but on the null cones of an effective metric, generated by the self-interaction of the electromagnetic field.

This statement is always true in case of Lagrangians depending only of the invariant $`F`$. For Lagrangians that depend also of $`F^{}`$, there may be some special cases in which the propagation coincides with that in Minkowski novelloplb . Another feature of the more general case $`L=L(F,F^{})`$ is that bi-refringence is present. That is, each of the two polarization states of the photon has its own dispersion relation. In some special cases, there is also bi-metricity (one effective metric for each polarization state). Some more special cases (such as Born-Infeld electrodynamics) even exhibit only a single metric n1 ; mattfest . Several of these features are present in our next example.

## III Effective metric(s) in the presence of a dielectric

Let us now move to another interesting case where the effective geometry is useful to study the causal properties of low-energy photons. We shall analyze the propagation of such photons in a nonlinear medium (see Ref.cqg  for details and notation). Let us define first the antisymmetric tensors $`F_{\mu \nu }`$ and $`P_{\mu \nu }`$, which are convenient to represent the electromagnetic field when material media are present. These tensors can be expressed in terms of the strengths ($`E`$, $`H`$) and the excitations ($`D`$, $`B`$) of the electric and magnetic fields as

$`F_{\mu \nu }`$ $`=`$ $`v_\mu E_\nu v_\nu E_\mu \eta _{\mu \nu }{}_{}{}^{\alpha \beta }v_{\alpha }^{}B_\beta ,`$
$`P_{\mu \nu }`$ $`=`$ $`v_\mu D_\nu v_\nu D_\mu \eta _{\mu \nu }{}_{}{}^{\alpha \beta }v_{\alpha }^{}H_\beta .`$
where $`v_\mu `$ represents the 4-velocity of an arbitrary observer (which we will take later as comoving with the fluid). The Levi-Civita tensor introduced above is defined in such way that $`\eta ^{0123}=+1`$ in Cartesian coordinates. Since the electric and magnetic fields are spacelike vectors, we shall use the notation $`E^\alpha E_\alpha E^2,H^\alpha H_\alpha H^2.`$ We will consider here media with properties determined only by the tensors $`ϵ_{\alpha \beta }`$ and $`\mu _{\alpha \beta }`$ (i.e. media with null magneto-electric tensor), which relate the electromagnetic excitations to the field strengths by the constitutive laws,

$$D_\alpha =ϵ_\alpha {}_{}{}^{\beta }(E,H)E_\beta ,B_\alpha =\mu _\alpha {}_{}{}^{\beta }(E,H)H_\beta .$$
(16)
In order to get the effective metric, we shall use Hadamard’s method hadamard  as in the previous section. By taking the discontinuity of the field equations $`{}_{}{}^{}F_{}^{\mu \nu }{}_{,\nu }{}^{}=0`$ and $`P^{\mu \nu }{}_{,\nu }{}^{}=0`$, and assuming that

$$ϵ^{\mu \beta }=ϵ(E)(\gamma ^{\mu \beta }v^\mu v^\beta ),$$
(17)
and

$$\mu ^{\mu \beta }=\mu _0(\gamma ^{\mu \beta }v^\mu v^\beta ),$$
(18)
with $`\mu _0=`$ const., we get the following equations:

$$ϵ(k.e)\frac{ϵ^{}}{E}(E.e)(k.E)=0,$$
(19)
$$\mu _0(k.h)=0,$$
(20)
$$ϵ(k.v)e^\mu \frac{ϵ^{}}{E}E^\alpha e_\alpha (k.v)E^\mu +\eta ^{\mu \nu \alpha \beta }k_\nu v_\alpha h_\beta =0,$$
(21)
$$\mu _0(k.v)h^\mu \eta ^{\mu \nu \alpha \beta }k_\nu v_\alpha e_\beta =0,$$
(22)
where $`k^\mu `$ is the wave propagation vector, $`ϵ^{}`$ is the derivative of $`ϵ`$ w.r.t. $`E`$, and

$$[E_{\mu ,\lambda }]_\mathrm{\Sigma }=e_\mu k_\lambda ,[H_{\mu ,\lambda }]_\mathrm{\Sigma }=h_\mu k_\lambda .$$

Note in particular that Eqn.(19) shows that the vectors $`k^\mu `$ and $`e^\mu `$ are not always orthogonal, as would be the case if $`ϵ^{}`$ was zero. Substituting Eqn.(22) in (21), we get

$$Z^{\mu \beta }e_\beta =0,$$
(23)
where the matrix $`Z`$ is given by

$$Z^{\mu \beta }=[k^2+(k.v)^2(\mu _0ϵ1)]\gamma ^{\mu \beta }\mu _0\frac{ϵ^{}}{E}(k.v)^2E^\mu E^\beta +(v.k)(v^\mu k^\beta +k^\mu v^\beta )[ϵ\mu _0(k.v)+k^2]v^\mu v^\beta k^\mu k^\beta .$$
(24)
Non-trivial solutions of Eqn.(23) can be found only for cases in which $`det\left|Z^{\mu \beta }\right|=0`$ ( this condition is a generalization of the well-known Fresnel equation Landau ).

Eqn.(23) can be solved by expanding $`e_\nu `$ as a linear combination of the four linearly independent vectors $`v_\nu `$, $`E_\nu `$, $`k_\nu `$ and $`\eta _{\alpha \beta \mu \nu }v^\alpha E^\beta k^\mu `$ 222The particular instance in which the vectors used as a basis in Eqn.(25) are not linearly independent is discussed in cqg .. That is,

$$e_\nu =\alpha E_\nu +\beta \eta _{\alpha \lambda \mu \nu }v^\alpha E^\lambda k^\mu +\gamma k_\nu +\delta v_\nu .$$
(25)
Notice that taking the discontinuity of $`E_{,\lambda }^\mu `$ we can show that $`(e.v)=0`$. This restriction imposes a relation between the coefficients of Eqn.(25):

$$\delta =\gamma (k.v)$$

With the expression given in Eqn.(25), Eqn.(23) reads

$`\alpha [k^2(1\mu _0(ϵE)^{})(k.v)^2]\gamma \left[\mu _0(k.v)^2{\displaystyle \frac{1}{E}}ϵ^{}E^\alpha k_\alpha \right]`$ $`=`$ $`0,`$
$`\alpha E^\mu k_\mu +\gamma (1\mu _0ϵ)(k.v)^2+\delta (k.v)=0,`$
$`\alpha (k.v)E^\mu k_\mu +\gamma (k.v)k^2+\delta [k^2+\mu _0ϵ(k.v)^2]=0,`$
$`\beta [k^2(1\mu _0ϵ)(k.v)^2]=0.`$
The solution of this system results in the following dispersion relations:

$`k_{}^2`$ $`=`$ $`(k.v)^2[1\mu _0(ϵE)^{}]+{\displaystyle \frac{1}{ϵE}}ϵ^{}E^\alpha E^\beta k_\alpha k_\beta ,`$ (26)
$`k_+^2`$ $`=`$ $`[1\mu _0ϵ(E)](k.v)^2.`$ (27)
They correspond to the propagation modes

$`e_\nu ^{}`$ $`=`$ $`\rho ^{}\{\mu _0ϵ(k.v)^2E_\nu +E^\alpha k_\alpha [k_\nu (k.v)v_\nu ]\},`$ (28)
$`e_\nu ^+`$ $`=`$ $`\rho ^+\eta _{\alpha \lambda \mu \nu }v^\alpha E^\lambda k^\mu ,`$ (29)
where $`\rho ^{}`$ and $`\rho ^+`$ are arbitrary constants. The labels “$`+`$” and “$``$” refer to the ordinary and extraordinary rays, respectively. Eqns.(26) and (27) govern the propagation of photons in the medium characterized by $`\mu =\mu _0=`$const., and $`ϵ=ϵ(E)`$. They can be rewritten as $`g_\pm ^{\mu \nu }k_\mu k_\nu =0`$, where we have defined the effective geometries

$`g_{()}^{\mu \nu }`$ $`=`$ $`\gamma ^{\mu \nu }\left[1\mu _0(ϵE)^{}\right]v^\mu v^\nu {\displaystyle \frac{1}{ϵE}}ϵ^{}E^\mu E^\nu ,`$ (30)
$`g_{(+)}^{\mu \nu }`$ $`=`$ $`\gamma ^{\mu \nu }[1\mu _0ϵ]v^\mu v^\nu .`$ (31)
The metric given by Eqn.(30) was derived first in ns1 , while the second metric very much resembles the metric obtained by Gordon gordon  (see Eqn.(1). The difference is that in the case under consideration, $`ϵ`$ is a function of the modulus of the external electric field, while Gordon worked with a constant permeability.

We see then that in this example each polarization state has its own dispersion relation (Eqns.(26) and (27)), so there is bi-refringence. There is also bi-metricity, because each type of photon moves according a different metric (see Eqns.(30) and (31)).

## IV The Analog Black Hole

We shall show in this section that the system described by the effective metrics given by Eqns.(30)-(31) can be used to produce an analog black hole. It will be convenient to rewrite at this point the inverse of the effective metric given by Eqn.(30) using a different notation:

$$g_{\mu \nu }^{()}=\gamma _{\mu \nu }\frac{v_\mu v_\nu }{c^2}(1f)+\frac{\xi }{1+\xi }l_\mu l_\nu ,$$
(32)
where we have defined the quantities

$$f\frac{1}{c^2\mu _0ϵ(1+\xi )},\xi \frac{ϵ^{}E}{ϵ},l_\mu \frac{E_\mu }{E}.$$

Note that $`ϵ=ϵ(E)`$. We have introduced here the velocity of light $`c`$, which was set to 1 before. Taking a Minkowskian background in spherical coordinates, and

$$v_\mu =(v_0,v_1,0,0),E_\mu =(E_0,E_1,0,0),$$
(33)
we get for the effective metric described by Eqn.(32),

$$g_{00}^{()}=1\frac{v_0^2}{c^2}(1f)+\frac{\xi }{1+\xi }l_0^2,$$
(34)
$$g_{11}^{()}=1\frac{v_1^2}{c^2}(1f)+\frac{\xi }{1+\xi }l_1^2,$$
(35)
$$g_{01}^{()}=\frac{v_0v_1}{c^2}(1f)+\frac{\xi }{1+\xi }l_0l_1,$$
(36)
and $`g_{22}^{()}`$ and $`g_{33}^{()}`$ as in Minkowski spacetime. The vectors $`v_\mu `$ and $`l_\mu `$ satisfy the constraints

$$v_0^2v_1^2=c^2,$$
(37)
$$l_0^2l_1^2=1,$$
(38)
$$v_0l_0v_1l_1=0.$$
(39)
This system of equations can be solved in terms of $`v_1`$, and the result is

$$v_0^2=c^2+v_1^2,$$
(40)
$$l_0^2=\frac{v_1^2}{c^2},l_1^2=\frac{c^2+v_1^2}{c^2}.$$
(41)
Now we can rewrite the metric in terms of $`\beta v_1/c`$, a definition which coincides with the usual one for small values of $`v_1`$. The explicit expression of the metric coefficients is:

$$g_{00}^{()}=\frac{1\beta ^2(c^2\mu _0ϵ1)}{c^2\mu _0(ϵ+ϵ^{}E)},$$
(42)
$$g_{01}^{()}=\beta \sqrt{1+\beta ^2}\frac{1c^2\mu _0ϵ}{c^2\mu _0(ϵ+ϵ^{}E)},$$
(43)
$$g_{11}^{()}=\frac{\beta ^2c^2\mu _0ϵ(1+\beta ^2)}{c^2\mu _0(ϵ+ϵ^{}E)}.$$
(44)
From Eqn.(42) it is easily seen that, depending on the function $`ϵ(E)`$, this metric has a horizon at $`r=r_h`$, given by the condition $`g_{00}(r_h)=0`$ or equivalently,

$$\left(c^2\mu _0ϵ\frac{1}{\beta ^2}\right)|_{r_h}=1.$$
(45)
The metric given above resembles the form of Schwarzschild’s solution in Painlevé-Gullstrand coordinates pain ; gull :

$$ds^2=\left(1\frac{2GM}{r}\right)dt^2\pm 2\sqrt{\frac{2GM}{r}}drdtdr^2r^2d\mathrm{\Omega }^2.$$
(46)
With the coordinate transformation

$$dt_P=dt_S\frac{\sqrt{2GM/r}}{1\frac{2GM}{r}}dr,$$
(47)
the line element given in Eqn.(46) can be written in Schwarzschild’s coordinates. The “$`+`$” sign covers the future horizon and the black hole singularity.

The effective metric given by Eqns.(42)-(44) looks like the metric in Eqn.(46) 333Note that a conformal factor to make $`g_{11}=1`$ in Eq.(44) is needed. Consequently, the two metrics are actually conformally equivalent.. In fact, it can be written in Schwarzschild’s coordinates, with the coordinate change

$$dt_{PG}=dt_S\frac{g_{01}(r)}{g_{00}(r)}dr.$$
(48)
Using this transformation with the metric coefficients given in Eqns.(42) and (43), we get the expression of $`g_{11}^{()}`$ in Schwarzschild coordinates:

$$g_{11}^{()}=\frac{ϵ(E)}{(1\beta ^2[c^2\mu _0ϵ(E)1])(ϵ(E)+ϵ(E)^{}E)}.$$
(49)
Note that $`g_{01}^{()}`$ is zero in the new coordinate system, while $`g_{00}^{()}`$ is still given by Eqn.(42). Consequently, the position of the horizon does not change, and is still given by Eqn.(45).

Working in Painlevé-Gullstrand coordinates, we have shown that the metric for the “$``$” polarization describes a Schwarzschild black hole if Eqn.(45) has a solution. Afterwards we have rewritten the “$``$” metric in more familiar coordinates. By means of similar calculations, it can be shown that photons with the other polarization “see” the metric (in Schwarzschild coordinates) given by

$$g_{00}^{(+)}=\frac{1+\beta ^2(1c^2\mu _0ϵ(E))}{c^2\mu _0ϵ(E)},$$
(50)
$$g_{11}^{(+)}=\frac{1}{1+\beta ^2(1c^2\mu _0ϵ(E))}.$$
(51)
It is important to stress then that the horizon is located at $`r_h`$ given by Eqn.(45) for photons with any polarization. Moreover, the motion of the photons in both geometries will be qualitatively the same, as we shall show below.

## V An example

We have not specified up to now the functions $`ϵ(E)`$ and $`E(r)`$ that determine the dependence of the coefficients of the effective metrics with the coordinate $`r`$. From now on we assume a linear $`ϵ(E)`$, a type of behaviour which is exhibited for instance by electrorheological fluids erf . Specifically, we take

$$ϵ(E)=ϵ_0(\overline{\chi }+\chi ^{(2)}E(r)),$$
(52)
with $`\overline{\chi }=1+\chi ^{(1)}`$. The nontrivial Maxwell’s equation then reads

$$\left(\sqrt{\gamma }ϵ(r)F^{01}\right)_{,1}=0.$$
(53)
Taking into account that $`(F^{01})^2=\frac{E^2}{c^2},`$ we get

$$F^{01}=\frac{\overline{\chi }\pm \sqrt{\overline{\chi }^2+4\chi ^{(2)}Q/ϵ_0r^2}}{2c\chi ^{(2)}}.$$
(54)
as a solution of Eqn.(53) for a point source in a flat background in spherical coordinates. Let us consider a particular combination of parameters: $`\chi ^{(2)}>0`$, $`Q>0`$ and the “$`+`$” sign in front of the square root in $`F^{01}`$, in such a way that $`E>0`$ for all $`r`$. To get more manageable expressions for the metric, it is convenient to define the function $`\sigma (r)`$:

$$E(r)\frac{\overline{\chi }}{2\chi ^{(2)}}\sigma (r)$$
(55)
where

$$\sigma (r)=1+\frac{1}{r}\sqrt{r^2+q}$$
(56)
and

$$q=\frac{4\chi ^{(2)}Q}{ϵ_0\overline{\chi }^2}.$$
(57)
In terms of $`\sigma `$, the metrics take the form

$$ds_{()}^2=\frac{2\beta ^2[\overline{\chi }(\sigma (r)+2)2]}{2\overline{\chi }(1+\sigma (r))}d\tau ^2\frac{2+\sigma (r)}{[2\beta ^2(\overline{\chi }(\sigma (r)+2)2)](1+\sigma (r))}dr^2r^2d\mathrm{\Omega }^2,$$
(58)
$$ds_{(+)}^2=\frac{2\beta ^2[\overline{\chi }(\sigma (r)+2)2]}{\overline{\chi }(2+\sigma (r))}d\tau ^2\frac{2}{2+\beta ^2[2\overline{\chi }(\sigma (r)+2)]}dr^2r^2d\mathrm{\Omega }^2.$$
(59)
Notice that the $`(t,r)`$ sectors of these metrics are related by the following expression:

$$ds_{(+)}^2=\mathrm{\Phi }(r)ds_{()}^2$$
(60)
where the conformal factor $`\mathrm{\Phi }`$ is given by:

$$\mathrm{\Phi }=2\frac{1+\sigma (r)}{2+\sigma (r)}$$

We shall study next some features of the effective black hole metrics. It is important to remark that up to this point, the velocity of the fluid $`v_1`$ is completely arbitrary; it can even be a function of the coordinate $`r`$. We shall assume in the following that $`v_1`$ is a constant. This assumption, which will be lifted in Sect.VI, may seem rather restrictive but it helps to display the main features of the effective metrics in an easy way.

To study the motion of the photons in these geometries, we can use the technique of the effective potential. Standard manipulations (see for instance wald ) show that in the case of a static and spherically symmetric metric, the effective potential is given by

$$V(r)=\epsilon ^2\left(1+\frac{1}{g_{00}(r)g_{11}(r)}\right)\frac{L^2}{r^2g_{11}(r)}$$
(61)
where $`\epsilon `$ is the energy and $`L`$ the angular momentum of the photon.

In terms of $`\sigma (r)`$, and of the impact parameter $`b^2=L^2/\epsilon ^2`$, the ”small” effective potential $`v(r)V(r)/\epsilon ^2`$ for the metric Eqn.(58) in Schwarzschild coordinates can be written as follows:

$$v^{()}(r)=1\frac{2(1+\sigma (r))^2}{2+\sigma (r)}\frac{b^2}{r^2}\frac{(2\beta ^2\sigma (r))(1+\sigma (r))}{2+\sigma (r)}$$
(62)
A short calculation shows that $`v^{()}`$ is a monotonically decreasing function of $`\beta `$. Consequently, we shall choose a convenient value of it, for the sake of illustrating the features of the effective potential. Figures (1) and (2) show the plots of the potential for the $`()`$ metric for several values of the relevant parameters.

The effective potential for the Gordon-like metric can be obtained in the same way. From Eqns.(61) and (59) we get

$$v^{(+)}(r)=1\frac{2+\sigma (r)}{2}+\frac{b^2}{2r^2}[2\beta ^2\sigma (r)].$$
(63)
The plots in Figures (3) and (4) show the dependence of $`v^{(+)}(r)`$ on the different parameters.

We see from these plots that, in the case of a constant flux velocity, the shape of the effective potential for both metrics qualitatively agrees with that for photons moving on the geometry of a Schwarzschild black hole (see for instance Ref.wald , pag. 143).

## VI Surface gravity and temperature

Let us now go back to the more general case of $`\beta =\beta (r)`$, and calculate the “surface gravity” of our analog black hole. We present first the results for the constant permittivity case. By setting $`ϵ^{}(E)0`$ in the metrics Eqns.(30) and (31), we regain the example of constant index of refraction studied for instance in dbh . It is easy to show from Eqn.(45) that the horizon of the black hole in this case is given by

$$\beta ^2(r_h)=\frac{1}{\overline{\chi }1}.$$
(64)
The “surface gravity” of a spherically symmetric analog black hole in Schwarszchild coordinates is given by viss

$$\kappa =\frac{c^2}{2}\underset{rr_h}{lim}\frac{g_{00,r}}{\sqrt{|g_{11}|g_{00}}}.$$
(65)
For the metrics Eqns.(30) and (31) with $`ϵ=ϵ_0\overline{\chi }`$ and $`r_h`$ given by Eqn.(64), the analog surface gravity is

$$\kappa =\frac{c^2}{2}\frac{1\overline{\chi }}{\sqrt{\overline{\chi }}}(\beta ^2)^{}|_{r_h}.$$
(66)
This equation can be rewritten in terms of the velocity of light in the medium and the refraction index, respectively given by

$$c_m^2=\frac{1}{\mu _0ϵ},n=\frac{c}{c_m}.$$
(67)
The result is

$$\kappa =\frac{c^2}{2}\frac{1n^2}{n}(\beta ^2)_{,r}$$
(68)
In this expression we can see the influence of the dielectric properties of the fluid (through the index of refraction of the medium) and also of its dynamics through the physical acceleration in the radial direction, given by

$$a_r|_{r_h}=\frac{c^2}{2}(\beta ^2)^{}|_{r_h},$$

for $`\beta ^2(r_h)1`$. This acceleration is a quantity that must be determined solving the equations of motion of the fluid. (Notice that if $`\beta `$ is set equal to 0 in Eqns.(42)-(44), we cease to have a black hole (this situation was analyzed in n1 )).

Going back the the more general case of a linear permittivity, described by the metrics given by Eqns.(58) and (59), and considering that $`\beta (r_h)1`$, the radius of the horizon is 444Notice that we cannot take the limit $`q0`$ in this expression or in any expression in which this one has been used.:

$$r_h^2=\frac{q\overline{\chi }^2}{4}\beta ^4(r_h).$$
(69)
Using the expressions given above, the result for the surface gravity of the “$``$” black hole for $`\beta (r_h)1`$ is

$$\kappa ^{()}=\frac{c^2}{\beta }\left(\frac{1}{\overline{\chi }\sqrt{q}}\frac{1}{2}(\beta ^2)^{}\right)|_{r_h}.$$
(70)
This equation differs from the surface gravity of the case of constant permittivity (Eqn.(66)) by the presence of a new term that does not depend on the acceleration of the fluid. To see where this new term comes from, we can go back to the definition of the surface gravity given in Eqn.(65), and use the fact that in the high frequency limit the velocity of light and the index of refraction in a medium of variable $`ϵ`$ are still given by Eqn.(67), replacing the constant permittivity by $`ϵ=ϵ(E)`$. The result is

$$\kappa =\left(\frac{c^2}{2}\frac{1n^2(E)}{n(E)}(\beta ^2)_{,r}+\frac{n(E)ϵ(E)}{ϵ(E)+ϵ(E)^{}E}(c_m^2)_{,r}\right)|_{r_h}$$
(71)
In this expression, the first term is the generalization of the case $`ϵ=`$ const. (compare with Eqn.(68)), which mixes the acceleration of the fluid with its dielectric properties. On the other hand, the second term, which is the new term displayed in Eqn.(70), is related to the radial variation of the velocity of light in the medium. It is important to point out that the result exhibited in Eqn.(71) is parallel to that of dumb holes: Unruh found in that case unruh  that the surface gravity for constant speed of sound is proportional to the acceleration of the fluid (as in the first term of Eqn.(71)). This was generalized by Visser viss , who showed that for a position-dependent velocity of sound a second term appears, coming from the gradients of the speed of sound, in analogy with the second term of Eqn.(71).

It is easy to show that the these results also apply to the black hole described by the Gordon-like metric. This is not surprising though, because of the conformal relation between the two metrics, given by Eqn.(60) jac .

Let us remark once more that the concept of temperature, and indeed that of effective geometry is valid in this context only for low-energy photons, i.e. photons with wavelengths long compared to the intermolecular spacing in the fluid. For shorter wavelengths, there would be corrections to the propagation dictated by the effective metric. However, results for other systems (such as dumb black holes unruh  and Bose-Einstein condensates) suggest that the phenomenon of Hawking radiation is robust (i.e. independent of this ”high-energy” physics). Consequently, it makes sense to talk about the temperature of the radiation in these systems.

At first sight it may seem that by choosing an appropriate material and a convenient value of the charge we could obtain a high value of the temperature of the radiation, given by

$$T\frac{\mathrm{}}{2\pi k_Bc}\kappa 4\times 10^{21}\kappa \mathrm{Ks}^2/\mathrm{m}.$$
(72)
However, the equation for the surface gravity can be rewritten as 555Note that this equation depends on $`\chi ^{(2)}`$ through the expression for $`r_h`$, Eqn.(69).

$$\kappa =c^2\left(\frac{\beta }{2r}\beta _{,r}\right)|_{r_h}.$$

We see then that, because $`\beta (r_h)1`$, the new term appearing in $`\kappa `$ is bound to be very small. In spite of this result, the emergence in the surface gravity of the term due to the variable velocity of light suggests that it may be worth to study if some media with nonlinear dependence on an external electromagnetic field can be used to generate analog black holes whose Hawking radiation could be measured in laboratory.

## Acknowledgements

The authors would like to thank CNPq and FAPERj for financial support.


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# Existence of Chaos in Evolution Equations

## 1 Introduction

In recent years, the existence of chaos in partial differential equations has been established , , . These studies set up a scheme for attacking problems on Chaos in PDEs. The type of chaos studied in these works is the so-called homoclinic chaos generated in a neighborhood of a homoclinic orbit. Two types of homoclinic orbits have been studied. One type is the so-called transversal homoclinic orbit . The other type is the so-called Silnikov homoclinic orbit, which is non-transversal , , . For lower dimensional and general finite dimensional systems, Silnikov studied the symbolic dynamics structures in the neighborhoods of such homoclinic orbits , , , . In  and , we have developed a different construction of Smale horseshoes in the neighborhood of a Silnikov homoclinic orbit. The advantages of our constructions have been fully addressed in , . In this note, we generalize the construction in  to more general evolution equations with finitely many linearly unstable modes. For evolution equations with infinitely many linearly unstable modes, the problem is still open.

## 2 The Set-Up

Consider the evolution equation

(1)
$$_tu=u+𝒩(u),$$

where $``$ is a linear operator which is constant in time, and $`𝒩`$ is the nonlinear term.

Following are the assumptions for the setup:

$`u=0`$ is a saddle, the linear operator $``$ has only point spectrum as follows,

$$\sigma ()=\left\{\alpha \pm i\beta ,\gamma ,\lambda _j^\pm ,jS^\pm Z^+\right\},$$

where $`\alpha >0`$, $`\beta >0`$, $`\gamma >0`$, $`\text{Re}\{\lambda _j^\pm \}0`$; the number of elements in $`S^+`$ is finite, denoted by $`N`$, $`\alpha <\gamma `$, and

$$\alpha <\lambda ^{}=\underset{jS^{}}{inf}\{\text{Re}\{\lambda _j^{}\}\},\gamma <\lambda ^+=\underset{jS^+}{inf}\{\text{Re}\{\lambda _j^+\}\}.$$

The evolution equation (1) is globally well posed in a Hilbert space $``$, that is, there exists a unique solution to the Cauchy problem of (1), $`u(t,u_0)C^0[(\mathrm{},\mathrm{}),]`$, $`u(0,u_0)=u_0`$. Moreover, we assume the regularity condition on initial data that for any $`t(\mathrm{},\mathrm{})`$, the evolution operator $`F(u_0)^t=u(t,u_0)`$ is $`C^n`$ in $`u_0`$ for some $`n\mathrm{\hspace{0.17em}2}`$.

With respect to the saddle $`u=0`$, the evolution operator $`F^t(u)`$ admits a $`C^2`$ smooth linearization, i.e. there exists a $`C^2`$ diffeomorphism $`:`$, such that in terms of the new variable $`\stackrel{~}{u}=u`$, the evolution equation (1) is transformed into the linear form

$$_t\stackrel{~}{u}=\stackrel{~}{u}$$

in a neighborhood of $`u=0`$. The conjugated evolution operator

$$\stackrel{~}{F}^t=F^t^1$$

is still $`C^0`$ in time $`t`$ and $`C^2`$ in $`\stackrel{~}{u}`$. In fact, we assume that the evolution equation (1) takes the normal form:

$$\{\begin{array}{cc}\dot{x}=\alpha x\beta y+G_x(x,y,z,v^\pm ),\hfill & \\ \dot{y}=\beta x\alpha y+G_y(x,y,z,v^\pm ),\hfill & \\ \dot{z}=\gamma z+G_z(x,y,z,v^\pm ),\hfill & \\ _tv^\pm =L^\pm v^\pm +G_{v^\pm }(x,y,z,v^\pm ),\hfill & \end{array}$$

where $`G=0`$ in a neighborhood $`\mathrm{\Omega }`$ of $`0`$, $`v^+=(v_1^+,\mathrm{},v_N^+)^{}`$, $`N`$ is the number of elements in $`S^+`$; $`x`$, $`y`$, $`z`$, and $`v_j^+^{}`$s are real variables, and

$$e^{L^+t}c^+e^{\lambda ^+t},\text{as }t\mathrm{},e^{L^{}t}c^{}e^{\lambda ^{}t},\text{as }t+\mathrm{}.$$

For references on such linearization results, see for example  etc.

There exists a Silnikov homoclinic orbit $`h(t)`$ asymptotic to $`0`$. As $`t+\mathrm{}`$, $`h`$ is tangent to the $`(x,y)`$-plane at $`0`$, and as $`t\mathrm{}`$, $`h`$ is tangent to the $`z`$-axis (without loss of generality, positive $`z`$-axis) at $`0`$. The stable and unstable manifolds of $`0`$ are $`C^2`$ smooth, and

$$dim\left\{𝒯_vW^u𝒯_vW^s\right\}=1,$$

where $`vh(t)`$, $`𝒯_vW^u`$ is the tangent space of the unstable manifold of $`0`$ at the point $`v`$ on the homoclinic orbit $`h(t)`$, similarly for $`𝒯_vW^s`$.

###### Remark.

Proving the existence of Silnikov homoclinic orbits in partial differential equations is a rather nontrivial question. So far, this has been done for perturbed nonlinear Schrödinger equation  , perturbed vector nonlinear Schrödinger equation , and perturbed discrete nonlinear Schrödinger equation . The above and later assumptions have been either verified or discussed for these equations in   . The perturbed Davey-Stewartson II equation has been studied along this direction  . Unfortunately, existence of Silnikov homoclinic orbits has not been proved due to some technical difficulty . I would like to comment on equations that have the potential of being casted into the above setup: 1. perturbations of the modified KdV equation

$$u_t+6u^2u_x+u_{xxx}=0,$$

2. perturbations of the derivative nonlinear Schrödinger equation

$$iu_t=u_{xx}+i\alpha (|u|^2u)_x+2|u|^2u,\alpha >0,$$

and 3. perturbations of the derivative nonlinear Schrödinger equation

$$iu_t=u_{xx}i\alpha u^2\overline{u}_x+2|u|^2u+2\alpha ^2|u|^4u.$$

All of the above three equations are integrable systems.

## 3 The Construction of Smale Horseshoes

### 3.1 Definitions

The Poincaré section $`_0`$ is defined by the constraints:

$`y=0,\eta \mathrm{exp}\{2\pi \alpha /\beta \}<x<\eta ,`$
$`0<z<\eta ,v^\pm <\eta ;`$
where $`\eta `$ is a sufficiently small constant so that $`_0`$ is included in the neighborhood $`\mathrm{\Omega }`$ of $`0`$ where the dynamics is given by the linear system.

The auxiliary section $`_0^+`$ is defined by the constraints:

$`y=0,\eta \mathrm{exp}\{2\pi \alpha /\beta \}<x<\eta ,`$
$`\eta <z<\eta ,v^\pm <\eta .`$
The homoclinic orbit $`h`$ intersects the $`(z=0)`$-boundary of $`_0`$ at $`w^{(+)}`$ with coordinates denoted by

$$x=x_{},y=0,z=0,v^+=0,v^{}=v_{}^{}.$$

There exists $`T>0`$ such that the point $`w^{()}=F^T(w^{(+)})`$ on $`h`$ (where $`F^t`$ is the evolution operator) has the $`z`$ coordinate equal to $`\eta `$. Denote the coordinates of $`w^{()}`$ by

$$x=y=v^{}=0,z=\eta ,v^+=v_{}^+.$$

The Poincaré section $`_1`$ is defined as:

$$_1=\left(F^T_0^+\right)\mathrm{\Omega }.$$

The map $`P_0^1`$ from $`_0`$ to $`_1`$ is defined as:

$$\begin{array}{cc}\hfill P_0^1:& U_0_0_1,\hfill \\ & wU_0,P_0^1(w)=F^t_{}(w)_1,\hfill \end{array}$$

where $`t_{}=t_{}(w)>0`$ is the smallest time $`t`$ such that $`F^t(w)_1`$.

The map from $`_1`$ to $`\overline{}_0`$ ($`=_0_0`$) is defined as:

$$\begin{array}{cc}\hfill P_1^0:& U_1_1\overline{}_0,\hfill \\ & w_1,P_1^0(w)=F^T(w)\overline{}_0.\hfill \end{array}$$

The Poincaré map $`P`$ from $`_0`$ to itself is defined as:

$$\begin{array}{cc}\hfill P:& U_0_0,\hfill \\ & P=P_1^0P_0^1.\hfill \end{array}$$

### 3.2 Fixed Points of the Poincaré Map $`P`$

On the Poincaré section $`_0`$, we center the origin of the coordinate frame at $`w^{(+)}`$, and denote the new coordinates by $`(x^{(0)}`$, $`z^{(0)}`$, $`v^{(\pm ,0)})`$. On the Poincaré section $`_1`$, we center the origin of the coordinate frame at $`w^{()}`$, and denote the new coordinates by $`(x^{(1)},y^{(1)},z^{(1)},v^{(\pm ,1)})`$, which satisfy the constraint equation

(2)
$$f^{(y)}(x^{(1)},y^{(1)},z^{(1)}+\eta ,v^{(+,1)}+v_{}^+,v^{(,1)})=0$$

where for any $`w`$,

$$F^T(w)=(f^{(x)}(w),f^{(y)}(w),f^{(z)}(w),f^{(v^+)}(w),f^{(v^{})}(w)).$$

Denote the vector $`v^+`$ in component form, $`v^+=(v_1^+,v_2^+,\mathrm{},v_N^+)^{}`$. Then we have the lemma,

###### Lemma 1.

$`\frac{f^{(y)}}{z}(w^{()})`$ and $`\frac{f^{(y)}}{v_j^+}(w^{()})`$ ($`j=1,\mathrm{},N`$) cannot be zero simultaneously.

###### Proof.

Assume that they are zero simultaneously, then

$$\tau f^{(y)}(w^{()})=0,$$

where $`\tau `$ is the tangent vector of $`h`$ at $`w^{()}`$ and “$``$” denotes gradient. Then this implies that $`h`$ is tangent to $`_0`$ at $`w^{(+)}`$. This contradiction proves the lemma. ∎

Let $`\xi `$ be one of the coordinates $`\{z,v_j^+(j=1,\mathrm{},N)\}`$, such that $`\frac{f^{(y)}}{\xi }(w^{()})0`$, and denote by $`v_+^{(1)}`$ the vector $`(z^{(1)},v_j^{(+,1)}`$ ($`j=1,\mathrm{},N))^{}\{\xi \}`$, i.e. with components consisting of $`\{z^{(1)},v_j^{(+,1)}`$ ($`j=1,\mathrm{},N)\}`$ without $`\xi `$.

###### Lemma 2.

In a neighborhood of $`w^{()}`$, the Poincaré section $`_1`$ can be represented as a $`C^2`$ function

$$\xi =\xi (x^{(1)},y^{(1)},v^{(,1)},v_+^{(1)}).$$

###### Proof.

Applying the implicit function theorem to (2). ∎

The map $`P_0^1`$ has the representation

$$\{\begin{array}{cc}x^{(1)}=e^{\alpha t_{}}(x^{(0)}+x_{})\mathrm{cos}\beta t_{},\hfill & \\ y^{(1)}=e^{\alpha t_{}}(x^{(0)}+x_{})\mathrm{sin}\beta t_{},\hfill & \\ z^{(1)}+\eta =z^{(0)}e^{\gamma t_{}},\hfill & \\ v^{(+,1)}+v_{}^+=e^{L^+t_{}}v^{(+,0)},\hfill & \\ v^{(,1)}=e^{L^{^{}}t_{}}(v^{(,0)}+v_{}^{}).\hfill & \end{array}$$

The map $`P_1^0`$ can be approximated by its linearization at $`w^{()}`$,

$$\left(\begin{array}{c}x^{(0)}\\ z^{(0)}\\ v^{(+,0)}\\ v^{(,0)}\end{array}\right)=A\left(\begin{array}{c}x^{(1)}\\ y^{(1)}\\ z^{(1)}\\ v^{(+,1)}\\ v^{(,1)}\end{array}\right),$$

where

$$A=\left(\begin{array}{ccccc}\frac{f^{(x)}}{x}\hfill & \frac{f^{(x)}}{y}& \frac{f^{(x)}}{z}& \frac{f^{(x)}}{v^+}& \hfill \frac{f^{(x)}}{v^{}}\\ & & & & \\ \frac{f^{(z)}}{x}\hfill & \frac{f^{(z)}}{y}& \frac{f^{(z)}}{z}& \frac{f^{(z)}}{v^+}& \hfill \frac{f^{(z)}}{v^{}}\\ & & & & \\ \frac{f^{(v^+)}}{x}\hfill & \frac{f^{(v^+)}}{y}& \frac{f^{(v^+)}}{z}& \frac{f^{(v^+)}}{v^+}& \hfill \frac{f^{(v^+)}}{v^{}}\\ & & & & \\ \frac{f^{(v^{})}}{x}\hfill & \frac{f^{(v^{})}}{y}& \frac{f^{(v^{})}}{z}& \frac{f^{(v^{})}}{v^+}& \hfill \frac{f^{(v^{})}}{v^{}}\end{array}\right)_{(w^{()})}.$$

The constraint equation (2) can be approximated by its linearization at $`w^{()}`$,

$$B\left(\begin{array}{c}x^{(1)}\\ y^{(1)}\\ z^{(1)}\\ v^{(+,1)}\\ v^{(,1)}\end{array}\right)=0,$$

where

$$B=\left(\frac{f^{(y)}}{x}\frac{f^{(y)}}{y}\frac{f^{(y)}}{z}\frac{f^{(y)}}{v^+}\frac{f^{(y)}}{v^{}}\right)_{(w^{()})}.$$

With the above preparations, we can write the equations of the fixed points of $`P`$ as follows in terms of the Silnikov coordinates $`\{t_{},x^{(0)},v^{(,0)},z^{(1)},v^{(+,1)}\}`$

(3)
$$\left(\begin{array}{c}x^{(0)}\\ (z^{(1)}+\eta )e^{\gamma t_{}}\\ e^{L^+t_{}}(v^{(+,1)}+v_{}^+)\\ v^{(,0)}\end{array}\right)=A\left(\begin{array}{c}e^{\alpha t_{}}(x^{(0)}+x_{})\mathrm{cos}\beta t_{}\\ e^{\alpha t_{}}(x^{(0)}+x_{})\mathrm{sin}\beta t_{}\\ z^{(1)}\\ v^{(+,1)}\\ e^{L^{^{}}t_{}}(v^{(,0)}+v_{}^{})\end{array}\right)+,$$

where $`=𝒪(e^{\nu t_{}})`$ as $`t_{}+\mathrm{}`$ for some $`\nu >0`$. By rescaling the coordinates as follows,

$$\left\{t_{},\widehat{x}^{(0)}=x^{(0)}e^{\alpha t_{}},\widehat{v}^{(,0)}=v^{(,0)}e^{\alpha t_{}},\widehat{z}^{(1)}=z^{(1)}e^{\alpha t_{}},\widehat{v}^{(+,1)}=v^{(+,1)}e^{\alpha t_{}}\right\},$$

we can rewrite equation (3) in the form

(4)
$$\left(\begin{array}{c}\widehat{x}^{(0)}\\ 0\\ 0\\ \widehat{v}^{(,0)}\end{array}\right)=A\left(\begin{array}{c}x_{}\mathrm{cos}\beta t_{}\\ x_{}\mathrm{sin}\beta t_{}\\ \widehat{z}^{(1)}\\ \widehat{v}^{(+,1)}\\ 0\end{array}\right)+_1,$$

where $`_1=𝒪(e^{\nu _1t_{})}`$ as $`t_{}+\mathrm{}`$ for some $`\nu _1>0`$, and the constraint equation (2) takes the form

(5)
$$B\left(\begin{array}{c}x_{}\mathrm{cos}\beta t_{}\\ x_{}\mathrm{sin}\beta t_{}\\ \widehat{z}^{(1)}\\ \widehat{v}^{(+,1)}\\ 0\end{array}\right)+_2=0,$$

where $`_2=𝒪(e^{\nu _2t_{})}`$ as $`t_{}+\mathrm{}`$ for some $`\nu _2>0`$. Solving the leading order term of (4) for $`(\widehat{z}{}_{}{}^{(1)},\widehat{v}{}_{}{}^{(+,1)})`$, we have

(6)
$$C\left(\begin{array}{c}\widehat{z}^{(1)}\\ \widehat{v}^{(+,1)}\end{array}\right)=D\left(\begin{array}{c}x_{}\mathrm{cos}\beta t_{}\\ x_{}\mathrm{sin}\beta t_{}\end{array}\right),^{}$$

where

$$C=\left(\begin{array}{cc}\frac{f^{(z)}}{z}& \frac{f^{(z)}}{v^+}\\ \frac{f^{(v^+)}}{z}& \frac{f^{(v^+)}}{v^+}\end{array}\right)_{(w^{()})},D=\left(\begin{array}{cc}\frac{f^{(z)}}{x}& \frac{f^{(z)}}{y}\\ \frac{f^{(v^+)}}{x}& \frac{f^{(v^+)}}{y}\end{array}\right)_{(w^{()})}.$$

###### Lemma 3.

The matrix $`C`$ is invertible.

###### Proof.

Assume that $`C`$ is non-invertible; then there exists a nonzero vector $`\left(\begin{array}{c}\widehat{z}^{\left(1\right)}\\ \widehat{v}^{(+,1)}\end{array}\right)`$, such that

$$C\left(\begin{array}{c}\widehat{z}^{(1)}\\ \widehat{v}^{(+,1)}\end{array}\right)=0;$$

thus

$$w=A\left(\begin{array}{c}0\\ 0\\ \widehat{z}^{(1)}\\ \widehat{v}^{(+,1)}\\ 0\end{array}\right)𝒯_{w^{(+)}}W^s𝒯_{w^{(+)}}W^u$$

where $`𝒯_{w^{(+)}}W^s`$ is the tangent space of $`W^s`$ at $`w^{(+)}`$, similarly for $`𝒯_{w^{(+)}}W^u`$. Since $`A`$ is invertible, $`w0`$. We also know that

$$𝒯_{w^{(+)}}h𝒯_{w^{(+)}}W^s𝒯_{w^{(+)}}W^u.$$

Since $`𝒯_{w^{(+)}}h`$ is transversal to $`_0`$ and $`w`$ lies in $`_0`$, we have

$$dim\left\{𝒯_{w^{(+)}}W^u𝒯_{w^{(+)}}W^s\right\}=2,$$

which contradicts with Assumption (A4). This completes the proof. ∎

Solving (6), we have

(7)
$$\left(\begin{array}{c}\widehat{z}^{(1)}\\ \widehat{v}^{(+,1)}\end{array}\right)=C^1D\left(\begin{array}{c}x_{}\mathrm{cos}\beta t_{}\\ x_{}\mathrm{sin}\beta t_{}\end{array}\right).$$

Then solving the constraint equation (5), to the leading order, we have

$$B\left(\begin{array}{c}x_{}\mathrm{cos}\beta t_{}\\ x_{}\mathrm{sin}\beta t_{}\\ C^1D\left(\begin{array}{c}x_{}\mathrm{cos}\beta t_{}\\ x_{}\mathrm{sin}\beta t_{}\end{array}\right)\\ 0\end{array}\right)=0,$$

which can be rewritten as

(8)
$$\mathrm{\Delta }_1\mathrm{cos}\beta t_{}+\mathrm{\Delta }_2\mathrm{sin}\beta t_{}=0.$$

If we assume condition

$`\mathrm{\Delta }_1`$ and $`\mathrm{\Delta }_2`$ do not vanish simultaneously,

then (8) has a sequence of solutions:

(9)
$$t_{}^{(\mathrm{})}=\frac{1}{\beta }[\mathrm{}\pi \phi ],\mathrm{}Z^+,$$

where

$$\phi =\mathrm{arctan}\left\{\mathrm{\Delta }_1/\mathrm{\Delta }_2\right\}.$$

Then substituting (7) and (9) into the leading order terms of (4), we can solve for $`\left(\begin{array}{c}\widehat{x}^{\left(0\right)}\\ \widehat{v}^{(,0)}\end{array}\right)`$ to the leading order. Finally, applying the implicit function theorem, we have the fixed point theorem.

###### Theorem 1 (Fixed Point Theorem).

Under the assumption (A5), there exists an integer $`\mathrm{}_0>0`$, such that there exists a sequence of solutions to the equations (4) and (5) labeled by $`\mathrm{}`$ ($`\mathrm{}\mathrm{}_0`$):

$`t_{}=T^{(\mathrm{})},\widehat{x}{}_{}{}^{(0)}=x^{(\mathrm{})},\widehat{v}{}_{}{}^{(,0)}=v_{(,0)}^{(\mathrm{})}`$
$`\widehat{z}{}_{}{}^{(1)}=z^{(\mathrm{})},\widehat{v}{}_{}{}^{(+,1)}=v_{(+,1)}^{(\mathrm{})};`$
where, as $`t+\mathrm{}`$,

$$T^{(\mathrm{})}=\frac{1}{\beta }[\mathrm{}\pi \phi ]+o(1).$$

For a complete proof of this theorem, see .

### 3.3 Smale Horseshoes

For sufficiently large number $`\mathrm{}`$, we define the slab $`S_{\mathrm{}}`$ in $`_0`$ as follows:

$`S_{\mathrm{}}`$ $`=`$ $`\{w{\displaystyle _0}|\eta \mathrm{exp}\{\gamma (T^{(2(\mathrm{}+1))}{\displaystyle \frac{\pi }{2\beta }})\}z^{(0)}(w)`$
$`\eta \mathrm{exp}\left\{\gamma \left(T^{(2\mathrm{})}{\displaystyle \frac{\pi }{2\beta }}\right)\right\},`$
$`|x^{(0)}(w)|\eta \mathrm{exp}\left\{{\displaystyle \frac{1}{2}}\alpha T^{(2\mathrm{})}\right\},`$
$`v^{(,1)}(P_0^1(w))\eta \mathrm{exp}\left\{{\displaystyle \frac{1}{2}}\alpha T^{(2\mathrm{})}\right\},`$
$`v^{(+,1)}(P_0^1(w))\eta \mathrm{exp}\{{\displaystyle \frac{1}{2}}\alpha T^{(2\mathrm{})}\}\},`$
so that it contains two fixed points of $`P`$ denoted by $`p_{\mathrm{}}^+`$ and $`p_{\mathrm{}}^{}`$.

We choose a basis on the tangent space $`𝒯_{w^{()}}_1`$ represented in the coordinates

$$(x^{(1)},y^{(1)},v^{(,1)},\xi ,v_+^{(1)})$$

as follows:

$`E_{x^{(1)}}=(1,0,0,\xi (w^{()})(1,0,0,0),0),`$
$`E_{y^{(1)}}=(0,1,0,\xi (w^{()})(0,1,0,0),0),`$
$`𝐄_{v^{(,1)}}=(0,0,\text{1},\xi (w^{()})(0,0,\text{1},0),0),`$
$`𝐄_{v_+^{(1)}}=(0,0,0,\xi (w^{()})(0,0,0,\text{1}),\text{1});`$
where 1  represents a basis for the corresponding components. Denote by $`\{e_{_{x^{(0)}}},e_{_{z^{(0)}}},𝐞_{_{v^{(+,0)}}}`$,$`𝐞_{_{v^{(,0)}}}\}`$ the unit vectors along $`(x^{(0)},z^{(0)},v^{(+,0)},v^{(,0)})`$-directions in $`_0`$. In this coordinate frame, $`S_{\mathrm{}}`$ has the product representation as shown in Fig.1.

Under the linear map $`A`$ (the linearization of $`P_1^0`$ at $`w^{()}`$), the coordinate frame $`\{E_{x^{(1)}},E_{y^{(1)}},𝐄_{v^{(,1)}},𝐄_{v_+^{(1)}}\}`$ is mapped into a coordinate frame $`\{_{x^{(1)}},_{y^{(1)}},𝓔_{v^{(,1)}},𝓔_{v_+^{(1)}}\}`$ on $`_0`$ with origin at $`w^{(+)}`$. In this coordinate frame, $`P_1^0(w^{()})P_0^1(w^{(+)})S_{\mathrm{}}`$ has the representation as shown in Fig.2 on $`_0`$.

We introduce a system of curvilinear coordinates $`(\xi _u,\xi _s)`$ on the $`(_{x^{(1)}},_{y^{(1)}})`$-plane such that

$$\{\xi _u=0\},\{\xi _u=c_u\text{ (a constant)}\},\{\xi _s=0\},\{\xi _s=c_s\text{ (a constant)}\}$$

correspond to the boundaries $`3`$, $`4`$, $`1`$, $`2`$ of the annulus on the $`(_{x^{(1)}},_{y^{(1)}})`$-plane. Let $`_\xi ^+=𝒯_{p_{\mathrm{}}^+}\xi _u`$ be the tangent vector to the $`\xi _u`$ coordinate at $`p_{\mathrm{}}^+`$. We make the following assumption:

$`\text{Span}\{e_{_{x^{(0)}}},𝐞_{_{v^{(,0)}}},_\xi ^+,𝓔_{v_+^{(1)}}\}=_0`$.

Under the assumptions (A1) – (A6), we can verify the Conley-Moser conditions  in the same way as in , which lead to the construction of Smale horseshoes. Let $`𝒲`$ be a set which consists of elements of the doubly infinite sequence form

$$a=(\mathrm{}a_2a_1a_0,a_1a_2\mathrm{}),$$

where $`a_k\{0,1\}`$, $`kZ`$. We introduce a topology in $`𝒲`$ by taking as neighborhood basis of

$$a^{}=(\mathrm{}a_2^{}a_1^{}a_0^{},a_1^{}a_2^{}\mathrm{}),$$

the set

$$W_j=\left\{a𝒲\right|a_k=a_k^{}(|k|<j)\}$$

for $`j=1,2,\mathrm{}`$. This makes $`𝒲`$ a topological space. The shift automorphism $`\chi `$ is defined on $`𝒲`$ by

$`\chi `$ $`:`$ $`𝒲𝒲,`$
$`a𝒲,\chi (a)=b,\text{where}b_k=a_{k+1}.`$
The shift automorphism $`\chi `$ exhibits sensitive dependence on initial conditions, which is the hallmark of chaos.

###### Theorem 2 (Smale Horseshoe Theorem).

Under the assumptions (A1) – (A6) for the evolution equation (1), for all sufficiently large integers $`\mathrm{}`$, there exists a sequence of compact Cantor subsets $`\mathrm{\Lambda }_{\mathrm{}}`$ of $`S_{\mathrm{}}`$, $`\mathrm{\Lambda }_{\mathrm{}}`$ consists of points and is invariant under $`P`$. $`P`$ restricted to $`\mathrm{\Lambda }_{\mathrm{}}`$ is topologically conjugate to the shift automorphism $`\chi `$ on two symbols $`0`$ and $`1`$. That is, there exists a homeomorphism

$$\varphi _{\mathrm{}}:𝒲\mathrm{\Lambda }_{\mathrm{}},$$

such that the following diagram commutes:

$$\begin{array}{ccc}𝒲& \stackrel{\varphi _{\mathrm{}}}{}& \mathrm{\Lambda }_{\mathrm{}}\\ \chi & & P& & \\ 𝒲& \underset{\varphi _{\mathrm{}}}{}& \mathrm{\Lambda }_{\mathrm{}}.\end{array}$$

###### Proof.

With preliminaries given above, the proof follows in the same way as in . ∎

## 4 Conclusion and Discussion

In this note, we have generalized the construction of Smale horseshoes in  to a general evolution equation, which indicates that our techniques ,  on constructing Smale horseshoes in a neighborhood of a Silnikov homoclinic orbit has a much wider application. On the other hand, so far we can only handle evolution equations with finitely many linearly unstable modes. For evolution equations with infinitely many linearly unstable modes, we cannot invert certain linear operators in establishing the existence of fixed points of the Poincaré map. Nevertheless, this note furnishes an initiation for studying Silnikov homoclinic orbits for general evolution equations, thereby proving the existence of chaos for general evolution equations.


text:
# Nucleon and Hyperon Resonances with the Crystal Ball

## 1 Introduction

Quantum Chromodynamics, QCD, attempts to explain the strong interaction in terms of the underlying quark and gluon degrees of freedom. The study of the structure of baryons and their excitations in terms of the elementary quark and gluon constituents is thus pivotal to our understanding of nuclear matter within QCD. It is the major goal of Nuclear Physics to understand the strong interaction and keeping this goal in mind motivates our choice of the particular reactions of interest that we selected to study with the Crystal Ball at BNL. We will describe these measurements below, but first we look at the experimental conditions at BNL.

## 2 The BNL Experimental Setup

### 2.1 The Crystal Ball

We used the SLAC Crystal Ball in the C6 line at the Brookhaven National Laboratory, BNL, Alternating Gradient Synchrotron, AGS, with pion and kaon momenta up to 760 MeV/c. Data are taken simultaneously on all reactions for each incident particle; this helps ensure us that background events are accurately subtracted and also allows us to normalize reactions with smaller cross sections to more well determined reactions. Data taking using the Crystal Ball began in July 1998 and continued until late November 1998. A second period of data taking occured in May 2002.

The Crystal Ball is a segmented, electromagnetic, calorimetric spectrometer, covering 94% of $`4\pi `$ steradians. It was built at SLAC and used for meson spectroscopy measurements there for three years. It was then used at DESY for five years of experiments and put in storage at SLAC from 1987 until 1996 when it was moved to BNL by our collaboration.

The Crystal Ball is constructed of 672 hygroscopic NaI crystals, hermetically sealed inside two mechanically separate stainless steel hemispheres. The crystals are viewed by photomultipliers, PMTs. There is an entrance and exit tunnel for the beam, LH2 target plumbing, and veto counters.

The crystal arrangement is based on the geometry of an icosahedron (20 triangular faces or “major-triangles” arranged to form a spherical shape.) Each “major-triangle” is subdivided into four “minor-triangles”, which in turn consist of nine individual crystals. Each crystal is shaped like a truncated triangular pyramid, points towards the interaction point, is optically isolated, and is viewed by a PMT which is separated from the crystal by a glass window. The beam pipe is surrounded by 4 scintillators covering 98% of the target tunnel (these scintillators form the veto-barrel.)

This high degree of segmentation provides excellent resolution. Electromagnetic showers in the Crystal Ball are measured with an energy resolution of $`\sigma /E=2.7\%/E[GeV]^{1/4}`$. Shower directions are measured with a resolution in $`\theta `$ of $`\sigma =2^{}`$$`3^{}`$ for photon energies in the range 50–500 MeV; the resolution in $`\varphi `$ is $`2^{}/\mathrm{sin}\theta `$. Typically, 98% of the deposited energy of each photon is contained in a cluster of thirteen crystals (a crystal with its twelve nearest neighbors). The thickness of the NaI amounts to nearly one hadron interaction length resulting in two-thirds of the charged pions interacting in the detector. The minimum ionization energy deposited is 197 MeV; the length of the counters corresponds to the stopping range of 233 MeV for $`\mu ^\pm `$ , 240 MeV for $`\pi ^\pm `$, 341 MeV for $`K^\pm `$ , and 425 MeV for protons. The preliminary energy calibration is performed using the 0.661 MeV $`\gamma `$’s from a $`{}_{}{}^{137}Cs`$ source. The final energy calibration is done using three reactions: i) $`\pi ^{}p\gamma n`$ at rest, yielding an isotropic, monochromatic $`\gamma `$ flux of 129.4 MeV; ii) $`\pi ^{}p\pi ^{}n`$ at rest, yielding a pair of photons in the energy range 54.3—80 MeV, almost back to back; and iii) $`\pi ^{}p\eta n`$ at threshold, yielding two photons, about 300 MeV each, in coincidence almost back to back. The PMT analog pulses are sent to ADCs for digitization. Analog sums of the signals from each minor-triangle are available for trigger purposes.

In addition to the expected high efficiency for photons, the Crystal Ball is also fairly responsive to neutrons. We were able to measure the response of the NaI(Tl) to neutrons by using the reaction $`\pi ^{}p\pi ^{}n`$ and kinematics to determine the efficiency (as high as 40%) as a function of energy.

### 2.2 Beam Line

Figure 1 shows the experimental setup at BNL on the C6 beam line. The final stages of the C6 beamline consist of four quadrupoles and a dipole that form a beam momentum spectrometer. Wire chambers are located on both sides of the dipole to track the particles through the spectrometer. The momentum resolution is 0.3%. The scintillators located up and down stream of the dipole provide TOF information and the coincidence trigger for the beam. Scintillators surround the LH2 target to provide a charged particle veto. Two columns of scintillator neutron counters are located downstream of the Crystal Ball. A beam veto scintillator is located further downstream. A concrete shield wall located upstream of the beam stop shields the Crystal Ball from low energy photons from the stop. A Čerenkov counter is located just after this wall to monitor electron contamination in the beam.

The usual trigger consists of: a beam coincidence trigger, no downstream beam veto, and a total energy-over-threshold signal from the Crystal Ball. The trigger is normally set on the total energy level. A trigger based on the distribution of the energy in different regions of the Crystal Ball was also used to provide a more restrictive trigger in certain cases.

## 3 Pion-Induced Reactions

### 3.1 Radiative Capture

The radiative decay of a resonance provides the ideal laboratory for testing theories of the strong interaction, gives us insight into the fundamental interactions between mesons and nucleons, and allows us to probe into the structure of the nucleon itself. In particular, these data are important in the study of the radiative decay of the neutral Roper resonance. They can be combined with recent JLab Hall B data for the reactions $`\gamma p\pi ^+`$n and $`\gamma p\pi ^{}`$p which study the mesonic decays of the charged Roper resonance in the incident photon energy region from 400 to 700 MeV. In addition, comparison of our data to the new JLab data taken on the inverse reaction $`\gamma n\pi ^{}`$p, using a deuteron target, tests extrapolation techniques for the deuteron correction and study medium effects within the deuteron.

Figure 2 shows the radiative capture differential cross section (plotted in the photoproduction channel) at a photon energy of 285 MeV which corresponds to a pion beam momentum of 238 MeV/c. The differential cross section was converted to the photoproduction channel by using detailed balance; the normalization factor was obtained from the first plot, since the effective beam flux was identical for both these measurements (the same data run was analyzed for the charge exchange as well as the radiative capture channels). In this plot, we also include existing data,, ,  the SAID prediction as well as the MAID prediction.

### 3.2 Charge Exchange

The elusive charge exchange process has been the weakest link in partial-wave and coupled-channel studies. The accurate data that we obtained in this momentum region will help in improving the determinations of the isospin-odd s-wave scattering length, the $`\pi `$NN coupling constant, and the $`\pi `$-N $`\sigma `$ term. In addition, better charge exchange data helps in evaluating the mass splitting of the $`\mathrm{\Delta }`$ \- charge splitting of the P33 resonance and may result in new values for the P11(1440) mass and width.

Figure 3 shows the measured charge exchange differential cross section compared with the previously existing data, and the SAID  prediction at a pion beam momentum of 238 MeV/c. We also include the triangle inequality which sets upper and lower boundaries on the strength of charge exchange based on $`\pi ^{}p`$ and $`\pi ^+p`$ elastic scattering data obtained from SAID.

### 3.3 Two-Pion Production

Two pion production provides a means of studying sequential pion resonant decays; with neutral pions we study the $`\pi \pi `$ interaction in the absence of final-state Coulomb effects and owing to isospin considerations there is no contribution of $`\rho `$ decay. The study of this process on the proton ($`\pi ^{}p\pi ^0\pi ^0n`$) is the subject of a recently completed Ph.D. thesis.  We have also published measurements on this process in the nuclear medium.

### 3.4 Eta Production

Near threshold $`\eta `$-production measurements provides data useful in verifying models of $`\eta `$-meson production and are also necessary for extraction of the $`\eta `$-N scattering length. Precise $`\eta `$ production data are necessary to resolve ambiguities in the resonance properties of the S11(1535) and in the $`\eta `$ photoproduction helicity amplitudes.

## 4 Kaon-Induced Reactions

Using the Crystal Ball Detector, we have the ability of selecting pure isospin states. For example in the reactions $`K^{}p\eta \mathrm{\Lambda }`$  and $`K^{}p\pi ^0\mathrm{\Sigma }^0`$, we select a pure $`I=0`$ $`\mathrm{\Lambda }^{}`$ and in the reaction $`K^{}p\pi ^0\mathrm{\Lambda }`$, we select a $`I=1`$ $`\mathrm{\Sigma }^{}`$. Figure 4 shows the production cross section of the former reaction. A significant part of our program is geared toward the study of $`K^{}`$p reactions are described in a recent publication.

## 5 Decays of the Eta

The large production cross section of tagged $`\eta `$s allow us to search for breaking of fundamental symmetries (e.g. C and CP invariance), and test Chiral Perturbation Theory as well as other theoretical models. We have published an article on $`\eta `$ 4$`\pi ^o`$  which presents a new upper limit for this branching ratio $`(B6.9\times 10^7)`$ of the CP forbidden decay at the 90% confidence level. This value of $`B`$ puts a 2% limit on CP in quark-family-conserving interactions.

Another article has been published on the rare $`\eta `$ 3$`\pi ^o`$  which presents our determination of the quadratic slope parameter $`\alpha `$ for that decay. The value obtained $`(\alpha =0.031\pm 0.004)`$ disagrees significantly with current theory. Since this published material is now readily available, I will discuss our recent and yet unpublished work on the $`\pi ^0\gamma \gamma `$ decay of the $`\eta `$.

## 6 Rare Decays of the $`\eta `$ Meson

As we have alluded to above, by studying the rare and forbidden decay modes of the $`\eta `$ meson, we are able to test the limits of such fundamental symmetries as C and CP invariance and G parity. Additionally, these also provide a laboratory in which we can test chiral perturbation theory and other recently proposed models. As mentioned above, some of these measurements are already in the literature.

To measure the $`\eta `$-decay processes, we took a series of dedicated $`\pi ^{}`$p runs at 720 MeV/c which was at the maximum in eta production and yet close enough to threshold that the $`\eta `$s were essential going forward in the lab. In effect, we produced an $`\eta `$ beam and use it to measure the eta decay channels.

For the decay $`\pi ^{}p\eta n\pi ^0\gamma \gamma n`$, we looked at events in which 4 photons were detected. Even with this restriction, we still had backgrounds due to 3$`\pi ^0`$ decay and direct 2$`\pi ^0`$ production. These backgrounds were reduced by a series of kinematic checks which not only required that the 4 photons satisfied the kinematics of the desired final state, but also eliminated any events with even a small probability ($`0.1\%`$) of satisfying the kinematics of possible background processes.

In addition to the above kinematic restrictions, we made various target and detector cuts that tested our abilities to Monte Carlo the acceptance and detection efficiencies. In all cases, we obtained results consistent within our statistical and estimated systematic uncertainties.

Our preliminary result for the $`\eta \pi ^0\gamma \gamma `$ decay branching ratio is $`3.2\pm 0.9_{tot}\times 10^4`$. This is less than half of the current Particle Data Group value of $`7.1\pm 1.4\times 10^4`$ and disagrees by about 3-4 standard deviations. However, our experimental value does agree with the latest chiral perturbation theory calculations.

Using a similar analysis procedure, one of our colleagues has just reported an upper limit of the $`\eta \pi ^0\pi ^0\gamma `$ branching ratio of $`5\times 10^4`$ at the 90% confidence level.

## 7 Summary

The Crystal Ball Program at BNL has producing a large number of high-quality results in a very short time period after data taking. We have put severe constraints on tests of chiral perturbation theory and the limitations of fundamental symmetries. Full and short reports as well as downloads of publications and conference contributions are available to the public on our Crystal Ball Collaboration web site. While hoping to complete our planned experimental program at BNL, members of the collaboration have brought the Crystal Ball back to Europe, in particular to MAMI at Mainz, Germany where a exciting new program is about to begin.

## 8 The Collaboration

The new Crystal Ball Collaboration consists of B. Draper, S. Hayden, J. Huddleston, D. Isenhower, C. Robinson, and M. Sadler,Abilene Christian University, C. Allgower and H. Spinka, Argonne National Laboratory, J. Comfort, K. Craig, and A. Ramirez, Arizona State University, T. Kycia (deceased), Brookhaven National Laboratory, M. Clajus, A. Marusic, S. McDonald, B. M. K. Nefkens, N. Phaisangittisakul, and W. B. Tippens, University of California at Los Angeles, J. Peterson, University of Colorado, W. Briscoe, A. Shafi, and I. Strakovsky George Washington University, H. Staudenmaier, Universität Karlsruhe, D. M. Manley and J. Olmsted, Kent State University, D. Peaslee, University of Maryland, V. Abaev, V. Bekrenev, N. Kozlenko, S. Kruglov, A. Kulbardis, I. Lopatin, and A. Starostin, Petersburg Nuclear Physics Institute, N. Knecht, G. Lolos, and Z. Papandreou, University of Regina, I. Supek, Rudjer Boskovic Institute and A. Gibson, D. Grosnick, D. D. Koetke, R. Manweiler, and S. Stanislaus, Valparaiso University.

## 9 Acknowledgements

The members of the Crystal Ball Collaboration are supported in part by the United States Department of Energy, the United States National Science Foundation, the National Sciences and Engineering Research Council of Canada, the Russian Ministry of Sciences, Volkswagen Stiftung and the George Washington University Research Enhancement Fund and Virginia Campus.