Response theory for equilibrium and non-equilibrium statistical mechanics: causality and generalized Kramers-Kronig relations

We consider the general response theory recently proposed by Ruelle for describing the impact of small perturbations to the non-equilibrium steady states resulting from Axiom A dynamical systems. We show that the causality of the response functions entails the possibility of writing a set of Kramers-Kronig (K-K) relations for the corresponding susceptibilities at all orders of nonlinearity. Nonetheless, only a special class of directly observable susceptibilities obey K-K relations. Specific results are provided for the case of arbitrary order harmonic response, which allows for a very comprehensive K-K analysis and the establishment of sum rules connecting the asymptotic behavior of the harmonic generation susceptibility to the short-time response of the perturbed system. These results set in a more general theoretical framework previous findings obtained for optical systems and simple mechanical models, and shed light on the very general impact of considering the principle of causality for testing self-consistency: the described dispersion relations constitute unavoidable benchmarks that any experimental and model generated dataset must obey. The theory exposed in the present paper is dual to the time-dependent theory of perturbations to equilibrium states and to non-equilibrium steady states, and has in principle similar range of applicability and limitations. In order to connect the equilibrium and the non equilibrium steady state case, we show how to rewrite the classical response theory by Kubo so that response functions formally identical to those proposed by Ruelle, apart from the measure involved in the phase space integration, are obtained. These results, taking into account the chaotic hypothesis by Gallavotti and Cohen, might be relevant in several fields, including climate research. In particular, whereas the fluctuation-dissipation theorem does not work for non-equilibrium systems, because of the non-equivalence between internal and external fluctuations, K-K relations might be robust tools for the definition of a self-consistent theory of climate change.

Conventional and nonconventional Kramers-Kronig analysis in optical spectroscopy

This Master’s Thesis is dedicated to the investigation and testing conventional and nonconventional Kramers-Kronig relations on simulated and experimentally measured spectra. It is done for both linear and nonlinear optical spectral data. Big part of attention is paid to the new method of obtaining complex refractive index from a transmittance spectrum without direct information of the sample thickness. The latter method is coupled with terahertz tome-domain spectroscopy and Kramers-Kronig analysis applied for testing the validity of complex refractive index. In this research precision of data inversion is evaluated by root-mean square error. Testing of methods is made over different spectral range and implementation of this methods in future is considered.

Determinação de parâmetros ópticos de materiais por análise de Kramers-Kronig de espectros de infravermelho

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES)

Spectral characteristics of bacteriorhodopsin water solution

The object of the study is bacteriorhodopsin. This light-sensitive protein have been selected as perspective substance for optical and optoelectronic applications. Bacteriorhodopsin carries out pumping protons through the cell membrane. Biomolecule converts light into an electric signal when sandwiched between electrodes. These properties were utilized in this research to implement photosensors on the basis of BR layers. These properties were utilized in this research to the bR water solution. According to the absorption spectra and using Kramers – Kronig relation the extinction coefficient has been calculated, as well as the related change of the refractive index value.

A statistical mechanical approach for the computation of the climatic response to general forcings

The climate belongs to the class of non-equilibrium forced and dissipative systems, for which most results of quasi-equilibrium statistical mechanics, including the fluctuation-dissipation theorem, do not apply. In this paper we show for the first time how the Ruelle linear response theory, developed for studying rigorously the impact of perturbations on general observables of non-equilibrium statistical mechanical systems, can be applied with great success to analyze the climatic response to general forcings. The crucial value of the Ruelle theory lies in the fact that it allows to compute the response of the system in terms of expectation values of explicit and computable functions of the phase space averaged over the invariant measure of the unperturbed state. We choose as test bed a classical version of the Lorenz 96 model, which, in spite of its simplicity, has a well-recognized prototypical value as it is a spatially extended one-dimensional model and presents the basic ingredients, such as dissipation, advection and the presence of an external forcing, of the actual atmosphere. We recapitulate the main aspects of the general response theory and propose some new general results. We then analyze the frequency dependence of the response of both local and global observables to perturbations having localized as well as global spatial patterns. We derive analytically several properties of the corresponding susceptibilities, such as asymptotic behavior, validity of Kramers-Kronig relations, and sum rules, whose main ingredient is the causality principle. We show that all the coefficients of the leading asymptotic expansions as well as the integral constraints can be written as linear function of parameters that describe the unperturbed properties of the system, such as its average energy. Some newly obtained empirical closure equations for such parameters allow to define such properties as an explicit function of the unperturbed forcing parameter alone for a general class of chaotic Lorenz 96 models. We then verify the theoretical predictions from the outputs of the simulations up to a high degree of precision. The theory is used to explain differences in the response of local and global observables, to define the intensive properties of the system, which do not depend on the spatial resolution of the Lorenz 96 model, and to generalize the concept of climate sensitivity to all time scales. We also show how to reconstruct the linear Green function, which maps perturbations of general time patterns into changes in the expectation value of the considered observable for finite as well as infinite time. Finally, we propose a simple yet general methodology to study general Climate Change problems on virtually any time scale by resorting to only well selected simulations, and by taking full advantage of ensemble methods. The specific case of globally averaged surface temperature response to a general pattern of change of the CO2 concentration is discussed. We believe that the proposed approach may constitute a mathematically rigorous and practically very effective way to approach the problem of climate sensitivity, climate prediction, and climate change from a radically new perspective.

Evidence of dispersion relations for the nonlinear response of the Lorenz 63 system

Along the lines of the nonlinear response theory developed by Ruelle, in a previous paper we have proved under rather general conditions that Kramers-Kronig dispersion relations and sum rules apply for a class of susceptibilities describing at any order of perturbation the response of Axiom A non equilibrium steady state systems to weak monochromatic forcings. We present here the first evidence of the validity of these integral relations for the linear and the second harmonic response for the perturbed Lorenz 63 system, by showing that numerical simulations agree up to high degree of accuracy with the theoretical predictions. Some new theoretical results, showing how to derive asymptotic behaviors and how to obtain recursively harmonic generation susceptibilities for general observables, are also presented. Our findings confirm the conceptual validity of the nonlinear response theory, suggest that the theory can be extended for more general non equilibrium steady state systems, and shed new light on the applicability of very general tools, based only upon the principle of causality, for diagnosing the behavior of perturbed chaotic systems and reconstructing their output signals, in situations where the fluctuation-dissipation relation is not of great help.

Influence of cerium (IV) ions on the mechanism of organosilane polymerization and on the improvement of its barrier properties

In this work, the effect of cerium (IV) ammonium nitrate (CAN) addition on the polymerization of bis-[triethoxysilyl]ethane (BTSE) film applied on carbon steel was studied. The electrochemical characterization of the films was carried out in 0.1 mol L(-1) NaCl solution by open-circuit potential measurements, anodic and cathodic polarization curves and electrochemical impedance spectroscopy (EIS). Morphological and chemical characterization were performed by atomic force microscopy (AFM), contact angle measurements, infrared-spectroscopy, nuclear magnetic resonance and thermogravimetric analysis. The results have clearly shown the improvement on the protective properties of the Ce(4+) modified film as a consequence of the formation of a more uniform and densely reticulated silane film. A mechanism is proposed to explain the accelerating role of Ce(4+) ions on the cross-linking of the silane layer. (C) 2008 Elsevier Ltd. All rights reserved.

Cr3C2-NiCr and WC-Ni thermal spray coatings as alternatives to hard chromium for erosion-corrosion resistance

Cr3C2-NiCr and WC-Ni coatings are widely used for wear applications at high and room temperature, respectively. Due to the high corrosion resistance of NiCr binder, Cr3C2-NiCr coatings are also used in corrosive environments. The application of WC-Ni coatings in corrosive media is 14 not recommended due to the poor corrosion resistance of the (pure Ni) metallic matrix. It is well known that the addition of Cr to the metallic binder improves the corrosion properties. Erosion-corrosion performance of thermal spray coatings is widely influenced by ceramic phase composition, the size of ceramic particles and also the composition of the metallic binder. In the present work, two types of HVOF thermal spray coatings (Cr3C2-NiCr and WC-Ni) obtained with different spray conditions were studied and compared with conventional micro-cracked hard chromium coatings. Both as-sprayed and polished samples were tested under two erosion-corrosion conditions with different erosivity. Tungsten carbide coatings showed better performance under the most erosive condition, while chromium carbide coatings were superior under less erosive conditions. Some of the tungsten carbide coatings and hard chromium showed similar erosion-corrosion behaviour under more and less erosive conditions. The erosion-corrosion and electrochemical results showed that surface polishing improved the erosion-corrosion properties of the thermally sprayed coatings. The corrosion behaviour of the different coatings has been compared using Electrochemical Impedance Spectroscopy (EIS) and polarization curves. Total material loss due to erosion-corrosion was determined by weight loss measurements. An estimation of the corrosion contribution to the total weight loss was also given. (c) 2007 Elsevier B.V. All rights reserved.

Optical evidence for the proximity to a spin-density-wave metallic state in Na0.7CoO2

We present the optical properties of Na0.7CoO2 single crystals, measured over a broad spectral range as a function of temperature (T). The capability to cover the energy range from the far-infrared up to the ultraviolet allows us to perform reliable Kramers-Kronig transformation, in order to obtain the absorption spectrum (i.e., the complex optical conductivity). To the complex optical conductivity we apply the generalized Drude model, extracting the frequency dependence of the scattering rate (Gamma) and effective mass (m*) of the itinerant charge carriers. We find that Gamma(omega) at low temperatures and for similar to omega. This suggests that Na0.7CoO2 is at the verge of a spin-density-wave metallic phase.

Far infrared reflectance and optical properties of organic superconductor (TMTSF)2ClO4 /

Polarized reflectance measurements of the quasi I-D charge-transfer salt (TMTSFh CI04 were carried out using a Martin-Puplett-type polarizing interferometer and a 3He refrigerator cryostat, at several temperatures between 0.45 K and 26 K, in the far infrared, in the 10 to 70 cm- 1 frequency range. Bis-tetramethyl-tetraselena-fulvalene perchlorate crystals, grown electrochemically and supplied by K. Behnia, of dimensions 2 to 4 by 0.4 by 0.2 mm, were assembled on a flat surface to form a mosaic of 1.5 by 3 mm. The needle shaped crystals were positioned parallel to each other along their long axis, which is the stacking direction of the planar TMTSF cations, exposing the ab plane face (parallel to which the sheets of CI04 anions are positioned). Reflectance measurements were performed with radiation polarized along the stacking direction in the sample. Measurements were carried out following either a fast (15-20 K per minute) or slow (0.1 K per minute) cooling of the sample. Slow cooling permits the anions to order near 24 K, and the sample is expected to be superconducting below 1.2 K, while fast cooling yields an insulating state at low temperatures. Upon the slow cooling the reflectance shows dependence with temperature and exhibits the 28 cm- 1 feature reported previously [1]. Thermoreflectance for both the 'slow' and 'fast' cooling of the sample calculated relative to the 26 K reflectance data indicates that the reflectance is temperature dependent, for the slow cooling case only. A low frequency edge in the absolute reflectance is assigned an electronic origin given its strong temperature dependence in the relaxed state. We attribute the peak in the absolute reflectance near 30 cm-1 to a phonon coupled to the electronic background. Both the low frequency edge and the 30 cm-1 feature are noted te shift towards higher frequcncy, upon cntering the superconducting state, by an amount of the order of the expected superconducting energy gap. Kramers-Kronig analysis was carried out to determine the optical conductivity for the slowly cooled sample from the measured reflectance. In order to do so the low frequency data was extrapolated to zero frequency using a Hagen-Ru bens behaviour, and the high frequency data was extended with the data of Cao et al. [2], and Kikuchi et al. [3]. The real part of the optical conductivity exhibits an asymmetric peak at 35 cm-1, and its background at lower frequencies seems to be losing spectral weight with lowering of the temperature, leading us to presume that a narrow peak is forming at even lower frequencies.

Infrared spectroscopy of Mg-doped SrRuO3 thin films /

The reflectance of thin films of magnesium doped SrRu03(Mg-SR0) produced by pulsed laser deposition on SrTiOa (100) substrates has been measured at room temperature between 100 and 7500 cm~^. The films were chosen to have wide range of thickness, stoichiometry and electrical properties. As the films were very thin (less than 300 nm), and some were insulating the reflectance data shows structures due to both the film and the substrate. Hence, the data was analyzed using Kramers-Kronig constrained variational fitting (VDF) method to extract the real optical conductivity of the Mg-SRO films. Although the VDF technique is flexible enough to fit all features of the reflectance spectra, it seems that VDF could not eliminate the substrate's contribution from fllm conductivity results. Also the comparison of the two different programs implementing VDF fltting shows that this technique has a uniqueness problem. The optical properties are discussed in light of the measured structural and transport properties of the fllms which vary with preparation conditions and can be correlated with differences in stoichiometry. This investigation was aimed at checking the VDF technique and also getting answer to the question whether Mg^"*" substitutes in to Ru or Sr site. Analysis of our data suggests that Mg^+ goes to Ru site.

Optical properties of organic superconductor K-(BETS)2FeBr4 /

/c-(BETS)2FeBr4 is the first antiferromagnetic organic superconductor with successive antiferromagnetic and superconducting transitions at Ta^=2.5K and Tc=l.lK respectively at ambient pressure. Polarized reflectance measurements were performed on three single crystalsamples of this material using a Briiker IFS66V/S Interferometer, and a Bolometer detector or an MCT detector, at seven temperatures between 4K and 300K, in both the far-infrared and mid-infrared frequency range. After the reflectance results were obtained, the Kramers-Kronig dispersion relation was apphed to determine the optical conductivity of /c-(BETS)2FeBr4 at these seven temperatures. Additionally, the optical conductivity spectra were fitted with a Drude/Lorentz Oscillator model in order to study the evolution of the optical conductivity with temperature along the a-axis and c-axis. The resistivities calculated from the Drude model parameters along the a-axis and c-axis agreed reasonably with previous transport measurements.

Far infrared optical properties of V and Cr doped Sb2Te3 /

The far infrared reflectance of Sb2Te3 , Sbi.97Vo.o3Te3 and Sbi.94Cr .o6Te3 was measured near normal incidence at different temperatures (between 45K and 300K). The direct current resistivities of the above samples were also measured between the temperatures of 4K and 300K. Also Kramers Kronig (KK) analyses were performed on the reflectance spectra to obtain the optical conductivities. In the doped samples, it was observed that a phonon at 62cm-1 softens to about 55cm-1 on decreasing the temperature from 295K to 45K. Also, it was observed that the plasma frequency of the doped samples is independent of doping. The scattering rate for the vanadium doped sample was seen to be greater than that for the chromium doped sample despite the fact that vanadium impurity density is less than that of chromium. The Drude-Lorentz model fits to the KK optical conductivity show that the samples used in this work are conventional metals. Definitive measurements of the temperature dependence of the scattering rate across the ferromagnetic transition await equipment changes allowing measurements at low temperature using the mercury cadmium telluride (MCT) detector.

Crystal growth, Raman scattering and optical properties of the superconductor Cd2Re2O7(16O, 18O)/

Using the Physical Vapor Transport method, single crystals of Cd2Re207 have been grown, and crystals of dimensions up to 8x6x2 mm have been achieved. X-ray diffraction from a single crystal of Cd2Re207 has showed the crystal growth in the (111) plane. Powder X-ray diffraction measurements were performed on ^^O and ^^O samples, however no difference was observed. Assigning the space group Fd3m to Cd2Re207 at room temperature and using structure factor analysis, the powder X-ray diffraction pattern of the sample was explained through systematic reflection absences. The temperatiure dependence of the resistivity measurement of ^^O has revealed two structural phase transitions at 120 and 200 K, and the superconducting transition at 1.0 K. Using Factor Group Analysis on three different structiures of Cd2Re207, the number of IR and Raman active phonon modes close to the Brillouin zone centre have been determined and the results have been compared to the temperature-dependence of the Raman shifts of ^^O and ^*0 samples. After scaling (via removing Bose-Einstein and Rayleigh scattering factors from the scattered light) all spectra, each spectrum was fitted with a number of Lorentzian peaks. The temperature-dependence of the FWHM and Raman shift of mode Eg, shows the effects of the two structurjil phase transitions above Tc. The absolute reflectance of Cd2Re207 - '^O single crystals in the far-infrared spectral region (7-700 cm~^) has been measured in the superconducting state (0.5 K), right above the superconducting state (1.5 K), and in the normal state (4.2 K). Thermal reflectance of the sample at 0.5 K and 1.5 K indicates a strong absorption feature close to 10 cm~^ in the superconducting state with a reference temperature of 4.2 K. By means of Kramers-Kronig analysis, the absolute reflectance was used to calculate the optical conductivity and dielectric function. The real part of optical conductivity shows five distinct active phonon modes at 44, 200, 300, 375, and 575 cm~' at all temperatures including a Drude-like behavior at low frequencies. The imaginary part of the calculated dielectric function indicates a mode softening of the mode 44 cm~' below Tc.

Far infrared spectroscopy of heavy fermion superconductor CeCoIn5

The optical response to far infrared radiation has been measured on a mosaic of heavy fermion CeColnssingle crystals. The superconducting transition temperature of the crystals has been determined by van der Pauw resistivity and ac-susceptibility measurements as Tc = 2.3 K. The optical measurements were taken above and below the transition temperature using a 3He cryostat and step and integrate Martin-Puplett type polarizing interferometer. The absolute reflectance of the heavy fermion CeColns in the superconducting state in range (0, 100)cm-1 was calculated from the measured thermal reflectance, using the normal state data of Singley et al and a low frequency extrapolation for a metallic material in the Hagen-Rubens regime. By means of Kramers-Kronig analysis the absolute reflectance was used to calculate the optical conductivity of the sample. The real part of the calculated complex conductivity 0-(w) ofCeColns indicates a possible opening of an energy gap close to 50 em-I.