This action might not be possible to undo. Are you sure you want to continue?
i
PROCEEDINGS OF THE FIRST
INTERNATIONAL SEMINAR ON
THEORETICAL PHYSICS &
NATIONAL DEVELOPMENT
(A TRIBUTE TO PROFESSOR EMERITUS ALEX ANIMALU @70)
Abuja, Nigeria August 2628, 2008
Editors
Godfrey E. Akpojotor
Abebe Kebede
Alex O.E. Animalu
All papers have been peer reviewed
Contact: Abebe Kebede
Copyright ©2009 African Physical Society
http://siriusc.ncat.edu/asn/ajp/ Contact: Abebe Kebede, email: gutaye@ncat.edu
Proceedings of the first International Seminar on Theoretical Physics & National Development
ii
SPONSORING ORGANISATIONS
National Mathematical Centre, Abuja
National Universities Commission
Raw Materials Research and Development Council
Energy Commission of Nigeria
National Office for Technology Adaptation and Promotion
University of Nigeria, Nsukka
International Centre for Basic Research, Abuja
Geometric Power (Nig) Ltd, Abuja
Proceedings of the first International Seminar on Theoretical Physics & National Development
iii
INTERNATIONAL SCIENTIFIC COMMITTEE OF ISOTPAND
Prof A.O. E. Animalu (Nigeria)
Prof Diola Bagayoko (USA)
Prof M. L. Kulic (Germany)
Prof Amagh Nduka (Nigeria)
Prof. B.N. Onwuagba (Nigeria)
Prof T. L. Gill (USA)
Dr Abebe Kebede (USA)
Prof J.O. Idiodi (Nigeria)
Prof Charles Ofoegbu (Nigeria)
Prof F.N. Okeke (Nigeria)
Prof. C.M.I. Okoye (Nigeria)
Dr Nithaya Chetty (South Africa)
Dr Anatole Kenfack (Germany)
Dr Ezekiel Izuogu (Nigeria)
Dr B.O. Oyelami (Nigeria)
Dr. J. O. Urama (Nigeria)
Dr G. E. Akpojotor (Germany)
Proceedings of the first International Seminar on Theoretical Physics & National Development
iv
Preface
This volume contains papers presented at the First International Seminar on
Theoretical Physics and National Development (ISOTPAND08) held at the Merit
House (Abuja, Nigeria) from August 25 29, 2008. This first meeting was to pay
tribute to Emeritus Professor Alexander Obiefoka Enukora Animalu who joined
the prestigious ‘Age Club’ of three scores and ten on August 28, 2008, The event
recorded a huge success because it was seen by all as an opportunity to give
honour to who it was due.
The opening ceremony on August 26 was under the chairmanship of the
President of the Nigerian Academy of Science (represented by Professor Ephraim
Okon, FAS). The highlights included an overview by Professor Animalu of a
compendium of research output in physics in the past four decades (19652005)
from 36 Nigerian Universities founded before 1999 and the presentation of a
biography of Professor Animalu written by G.E. Akpojotor and J. Unaegbu. This
was followed by the technical sessions which were richly informative and
motivational as they were a combination of both pedagogical and advanced
contents to cut across all the participants made up of senior and junior researchers,
postdocs, graduate and undergraduate students. The closing ceremony was the
birthday dinner on August 28, where encomiums rolled out from various groups
including the foreign distinguished researchers who had read and were inspired in
their graduate studies by both the English and Russian versions of Professor
Animalu’s 1977 PrenticeHallpublished book ‘Intermediate Quantum Theory of
Crystalline Solids.’ Indeed it was a great moment for Nigeria science in particular
and scholarship in general.
The success of ISOTPAND08 motivated both the organizers (scientific
committee) and the participants to reach the decision that ISOTPAND should
become an annual event and should remain a forum for bringing senior
researchers and eager beginners together. It was also decided that the proceedings
of each event should be published after the papers contributed by participants
have been peerreviewed. It is hoped therefore that this first volume will be very
useful to the scientific community.
Proceedings of the first International Seminar on Theoretical Physics & National Development
v
We wish to acknowledge the main sponsor of ISOTPAND08 – the International
Centre for Basic Research, Abuja – and the financial support of the following
bodies: National Mathematical Centre, Raw Material and Research Development
Council, National Office for Technology Acquisition and Promotion (NOTAP),
National Universities Commission, Nigerian Energy Commission, and University
of Nigeria, Nsukka, as well as other individual donors. We also acknowledge the
commitment of all the participants to the success of the event. Finally, we express
our appreciation to members of the local organizing committee and international
scientific committee of the event for their various contributions.
Editors
Godfrey E. Akpojotor
Kebede Abede
Alex O.E. Animalu
Proceedings of the first International Seminar on Theoretical Physics & National Development
vi
TABLE OF CONTENTS
SPONSORING ORGANISATIONS...................................................................... II
INTERNATIONAL SCIENTIFIC COMMITTEE OF ISOTPAND........................ III
PREFACE ......................................................................................................... IV
TABLE OF CONTENTS..................................................................................... VI
COMPENDIUM OF FOUR DECADES OF PHYSICS R & D IN 36
UNIVERSITIES IN NIGERIA................................................................... 1
A. O.E. Animalu ..................................................................................... 1
A SOLUTION TO THE BAND GAP CATASTROPHE: PREDICTIVE
CALCULATIONS OF PROPERTIES OF SEMICONDUCTORS AND OF
NUCLEI................................................................................................. 15
Diola Bagayoko ..................................................................................... 15
FULL POTENTIAL – LINEARIZED AUGMENTED PLANE WAVE (FPLAPW)
IN THE FRAMEWORK OF DENSITY FUNCTIONAL THEORY............ 36
C.A. Madu and B.N Onwuagba.............................................................. 36
A PHENOMENOLOGICAL APPROACH TO A MODEL OF SUPEREXCHANGE
INTERACTIONS IN OPTICAL WELLS.................................................. 43
Godfrey E. Akpojotor and Weibin Li ..................................................... 43
THE FEWELECTRON INTERACTION IN THE GROUND STATE OF
STRONGLY CORRELATED ELECTRON SYSTEMS: A
COMPUTATIONAL APPROACH.......................................................... 55
J. O. A. Idiodi et al................................................................................. 55
APPLICATION OF MATLAB IN AN EXACT COMPARATIVE NUMERICAL
ANALYSIS OF THE 2D ATTRACTIVE AND REPULSIVE HUBBARD
MODEL................................................................................................. 75
PATRICK O. AKUSU........................................................................... 75
SPECTROSCOPY STUDY OF THE LIGHT – HEAVY ۸ HYPERNUCLEI USING
THE QUANTUM MECHANICAL HYPERVIRIAL THEOREMS........... 100
OYEWUMI, K. J. ................................................................................ 100
REVIEW OF DEEPINELASTIC ELECTRONPROTON SCATTERING: A
HADRONIC MECHANICS VIEWPOINT............................................. 133
Proceedings of the first International Seminar on Theoretical Physics & National Development
vii
A.O.E. ANIMALU AND C.E. EKUMA.................................................. 133
RICCATI EQUATION IN BIOPHYSICS AND OTHER PHYSICAL PHENOMENA154
Tertsega Tivde and A.O.E. Animalu..................................................... 154
MATHEMATICAL ANALYSIS OF ADIABATIC MODEL OF BLOCH NMR
FLOW EQUATIONS FOR FUNCTIONAL MAGNETIC RESONANCE
IMAGING............................................................................................ 177
Awojoyogbe O. B et al......................................................................... 177
BTRANSFORM AND APPLICATION TO THE SICKLE CELL MODELS ...... 202
Oyelami, B.O. et al. ............................................................................. 202
COMPARATIVE ANALYSES OF ATMOSPHERIC CO
2
AND CO
CONCENTRATIONS OVER ISSYKKUL, KYRGYZSTAN.................... 221
F.N. Okeke and E.A.Hanson ………………………………………….221
AIR QUALITY MANAGEMENT IN NIGERIA – PROBLEMS AND CTS ......... 229
J. U. UGWUANYI............................................................................... 229
SHALLOW WATER FLOW OVER A VARRYING NONUNIFORM BOTTOM
REGION.............................................................................................. 238
G C E Mbah......................................................................................... 238
LANGUAGE AND DIMENSIONALITY IN PHYSICS: THE PROSPECT OF
AFRICAN RENASCENCE.................................................................... 255
A.O.E. Animalu and A.O. Azali ........................................................... 255
CLASSICAL FOUNDATIONS:TWO VERSIONS OF MAXWELL’S EQUATIONS284
Tepper L. Gill and Woodford W. Zachary............................................ 284
THE AFRICAN SCIENTIFIC NETWORK AND PHYSICS EDUCATION IN
AFRICA............................................................................................... 321
Abebe Kebede...................................................................................... 321
DEVELOPING COMPUTATIONAL PHYSICS IN SOUTH AFRICA................ 341
Nithaya Chetty .................................................................................... 341
Proceedings of the first International Seminar on Theoretical Physics & National Development
1
COMPENDIUM OF FOUR DECADES OF PHYSICS R & D IN 36
UNIVERSITIES IN NIGERIA
A. O.E. Animalu
International Centre for Basic Research, 20 Limpopo St. FHA, Maitama Abuja,
Nigeria; and
Department of Physics & Astronomy, University of Nigeria, Nsukka, Nigeria
email: ibr32@aol.com
Abstract
In May 2006, the National Office for Technology Acquisition and Promotion
(NOTAP) contracted the International Centre for Basic Research (ICBR) to
collect and compile the compendium of completed and ongoing research
results/innovation and inventions in 36 (Federal and State) Universities founded
before 1999 in a number of fields in the sciences, engineering and medicine,
including physics. The result of this exercise in physics research and development
(R & D) is presented and the implications for national development highlighted.
1. Introduction
As this international seminar is on theoretical physics and its contribution to
national development, it is pertinent to begin this paper with a definition of
theoretical physics. According to Sir Isaac Newton, the mathematical principles of
natural philosophy ( “Principia Mathematica”) comprises the discipline currently
known as theoretical physics, that is to say, application of mathematics to the
design & investigation of natural laws governing the physical universe with the
objective of verification & prediction of the results of experimental observations.
For this reason, the historical role of theoretical physics in the development of
nations lies in the fact that it is at the foundation of engineering. For example, Sir
Isaac Newton’s three laws of motion (1688) were the precursor of the 17
th
century Industrial Revolution in Europe. James Clark Maxwell’s electromagnetic
field equations (1867) explained not only Faraday’s laws of electromagnetic
induction that govern electric power generation but also predicted the existence of
electromagnetic waves [that govern inter alia radio communication],
subsequently observed by Henrich Hertz. Albert Einstein’s special relativity
theory (1905) from which he derived the equation relating energy and mass of
matter (E=mc
2
) was the precursor of nuclear power of the 20
th
century.
Proceedings of the first International Seminar on Theoretical Physics & National Development
2
Although experimental physics was introduced in Nigeria along with other
experimental sciences at undergraduate level at the inception of University
education at Ibadan as a College of University of London in 1948, theoretical
physics development which required mastery of both pure and applied
mathematics began in earnest with the award of the first set of postgraduate
scholarships to the 1962 deserving graduating students of the University College,
Ibadan in the Department of Mathematics. As there were no faculty members in
the department to supervise theoretical physics research, two of us, Bangudu and
I, who were beneficiaries of this postgraduate scholarships were allowed to
proceed to UK for further studies in “applied mathematics”. This was how I got
admitted into the Cavendish Laboratory, University of Cambridge, as University
of Ibadan scholar on October 1962; it was while at Cavendish Laboratory that I
published the first set of research papers in theoretical solid state physics in 1965.
There were also experimental physicists of long standing who delved into
theoretical physics, especially in the area of atmospheric physics which was
among the first research areas in the country. Interdisciplinary areas of energy and
materials science involving physicists and engineers came on stream after the
1973 world wide “energy crisis”.
2. Survey and Summary of Compendium of Physics R & D in
Nigeria.
Between 1948 and 1999, a total of 36 (Federal and State) Universities were
founded in various parts of Nigeria: these are listed in Table 1 below. As
mathematics and physics were always part of the curricular, corresponding
growth has occurred in in physics R & D in the past four decades (19652005).
The difficulty in conducting a survey and documenting R&D results became
apparent after the request from the Abdus Salam International Centre for
Theoretical Physics in Trieste, Italy in connection with the hosting of the 1995
Third World Academy of Science in Nigeria yielded only a scanty response from
researchers. It was not until a decade later, in May 2006, that the National Office
for Technology Acquisition and Promotion (NOTAP) contracted the International
Centre for Basic Research (ICBR) to collect and compile the compendium of
completed and ongoing research results/innovation and inventions in the 36
(Federal and State) Universities founded before 1999 in a number of fields in the
sciences, engineering and medicine, including physics.
Of the 15,000 R & D publications collected in the survey, the partial list of
the 673 publications in physics are listed in Table 2 and in graphical form (by
decades) in Fig. 1. We find an encouraging phenomenal growth from the modest
Proceedings of the first International Seminar on Theoretical Physics & National Development
3
beginning in 1965 to the high level in 2006 covered in the survey. A large fraction
of these publications appeared in international refereed journals, as well as local
refereed journals.
3. Contributions to National Development
Characteristically, in keeping with the intellectual leadership of theoretical
physicists the world over in driving national development, the Nigerian
theoretical physicists have provided the driving force for the creation of a number
of national research programmes/institutions. We single out for mention the
following:
0
50
100
150
200
250
300
350
400
19651966 19671976 19771986 19871996 19972006
Series1
Fig.1: SUMMARY OF COMPENDIUM OF
PHYSICS R & D IN 36 UNIVERSITIES
Proceedings of the first International Seminar on Theoretical Physics & National Development
4
a. 1976 Nuclear Energy Programme under the Centre of excellence
strategy of the Federal Military Government at Obafemi Awolowo
University and Ahmadu Bello University.
b. 1981 Senate Hearing on Energy resulting in the creation by Act of
the National Assembly of national funding codenamed the
“National Energy Research Project” (bringing nuclear, solar and
other renewable energy together under the coordination of the
Energy Commission of Nigeria) and the establishment of two arms
the National Solar Energy rsearch and development centres at the
University of Nigeria, Nsukka and Utman Dan Fodio University,
Sokoto, as well as Sheda Science and Technology Complex
(Shestco), Abuja.
c. 1988 Inauguration of the National Mathematical Centre with
permanent site at Kwali near Sheda in the new Federal Capital
Territory, Abuja, following the visit of Abdus Salam of the
International Centre for Theoretical Physics to receive an honorary
doctorate decree from University of Maiduguri.
d. 1999 Establishment of National Information Technology
Development Agency headed by a theoretical physicist, Prof. Ajayi
of blessed memory.
e. 2002 Establishment of the International Centre for Basic Research
at Abuja as a nongovernmental organization and a veritable
privatesector “driver” of interdisciplinary research which
undertook this arduous task of compiling R&D results in 36
Nigerian Universities founded before 1999.
The prospects for the future is that R&D activities will be necessarily
mutlidisciplinary, despite the fact that collaborations between theoretical
physicists and other disciplines have not been particularly encouraging in
Nigeria during the period under survey. The current research tools and
methodology requiring laptops, mainframe and superconductors should be
met urgently to enable the above trend in productivity to continue. More
access of researchers to funding should be sought not only at national level
but also at regional and international levels expected from the resolutions
reached at the 2002 World Summit on Sustainable Development held in
Johannesburg (South Africa) and the 2005 World Year of Physics also held in
South Africa.
Proceedings of the first International Seminar on Theoretical Physics & National Development
5
Table 1: The 36 Nigerian Universities Founded Before 1999 in the Survey
Serial
Number
Name of
university
Year
Founded Website
No. Of
Papers
1ABSU
Abia State
University,
Uturu 1981 NA
34
2ATBU
Abubakar T.
Balewa Univ. 1988 www.atbunet.org
154
3ABU
Ahmadu Bello
University,
Zaria 1962 www.abu.edu.ng
636
4AAU
Ambrose Ali
University 1992 NA
105
5BUK
Bayero
University,
Kano 1975 www.kanoonline.com/buk/
77
6BSU
Benue State
University 1992 NA
13
7DSU
Delta State
University 1992 www.delsu.edu.ng
58
8ESUT
Enugu State
University of
S&T 1981 www.esut.edu.ng
34
9FUTA
Fed. Univ. of
Techn, Akure 1981 www.futa.edu.ng
243
Proceedings of the first International Seminar on Theoretical Physics & National Development
6
10FUTM
Fed. Univ. of
Techn, Minna 1982 www.futminna.org
82
11FUTO
Fed. Univ. of
Techn, Owerri 1980 www.futonigeria.net
165
12FUTY
Fed. Univ. of
Techn, Yola 1981 www.futy.edu.ng
241
13IMSU
Imo State
University 1992 www.imsu.edu.ng
26
14
LAUTCH
Ladoke
Akintola Univ.
Tech. 1990 NA
41
15LSU
Lagos State
University 1983 NA
178
16NDA
Nigerian
Defence
Academy 1985 NA
23
17NAU
Nnamdi
Azikiwe Univ.
Awka 1988 www.unizikportal.com
113
18OAU
Obafemi
Awolowo
Univ. 1962 www.oauife.edu.ng
722
19OOU
Olabisi O.
Univ., Ago
Iwoye 1982 www.ooung.com
112
20RSUT
Rivers State
Univ. S & T 1979 www.rsust.edu.ng
276
Proceedings of the first International Seminar on Theoretical Physics & National Development
7
21UABJ
University of
Abuja 1988 NA
26
22UNAD
University of
Ado Ekiti 1982 www.unadportal.com
837
23
UNAAB
Univ. Agric.,
Abeokuta 1988 www.unaab.edu.ng
425
24UAM
Univ. Agric.,
Makurdi 1988 NA
159
25UAU
Univ. Agric.,
Umudike 1992 NA
71
26
UNIBEN
University of
Benin 1975 www.uniben.edu
565
27
UNICAL
University of
Calabar 1975 www.unical.edu.ng
298
28UI
University of
Ibadan 1948 www.ui.edu.ng
2800
29
UNILO
University of
Ilorin 1975 www.unilorin.edu.ng
157
30
UNIJOS
University of
Jos 1975 www.unijos.edu.ng
366
31
UNILAG
University of
Lagos 1970 www.unilag.edu
807
32UNIM
University of
Maiduguri 1975 www.unimail.org
288
33UNN
Univ. of Nigeria
Nsukka 1960 www.unnedu.net
4,501
Proceedings of the first International Seminar on Theoretical Physics & National Development
8
34UPH
University of
Port Harcourt 1975 www.uniport.edu.ng
188
35UUYO
University of
Uyo 1991 www.uniuyo.edu.ng
91
36UDU
Usman Dan
Fodio Univ.
Sokoto 1975 NA
108
NA=Not Available at the time of the survey in 2006/2007.
Table 2: Summary of the Compendium of Physics R & D in 36 Nigerian
Universities (19652006).
UNIV RESEARCHER TITLE OF RESEARCH JOURNAL DATE
1 UNN Animalu A.O.E
Nonlocal dielectric
screening in metals
Phil. Mag. 11,
379 1965
2 UNN
Animalu, A.,
Heine, V.
The screened model for 25
elements
Phil. Mag. 12,
1249 1965
3 UNN Animalu A.O.E
The spinOrbit interaction
in metals and
semiconductors
Phil. Mag. 13,
1249 1966
4 UNN Animalu A.O.E
The total bandstructure
energy for 29 elements
Proc. Roy. Soc.
(London) 294A,
376 1966
5 UNN
Animalu, A.O.,
Bonsignori, F.,
Bortolani, V.
The electronphonon
contribution to the specific
heat of alkali metals
Nuov. Cim.
42B, 83 1966
Proceedings of the first International Seminar on Theoretical Physics & National Development
9
6 UNN
Animalu, A.O.,
Bonsignori, F.,
Bortolani, V.
The phonon spectra of
alkali metals and
aluminium
Nuov. Cim.
44B, 159 1966
7 UI Caldow G.L.
Vibrational Spectra and
Quantum Mechanics
J. of Maths
Assoc. of Nig.
Vol. 5 p. 91 1966
8 UI Lyon Arthur J.
Dealing with Data : some
ShortCut Methods
J. of Maths
Assoc. of Nig.
Vol. 5 p. 82 1966
9 UI
Onwumechilli
A. C.
A New Model of the
Equatorial Electrojet
Curent
Nig. J. sc. Vol. 1
p.11 1966
10 UNN Animalu A.O.E
The pressure dependence
of the electrical resistivity,
Thermopower and phonon
dispersion in liquid
mercury.
Adv. Phys. 16,
605 1967
11 UNN Animalu A.O.E
Electronic theory of phase
transition in Ca, Sr, and
Ba under pressure
Phys. Rev. 161,
445 1967
12 UNN Animalu A.O.E
Optical conductivity of
simple methals
Phys. Rev. 163,
557 1967
13 UNN Animalu A.O.E
Selfconsistent theory of
optical conducitivity of
simple metals
Phys. Rev.
163,562 1967
14 UNN
Animalu, A.O.,
Heine, Vasvari,
B.
The electronic structure of
Ca, Sr and Ba under
pressure.
Phys. Rev. 154,
535 1967
15 UNN Davies R.O.
The Calculation of
Oscilator Averages in
NJS Vol. 2 p. 1968
Proceedings of the first International Seminar on Theoretical Physics & National Development
10
Statistical Mechanics by
Means of the Winger
Distribution Function
16 UI Ette A.I.I.
Equivalent Network
Representation for aTree
Electrode System
Nig. J. Sci. Vol.
3 p. 145 1969
17 UI Ette A.I.I.
Equivalent Network
Representation for aTree
Electrode System
Nig. J. Sci. Vol.
3 p. 145 1969
18 UNILAG Akin O.
A Lagrangian with
Primary Constraints
Nig. J. Sci.
Vol.4 p.155 1970
19 UNN Animalu A.O.E
Manyelectron effects in
optical conducitivity of
simple metals by kubo
formaula
Phys. Rev. B2,
282 1970
20 UNN Animalu A.O.E
General theory of
magneticfieldinduced
surface states
Phil. Mag. 21,
137 1970
21 UNN Animalu A.O.E Mass ratio of quarks
Phys. Rev. D3,
1106 1971
22 UNN Animalu A.O.E
Charge spectrum of four
component fields with
O(4,2) sysmmetry
Phys. Rev.. D4,
1922 1971
23 UNN Animalu A.O.E
Bond states and mass
spectra of hadrons in the
quark model
Nouv. Cim.
Letters 2, 677 1971
24 UI Ette A.I.I.
On the Ion SpaceCharge
Resistance in Pointto
Plane Corona Gaps
J. W. African
Sci. Assoc.
Vol.16 p. 65 1971
Proceedings of the first International Seminar on Theoretical Physics & National Development
11
25 UI Ette A.I.I.
On the Ion SpaceCharge
Resistance in Pointto
Plane Corona Gaps
J. W. African
Sci. Assoc.
Vol.16 p. 65 1971
26 UNN Animalu A.O.E
Highfield
magnetoresistance of
metals by KuboMott
formula
Annals phys.
70, 150 1972
27 UNN Animalu A.O.E
Psedopotential approach
to magnetic energy
bandstructure and
magnetic breakdown in
metals
Annals phys.
70, 171 1972
28 UNN Animalu A.O.E Scale symmetry
Phys. Today p.
76 1972
29 UNN Animalu A.O.E
Lepton and hadron
currents in O (4,2) current
algebra
Nuov. Cim.
Letters 3, 729 1972
30 UI Maduemezia A.
Exterior Differentiator in
Spinor Fields
Nig. J. Sci. Vol.
6 p. 73 1972
31 ABU Amusa A.
Nuclear Magnetic
Hyperfine Interactions
Studied In Hemin
J. Assoc. Nig.
Conf. Vol. p. 1973
32 UNN Animalu A.O.E
Relativistic model of quark
strong interactions
Nuov. Cim.
Letters 6, 504 1973
33 UNN Animalu A.O.E
Electronic structure of
transition metals, I.
Quantum defects and
model potential
Phys. Rev. B8,
3542 1973
34 UNN Animalu A.O.E
Electronic structure of
transition metals, I. Phy, Rev.
1973
Proceedings of the first International Seminar on Theoretical Physics & National Development
12
Quantum defects and
model potential
B8,3542
35 UNN Animalu A.O.E
Electronic structure of
transition metals, II.
Phonon spectra
Phys. Rev. B8,
3555 1973
36 UNN Animalu A.O.E
Josephson current in
tunneling between coupled
superconductors
Phys. Rev. B8,
4420 1973
37 UI
Ette A. I. I. and
Utah E. U.
Studies of Point 
Discharge Characteristics
in the Atmosphere
Sc. Assoc. of
Nig. Conf.p. 67 1973
38 UI Maduemazia A.
On the Differential
Geomtric Structure of the
Linear Relativistic Free
Particle Hamilotonian
Sc. Assoc. of
Nig. Conf. p.62 1973
39 UNN Misra R.C.
Rising Regge Trajectories
in Potential Scattering
Sc. Assoc. of
Nig. Conf. p. 69 1973
40 UI Ojo Akin
Phase Transition in
Ferromagnets
Sc. Assoc. of
Nig. Conf. 1973
41 UNN Okoye S.E.
Inverse Compton Xray
Generation in Quasars
Sc. Assoc. of
Nig. Conf. 1973
42661 See complete tabulation in 2007 NOTAP Publication
662 FUTM
Udensi,E.E.,
Unuevho,C.I.,
Jonah,S.A.,et al
Geophysical Investigation
At The Gidan Kwano
Campus Of The Federal
University Of
Technology,Minna, Using
Electrical Method
NIP,29th
Annual
Conference,C01 2006
Proceedings of the first International Seminar on Theoretical Physics & National Development
13
663 UNICAL Udo S. O.
Characteristics of Diurnal
Pattern of Global
PhotosyntheticallyActive
Radiation at Ilorin ,
Nigeria
NIP.29th Anni.
Conf. 2006
664 UNN
Udounwa A.E
and Osuji R.U
Women in Physics: A
Challenge to Nation
Building
NIP Book of
Abstract 2006
665 UNN
Ugbor D.O
and
Okeke F.N.
Resistivity Survey for
Groundwater in Igbo Etiti
Local Government Area of
Enugu State,Nigeria
Book of
Abstract 2006
666 UAMAK
Ugwuanyi J.U.,
Onjefu S.A.
& Agba E.H.
Ambient Radiation Levels
In Guma Salt Mine, Benue
State Nigeria
NIP 29th
Annual
Conference 2006
667 UAMAK
Ugwuanyi J.U.,
Onjefu S.A. &
Ede D.N.A.
Monitoring Air Polution
Of Co And So Resulting
From Bye Product Of
Biomass Fuel In Otukpo
And Environs
NIP 29th
Annual
Conference 2006
668 FUTM
Umar,M.O.,
Adelabu,J.S.A.,
Adeniyi,J.O. &
Jonah,S.A.
A Study Of The Moisture
Content And Bulk Density
Of A Soil in Relation To
It's Thermal Regime
NIP,29th
Annual
Conference,E12 2006
669 FUTM
Uno,U.E. &
Kolo,M.
ThresholdLike Behaviour
Of Photoluminescence On
Heterostructure Wafer
NIP,29th
Annual
Conference,D08 2006
670 FUTM
Uno,U.E. &
Adelabu,J.S.A.
Energy And Moisture
Transfer In Compacted
NIP,29th
Annual
2006
Proceedings of the first International Seminar on Theoretical Physics & National Development
14
Soil Conference,E14
671 FUTM
Uno,U.E. &
Adelabu,J.S.A.
Characterisation Of Deep
Compaction Of Granular
Soils Using Sorptivity
Measurements
NIP,29th
Annual
Conference,E13 2006
672 UNN
Wansah J.F.,
Oparaku O.U .,
Okeke C.E &
Obi O.I
The Economics of
Cathodic Properties of Oil
Pipelines in the Niger
Delta
NIP Book of
Abstract 2006
673 UNN
Wansah J.F.,
Oparaku O.U
&
Okeke C.E
The Enviromental
Implications of Oil
Pipeline Corrosion in the
Niger Delta
NIP Book of
Abstract 2006
ACKNOWLEDGEMENTS
I wish to acknowledge with profound gratitude the contract award to the
International Centre for Basic Research by the National Office for Technology
Adaptation and Acquisition (NOTAP) to compile the R&D results, the Office of
the ViceChancellor of the University of Nigeria, Nsukka for some logistic
support and the ViceChancellors of the 36 Universities who responded to the
request for access to data by our field officers. The compendium comprises six
volumes of data, by University (Vols. 1A & 1B), by Subject (Vols. 2A and 2B)
and by Authors (Vols 3A & 3B) with soft and hard copies available as NOTAP
publication(2007), notap@post.com and notap2@yahoo.com. The compendium
on physics R &D results is available from ibr32@aol.com.
Proceedings of the first International Seminar on Theoretical Physics & National Development
15
A SOLUTION TO THE BAND GAP CATASTROPHE: PREDICTIVE
CALCULATIONS OF PROPERTIES OF SEMICONDUCTORS AND OF NUCLEI
Diola Bagayoko
Southern University System Distinguished Professor of Physics
Southern University and A&M College
Baton Rouge, Louisiana
(Bagayoko@aol.com)
Abstract
From the dawn of quantum calculations to the late 1990s, abinitio theoretical
calculations have woefully under or overestimated the band gaps of
semiconductors and insulators. Density functional theory calculations have
underestimated the band gaps of numerous semiconductors by 30 to 50% or more.
In fact, most semiconductors were theoretically predicted to be metals (i.e.,
negative band gap). On the other hand, HartreeFock calculations have led to band
gap values that are two to five times greater than the experimental ones. The
above situation, in analogy to the UV catastrophe of black body radiation, is
referred to as the band gap catastrophe. We present the Bagayoko, Zhao, and
Williams (BZW) method that has resolved the above longstanding problem
consisting of the woeful underestimation, by theory, of the measured band gaps of
semiconductors, nanostructures, and of insulators. This underestimation was
widely ascribed to shortfalls of density functional theory (DFT). Derivative
discontinuity, selfinteraction, and other features of local density approximation
(LDA) and of other implementations of DFT have been cited to explain the noted
underestimation. BZW described a welldefined “basis set and variational” effect
that accounts for most of the underestimation and introduced an abinitio
computational method that avoids this effect [Phys. Rev. B (PRB) 60, 1563
(1999); PRB 74, 245214 (2006); and PRB 76, 037101 (2007)]. Following a
detailed description of the BZW method that rests in part on the Rayleigh
theorem, we review ten years of its successful application (a) to reproduce
experimentally measured band gaps (GaN, C, Si, 3CSIC, 4HSiC, AlAs, ZnSe,
wInN, InAs, AlN, etc.) and (b) to predict unknown band gaps (cSi
3
N
4
, cInN,
and wInN) of semiconductors. We show the confirmation of these predictions by
Proceedings of the first International Seminar on Theoretical Physics & National Development
16
experiment. Further, we note that the BZW method is expected to resolve the
theoretical underestimation of the energy gaps of atoms, molecules, and of
nuclei (in the shell model). We conclude with suggested applications of the BZW
method for predictive calculations of properties of semiconductors and of nuclei
that could inform and guide the design and fabrication of semiconductorbased
and other devices. The BZW method is expected to be unavoidable in theoretical
studies of nanostructures for which quantum effects are ubiquitous and non
negligible. Acknowledgments: Work funded in part by the Department of the
Navy, Office of Naval Research (ONR, Award No. N000140510830), NASA
(Award No. NNG 05G146G), and the National Science Foundation (NSF, Award
No. HRD 0503362). Contributors to the work reported here include G. L. Zhao,
T. D. Williams, Y. Luo, L. Franklin, and H. Jin.
1. Introduction: The Description of ManyBody Systems
1. 1 Generalities
Following the emergence of Quantum Mechanics in the early 20
th
Century, much
attention was devoted to the description of manybody systems. Some of the
simplest manybody systems include the hydrogen, helium, and manyelectron
atoms in the periodic table of the elements. Other systems include molecules and
solids. While atoms and molecules are generally finite, solids are infinite.
Elemental and compound metals, semiconductors, and insulators are some typical
solids. For our purpose, we recall that metals are characterized by the fact that at
least one energy band crosses the Fermi level (i.e., the highest occupied energy
level). For semiconductors and insulators, there exists a gap between the occupied
energy bands and the unoccupied ones; the systems with small gaps (generally
less than 5 eV) are semiconductors while the others are insulators.
Most equations describing manybody systems generally seek to solve a modified
version of the following one:
) , ( ) , (
1
2
1
,
2
R r E R r
r R
Z Z
r
Z
el
i A B A j i
ij AB
B A
Ai
A
i
ψ ψ =
+ + − ∇ −
∑ ∑ ∑ ∑
> >
[1]
where the first term is the kinetic energy and the second to the fourth terms
between brackets respectively represent the electronnucleus, nucleusnucleus,
and electronelectron interactions. We employed atomic units where
Proceedings of the first International Seminar on Theoretical Physics & National Development
17
; 1 = = = e m
e
e
m and e are the mass of the electron and the absolute value of its
electric charge, respectively. For simplicity, we assume that the variable r
and
R
represent not only the coordinate variables for electrons and nuclei,
respectively, but also the attendant spin variables. The many particle wave
function is ) , ( R r
ψ . Before proceeding with modifications, we should note that
the above equation and the ones derived from it are nonrelativistic, as the
momentum chosen above (in expressing the kinetic energy) only has three and not
four components. The first approximation made to the above equation is that of
BornOppenheimer. It simply consists of assuming that the nuclei are fixed, at
least as compared to the electrons. Consequently, for the search of a solution
pertaining to electrons, the third term between brackets is dropped and the wave
function is assumed to be independent of nuclear positions and spin.
The resulting equation is
) ( ) (
1
2
1
,
2
r E r
r r
Z
el
i A j i ij Ai
A
i
ψ ψ =
+ − ∇ −
∑ ∑ ∑
>
. [2]
One of the earlier approximate forms of the above equation was introduced by
Hartree.
1
Slater
2
showed that the Hartree approximation is equivalent to assuming
that the wave function of an Nelectron system, ), (r
ψ can be written as a product
of singleparticle wave functions [ ) (r
φ ]:
) (r
ψ = ) ( )... ( ) ( ) ( ) ,... , , (
3 2 1 3 2 1 N N
r r r r r r r r
φ φ φ φ ψ = [3]
The Hartree equations have a serious limitation due to the fact that the above
wave function, the Hartree product, is not antisymmetrized, i.e., it does not
change sign upon the interchange of two electrons. In other words, it does not
satisfy the Pauli Exclusion Principle which is required for Fermions (particles
with halfinteger spins). Fock
3
overcame the above limitation of the Hartree
equations by employing properly antisymmetrized wave functions.
1.2 The HartreeFock Equations
Slater showed that Fock’s approach is equivalent to replacing the Hartree product
with a Slater determinant:
) (r
ψ = ) ,... , , (
3 2 1 N
r r r r
ψ =
∑
N
N i i i i
i i i i
r r r r
N
...
3 2 1
3 2 1
) ( )... ( ) ( ) (
!
1
φ φ φ φ [4]
Proceedings of the first International Seminar on Theoretical Physics & National Development
18
The Nsymbol above is not just to signify summation over repeated indices (i
j
, j=1
to N), but also it denotes an Ndimensional equivalent of the LeviCivita symbol.
It is zero if any two indices are equal. Its value is 1 or 1 depending on the
ordering of the indices. It changes sign for a permutation of any two consecutive
indices. Replacing, in Equation [2], ) (r
ψ with the above determinant leads to a
set of 2N coupled, nonlinear, nonlocal, integrodifferential equations known as
the HartreeFock equations. One of these equations is shown below, with the spin
variable explicitly represented with σ . Hartree equations are obtained by
dropping the fourth term in equation [5], i.e., the exchange term.
). ( ' ) ' ' ( ) (
'
1
) ' ' (
) ( ' ) ' ' (
'
1
) ' ' (
2
1
3
1
*
1
3 * 2
'
'
σ φ ε σ φ σ φ σ φ
σ φ σ φ σ φ
σ
σ
r r d r r
r r
r
r r d r
r r
r
R r
Z
k k k i
N
i
i
k
N
i
i i
A
A
A
=
−
−
−
+
−
− ∇ −
∑∑
∫
∑∑
∫
∑
=
=
[5]
Implicitly or explicitly, the HartreeFock (HF) equations embody the following
approximations: (1) the neglect of relativistic effects, (2) the BornOppenheimer
approximation, (3) a single Slater determinant represents the manyelectron
system, and (4) an electron is assumed to move in a “mean field” generated by the
other electrons. A fifth one commonly used in actual calculations consists of the
central field approximation which assumes that the wave functions of electrons in
the same atomic shell of the same element have the same radial part.
Approximations (3) and (4) signify the neglect of correlation. As explained by
Wigner,
4
correlation represents the electronelectron interactions, different from
exchange ones, that are not reducible to a meanfield treatment. Specifically,
correlation between electrons of opposite spins is known to be significant in many
systems. In the HartreeFock approach, correlation is considered when
computations are carried out with different configurations of the system (i.e.,
many Slater determinants are ultimately employed as opposed to one). These
configuration interaction (CI) calculations therefore go beyond the classic
HartreeFock. Two major difficulties in CI calculations stem from the huge
numbers of different configurations, even for relatively small systems (few
electron atoms), and the extreme sensitivity of the results to the choices of basis
functions. Consequently, the CI approach remains very limited in terms of the
systems that can be adequately studied.
From the 1930s to present, particularly after the advent of the computer around
the middle of the 20
th
Century, the HartreeFock method continues to be utilized
extensively in the study of atoms and molecules. While the method has been
Proceedings of the first International Seminar on Theoretical Physics & National Development
19
employed to study solids, its success for these infinite systems has been quite
limited. A key reason for that situation consists of the woeful overestimation of
the band gaps of semiconductors and insulators by as much as 2 to 5 times the
measured values.
In 1965, J. C. Slater
5
introduced a simplified HartreeFock equation in which the
complicated exchange term [the 4
th
one in equation 5] is replaced by ) ( σ φ r
k
times
a potential that depends on the charge density to the 1/3
rd
power. This
simplification clearly decoupled the differential equations and essentially reduced
the search for a solution to that of solving eigenvalue equations subject to the
charge density being given by
∑
=
.
*
) ( ) ( ) (
occup
k k
r r r n σ φ σ φ σ
, where the summation
is over all the occupied states. This approximation is often called the
α
X method.
It has been extensively utilized for solid state calculations from the late 1960s to
the early 1980s. The reader is urged to consult reviews of the HF method and
attempts to go beyond HF by including correlation. We turn our attention below
to the major development stemming from the introduction of density functional
theory (DFT).
2. Density Functional Theory (DFT)
In 1964, Hohenberg and Kohn proved a theorem
6
on which the density functional
theory rests. The theorem states that the ground state energy of an
inhomogeneous, interacting electron gas in a static, external field ) (r V
is a unique
functional of the ground state density. They showed that a universal functional
(the same form for all systems) provides the exchange and correlation energy
(
xc
E ) of the system in the ground state. The functional derivative of
xc
E with
respect to the density gives the exchange correlation potential. The exact form of
xc
E , however, is not known. Practical applications of DFT, in general, or of the
KohnSham theory discussed below, in particular, rest on approximate forms of
xc
E . For a given system and ) (r V
, Hohenberg and Kohn demonstrated that
) (r V
is a unique functional of the ground state density, save an additive constant.
The HohenbergKohn (HK) theorem was utilized by Kohn and Sham
7
to derive
sets of single particle equations for the description of manyelectron systems. One
set of equations is obtained by replacing the exchange term in the HartreeFock
equation [5] with )) ( ( r n V
xc
) (r
k
φ , where )) ( ( r n V
xc
is the exchange correlation
potential, a universal functional of the density. We did not explicitly show the
Proceedings of the first International Seminar on Theoretical Physics & National Development
20
spin variable ( σ ) in this expression and the following ones. This set of equations
defines what is known as the local density approximation (LDA), as the nonlocal
exchange term in equation [5] is replaced by a local expression. It should be noted
that Kohn and Sham also replaced the manybody kinetic energy by a sum of
kinetic energies of noninteracting electrons. Consequently, they obtained single
particle equations. Kohn and Sham derived another set of equations where the
nonlocal exchange term in Equation [5] is kept and )) ( ( r n V
c
) (r
k
φ is added to the
left hand side of Equation [5]. )) ( ( r n V
c
represents the correlation potential. As
stated by Kohn and Sham, this second set of equations is basically the Hartree
Fock approach corrected for correlation.
The singleparticle KohnSham equations follow, in the local density
approximation (LDA):
) ( ) ( )) ( ( '
'
) ' (
) (
2
1
2
r r r n V r d
r r
r n
r V
i i i xc
ψ ε ψ =
+
−
+ + ∇ −
∫
[6]
where )) ( ( r n V
xc
is a functional derivative of the exchange correlation energy with
respect to the charge density and
∑
=
=
N
i
r r r n
1
*
) ( ) ( ) (
ψ ψ , [7]
a sum over wave functions of occupied states only.
Equation [6] is similar to a HartreeFock equation where the exchange term is
replaced with
)) ( ( r n V
xc
) (r
i
ψ and
A
A
A
R r
Z
−
∑
) (r V
= . Kohn and Sham found, in cases of
slowly varying densities, that the exchange correlation energy can be
approximated with the expression
∫
= r d r n r n n E
xc xc
)) ( ( ) ( ] [ ε
[8] where )) ( ( r n
xc
ε is the exchange correlation energy per electron of a uniform
electron gas of density ) (r n
. DFT calculations in the local density
approximation are based on (a) an approximate form of )), ( ( r n
xc
ε which leads to
the exchange correlation potential, and (b) a self consistent solution of the system
of equations [6] and [7]. Some nonlocal versions of DFT often utilized the
Proceedings of the first International Seminar on Theoretical Physics & National Development
21
“exact” exchange, i.e., as provided by the HartreeFock equations, plus an
approximate form of the correlation potential.
The many successes of DFT in describing atoms, molecules, metals, and
semiconductors have been reviewed by von Barth.
8
One major problem ascribed
to DFT from the 1970s to 1998 consisted of a woeful underestimation of the band
gaps of semiconductors and insulators by 30 to 50% of more. In fact, up to 1998,
many semiconductors were predicted by DFT calculations to be metals (i.e., zero
or negative band gaps).
3. The Bang Gap Catastrophe
The band gap catastrophe designates not only the gross failure of theory, from
first principle, to obtain the correct band gaps of semiconductors, but also the
accompanying proliferation of schemes purporting to correct DFT or to go
beyond it altogether. While HartreeFock calculations drastically overestimate
the band gaps, most DFT computations woefully underestimate them, This serious
underestimation of energy and band gaps by DFT, respectively for finite and
infinite systems, particularly with DFT potentials obtained in the local density
approximation (LDA), led to many efforts to explain it and to overcome it.
One explanation of the gap problem stems from the selfinteraction reportedly
9
present in some form of DFT, particularly in the local density approximation
(LDA). While the exact functional of DFT is free of selfinteraction, that is not
the case for the approximate functional forms in LDA, particularly for the
description of finite systems and of the localized states in solids. A reported
second source of band gap errors is the derivative discontinuity
1012
of the energy
(mainly the kinetic and the exchange correlation energies).
The various approaches aimed at resolving the band gap problem include the
following.
• The GW approximation
13
goes beyond density functional theory, which is
for the ground state, to provide a theory for the calculations of
quasiparticle energies;
• The generalized gradient approximation (GGA)
14
is a semilocal approach
that includes the gradient of the density in the determination of the
exchange correlation potential;
• Selfinteraction correction (SIC) calculations
9
often entail the inclusion of
orbitaldependent potentials; SIC aims to correct for the reported self
Proceedings of the first International Seminar on Theoretical Physics & National Development
22
interaction from which suffer some DFT potentials, particularly the local
ones;
• LDA + C is a semiempirical approach
15
in which an additional potential,
that depends on 3 parameters, is added at each atomic site;
• LDA plus Wigner’s interpolation
4
also tends to add a supplementary
potential at atomic sites;
16
Wigner developed the interpolation to describe
correlation effects;
• Most forms of the exact exchange (EXX) approach
17
employ the “exact”
HartreeFock exchange and neglect correlation;
• The LDA+U method
18
is intended to improve the description of localized
d and f electrons in strongly correlated systems; it employs orbital
dependent functionals that include a generalized Hubbard model;
• The hybrid functional methods
19
are popular in chemistry; they generally
entail additional fitting parameters beyond what is required in standard
LDA;
• The weighted density approximation (WDA)
20
expresses the exchange
correlation energy in term of the density over a finite region; and
• In the “scissor approximation,” the unoccupied bands are simply shifted
21
upward to reproduce the experimental band gap.
Except for the GW and the GGA, most of the above methods are semiempirical,
due in part to the introduction of additional fitting parameters. Even the GW and
the GGA approaches often include a few parameters that are not present in ab
initio DFT calculations. The above list is far from being exhaustive. New schemes
continue to be published.
The persistent band gap problem rises to the level of a catastrophe for the
following reasons:
• Theory had grossly failed, from firstprinciple approaches, to obtain
experimentally measured values of the energy gaps of finite systems and
of the band gaps of semiconductors and insulators;
• This failure meant that theory could not adequately inform or guide the
design and fabrication of semiconductorbased devices; hence, the very
expensive, timeconsuming, experimental trials and errors approach had to
continue to burden industries, including the nascent nanotechnology one;
• The proliferation of schemes purporting to resolve the problems, as
illustrated above, currently resembles that of the epicycles for the
Ptolemaic model of the “Earth” system; the different results of these
Proceedings of the first International Seminar on Theoretical Physics & National Development
23
schemes, most of which entail additional computational errors unrelated to
HF or DFT, further complicate the search for abinitio or firstprinciple
solutions. In particular, it clouds the search for the actual limitations of
DFT and of the schemes purporting to correct it or to go beyond DFT
altogether for the enhancement of our fundamental understanding.
The above points underscore the critical importance of a 1998 explanation of the
cause of much of the above band gap underestimation by density functional
theory and the accompanying method to carry out properly selfconsistent
calculations that provide not only the experimental band gaps, but also predicts
gaps that are later verified by measurements.
4. Our Explanation of the Band Gap Underestimation by DFT and its
Resolution:
A Basis set and Variational Effect and the BZW Method
4.1 Our Explanation
In 1998, Bagayoko, Zhao, and Williams (BZW)
2224
introduced an explanation of
the DFT band gap underestimation that is a direct consequence of a mathematical
theorem.
24
Essentially, these authors found that selfconsistent calculations that
employ a basis set and a variational approach of the RayleighRitz type, which is
the case for most modern and abinitio calculations, suffer from a mathematical
artifact consisting of a lowering of unoccupied energy levels or bands for reasons
other than the effect of physical interactions. Needless to add that such a non
physical lowering of unoccupied energy levels or bands, while the occupied ones
do not change, leads to the woeful underestimation (i.e., very small, zero, or
negative band gaps). Selfconsistent calculations that employ a basis set are
mainly those in which the eigenfunction is expanded in a linear combination of
some known functions referred to as orbitals. In the case of solid state
calculations, these orbitals are generally those of the atomic or ionic species that
are present in a solid. For this reason, the expansion method is known as the linear
combination of atomic orbitals (LCAO). The radial parts of these orbitals are
generally exponential or Gaussian functions while the angular parts are spherical
or cubic harmonics. In some calculations, plane waves are utilized for the
expansion instead of atomic orbitals, particularly when pseudopotentials are used
to represent the effects of the core on the valence electrons. The explanation of
Proceedings of the first International Seminar on Theoretical Physics & National Development
24
the above artifact (i.e., the woeful underestimation of energy or band gaps) rests
in part on the Rayleigh theorem whose statement follows.
2425
Let an eigenvalue equation,
εψ ψ = H
, be solved twice by an LCAO method,
respectively with N and (N+1) orbitals – such that the (N+1) orbitals of
calculation II include all the N orbitals of calculation I plus an additional one.
And let the eigenvalues from the two calculations be ordered from the lowest
(
N
1
ε and
) 1 (
1
+ N
ε for I and II, respectively ) to the highest (
N
N
ε and
) 1 (
) 1 (
+
+
N
N
ε ,
respectively ). Then, the Rayleigh theorem states that
N
i
N
i
ε ε ≤
+ ) 1 (
for all N i ≤ .
Alternatively, this theorem means that a variational eigenvalue, upon an increase
of the basis set (and hence of the dimension of the matrix), is not increased. It
either stays the same (if it is equal to the corresponding exact eigenvalue of the
matrix) or it decreases to approach this exact eigenvalue from above.
This theorem, by itself, does not explain the band gap problem. To do so, one has
to refer to Equations [6] and [7] that are to be solved selfconsistently in order to
get the eigenvalues and eigenfunctions resulting from a DFT calculation.
Following the suggestions of Kohn and Sham, most LCAO type calculations
begin with a guess for the charge density as given in equation [7]. This initial
charge density is utilized to construct the exchange correlation potential, the
Hartree potential, and the entire Hamiltonian (H). Equation [6] is then solved to
obtain eigenvalues and a new set of eigenfunctions. The new eigenfunctions for
the occupied states are employed to recalculate the charge density whose new
value leads to a new potential and Hamiltonian. Equation [6] is then solved again.
This iterative process, the selfconsistency procedure, continues until no change
(greater than computational uncertainties) is found in the charge density, the
potential, the Hamiltonian, and the eigenvalues in going from a given iteration to
the next one. The process is then stopped and the eigenvalues and eigenfunctions
from the last iteration serve to describe the electronic and related properties of the
system under study. Please note well that no particular attention is paid to the size
of the basis set in the above iterative process, except for selecting a basis set as
large as possible in order to guarantee completeness.
In summary, our explanation of most of the DFT underestimation of band gaps
follows. While a basis set has to be adequately large to ensure completeness for
the description of the ground state, it is possible for basis sets to be too large
when they pass the point where an increase in their size does not lead to a change
in the charge density, the potential, Hamiltonian, and the occupied energy levels.
By virtue of the Rayleigh theorem, if the occupied energies converge with respect
to the size of the basis set, then any further addition of orbitals could lead to a
Proceedings of the first International Seminar on Theoretical Physics & National Development
25
lowering of some unoccupied energy levels while the occupied ones do not
change. It is such a lowering that is a mathematical artifact and not any intrinsic
limitations of DFT. From a purely mathematical point of view, equations [6] and
[7] are both to be solved selfconsistently. To do so requires (a) an iterative
process to obtain converged eigenvalues of equation [6] for any given initial
charge density (i.e., basis set) and (b) a second iterative procedure where the
results of step (a) are converged, for the ground state, with respect to an increase
of the size of the basis set. The Rayleigh theorem dictates the selection of the
results from the selfconsistent calculation before the last one in procedure (b).
We describe below the Bagyoko, Zhao, and Williams (BZW) method that
properly solves selfconsistently both equations [6] and [7] as indicated in (a) and
(b) above.
4.2 The Bagayoko, Zhao, and Williams (BZW) Method
In contrast to the usual single iterative process, Bagayoko, Zhao, and Williams
(BZW) introduced
2225
a method characterized by two embedded iterative
procedures as follows.
1. Like other calculations, precautions are taken to include all the angular
functions that may be relevant for the description of the system under
study; the angular functions of the atomic or ionic species present in the
system are naturally included;
2. In accord with other calculations, the BZW method includes polarization
orbitals (i.e., orbitals with relatively small exponents) that are needed to
describe the rearrangements of the electronic cloud in molecular or solid
environments as compared to elemental, atomic or ionic ones;
3. Unlike all other calculations, however, the BZW method performs not one
but several selfconsistent calculations; the first calculation employs the
minimal basis set needed for the description of the system under
consideration. The basis set is then augmented by adding one orbital (or a
very few) and completely selfconsistent calculations are performed with
the enlarged basis set. The occupied eigenvalues of a selfconsistent
calculation [with N orbitals] are compared to those of the one following it
[with generally (N+1) orbitals]. This process of methodically increasing
the basis set and of comparing the occupied eigenvalues continues until no
difference are found between these occupied eigenvalues of a calculation
(SC
m
) and those of the one following it (SC
m+1
). Then, in the BZW
method, the results of calculation SC
m
(eigenvalues and eigenfunctions)
are the ones that provide the physics description of the system under
Proceedings of the first International Seminar on Theoretical Physics & National Development
26
study. The basis set for calculation SC
m
is referred to as the optimal basis
set, i.e., the one sufficiently large to the point where larger basis sets do
not lead to any change in the occupied states (or the charge density,
potential, and Hamiltonian), even though they may lead to nonphysical
lowering of some unoccupied energies by virtue of the Rayleigh theorem.
For all the systems we studied to date, we found m to be 2, 6, or between
these two numbers.
Features 1 and 2 above are generally well known in the literature. Feature 3 is
unique to the BZW method. The question related to it follows: Do the outcomes
of BZW calculations describe the physics of the systems under study without
suffering from a lack of completeness of the basis set or other limitations? The
affirmative answer to this question rests on the methodical increase of the basis
set as done in Feature 3 above. Indeed, this feature not only guarantees that the
basis set is complete for the description of the occupied states (i.e., the ground
state of the system, the only one to which DFT applies), but also does so in a
verifiable manner. In contrast, most of the other calculations employ large basis
sets without actually verifying that they adequately describe the ground state.
Further, these other methods, on account of the very large basis sets, produce
unoccupied energy levels or bands that are much lower than is ascribable to actual
physical interactions. Indeed, on account of the Rayleigh theorem, unnecessarily
large basis set lead to extralowering of the unoccupied energies while the
occupied ones do not change. As far as the ground state is concerned, this extra
lowering is not due to physical interactions; it is rather a direct consequence of the
Rayleigh theorem.
In fact, the above extralowering affects most of the unoccupied energy levels or
bands, not just the lowest lying ones. The band gap problem was the symptom of a
broader one consisting of an incorrect description of unoccupied energy levels or
bands of atoms, nuclei (in the shell model), molecules, semiconductors, and
insulators. Consequently, the BZW method appears to be necessary for the
correct description of materials, with DFT and nonDFT potentials alike. Indeed,
Zhao et al.
24
verified that for materials that are known to be metals, the BZW
method may not be needed. Intuitively, this result is not surprising  given that at
least one band crosses the Fermi energy, the lowest lying, unoccupied bands
converge at the same time as the occupied ones do, with increasing sizes of the
basis set as described above in iteration (b). Without the BZW method, however,
one cannot reliably study a new material: due to the band gap underestimation, a
novel semiconductor or insulator could be seen as a metal! The method also
seems unavoidable for the theoretical studies of nanostructures (nanotubes,
Proceedings of the first International Seminar on Theoretical Physics & National Development
27
nanobells, etc). Indeed, at the nanoscale, quantum effects are not only ubiquitous
but also nonnegligible.
5. Ten Years of Successful DFTBZW Calculations:
Correct Band Gaps, Effective Masses, and Optical Properties
We published our first preliminary applications of the BZW method in 1997,
26
and presented them at the 1998 March meeting of the American Physical Society
(APS).
22
The method was fully outlined in connection with its correct description
of not only the band gap and electron effective mass, but also the optical
properties of barium titanate (BaTiO
3
).
23
This work on barium titanate gave the
first indication that the band gap problem was a symptom of a larger one, i.e., the
incorrectly low, unoccupied bands of semiconductors and insulators. This
conclusion is a direct consequence of the agreement between our calculated
dielectric functions for BaTiO
3
and the measured ones – inasmuch as our
calculation only included direct transitions from occupied to unoccupied energy
bands. This agreement implies that we also obtained the correct, wave vector
dependent, energy separations between the valence and conduction bands.
Similarly, DFTBZW calculations reproduced the experimentally measured band
gaps of wurtzite GaN, silicon (Si), and diamond.
24
In this work, we showed that
the charge density, the potential, and the Hamiltonian do not change once the
occupied energies converge with respect to the size of the basis set. In particular,
we obtained the correct results with charge densities and Hamiltonians generated
with basis sets larger than the optimal one, provided that the calculations of the
energy bands are carried out with the optimal basis set. In contrast, the same
Hamiltonians led to lower unoccupied energies, due to the Rayleigh theorem,
when the bands are calculated using basis sets larger than the optimal one.
The volume of our results over the last ten years is such that a thorough
description of them is not possible in the available space. Consequently, we
provide below a summary of these results with emphasis on the band gaps and the
electron effective masses that are compared with experiment. The reader is
referred to the cited DFTBZW articles for details and for the complete
referencing information on the experimental results to which DFTBZW findings
are compared. The above summary is best provided with the figure and table
below.
The following table compares calculated DFTBZW results for several
semiconductors to the corresponding experimental findings. As the content of the
table shows, the calculated band gaps and the electron or hole effective masses
Proceedings of the first International Seminar on Theoretical Physics & National Development
28
agree very well with experiment. We should recall that most other DFT
calculations obtained either negative band gaps or values that are 3050% smaller
than the measured ones. While some GW calculations obtained gaps comparable
to our results, their corresponding effective masses are lower than the measured
ones. The fact that our effective masses agree with experiment is a significant
indication of the proper description of the curvatures of the bands by DFTBZW
calculations.
The content of this table shows results over the last ten years, from 1997 to 2007.
We should underscore the fact that our results for cubic Si
3
N
4
and InN were
predictions made before the availability of any experimental results. For cInN,
we correctly predicted both the band gap and the lattice constant. Even though
we do not show any optical properties calculations, they are available in the
article
23
on BaTiO
3
and in References 36 and 37. Readers most comfortable with
the French language are urged to consult Reference 38.
Figure 1. DFTBZW band structures of ZnO
28
resulting from Calculation II
(full lines) and Calculation III (), with the Fermi levels from the two
calculations superimposed. The optimal basis set is that of calculation II. Please
note the perfect superposition of the occupied energies from Calculations II and
III while calculation III leads to a drastic lowering of some unoccupied bands. The
convergence of the occupied energies (resulting from that of the potential and
Hamiltonian) identifies the final, physical band structure as the one from
Calculation II.
Proceedings of the first International Seminar on Theoretical Physics & National Development
29
Table I. DFTBZW Calculated Band Gaps and Effective Masses of Selected
Semiconductors, Including SingleWall Carbon Nanotubes (SWCNT)
The band gaps (E
g
) are in electron volts (eV); the effective masses are in units of
m
0
, the mass of the electron. W
v
refers to the width of the valence band. w and c
indicate wurtzite and cubic crystals.
*
 , n
M and
*
 , p
M are respectively the effective masses
of the electron and of the hole in the direction parallel to the caxis of wurtzite crystals.
*
,⊥ n
M and
*
,⊥ p
M are respectively the effective masses of the electron and of the hole in the
direction perpendicular to the caxis.
*
,t n
M and
*
,l n
M respectively represent transverse and
longitudinal effective masses for the electron.
BaTiO
3
Calculation
23,26
Measurement Diamond Calculation
24
Measurement
Eg
2.6 eV 2.8, 3.0 eV Eg 5.05 eV 5.3, 5.48 eV
*
 , p
M
7.5 m
0
anisotropic W
v
21.35 eV 21 ± eV
*
,⊥ p
M
1.2 m
0
*
 , n
M
1.1 ± 0.2 m
0
1.4 m
0
*
 , n
M
3.4 m
0
*
,⊥ p
M
0.30 ± 0.03
m
0
0.36 m
0
Proceedings of the first International Seminar on Theoretical Physics & National Development
30
*
,⊥ n
M
1.2 m
0
1.0 – 1.5 m
0
wGaN Calculation
24
Measurement 3CSiC
Calculation
27
Measurement
Eg 3.2, 3.4* eV ~3.4 eV
Eg 2.24 eV 2.2, 2.4 eV
*
 n
M
0.22± 0.03 m
0
0.2± 0.02 m
0
*
,Γ X
M
0.72± 0.04
m
0
0.68± 0.015 m
0
*
,W X
M
0.22± 0.02
m
0
0.25± 0.01 m
0
Si Calculation
24
Measurement 4HSiC Calculation
27
Measurement
Eg 1.02 eV 1.14, 1.17 eV Eg 3.11 eV 3.2, 3.3 eV
W
v
12.1 eV 12.5 eV
*
,⊥ n
M
0.41± 0.02m
0
0.42 m
0
*
,t n
M
0.20 ± 0.03 m
0
0.19 m
0
*
 , n
M
0.31± 0.02
m
0
0.33, 0.29 m
0
*
,l n
M
0.93 ± 0.03 m
0
0.98 m
0
*
,Γ M
M
0.62 ± 0.03
m
0
0.58 ± 0.01 m
0
wZnO Calculation
28
Measurement cSi
3
N
4
Prediction
29
Measurement
34
Eg 3.2 eV 3.4 eV Eg 3.68 eV 3.63.7 eV
A1N Calculation Measurement ZnSe
Calculation
30
Measurement
Eg 5.56.2 eV 6.06.2 eV Eg 2.63.1 eV 2.8 eV
Carbon (8, 4) nanotube
31
Carbon (10, 0) nanotube
31
Eg 0.90 eV Not Available Eg 0.95 eV Not Available
wInN Prediction
32
Measurement cInN Predictions
33
Measurement
Eg 0.88 eV 0.71.0 eV Eg 0.65 eV 0.61 eV
Latt. Cst. a=5.017 Å a=5.01±0.01 Å
AlAs Calculation
25
Measurement InAs Calculation Measurement
Eg 2.15 eV 2.23 eV Eg 0.36 eV 0.35 eV
6. Summary and Conclusion
We have reviewed the basic foundations of contemporary, quantum mechanical
calculations of electronic and related properties of atoms, molecules, and solids.
Despite the great progress made in the second half of the 20
th
Century, the band
gap catastrophe was a serious challenge for the last 50 years. Indeed, the Hartree
Fock and DFT calculations, before 1997 for the latter, respectively over and
underestimated the energy or band gaps of finite or infinite systems. While the
GW approach led to some band gaps in agreement with experiment, different
authors have reported inconsistent findings depending on the approximation they
adopted to carry out the calculations. Further, the GW calculations do not
generally obtain the correct effective masses. This failure indicates an incorrect
description of the curvatures of some bands.
Proceedings of the first International Seminar on Theoretical Physics & National Development
31
In 1998 and 1999, we described a nontrivial basis set and variational effect that
affected most previous calculations that employed a basis set in a variational
approach of the RayleighRitz type. This very well defined effect is not to be
confused with the “unspecified” basis set effect often noted in the literature. Our
description rests on the Rayleigh theorem and the fact that only the wave
functions of occupied states are included in the construction of the charge density,
potential, and Hamiltonian. Bagayoko, Zhao, and Williams (BZW) introduced
their method that resolved the woeful underestimation of band gaps by DFT
calculations that utilize it. This method recognizes, for the first time, that it is not
one but two coupled equations [see [6] and [7]) that have to be solved self
consistently. The resulting doublyiterative approach is the hallmark of the BZW
method that is entirely abinitio. We presented summary results of the method
over a period of ten years.
We conclude by asserting that the method is expected to resolve the woeful
underestimation of the energy gaps in atoms, molecules, clusters, nanobells, and
other systems. This assertion rests on the simple fact that the same coupled
equations describe these systems. Further, the method is expected to resolve a
similar gap problem for nuclei in the shell model. Essentially, the BZW method
has ushered in an era of predictive calculations of electronic and related properties
of materials – as illustrated above in the experimentally verified predictions for c
Si
3
N
4
, wInN, and cInN. The merit of the method resides in (a) its correct
description of energy or band gaps, (b) its accurate results for effective masses,
and (c) its agreement with experiment for the optical properties (i.e., dielectric
functions). While (b) points to the correct reproduction of the curvatures of both
occupied and unoccupied bands, (c) means that the method also provides the
correct, wave vector dependent, energy separations between occupied and
unoccupied bands. The application of the method to the study of finite and
infinite systems is expected to lead to a major advancement of our fundamental
understanding by unveiling the true limitations of DFT as opposed to the ones
ascribed to it and which included the woeful underestimation of band gaps. Its
application should concomitantly lead to an assessment of the various schemes
that purport to correct DFT or to go beyond it.
In light of the above features or capabilities of the BZW method, it can lend itself
to true molecular and semiconductor engineering, including the prediction of new
materials with correctly determined electronic properties and informing and
guiding the design and fabrication of semiconductor or nanomaterialbased
devices. Additionally, the accurate interatomic potentials from DFTBZW
calculations could immensely benefit simulations. The above noted advancement
of our fundamental understanding, in particular, is direly needed.
Proceedings of the first International Seminar on Theoretical Physics & National Development
32
7. Bibliography of Cited Literature
1. D. R. Hartree, Proc. Cambridge Phil. Soc. 21, 615 (1924). See also E. Fues, Z.
Physik 11, 369 (1922).
2. “Note on the Hartree’s Method, a letter to the editor, J. C. Slater, Phys. Rev. 35,
210 (1930).
See also “A simplification of the HartreeFock Method,” J. C. Slater, Phys.
Rev. 81, 385 (1951).
3. V. A. Fock, Z. Physik, 61, 126 (1930).
4. “On the interaction of electrons in metals,” Eugene Wigner, Phys. Rev. 46,
1002 (1934).
5. “Selfconsistentfield
α
X cluster method for polyatomic molecules and solids,”
J. C. Slater and K. H. Johnson, Phys. Rev. B5, 844 (1972). See also J. C.
Slater, J. Chem. Phys. 43, S228 (1965).
6. “Inhomogeneous Electron Gas,” P. Hohenberg and W. Kohn, Phys. Rev 136,
No.3B, B 864 (1964).
7. “Self Consistent Equations Including Exchange and Correlation Effects,” W.
Kohn and L. J. Sham, Phys. Rev. 140, A1133 (1965). See also “One
Particle Properties of an Inhomogeneous Interacting Electron Gas,” L. J.
Sham, and W. Kohn, Phys. Rev. 145, No.2, 561 (1966).
8. “Basic DensityFunctional Theory an Overview,” U. von Barth, Physica
Scripta T109, pp939 (2004).
9. “Selfinteraction correction to densityfunctional approximations for many
electron systems,” J. P. Perdew and Alex Zunger, Phys. Rev. 23, No. 10,
5048 (1981).
10. “DensityFunctional Theory for Fractional Particle Number: Band Gaps and
Derivative Discontinuities of the Energy,” John P. Perdew, Robert G. Parr,
Mel Levy, and Jose L. Balduz, Jr. Phys. Rev. Lett.. 49, No. 23, 1691 (1982).
11. “Physical Content of the Exact KohnSham Orbital Energies: Band Gaps and
Derivative Discontinuities,” John P. Perdew and Mel Levy, Phys. Rev.
Lett.. 51, No. 20, 1884 (1983).
Proceedings of the first International Seminar on Theoretical Physics & National Development
33
12. “DensityFunctional Theory of the Energy Gap,” L. J. Sham and M. Schlüter,
Phys. Rev. Lett. 51, No. 20, 1888 (1983).
13. “New method for calculating the oneparticle Green’s function with
application to the electrongas problem,” Lars Hedin, Phys. Rev. 139, A796
(1965). See “bandgap problem in semiconductors revisited: Effects of core
states and manybody selfconsistency,” Wei Ku and Adolfo G. Eguiluz,
Phys. Rev. Lett. 89, 126401 (2002).
14. “Theory of nonuniform electronic systems: I. Analysis of the gradient
approximation and a generalization that works,” David C. Langreth and
John P. Perdew, Phys. Rev. B 21, 5469 (1980); “Beyond the localdensity
approximation in calculations of groundstate electronic properties,” D. C.
Langreth and J. P. Perdew, Phys. Rev. B 28, 1809 (1983); and “Generalized
Gradient Approximation made simple,” J. P. Perdew, K. Burke, and M.
Emzerhof, Phys. Rev. Lett. 77, 3865 (1996).
15. “Fingerprint of CuPt ordering in IIIV semiconductor alloys: Valenceband
splittings, band  gap reduction, and xray structure factors,” SuHuai Wei
and Alex Zunger, Phys. Rev. B 57, 8983 (1998).
16. “Electronic, optical, and structural properties of some wurtzite crystals,”
YongNian Xu and W. Y. Ching, Phys. Rev. B 48, 4335, (1993).
17. “AllElectron Exact Exchange Treatment of Semiconductors: Effect of Core
Valence Interaction on BandGap and dBand Position,” S. Sharma, J. K.
Dewhurst, and C. AmbroschDraxl , Phys. Rev. Lett. 95, 136402 (2005)
18. “O(N) LDA + U electronic structure calculation method based on the
nonorthogonal pseudoatomic orbital basis,” Myung Joon Han, Taisuke
Ozaki, and Jaejun Yu, Phys. Rev. B 73, 045110 (2006).Also see “Band
theory and Mott insulators: Hubbard U instead of Stoner I,” V. I. Anisimov,
J. Zaanen, and Ole K. Andersen, Phys. Rev. B 44, 943 (1991).
19. “Assessment of Gaussian3 and Density Functional Theories for a Larger
Experimental Test Set,” L. A. Curtiss, K. Raghavachari, P. C. Redfern, and
J. A. Pople, I. Chem. Phys. 112, 7374 (2000) and references therein.
20. “Comparing the weighted density approximation with the LDA and GGA for
groundstate properties of ferroelectric perovskites,” Phys. Rev. B 70,
104112 (2004).
Proceedings of the first International Seminar on Theoretical Physics & National Development
34
21. “Band theory of linear and nonlinear susceptibilities of some binary ionic
insulators,” W. Y. Ching, Fanqi Gan, and MingZhu Huang, Phys. Rev. B
52, 1596 (1995).
22. “A Spurious Effect and LDA Prediction of the Correct Band Gap in
BaTiO
3
.” D. Bagayoko, G. L. Zhao, and Troy D. Williams. Bulletin, APS,
Vol. 43, No. 1, p. 846, (1998)
23. “Abinitio Calculations of the Electronic Structure and Optical Properties of
Ferroelectric Tetragonal BaTiO
3,
” D. Bagayoko, G. L. Zhao, J. D. Fan, and
J. T. Wang, Journal of Physics: Condensed Matter, Vol. 10, No. 25, 5645
(June, 1998).
24. “LocalDensityFunctional Prediction of Electronic Properties of GaN, Si, C,
and RuO
2,
” G. L. Zhao, D. Bagayoko, and T. D. Williams. Physical Review
B60, 1563, 1999. Also see Contraction of Gaussian Basis Sets and the Total
Energy of FCC Copper.” D. Bagayoko, Inter. Jour. Quant. Chem. 17, 527
(1983).
25. “Density Functional Band Gaps of AlAs.” H. Jin, G. L. Zhao, and D.
Bagayoko. Phys. Rev. B73, 245214 (2006).
26. “FirstPrinciple Study of the Electronic Structure and Polarization in
Ferroelectric BaTiO
3,
” D. Bagayoko, G. L. Zhao, J. D. Fan, and J. T.
Wang. Proceedings, Louisiana Academy of Science (LAS), (1997).
27. “Electronic Structure and Charge Transfer in 3C and 4HSiC,” G. L. Zhao
and D. Bagayoko, New Journal of Physics (NJP), 2000, UK;
http://www.iop.org/EJ/abstract/13672630/2/1/316.
28. “LDA and LCAOBZW Description of Electronic Properties of Wurtzite Zinc
Oxide (wZnO).” Diola Bagayoko, Lashounda Franklin, and G. L. Zhao.
Proceedings of the 2005 National, Conference of the National Society of
Black Physicists (www.nsbp.org), Orlando, Florida.
29. "Predicted Electronic Properties of Cubic Silicon Nitride (cSi
3
N
4
), D.
Bagayoko and G. L. Zhao. Physica C 364365, Pages 261264, 2001.
30. “The BZW Method and the Electronic Properties of Zinc Selenide (ZnSe).”
Lashounda Torrence, Diola Bagayoko, and G. L. Zhao. Accepted for
publication in Proceedings, 2002 Annual Conference of the Louisiana
Academy of Science, Baton Rouge, Louisiana.
Proceedings of the first International Seminar on Theoretical Physics & National Development
35
31. “Effective Masses of Charge Carriers in Selected Symmorphic and
Nonsymmorphic Carbon Nanotubes.” G. L. Zhao, D. Bagayoko, and L.
Yang, Phys. Rev. B 69, 245416, June 2004.
32. “Density Functional Band Gap of Wurtzite InN.” Diola Bagayoko and
Lashounda Franklin, Journal of Applied Physics, 97, 123708, 2005.
33. “Predictions of Electronic, Structural, and Elastic Properties of Cubic InN,”
D. Bagayoko, Lashounda Franklin, and G. L. Zhao, Journal of Applied
Physics 96, 4297 4301, 2004. Also see Comment on “Band structures and
optical properties of InN polymorphs: Influence of quasiparticle and
excitonic effects, Phys. Rev. B 76, 037101 (2007).
34. R. G. Egdell, V. E. Henrich, R. Bowdler, and T. Sekine, J. Appl. Phys 94,
6611, 2003.
35. J. Schörmann,D. J. As,K. Lischka, P. Schley, R. Goldhahn, S. F. Li, W.
Löffler, M. Hetterich, and H. Kalt, Appl. Phys. Lett. 89, 261903, 2006.
36. “Calculated Optical Properties of Wurtzite InN,” H. Jin, G. L. Zhao, and D.
Bagayoko, Journal of Appl. Phys. 101, 033123 (2007).
.37. “Optical Properties of Aligned Carbon Nanotube Mats for Photonic
Applications.” G. L. Zhao, D. Bagayoko and L.Yang. Journal of Appl.
Phys. 99, 2006.
38. “Predictions des Propriétés Electroniques des Atomes, Molécules, et Semi
conducteurs.” D. Bagayoko. Proceedings, 2004 Malian Symposium of
Applied Sciences (MSAS), Bamako, Mali. pp 5358. ISBN No. 95142
80261..
39. “Structural, Elastic, and Electronic Properties of Carbon Nanotubes Under
Uniaxial Strain,” A. Pullen, G. L. Zhao, D. Bagayoko, and L. Yang.
Physical Review B 71, 205410 (2005). [Mr. Pullen is a former Timbuktu
Academy Scholar currently pursuing a Ph.D. in Physics at the California
Institute of Technology (Caltech)].
40. “Electronic Structure of Short Carbon Nanobells,” G. L. Zhao, D. Bagayoko,
and E. G. Wang, Modern Physics Letters B., Vol. 17, 375 (2003).
Proceedings of the first International Seminar on Theoretical Physics & National Development
36
FULL POTENTIAL – LINEARIZED AUGMENTED PLANE WAVE (FPLAPW) IN
THE FRAMEWORK OF DENSITY FUNCTIONAL THEORY
C.A. Madu and B.N Onwuagba
Department of Physics, Federal University of Technology Owerri, Nigeria
Email: cadamadu@yahoo.com
Abstract
Full PotentialLinearized Augmented Plane Wave (FPLAPW) method was used
in the framework of Density Functional Theory (DFT) using the Generalized
Gradient Approximation (GGA) to study the electronic and structural properties
of some semiconductors. The results obtained are quite good and compare
favourably with some previous experimental and theoretical results. The
applications are useful, interesting and exciting.
Keywords: Full PotentialLinearized Augmented Plane Wave (FPLAPW)Density
Functional Theory (DFT) using the Generalized Gradient Approximation (GGA)
PACS Nos: 71.15.Ap; 71.15.m
1. INTRODUCTION
The density functional theory [1] has proved to be very good for self
consistentfield electronic structure calculations of the groundstate properties of
atoms, molecules and solids. The KohnSham [2] equations are the basic
equations of density functional theory. The Linearized Augmented Plane Wave
[3] method has proved to be one of the most efficient schemes for solving the
KohnSham equations for the groundstate density, total energy and KohnSham
eigenvalues (energy bands) of a many electron system. However the KohnSham
equations contain the exchange correlation energy through which approximation
enter the DFT. The success of DFT lies on good approximation for the exchange
correlation energy. In recent years the most popular approximation to the
exchange correlation, energy is the generalized gradient approximation (GGA) [4]
which depends on both the density and its gradient at each point in space. The
LAPW uses the muffintin approximation in which the potential is spherically
averaged around each atomic site. In the LAPW method, the unit cell is divided
Proceedings of the first International Seminar on Theoretical Physics & National Development
37
into two regions nonoverlapping atomic spheres called the muffintin region
and an interstitial region. The charge densities around the atoms are then written
as a linear combination of radial functions times spherical harmonics and a
Fourier series in the interstitial region.
In this work we present selfconsistent firstprinciples calculations for the
electronic and structural properties of BP and AlP which are zincblende semi
conductors. We employ the FullPotential Linearized Augmented Plane Wave
(FPLAPW) method within the DFT. The exchange correlation energy is
calculated using the Generalized Gradient Approximation GGA which depends
on both the spin densities and their gradients. The Perdew, Burke and Ernzerhof
PBE [5] version of GGA is used. The paper is arranged as follows: in section 2
we will briefly describe the computational method used in getting the structural
and electronic properties of BP and AlP. In section 3 we will display our results
and use it to compare with previous theoretical and experimental data. The
conclusion will be drawn in Section 4.
2. Method of Calculations
In this section we present the technique used in the calculation of the band
structure of BP and AlP. All the computations are done using the FPLAPW
method within the Density Functional Theory. The exchange correlation potential
was calculated within the Generalized Gradient Approximation using the Perdew
BurkeErnzerhof (PBEGGA) scheme. The method is implemented using the
WIEN2K [6] code. In this code a basis set is obtained by the unit cell into non
overlapping atomic spheres and an interstitial region.
The sphere radii (in atomic units) used in the calculations for B, Al and P are 1.4,
1.8 and 1.8 respectively. Inside these spheres the charge densities are written as a
linear combination of radial functions times spherical harmonics and a Fourier
series in the interstitial region. To obtain energy eigenvalues convergence, the
basis function was expanded up to R
MT
K
max
= 7.5 for BP and AlP where R
MT
is
the interstitial plane wave cutoff. The convergence criterion was specified as
charge to a value of 0.0001. The Brillouin zone integrations were carried out with
116kpoints for BP and 91kpoints for AlP respectively in the irreducible part of
the Brillion zone.
Proceedings of the first International Seminar on Theoretical Physics & National Development
38
3. Results and Discussion.
The total energy of the semiconductors was calculated as a function of the lattice
constant using the FPLAPW method and the PBEGGA form of exchange
correlation energy without spinorbit coupling. The calculated total energies are
then fitted to the Murnaghan equation of state [7]. The equilibrium lattice constant
a, bulk modulus B and the pressure derivative of the bulk modulus B′ for the
semiconductors along with experimental values(where available) and results by
earlier workers are listed in Table 1.
Table 1 Structural parameters of BP and AlP
Present work Other calculated values Experiment
BP
a(Å)
B(Mbar)
B′
4.5522
1.6135
3.8841
4.546[8] 4.61[9]
1.70[8]
3.07[8] 3.7[10]
4.538[11]
1.73[11]
AlP
a(Å)
B(Mbar)
B′
5.5125
0.8169
4.2303
5.40[12] 5.48[12]
0.90 0.88
5.451[13]
0.86[11]
The equilibrium lattice constants of the the zinc blende BP and AlP overestimate
the experimental lattice constants by 1.15% and 1.73% respectively. With this
small difference we can conclude that the calculated values of the structural
properties are in reasonable agreement with experiment. An earlier computation
by Onwuagba [9] using the tightbinding linear muffintin orbital (TBLMTO)
method found the lattice constant of BP to be 4.61Å which is 1.54% higher than
experimental value. However, our result for the lattice constant of AlP
overestimates that by RodriguezHernandez and Munoz [12] by 2.08%. This
overestimation of lattice constants is characteristic of the GGA.
Proceedings of the first International Seminar on Theoretical Physics & National Development
39
The electronic band structure of these semiconductors was also calculated. The
calculations were done along the high symmetry lines of the Brillouin zone. The
experimental lattice constants were used in the calculations.
We display the relativistic band structures of the semiconductors in figures 1(a
and b).
The graphs are for a plane through the Brillouin zone, surrounded by the kpoints
WLΛΓ∆XZWK. The position of the Fermi level is shown by the zero of
the energy scale. The positions of symmetry points are indicated by vertical lines.
In the two compounds BP and AlP, the valence band maximum occurred at the Γ
point while the conduction band minimum is at the Xpoint thus predicting all to
be indirect band gap (ΓX) materials. The calculated energy band gaps for BP and
AlP are shown in Table 2.
Fig 1a: Band structure of BP Fig 1b: Band structure of AlP
Proceedings of the first International Seminar on Theoretical Physics & National Development
40
Table 2: Energy band gaps (eV) for BP and AlP
Present Work Experiment Other calculated values
BP 1.3376 2.05[11] 1.31, 2.33 2.18,
AlP 1.5734 2.51[11] 1.44, 1.48 2.62
Overall the present values of the energy band gaps of the compounds
underestimate the experimental values. This has been corroborated by earlier
workers. Okoye [14] found underestimation of up to 54% using the GGA as
exchange correlation energy. It has been suggested that the band gap problem
likely occurs due to the lack of nonlocality and energy dependence in the
exchange–correlation potential used in density functional formalism. However,
the overall band profiles obtained are in agreement with those by earlier workers.
Fig. 2 (a and b) show the total density of states for BP and AlP at the equilibrium
lattice constant within the GGA.
Fig. 2a: Partial and total density
of states for BP
Fig. 2b: Partial and total density
of states for AlP
Proceedings of the first International Seminar on Theoretical Physics & National Development
41
The prominent peaks to the left of the Fermi level i.e. the valance bands arise
primarily from the P atom while the peaks in the conduction band are due to B
and Al. For AlP the first prominent peak is at 10eV. By comparing with the
partial density of states it is found that the P atom is responsible for this peak
while the sharp peak at 5eV is contributed mainly by the Al atom. The band
gaps correspond to that observed in the band structure.
4. Conclusion
In this paper we have done an analysis of the electronic and structural properties
of BP and AlP using the FPLAPW method. The exchangecorrelation energy
used is PBEGGA. The results give band structures that are in agreement with
previous theoretical studies. Our results show that BP and AlP have indirect gap
(Γ – X). The results of the structural properties are also in reasonable agreement
with the results by previous workers and experimental data.
Acknowledgements
The authors would like to thank Professor P Blaha and his team for providing the
WIEN 2K code used in the computations.
5. REFERENCES
1. Hohenberg P. and Kohn W., Phys. Rev 136:B 864 (1964).
2. Kohn W. and Sham L. J. ; Phys. Phys. Rev.140 A 1133 (1965)
3. Andersen O.K.; Phys. Rev. B12 3060 (1975)
4. Perdew J. P. and Wang Y.; Phys. Rev. B45 13244 (1992)
5. Perdew J.P., Burke S. and Ernzerhof M.; Phys. Rev. Lett. 77 3865 (1996)
6. Blaha P., Schwarz K., Madsen G., Kvasnicka D. and Luitz J; 2001 WIEN2K
[Improved and updated Unix version of the original copyrighted WIEN
CODE, Vienna University of Technology, Comput. Phys. Commun. 59
399 (1990)
7. Murnaghan F.D.; Proc Natl. Acad. Sci. 30 244 (1944) .
Proceedings of the first International Seminar on Theoretical Physics & National Development
42
8. Zaoui A. and El Haj Hassan F.; J. Phys Matter 13 253 (2001)
9. Onwuagba B.N.; Solid State Comm. 89 289 (1994)
10. Lambrecht W. R. L. and Segall B. Phys. Rev. B43 4040 (1991)
11.Semiconductor, Group IV Elements and IIIV Compounds, edited by O.
Madelung, LandoltBornstein, New Series,Group III, Vol. 17, Pt. a (Springer
Verlag, Berlin, 1991)
12. RodriguezHernandez P. and Munoz A.; Semicond. Sci. Technol. 7 1437
(1992)
13. Wyckoff R.W.G.; Crystal structure (Wiley, New York, 1963)
14. Okoye C.M.I.; Phys. B337 1 (2003)
Proceedings of the first International Seminar on Theoretical Physics & National Development
43
A PHENOMENOLOGICAL APPROACH TO A MODEL OF SUPEREXCHANGE
INTERACTIONS IN OPTICAL WELLS
Godfrey E. Akpojotor
1,2
and Weibin Li
1
1
Max Planck Institute for Physics of Complex Systems,
Nothnitzer Str. 38 D01187 Dresden, Germany
2
Physics Department, Delta State University, 331001 Abraka, Nigeria
Abstract
The recent possibility to prepare, manipulate and detect strongly correlated states
using ultracold atoms in optical lattices have open new challenges to explore
quantum magnetism. In particular, recent experimental demonstrations of the
importance of both nearest neighbour (NN) superexchange and direct interactions
of cold atoms in double wells (DWs) has reinvigorated the theoretical search for
model spin lattice Hamiltonians. In this current study, we investigate a model
which includes these interactions to study the DW. To invoke the spirit of the
experiments in which the lattice parameters can be controlled independently, we
have set up our approach so that the kinetic part can be decoupled from the
interactions. This allows the switching on and varying of the lattice parameters
independently. The simplicity of the approach makes it straightforward to
phenomenologically develop a Hamiltonian for superexchange interactions in
optical lattice which is important for quantum magnetism.
1. INTRODUCTION
Ultracold atoms in optical lattices have become a text laboratory for studying
quantum strongly correlated systems. This emanates from the growing
advancement in techniques to prepare, manipulate and detect strongly correlated
states of cold atoms in the optical lattices. An optical lattice is an artificial crystal
of light created by the interference of two or more laser beams (see Fig. 1A).
Thereafter, twostate bosonic or fermonic cold atoms are confined in the optical
lattice making this crystal of quantum matter looks effectively like eggs in an egg
carton (see Fig. 1B). The tunneling and interactions of the system can be
Proceedings of the first International Seminar on Theoretical Physics & National Development
44
controlled by adjusting the intensity, frequency, phases and polarization of the
trapping light [1,2,3] Thus the simplicity of manipulating the lattice parameters
has made it easy to use this approach to study various quantum phenomena such
as superfluid  Mott transition [4,5], creation of Bosonic Cooperlike pairs [6] and
magnetic ordering in cold atoms [3,7]. Many of the theoretical interpretation in
these studies have been based on the Hubbard model [4] with the aim of using the
correlations arising from the competition between the tunneling potential and on
site Coulomb potential of the model to account for these phenomena. While the
former potential which is due to the kinetics of the atoms is determined by their
tunneling rate between neighbouring sites, the latter potential which is due to their
interactions is determined by the interatomic collisions when two atoms are on
the same site [8]. The Hamiltonian that captures this competition is the original
Hubbard model. The electronic correlations from this effective Hamiltonian,
however, can only be used to account for spin ordering as in quantum magnetism
only in special cases [9,10]. It follows then that we need to go beyond the
effective Hubbard Hamiltonian to get to a proper secondquantization
Hamiltonian to account for spin ordering of the cold atoms in optical lattices [11].
This quest has become even more compelling by the recent experiment in [7]
which not only demonstrated nearestneighbour (NN) superexchange interactions
in DWs of two ultracold atoms and thereby implementing NN spin interactions as
in the many body systems, but also pointed out the possibility to simulate spin
lattice Hamiltonian. In fact, this current theoretical study is motivated by this
experiment, hoping to give a more intuitive understanding of both the direct and
superechange interactions within a phenomenological formulation of an extended
Hubbard Hamiltonian.
The basic experiment set up in Ref. [7] was the creation of an array of
double wells occupied by atoms having opposite spins. Then they demonstrated
that one can achieve superexchange interactions in these DWs by making the
spins of the atom to oscillate back and forth between the wells (see Fig. 2). This
tunneling can be instigated by adjusting the lasers either to reduce the potential
barrier between the pairs of atoms in symmetric wells or to raise one side of the
double well relative to the other side to create a potential bias between
asymmetric wells. The superexchange interaction therefore emanates from the
quantum mechanical process of virtual hopping of a spin from its site to a
neighbouring site while a spin in this neighbouring site or the same spin will hop
back to the initial site [12]. This kind of hopping preserves the sites configurations
but not the spin ordering of the atoms. It is therefore a virtual localization process
that enables spin flips and can lead to antiferromagnetic state or ferromagnetic
state depending on the lattice parameters [13]. One of the possible applications of
this experimental design is to test spin Hamiltonians which can be adopted for
Proceedings of the first International Seminar on Theoretical Physics & National Development
45
real systems. However, this superexchange in optical lattices is still too subtle to
discuss it with the robustness of superexchange theories in condensed matter
physics. Thus a phenomenological approach will give us a qualitative
understanding of the experiment and possible Hamiltonian. This will involve the
manipulation of two kinds of hopping; first order hopping and second order
hopping. The first is to cause the electrons to tunnel between the two wells as
contained in the effective Hubbard Hamiltonian. The second is to cause these
same electrons or their onsite neighbours to hop back to their initial wells to set
up the superexchange interactions. Therefore the second ordered hopping will be
modeled by Heisenberg type Hamiltonian.
The organization of this paper is as follows. In section II, we will discuss
the experimental set up further and then phenomenologically obtain the
Hamiltonain for it. The ground state energy of the Hamiltonian will then be
obtained. This will be followed by the discussion of the results in section III.
Thereafter, we will conclude the presentation.
(b)
(d)
(a)
(c)
d/
2
d
Fig. 1A (Colour online) (a) Two standing waves in opposite directions
and with periods d and d/2 resulting in (b) a chain of double wells from
which we can study (c) a symmetric double well or (d) an asymmetric
double well}.
Proceedings of the first International Seminar on Theoretical Physics & National Development
46
.
Fig. 1B (Colour online) Artistic impression of the optical quantum crystal
of matter looking like an egg carton with the cold atoms (blue spheres and
green spheres) embedded in it like eggs..
Fig. 2 (Colour online) Artistic impression of the 1D lattice of double
wells used by Ref [7] to observe superexchange interactions. In this
representation, each double well contains a spin up (amber spheres) atom
and a spin down (blue spheres) atom. Courtesy: Immanuel Bloch.
Proceedings of the first International Seminar on Theoretical Physics & National Development
47
2. THE EXPERIMENT, HAMILTONIAN AND CALCULATIONS
The experimental set up was to crisscross several lasers beams to create one
dimensional (1D) lattice of 10,000 identical double wells. Each DW contains two
atoms with internal spins in antiferromagnetic Neel ordering so that the full lattice
looks like a collinear antiferromagnetic ordering. However, each DW is designed
to allow intradouble well tunneling and interactions only. This arrangement not
only cut off the effect that would had resulted from magnetic frustrated ordering
due to interdouble well interactions but also makes it possible to study the system
within a twomode approximation [1]. Thus the phenomenological physics of the
interacting atoms in the DW in general is the effective potential
eff
∆ :
eractions titling tunneling eff int
∆ + ∆ + ∆ = ∆ (1)
where the subscripts describe their various contributions.
In the first part of the experiment, the potential barrier for the symmetrical DWs,
(i.e.
titling
∆ = 0) is reduced to increase the virtual tunneling of the atoms. This
involves the virtual passing through a virtual state of double occupancy that
increases the exchange interaction due to the collisions inside a single well [14].
By measuring the average direction of the spins in the right and left of the DWs,
the changes in the orientation of the spins between wells is detected. To enhance
this observation, the potential bias or the tilt of the doublewell is introduced by
changing the relative phase of the two potentials and this can be realized by
applying a magnetic field, B [7]. Consequently, tuning B gives the potential
difference between the two potential minima of the DW. We can realize the
adiabatic and diabatic operations on the tilt of the DW by controlling the
increasing speed of B [15]. This increases the hopping from the shallower well
without changing the collision energy.
Thus denoting the DW by L = left and R = right, the starting Hamiltonian is the
twosite version of the Hubbard model [2,4,6]
) ( ) (
2
1
) . (
R R L L R L L R R L H
n n n n U n n a a a a J H
↓ ↑ ↓ ↑ ↓ ↑
=↑↓
+ +
+ + − ∆ − + − =
∑
σ
σ σ σ σ
(2)
where ) (
, , L R R L
a a
σ σ
+
is the creation operator (annihilation operator) for an atom
with spin ) ( ), ( ) ( ↑ ↓ ↓ =↑ a a ,
R L a
n
, ,
is the corresponding number operator, J (both
J and t are used in the literature though the cold matter community seems to prefer
J) describes the tunneling rate between the two wells, ∆ is the potential bias for
the doublewell and U is the twobody interaction when two atoms occupy the
same site.
Proceedings of the first International Seminar on Theoretical Physics & National Development
48
In the present work, however, only the symmetric case will be considered and we
will account for the change in orientation of spins as we vary the lattice
parameters. Therefore, when 0 = ∆ , Eq. (2) in the absence of spins gives the
original Hubbard model for describing an interacting gas in a lattice potential [5].
It is easy to observe why Eq. (2) which gives only firstorder hopping cannot
project out triplet states in agreement with the growing opinion stated earlier that
the Hubbard model can only exhibit ferromagnetism only in special cases. To
achieve triplet states which are necessary for ferromagnetism, we need to include
a secondorder hopping that is described by the isotopic Heisenberg exchange
interaction [7]
z
R
z
L ex R L R L ex ex
S S J S S S S J H
ˆ ˆ
2 )
ˆ ˆ ˆ ˆ
( − + − =
+ − − +
(3)
where
+
R L
S
,
ˆ
,
−
R L
S
,
ˆ
and
z
R L
S
,
ˆ
are the corresponding spin operators and J
ex
is the
superexchange potential.
However, it is necessary to express Eq (3) in the language of second quantization
for two reasons. First it will make the emergent Hamiltonian to be on equal
footing in terms of the creation and annihilation parameters and secondly, it will
provide a means to construct matrix elements of quantum operators between
states having definite spins [16]. These matrix elements are therefore represented
by means of spatial orbitals which are more suitable for calculations instead of
spin orbital [17,18]. Taking into account the HolsteinPrimakoff relations which
enables one to naturally go from Hamiltonian of magnetic ordered crystal
expressed in terms of spin operators to a Hamiltonian which describes a gas of
interacting spin waves, Eq. (3) can be expressed in terms of second quantization
(see also Ref. [18])
) (
,
L R R L ex ex
a a a a J H
σ σ σ σ
σ σ
+ +
∑
− = (4)
This superexchange operator depicts the second order hopping of the electrons via
〉 ↓ ↑ 0 ,
L L
and 〉 ↓ ↑
R R
, 0 and projects out both singlet and triplet states as already
exhibited in the experiment [3,7]. Thus its inclusion to Eq. (2) can make the
Hamiltonian to undergo singlet – triplet transition. This inclusion, however
naturally makes the case for the inclusion of the NN direct intersite interaction to
be obvious. For it has been pointed out that the JUJ
ex
model will be unstable
towards triplet states in the absence of this NN Coulombic interaction [19]. In
other words, for a stable system without bias towards triplet states, we have to
study the model that include both NN direct exchange and superexchange
interactions [7] to the JU Hamiltonian leading to the JUVJ
ex
model
Proceedings of the first International Seminar on Theoretical Physics & National Development
49
). (
) ( ) ( (
,
L R R L ex
R L R L R R L L L R R L
a a a a J
n n n n V n n n n U a a a a J J H
σ σ σ σ
σ σ
σ
σ σ σ σ
+ +
↑ ↓ ↓ ↑ ↓ ↑ ↓ ↑
=↑↓
+ +
∑
∑
−
+ + + +
+ − − =
(5)
The DWs can be prepared initially either as spin singlet states or spin triplet states
[3]. Therefore the common basis states allowed by the Pauli Exclusion Principle
are 〉 ↓ ↓ 〉 ↑ ↑ 〉 ↑ ↓ 〉 ↓ ↑ 〉 ↓ ↑ 〉 ↓ ↑
R L R L R L R L R R L L
, , , , , , , , 0 , 0 , , where the first two are
onsite states, the next two are intersite states and the last two are triplet states.
We define the separations between the two atoms as σ σ − = Lr where r = X for
singlet states, r = Y for triplet states with upspins and r = Z for triplet states with
downspins.
The exact matrix form of Eq. (5) is solved for the DW with fermions to obtain the
ground state energy for the singlet and triplet states respectively

¹

\

+ + − + 
¹

\

− − − =
J
J
J
V
J
U
J
J
J
V
J
U
E
ex ex
s
4 4 4
1
4 4 4
2
2
(6)

¹

\

− =
J
J
J
V
E
ex
t
4 4
4
(7)
where U/4J is the onsite interaction strength which determines the response of
the kinetic energy of the electrons to the varying onsite Coulombic interaction U,
V/4t is the NN intersite interaction strength which determines the response to the
varying NN Coulombic interaction and J/4t is the NN superexchange interaction
strength which determines the response to the varying superexchange interaction
J
ex
. All these quantities are physically dimensionless as they are ratios of the same
unit. As expected, the ground state energy for the triplet state is double fold
degenerate and this emanate from the upspins and the downspins.
3. DISCUSSION AND CONCLUSION
The ground state of the system is the spin ordering state with the lowest energy.
Therefore if E
s
is the the lowest energy, the ground state will be antiferromagnetic
while it will be ferromagnetic if E
t
is the lowest energy. Since the initial state of
the DW is antiferromagnetic so that E
s
is the lowest energy, we can monitor the
effect of superexchange interaction by increasing the value of J
ex
. This will
increase the value of E
s
but decrease E
t
till a critical value of J
ex
Proceedings of the first International Seminar on Theoretical Physics & National Development
50

¹

\

+ − + 
¹

\

− >
J
V
J
U
J
V
J
U
J
J
ex
4 4 2
1
4 4 2
1
4
2
(8)
when E
t
becomes the lowest energy. This is the transition point from the
antiferromagnetic ordering to the ferromagnetic ordering. This scenario is
depicted in Fig. 3 which shows graphs (a – d) of the variation of the ground state
energy with J
ex
at for various values of U and V. It is easy to observe that in the
transition from antiferromagnetism to ferromagnetism, J
ex
plays the domineering
role (Figs. 3a and 3d), U enhances it (Fig. 3b) and V suppresses it (Fig. 3c)
[9,19,20].
Now if we have to mimic the Hamiltonian in Eq. (5) with the experimental
set up in Ref. [7], then we need to manipulate the laser beams to be very close to
the critical value of J
ex
for the chosen values of U and V so that E
s
is slightly
lower than E
t
. This will now be the initial state of the DW which can be
manipulated into a ferromagnetic state by slightly increasing J
ex
and then back
into the antiferromagnetic state by decreasing J
ex
. Thus by manipulating the lattice
parameters using laser beams, the spin ordering of the DW can be set to oscillate
back and forth as has been observed in the experiment.
Proceedings of the first International Seminar on Theoretical Physics & National Development
51
Fig. 3 The variation of the ground state energy with superexchange
interactions J
ex
for various values of onsite (U) and intersite (V)
interactions.
Proceedings of the first International Seminar on Theoretical Physics & National Development
52
4. CONCLUSION
In condensed matter, interactions between spins arise from the overlapping of
different electronic orbitals while the spin in optical lattice can interact even
though the electronic orbital is very small, because they can quantum
mechanically tunnel the wells [14]. It follows then that the magnitude of the
interacting matrix elements especially for NN will be very small compared to real
materials. However, this will not alter the domineering role of the J
ex
. In 1928
when Heisenberg introduced the J
ex
to account for ferromagnetism, he had
considered it for itinerant electrons. Since the magnitude of other interaction
matrix elements such as U and V are much larger than J
ex
in the dynamics of
itinerant electrons, the role of J
ex
has been very much minimum in such systems
[18]. In recent consideration, J
ex
has been considered as a quantum mechanical
energy for localization [9,19]. Thus in the extended Hubbard Hamiltonian in Eq.
(5), the only itinerant matrix element is the tunneling rate J while U, V and J
ex
are
on the same localization footing with U to make the atoms of opposite spins avoid
being on the same site, V to make atoms of opposite spins avoid being on NN
sites and J
ex
to make atoms of the same spins avoid being on NN sites. Thus this
phenomenological interpretation is in agreement with the virtual localization
process that gives rise to the superexchange interaction observed experimentally
in Ref [7]
5. REFERENCES
[1] M. Lewenstein, A. Sanpera, V. Ahufinger and B. Damski, "Ultracold atomic
gases in optical lattices: mimicking condensed matter physics and beyond," Adv.
Phys. 56, 243  379 (2007)
[2] E. Altman, W. Hofstetter, E. Demler and Mikhail D Lukin, “ Phase diagram of
twocomponent bosons on an optical lattice,” New Journal of Physics 5, 113.1–
113.19 (2003)
[3] A. Rey, V. Gritsev, I. Bloch, E. Demler and M. D. Lukin, "Preparation and
detection of magnetic quantum phases in optical superlattices," Phys. Rev. Lett.
99, 140601(1)  140601(4) (2007).
[4] D. Jaksch, C. Bruder, J. I. Cirac, C. W. Gardiner and P. Zoller, "Cold Bosonic
atoms in optical lattices," Phys. Rev. Lett. 81, 3108  3111 (1998).
Proceedings of the first International Seminar on Theoretical Physics & National Development
53
[5] M. Greiner, O. Mandel, T. Esslinger, T. W. H\"ansch and I. Bloch, "Quantum
phase transition from a superfluid to a Mott insulator in a gas of ultracold atoms,"
Nature 415, 39  44 (2002).
[6] T. Keilmann1 and J. Jose´ Garcı´aRipoll, “Dynamical Creation of Bosonic
CooperLike Pairs,” Phys. Rev. Lett. 100, 110406(1) – 110406(4).
[7] Trotzky, P. Cheinet, S. Folling,1 M. Feld, U. Schnorrberger, A. M. Rey, A.
Polkovnikov, E. A. Demler, M. D. Lukin and I. Bloch1, "Timeresolved
observation and control of superexchange interactions with ultracold atoms in
optical lattices," Science 319, 295  299 (2008).
[8] R. Jordan, N. Strohmaier, K. Gunter, H. Moritz, T. Esslinger, "A Mott
insulator of fermionic atoms in an optical lattice," Nature 455, 204  207 (2008)
[9] J. E. Hirsch, "Metallic ferromagnetism in a band model: Intraatomic versus
interatomic exchange," Phys. Rev. B 56, 11022  11030 (1997).
[10] G.E. Akpojotor, "The statistical equivalents of the tU and ttU models," in
Lectures on the Physics of Strongly Correlated Systems XII: Twelfth Training
Course (edited by A. Avella and F. Mancini), AIP Con. Proc. 1014, 251  259
(2008).
[11] J.Q. Liang, J.L. Liu, W.D. Li, Z.J. Li, AtomPair
Tunneling in Optical Lattices Beyond the BoseHubbard Model,
arXiv:condmat/0803 (2008)
[12] I. Bloch “Quantum gases,” Science 319, 1202  1203 (2008).
[13] L.M. Duan, E. Demler and M. D. Lukin, “Controlling Spin Exchange
Interactions of Ultracold Atoms in Optical Lattices,” Phys. Rev. Lett. 91,
090402(1) – 090402(4) (2003)
[14] M. Lewenstein and A. Sanpera, "Probing quantum magnetism with cold
atoms," Science 319, 292  293 (2008).
[15] J. SebbyStrabley, M. Anderlini, P. S. Jessen, and J. V. Porto, "Lattice of
double wells for manipulating pairs of cold atoms," Phys. Rev. A 73, 033605(1) 
033605(9) (2006).
[16] B. Normand and A. M. Oles, “Circulatingcurrent states and ringexchange
interactions in cuprates,” Phys. Rev. B 70, 134407 – 134413 (2004)
[17] A. L. Fetter and J. D. Walecka, “Quantum Theory of manyparticle systems,”
McGrawHill Book Campany, NY.
Proceedings of the first International Seminar on Theoretical Physics & National Development
54
[18] A. Auerback, “Interacting electrons and quantum magnetism” Springer
Verlag, NY (2003)
[19] J. C. Amadon and J. E. Hirsch, "Metallic ferromagnetism in a singleband
model: Effect of band filling and Coulomb interactions," Phys. Rev. B 54, 6364 
6375 (1996).
[20] G. E Akpojotor and W. Li, arXiv:condmat/0810.4363 (2008)
.
Proceedings of the first International Seminar on Theoretical Physics & National Development
55
THE FEWELECTRON INTERACTION IN THE GROUND STATE
OF STRONGLY CORRELATED ELECTRON SYSTEMS: A
COMPUTATIONAL APPROACH
J. O. A. Idiodi
1
, E. Aghemenloh
1
, G. Akpojotor
2
, E. Enaibe
3
, R.
Okanigbuan
4
1. Department of physics, University of Benin, Benin City, Nigeria.
2. Max Planck Institute for Physics of Complex Systems, Dresden,
Germany.
3. Department of Physics, University of Jos, Jos, Nigeria.
4. Department of Physics, Ambrose Alli University, Ekpoma,
Nigeria.
Abstract
Models for strongly correlated electron systems have been studied in the past
three decades by several methods. We review here some of the methods that have
been practically utilized by the condensed matter theory group at the University of
Benin.
1. INTRODUCTION
Electronic correlation is largely responsible for the various interesting
properties (magnetic, electrical, optical, etc.) of solid materials. The electronic
properties of an increasing body of materials cannot be described adequately by
Landau’s theory of weaklyinteracting quasiparticles (Fermi liquid theory). The
best known cases are the high Tc superconductors and organic conductors. In both
cases, a strong anisotropy and a narrow conduction band contribute to make the
effects of interactions between electrons dramatic.
Proceedings of the first International Seminar on Theoretical Physics & National Development
56
Owing to the recognition that the electronic band structure of a metal has
important influence on the stability of its electron gas, it is then obvious that to
develop a theory of electronic correlations, one must take into account the atomic
structure of the solid. In 1963, Hubbard [1] proposed a Hamiltonian model, the
so called Hubbard model (or tU model), that describes a single band and which
contains only two terms. While the tpart of the Hamiltonian model describes
electrons hopping from site to site controlled by the Pauli exclusion principle, the
U part of the model describes the coulomb interaction of two electrons of
opposite spins occupying the same ionic site. The Hubbard model, as is known
today, is widely believed to be the simplest model that describes the behaviour of
correlated electrons in a solid.
Several mathematical methods (Exact diagonalization Approach, Quantum
Monte Carlo method, etc.) have been developed to study the physics of strongly
correlated electron systems. For an excellent review of the methods, see reference
2.
This manuscript discusses the methods that have been employed by the
theory group in the University of Benin. Essentially, these are the variational
method, the perturbation method, and the Lanczos method which are discussed
respectively in sections 2, 3 and 4 below. Section 5 contains concluding remarks.
Further details than contained here can be found in the cited references.
2. CORRELATED VARIATIONAL APPROACH
Any variational approach is an approximation to an exact treatment. The
important advantage of the variational method, however, is that the explicit form
of the variational trial wave function allows us to keep track of the physics. One
can identify clearly which part of the wavefunction is relevant to any given
physical situation.
In 1989, Chen and Mei [3] developed a correlated variational approach
(CVA) to study a quantum system of two electrons interacting in the ground state
of the Hubbard Hamiltonian in a finitesized lattice containing N lattice sites.
Only one dimensional (ID) and two dimensional (2D) lattices were considered in
their work. The extension of the work of Chen and Mei to 3D lattices has been
carried out by one of us [4]. The variational wavefunction employed in the work
of Chen and Mei [3] is suitable for studying the Hubbard Hamiltonian and the
antiferromagnetic or singlet states that arise from it. The wavefunction is therefore
highly inadequate for the study of quantum systems that admit triplet states, as in
Proceedings of the first International Seminar on Theoretical Physics & National Development
57
ferromagnetic materials. The construction of an appropriate variational
wavefunctional for studying quantum systems that admit both singlet and triplet
states has been carried out by Enaibe and Idiodi [5]. In addition, simplified
formulations of the work of Chen and Mei have been provided by Akpojotor and
Idiodi [6,7,8]. These simplifications lead to a general expression for the
variational ground state energy applicable to ID, 2D, and 3D lattices.
a. Model Hamiltonian
The singleband HubbardHirsch Hamiltonian may be written as [9,10,11]
θ θ θ θ
θ θ θ
θ θ
η η
j i j i
j i
i
i
i
j i
j i
c c c c J U C H c c t H
′
+
′
+
′ 〉 〈
↓ ↑
〉 〈
+
∑ ∑ ∑
+ +
)
`
¹
¹
´
¦
+ − =
, , , , ,
. ….(2.1a)
where
θ θ θ
η
i i i
and c c ,
+
are the creation, annihilation, and number operators
respectively, for an election of spin θ in the Wannier state on the ith lattice site.
The notation 〉 〈 j i, means nearest neighbours, while t is the electronic hopping
parameter between nearest neighbour sites i and j. H. C. denotes Hermitian
conjugation and its inclusion in the Hamiltonian guarantees that the expectation
values of the dynamical quantities will be real.
Clearly, if J is set equal to zero in equation (2.1a), we recover the tU
model which is precisely the Hubbard Hamlitonian. In the following we will
concentrate on the problem of two electrons interacting under the HubbardHirsch
Hamiltonian in finitesized lattices.
b. Two electrons in a twosite lattice: Exact calculation
Let us now consider a onedimensional lattice with only two lattice sites.
Such a lattice can accommodate a maximum of four electrons. But, with only two
electrons in a twosite lattice (the so called halffilling case), one can see that
there is a total of six possible electronic states, which are
↓〉 ↓ ↑〉 ↑ ↑〉 ↓ ↓〉 ↑ ↓〉 ↑ ↓〉 ↑ 2 , 1 , 2 , 1 , 2 , 1 , 2 , 1 , 2 , 2 , 1 , 1
The notation 〉 ′ θ θ j i , denotes the electronic state where there is an electron at
site i with spin θ and the second electron is at site j with spin θ′
With these six electronic states as basis states, the Hamiltonian matrix
form of (2.1a) is
Proceedings of the first International Seminar on Theoretical Physics & National Development
58








¹

\

−
−
−
− − −
−
−
=
J
J
J t t
J t t
t t u
t t u
H
0 0 0 0 0
0 0 0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
(2.1b)
One can easily show that eigen energies E
s
and E
t
respectively, of the lowest
singlet and triplet states of (2.1b) are
( )
( )
2
2
16
2
1
2
t J U
J U
E
s
+ − −
+
= ………………………..………(2.2)
and
J E
t
= ……………………………………………………..……..(2.3)
with the corresponding eigen vectors
( ) ( )
( )
[ ]
( ) ( )
( )
[ ] ↑ ↓ − ↓〉 ↑
¦
)
¦
`
¹
¦
¹
¦
´
¦
+ −
− + + −
+ ↓ ↑ + ↓〉 ↑
¦
)
¦
`
¹
¦
¹
¦
´
¦
+ −
− − + −
= 〉
2 , 1 2 , 1
16
16
2
1
2 , 2 1 , 1
16
16
2
1
2
1
2
2
2 2
2
1
2 2
2
2
t J U
J U t J U
t J U
J U t J U
s
ψ
(2.4)
and
↑ ↑ = 2 , 1
t
ψ (2.5)
Trivial algebra shows that the tripet energy E
t
is three fold degenerate, and the
other two triplet states are { } ↑ ↓ + ↓ ↑ ↓ ↓ 2 , 1 2 , 1
2
1
2 , 1 and . In the absence
of J the singlet energy E
s
is always lower than the triplet energy E
t
. However, if J is
non vanishing, the situation is different. Taking into account (2.2) and (2.3), the
condition for “ferromagnetism”, E
t
< E
s
in this halffilled band system yields
2
2
2
2
2
u
t
u
J − + 
¹

\

> (2.6)
Proceedings of the first International Seminar on Theoretical Physics & National Development
59
which can be cast in the form
¦
)
¦
`
¹
¦
¹
¦
´
¦
− + 
¹

\

>
t
u
t
u
t
J
4 2
1
4 2
1
4
2
(2.7)
Chen and Mei [3] in their variational study of the Hubbard model, constructed a
correlated variational trial wave function in the form
{ } { } ↓ ↑ + ↑ ↓ − ↓ ↑
∑ ∑
≠
−
i i X j i j i X
i j i
j i
, , ,
0
ψ (2.8)
patterned after the singlet state (2.4) with J = 0, and where X
0
, X
1
…, and so on are
variational parameters.
We extend the work of Chen and Mei [3] in this study by constructing a
correlated variational trial wave function for the HubbardHirsch Hamiltonian in the
form
{ } { } { } ↑ ↑ + ↑ ↓ − ↓ ↑ + ↓ ↑ =
∑ ∑ ∑
≠
−
≠
−
j i j i j i X i i X
j i
j i
j i
j i
i
Y , , , ,
0
ψ (2.9)
patterned after the singlet and triplet states (2.4) and (2.5) respectively.
Equation (2.9) will be utilized in the next subsection.
C. Two electrons in a 3 x 3 square lattice: Variational Calculation
Figure 1 shows a sketch of the two dimensional 3 x 3 square lattice with periodic
boundary conditions taken into account. Relevant information derived from the
geometry of the square lattice and needed for the variational calculation are
summarized in table 1.
Proceedings of the first International Seminar on Theoretical Physics & National Development
60
The inner dashedlines map out the actual lattice size of the study while the
numbers represent Cartesian coordinates of lattice sites.
Table 1: Relevant information derived from the geometry of the 2D 3 x 3 square
lattice
Lattice separation
parameter (l) between
the two electrons and
actual separation
distance
l Separation
distance
Pair wave
function
l
ψ
Number of different
pair electronic
states at lattice
separation
parameter l
Representativ
e pair
electronic
state
θ θ j i ,
0 0
0
ψ
9
↓ ↑ 11 , 11
1 a
1
ψ
36
↓ ↑ 12 , 11
2 1 2 3 2 2 2 1 2 3
2 1 1 3 1 2 1 1 2 3
2 1 2 3 2 2 2 1 2 3
3 1 3 3 3 2 3 1 3 3
1 1 1 3 1 2 1 1 1 3
Figure 1: 2D 3 x 3 square lattice with periodic boundary conditions.
Proceedings of the first International Seminar on Theoretical Physics & National Development
61
2
a 2
2
ψ
36
↓ ↑ 22 , 11
3 a
3
ψ
18
↑ ↑ 12 , 11
4
a 2
4
ψ
18
↑ ↑ 22 , 11
On the basis of the information provided in Table 1, the trial wave
function given by (2.9) may be written out more fully for the 2D 3 x 3 square
lattice as
{ }+ ↓ ↑ + + ↓ ↑ + ↓ ↑ + ↓ ↑ = 33 , 33 13 , 13 12 , 12 11 , 11
0
X ψ
+
¦
)
¦
`
¹
¦
¹
¦
´
¦
↑ ↓ − ↓ ↑ + +
↑ ↓ − ↓ ↑ + ↑ ↓ − ↓ ↑
33 , 32 33 , 32
21 , 11 21 , 11 12 , 11 12 , 11
1
X
+
¦
)
¦
`
¹
¦
¹
¦
´
¦
↑ ↓ − ↓ ↑ + +
↑ ↓ − ↓ ↑ + ↑ ↓ − ↓ ↑
31 , 23 31 , 23
23 , 11 23 , 11 22 , 11 22 , 11
2
X
{ }+ ↑ ↑ + + ↑ ↑ + ↑ ↑ + ↑ ↑ 33 , 32 13 , 11 21 , 11 12 , 11
1
Y
{ } ↑ ↑ + + ↑ ↑ + ↑ ↑ + ↑ ↑ 31 , 23 33 , 11 23 , 11 22 , 11
2
Y (2.10)
and hence
2
2
2
1
2
2
2
1
2
0
2 2 4 4 9 Y Y X X X + + + + = ψ ψ (2.11)
Taking into account (2.1a) and (2.10), we get after some algebra, the result
Proceedings of the first International Seminar on Theoretical Physics & National Development
62
¦
¦
)
¦
¦
`
¹
¦
¦
¹
¦
¦
´
¦

¹

\


¹

\

+ − −
− − − − −

¹

\

=
−
2
1
8
2
1
4
4
16 8 4 16
8 16 32 16
4
4
9
2
2
2
1
2
2
2
1 2 1 2 1 1 0
2
0
Y X
t
J
Y Y X
X Y Y X X X X X
t
u
t
H
t
J
ψ ψ
(2.12)
As is well known, the ground state variational energy is given by
( )
( )
ψ ψ
ψ ψ H
Y Y X X X Eg =
2 1 2 1 0
, , , , (2.13)
Minimization of the expression (2.13) with respect to all the variational parameters, subject to
the normalization constraint
= + + + +
2
2
2
1
2
2
2
1
2
0
Y Y X X X 1 (2.14)
leads immediately to the variational ground state energy.
(d) Numerical Results and Discussion
As a check on our method, we show in Tables 2 and 3 results obtained from
the application of the variational method to the problem of two electrons interacting
under the HubbardHirsch Hamiltonian in a twosite lattice. This problem, which
can be solved exactly, was discussed in Section 3. From equation (2.7), the
transition from a ferromagnetic phase to an antiferromagnetic phase occurs at
, 2 2
4
06 . 0 06 . 2
4
= − = = and
t
U
if and
t
J
respectively.
Proceedings of the first International Seminar on Theoretical Physics & National Development
63
Table 2: Total Energy and Variational parameters for the ID (N = 2) lattice
when 2
4
− =
t
U
.
Variational parameters
Exchange
interaction
parameter
t
J
4
On site
interaction
parameter
t
U
4
Total
Energy
t
Eg
E =
X
0
X
0
X
2
2.10 2 8.4000 0 0 1
2.09 2 8.3600 0 0 1
2.08 2 8.3200 0 0 1
2.07 2 8.2800 0 0 1
2.06 2 8.2427 0.0027 0.1205 0
2.05 2 8.2433 0.9927 0.1207 0
2.04 2 8.2438 0.9926 0.1210 0
2.03 2 8.2444 0.9926 0.1213 0
Proceedings of the first International Seminar on Theoretical Physics & National Development
64
Table 3: Total Energy and Variational parameters for the ID (N = 2) lattice
when 2
4
+ =
t
U
Variational parameters
Exchange
interaction
parameter
t
J
4
On site
interaction
parameter
t
U
4
Total
Energy
t
Eg
E =
X
0
X
0
X
2
0.5 2 2.0000 0 0 1
0.1 2 4.4000 0 0 1
0.08 2 0.3200 0 0 1
0.07 2 0.2800 0 0 1
0.06 2 0.2451 0.2357 0.9718 0
0.05 2 0.2829 0.2347 0.9721 0
0.02 2 0.3964 0.2317 0.9728 0
0.01 2 0.4343 0.2307 0.9730 0
Proceedings of the first International Seminar on Theoretical Physics & National Development
65
Table 4: Total Energy and Variational parameters for the 2D 3 x 3
lattice (N = 2) when 2
4
− =
t
U
Variational parameters
Exchange
interaction
parameter
t
J
4
On site
interaction
parameter
t
U
4
Total
Energy
t
Eg
E =
X
0
X
1
X
2
Y
1
Y
2
1.24 2 9.7450 0 0 0 0.8207 0.5714
1.23 2 9.7181 0 0 0 0.8194 0.5732
1.22 2 9.6913 0 0 0 0.8181 0.5750
1.21 2 9.6646 0 0 0 0.8169 0.5768
1.20 2 9.6607 0.9692 0.2012 0.1422 0 0
1.19 2 9.6662 0.9690 0.2018 0.1425 0 0
1.18 2 9.6718 0.9688 0.2025 0.1428 0 0
1.17 2 9.6773 0.9686 0.2031 0.1431 0 0
Proceedings of the first International Seminar on Theoretical Physics & National Development
66
Table 5 Total Energy and Variational parameters for the 2D 3 x 3
lattice (N = 2) when 2
4
+ =
t
U
Variational parameters
Exchange
interaction
parameter
t
J
4
On site
interaction
parameter
t
U
4
Total
Energy
t
Eg
E =
X
0
X
1
X
2
Y
1
Y
2
0.17 2 7.3941 0 0 0 0.6470 0.7625
0.16 2 7.3774 0 0 0 0.6451 0.7641
0.15 2 7.3608 0 0 0 0.6433 0.7656
0.14 2 7.3443 0 0 0 0.6414 0.7672
0.13 2 7.3294 0.3167 0.6068 0.7290 0 0
0.12 2 7.3454 0.3172 0.6084 0.7275 0 0
0.11 2 7.3614 0.3177 0.6100 0.7259 0 0
0.10 2 7.3776 0.3182 0.6116 0.7243 0 0
This is clearly confirmed by Tables 2 and 3. While the physics of
antiferromagnetism resides in the variational parameters, X
0
, X
1
and X
2
, that of
ferromagnetism resides in Y
1
and Y
2
. Table 2 and 3 then show very clearly the
phase transition from ferromagnetism to antiferromagnetism as the parameter
t
J
4
is varied. This attests to the power of the variational method, as earlier stated.
In table 4 and 5, we display the results obtained from the application of the
variational method to the problem of two electrons interacting under the Hubbard
Hirsch Hamiltonian in a twodimensional 3 x 3 square lattice. From these two
Proceedings of the first International Seminar on Theoretical Physics & National Development
67
tables, the transition from a ferromagnetic phase to an antiferromagnetic phase
occurs at 2 2
4
135 . 0 206 . 1
4
+ − = = and
t
U
if and
t
J
, respectively. Thus, as U
increases, the value of J at which the transition occurs decreases. Also, at constant
onsite interaction strength U, the total energy of the two interacting electrons was
always found to decrease as J increases. These trends are in agreement with the
work of Amadon and Hirsch [12], who employed a completely different
approach.
3. PERTURBATION METHOD
Our starting point is the Hubbard Hamiltonian H, given by
∑ ∑ ↓ ↑
〉 〈
+
+


¹

\

+ − =
i
i i
j i
j i
n n U c h c c t H
θ
σ θ
,
.
(3.1)
which we rewrite as
1 0
H H H + = (3.2)
where the unperturbed part of the Hamiltonian is


¹

\

+ − =
∑
〉 〈
+
θ
σ θ
j i
j i
c h c c t H
,
. (3.3)
and the perturbation H
1
is given by
∑
↓ ↑
=
i
i i
n n U H
0
(3.4)
Note that Eqn. (3.1) can be readily obtained from (2.1a) by setting J = 0
Perturbation method, usually taken up to second order in the perturbation,
is well described in standard texts [13,14]. The pilot paper employed by us is that
of Galan and Verges [15] and we refer the interested reader to this paper for
further details. The perturbation method was applied by us to study the ground
state wavefunction and total energy of two electrons subject to a oneband
Hubbard Hamiltonian on a finite sized lattice containing N electronic sites. The
main result staked out by us is as follows [16,17]. While it is well known that
perturbation theory breaks down when U is large, what we do find is that even if
Proceedings of the first International Seminar on Theoretical Physics & National Development
68
U is large, provided we increase the number of sites N sufficiently enough such
that
N
U
is small we can still apply perturbation theory. The crucial parameter is
therefore
N
U
and not just U.
4. THE LANCZOS METHOD
We discuss here the Lanczos technique in order to illustrate how it works.
More details than contained here can be found in the excellent review article by
Dagotto [2].
The basic idea of the Lanczos method is that a special basis can be
constructed where the Hamiltonian has a tridiagonal representation. This is
carried out iteratively as shown below. First, it is necessary to select an arbitrary
initial vector 〉
0
φ in the Hilbert space of the model being studied. If the Lanczos
method is to be used to obtain the ground state energy of the model, then it is
necessary that the overlap between the actual ground state 〉
0
ψ and the initial
state 〉
0
φ be nonzero. If some information about the ground state is known, like
its total momentum and spin, then it is convenient to initiate the iterations with a
state already belonging to the subspace having those quantum numbers.
After the initial state 〉
0
φ has been selected, the next states 〉
1
φ , 〉
2
φ , etc.
are then obtained via the formula,
〉
〉 〈
〉 〈
− 〉 = 〉
0
0 0
0 0
0 1
φ
φ φ
φ φ
φ φ
H
H …………………………………………(4.1)
〉 〈
〉 〉 〈
− 〉
〉 〈
〉 〈
− 〉 = 〉
0 0
0 1 1
1
1 1
1 1
1 2
φ φ
φ φ φ
φ
φ φ
φ φ
φ φ
H
H ……………………………….(4.2)
〉 − 〉 − 〉 = 〉
− + 1
2
1 n n n n n n
b a H φ φ φ φ ………………………………………(4.3)
for n = 0, 1, 2…… ,where
Proceedings of the first International Seminar on Theoretical Physics & National Development
69
〉 〈
〉 〈
=
n n
n n
n
H
a
φ φ
φ φ
………………………………………………(4.4)
〉 〈
〉 〈
=
− − 1 1
2
n n
n n
n
b
φ φ
φ φ
…………………………………………..….(4.5)
supplemented by b
0
= 0, and 〉
−1
φ = 0
In the basis { } 〉
n
φ , it can be shown that the Hamiltonian matrix becomes






¹

\

=
4 3 3
3 2 2
2 1 1
1 0
0 0
0 0
0 0
0 0 0
b a b
b a b
b a b
b a
H (4.6)
i.e. it is tridiagonal, as expected.
Two advantages of the Lanczos technique are as follows:
• Accurate enough information about the ground state of the problem
can be obtained after a small number of iterations.
• The calculation of dynamical properties of a given Hamiltonian can be
easily carried out in the Lanczos method.
The first advantage above is illustrated in the next section for two Hamiltonian
models.
To give a brief illustration of the Lanczos method, let us solve the
following two simple problems:
(i) Our first system consists of two electrons, with only two available lattice
sites, interacting under the Hamiltonian (3.1).
The six possible states for the two electrons may be written in the form
Proceedings of the first International Seminar on Theoretical Physics & National Development
70
↓ ↓ = ↓ ↑ =
↑ ↑ = ↓ ↑ =
↑ ↓ = ↓ ↑ =
2 , 1 6 2 , 1 3
2 , 1 5 2 , 2 2
2 , 1 4 1 , 1 1
(4.7)
and the Hamiltonian (3.1) spelt out in full, takes the form
↓
+
↓ ↓
+
↓ ↑
+
↑ ↑
+
↑
+ + + − =
1 2 2 1 1 2 2 1
C C C C C C C C t H (4.8)
[ ]
↓ ↑ ↓ ↑
+ +
2 2 1 1
n n n n u
and hence with an initial vector of
↓ ↑ = = 2 , 1 3
0
φ (4.9)
we get
¦
¦
)
¦
¦
`
¹
= =
= =
= =
= =
0 , 0
2 , 0
2 ,
0 , 0
3 3
2 2
1 1
0 0
b a
t b a
t b u a
b a
(4.10)
and




¹

\

=
0 2 0
2 0 2
0 2 0
t
t t
t
H (4.11)
From the eigenvalues of (4.11) we readily obtain the ground state energy of this
simple system as
( ) u t u E
G
− + − =
2 2
16
2
1
(4.12)
with a corresponding ground state wave function of
Proceedings of the first International Seminar on Theoretical Physics & National Development
71
( )
( ) ↑ ↓ − ↓ ↑


¹

\

+
+ +
+
↓ ↑ + ↓ ↑


¹

\

+
− +
=
2 , 1 2 , 1
16
16
2
1
2 , 2 2 , 1
16
16
2
1
2
1
2 2
2 2
2
1
2 2
2 2
t u
u t u
t u
u t u
G
ψ
(4.13)
If our initial vector had been
↓ ↑ = = 1 , 1 1
0
φ (4.14)
we would have ended up with the tridiagonal matrix




¹

\

=
u t
t t
t u
H
2 0
2 0 2
0 2
(4.15)
leading to the same ground state energy (4.12)
ii. Our 2
nd
system consists of two electrons, with only two available lattice
sites, interacting under the extended Hubbard – Hirsch Hamiltonian (or t – u
– v – J – J
1
model) which may be written in the form [12].
θ
θ θ
θ θ θ θ
θ θ
θ θ θ
θ
θ θ
j
ij
j i i j
ij
i j i
ij ij
j i
i
i i j i
C C C C J C C C C J
n n n n u C H C C t H
∑ ∑
∑ ∑ ∑
′
′
+
′
+
′
′
+
′
+
↓ ↑
+
+ +
∨ + + + − =
, ,
1
, ,
,
. .
(4.16)
Written out in full fosr the two electrons on two sites system, this becomes
[ ]
↓
+
↓ ↓
+
↓ ↑
+
↑ ↑
+
↑
+ + + − =
1 2 2 1 1 2 2 1
C C C C C C C C t H
[ ]
↓ ↑ ↓ ↑
+ +
2 2
n n n n u
i i
[ ]
↓ ↓ ↑ ↓ ↓ ↑ ↑ ↑
+ + + ∨ +
2 1 2 1 2 1 2
n n n n n n n n
i
(4.17)
Proceedings of the first International Seminar on Theoretical Physics & National Development
72
+
+ +
+
↓ ↓
+
↓
+
↓ ↓ ↑
+
↑
+
↓
↑ ↓
+
↓
+
↑ ↑ ↑ ↑
+
↑
2 1 2 1 2 1 2 1
2 1 2 1 2 1 2 1
C C C C C C C C
C C C C C C C C
J
[ ]
↑ ↓
+
↓
+
↑ ↑ ↓
+
↓
+
↑
+ +
1 1 2 2 2 2 1 1
1
C C C C C C C C J
Employing the basis set (4.7) it can be shown that an initial vector of 3 1 or
leads, with the Lanczos technique, to a singlet ground state energy of
( ) ( )
2
16
2
2
1 1
t J v J u J J v u
E
s
+ − − + − + + +
= (4.18)
while the intial vector 5 leads to a triplet ground state energy of
E
t
= v – J (4.19)
To diagonalize completely the model being studied on a finite cluster, a number
of iterations equal to the size of the Hilbert space (or of the subspace under
consideration) are needed. Convergence to the ground state can be accelerated
through a variation of the technique known as the modified Lanczon method [2,
1820].
5. CONCLUSION
The work done by the Condensed Matter Theory Group at the University of
Benin has largely been in the following four areas:
i. Strongly correlated 2 – electron systems.
This area has been the main focus of this review article.
ii. Strongly correlated Nelectron systems (N > 2).
See Reference 21 for some preliminary report in this area.
iii. Electronic band Structure of Solid C
60
and AlkaliMetal Doped C
60
and implications for Superconductivity, etc. [22, 23]
iv. Semiempirical models of Cohesion (the Embedded atom Method [24
– 27] and Equivalent Crystal Theory Method [28, 29, 30] employed to
study pure metals and Binary Alloys.
Proceedings of the first International Seminar on Theoretical Physics & National Development
73
In spite of the limitations experienced by our Theory Group, due to the
absence of powerful computational machines, efforts are currently underway to
extend the methods being utilized in (i) to (iv) above to include Quantum Monte
Carlo Method (QMC) and 1
st
Principles or Ab initio Calculational methods.
6. REFERENCES
1. Hubbard J. (1963). Proc. Soc. London A276, 238
2. Dagotto E. (1994). Rev. Mod. Phys. Vol. 66, 763
3. Chen I. and Mei C. (1989) Phys. Rev. B 39, 9006
4. Enaibe A.E. (2003). A variational Approach to the study of highly
correlated electron systems. Ph.D Thesis, University of Benin, Benin City.
5. Enaibe A.E. and Idiodi J.O.A. (2003), J. Nig. Ass. Math. Vol. 7, 275
6. Akpojotor G.E. and Idiodi J.O.A (2004). Zuma J. Pure and Applied
Sciences Vol. 6(1), 124.
7. Akpojotor G.E. and Idiodi J.O.A (2004). Nig. J. Phys. Vol. 16 (2), 125
8. Akpojotor G.E. (2006). The two electron interaction in the ground state of
the t – U – V – J model. Ph.D Thesis, University of Benin, Benin City.
9. Hirsch J.E. (1989). Phys. Rev. B 40, 2354
10. Tang S. and Hirsch J.E. (1990). Phys. Rev. B42, 771
11. Xiangdong Zhang, Bozang Li, and Fu  Cho Pu (1996). Phys. Rev. B54,
44
12. Amadon J.C and Hirsch J.E. (1996). Phys. Rev. B54, 6364
13. Schiff L.I., Quantum Mechanics (Mc GrawHill, New York, 1968) pp. 244
– 251
14. Davydov A.S., Quantum Mechanics, 2
nd
Edition, Translated, Edited and
with Additions by D. ter Haar (Pergamon Press, 1965) pp. 185 – 194.
15. Galan J. and Verges J.A. (1991) Phys. Rev. B44, 10093
16. Okanigbuan R.O. and Idiodi J.O.A. (2006), J. Nig. Ass. Math. Phys. Vol.
10, 583
17. Okanigbuan R.O. and Idiodi J.O.A. (2008), J. Nig. Ass. Math. Phys.
Vol. 12 (In Press).
18. Dagotto E. and Moreo A. (1985). Phys. Rev. D31, 865
19. Dagotto E. and Moreo A. (1988). Phys. Rev. B38, 5087.
20. Ehika S., Igbinovia E.O., and Idiodi J.O.A. (2008). Application of the
modified Lanczos technique to strongly correlated electron systems.
Technical Report of the Condensed Matter Theory Group, University
of Benin.
Proceedings of the first International Seminar on Theoretical Physics & National Development
74
21. Enaibe E.A., Akpojotor G.E., Aghemenloh E., Fiase J.O., and Idiodi
J.O.A. (2004). J. Nig. Ass. Math. Phys. Vol. 8, 337.
22. MatthewOjelabi F. (2000). Electronic Band Structure of Solid C
60
and
Implications for Superconductivity in the Alkali – Metal Doped C
60
.
Ph.D Thesis, University of Benin.
23. Matthew – Ojelabi F. and Idiodi J.O.A. (2001). J. Nig. Ass. Math.
Phys. Vol. 5, 201 – 220 & 221 – 232.
24. Idiodi J.O.A. and Obodi G.N. (1993). Phys. Stat. Sol. (b) Vol. 177,
281.
25. Idiodi J.O.A., Garba E.J.D. and Akinlade O. (1991). Surf. Sci. Vol.
256, 195.
26. Aghemenloh E., Azi S.O. and Idiodi J.O.A. (2005). J. Nig. Ass. Math.
Phys. Vol. 9, 513.
27. OniOjo A.A., Idiodi J.O.A. and Aiyohuyin E.O. (2007). J. Nig. Ass.
Math. Phys. Vol. 11, 435.
28. Aghemenloh E. and Idiodi J.O.A. (2002). J. Nig. Ass. Math. Phys.
Vol. 6, 253
29. Aghemenloh E. (2004). Surface Energy Calculation in Metallic Solids.
Ph.D. Thesis, University of Benin, Benin City.
30. Aghemenloh E. and Idiodi J.O.A. (2004). Zuma J. Pure and Applied
Sciences Vol. 6(2), 139
Proceedings of the first International Seminar on Theoretical Physics & National Development
75
APPLICATION OF MATLAB IN AN EXACT COMPARATIVE
NUMERICAL ANALYSIS OF THE 2D ATTRACTIVE AND
REPULSIVE HUBBARD MODEL
PATRICK O. AKUSU
Federal University of Petroleum Resources, Effurun, Delta State
email: poakusu@yahoo.com
ABSTRACT
By developing a program in MATLAB, an exact solution of a 2
4
x2
4
matrix
representation of the 2D Hubbard Hamiltonian at ½ filling used in describing
simplified 2x1 CuO
2
planes (which are known to play a significant role in HT
c

superconductivity in cuprates) is revisited. A comparative broadspectrum
numerical evaluation/analysis of S(T), F(T), E(kT), C
v
(T) and χ(T) and their
dependence on (U,t), separately carried out for both the Attractive Hubbard
model, AHM (U≤4eV), as well as the Repulsive Hubbard model, RHM
(U≥4eV), reveal a number of very interesting results which are in good agreement
with experiment and compare very favorably with more advanced models and
other sophisticated numerical methods put together. The applicability of
MATLAB at very low temperatures is demonstrated, and the implication of this
work in the search for a generally acceptable theory of HT
c
superconductivity is
hinted.
1. INTRODUCTION
One of the salient hindrances in the search for an appropriate Hamiltonian
that may adequately represent a generally acceptable theory of HT
c

Proceedings of the first International Seminar on Theoretical Physics & National Development
76
superconductivity lies with the mathematical/analytical tool(s) applied in the
evaluation of these theoretical proposals (which in general, is used to determine
the potency of any proposed Hamiltonian). A major problem in the numerical
simulation of manyelectron systems is the ability to carry out calculations at
sufficiently low temperatures [White et al, 1989]. This is attributed to the wide
range of fermion matrix eigenvalues which create considerable difficulty in the
numerical evaluation of the determinant or inverse of the fermion matrix.
Moreover, some algorithms earlier developed which allow simulation to be
carried out within the grand canonical ensemble at low temperature tend to be
slow at low temperature due to a resulting rapid growth of the computer time
needed.
It is instructive [dos Santos, 1994] to study simplified models that display
the essential features of HT
c
superconductors (HTS) in the search for the
mechanism responsible for HT
c
superconductivity. A model that had been used
most frequently to discuss the possibility for superconductivity in strongly
correlated systems is the Hubbard model (HM) [Hubbard, 1963; Mierzejewski
and Zielinski, 1997]. As a matter of fact, it is seen as a good starting point for the
theoretical understanding of HT
c
superconductivity [Idiodi, 2000]. However,
numerous methods that had been applied for the numerical analysis of the 2D
HM are generally very complex and manyatime require some degree of
approximation/assumptions; some of which are faulty, making difficult the clear
understanding of the physical consequences.
It has been demonstrated [Animalu, 1992] that an exact solution is an
effective prescription for solving model Hamiltonian like the Hubbard, tJ and
pseudoHubbard models, in comparison to perturbation or approximate methods
like the meanfield (finitetemperature) Gutzwiller variational scheme and the
Quantum Monte Carlo simulations for strongly correlated electron gas; where
there are indications that the exact solution has the essential physical aspect of the
problem. However, the degree of success of earlier attempts were hampered by
the tools employed for analysis, which apart from an initial mathematical
manipulation that had to be done rigorously, also involved very complex
programming. These were compounded by the difficulty in handling equations
involving exponential matrix functions, whose computational complexity grows
with the increase in the matrix dimension, and a further difficulty in its
application at very low temperatures.
In this paper, the MATLAB is applied in a numerical analysis using an
exact method and fundamental principles/basic formulae, thereby eliminating
errors that otherwise may be introduced by any form of approximation or
mathematical manipulation.
Proceedings of the first International Seminar on Theoretical Physics & National Development
77
A major motivation for the exact solution is that the state of HT
c

superconductors could be examined via their various thermodynamic properties.
Hence this exact analysis will be based on the calculations of various
thermodynamic properties and magnetic spin susceptibility. The system of interest
here is the simplified superconducting CuO
2
plane of two sites, a 2x1 (CuOCu)
lattice that play a very important role in HT
c
superconductivity. Actually, it is
generally believed that the mechanism for HT
c
superconductivity lie within the
CuO
2
planes [see Animalu, 1992].
2. THE EXACT METHOD
The 2D Hubbard Hamiltonian at ½filling (µ=0), H
H
, which has been shown
[“Enugu group”, Animalu et al, 1998, and Akusu, 2004] to be equivalent to a
transformed BCS Hamiltonian in Wannier representation,
T
BCS
H , is given by:
( )
∑ ∑
> <
↓ ↑
+ +
+ + − = ≡
σ
σ σ σ σ
j i j i
i i i j j i
T
BCS H
n n U c c c c t H H
, ) (
(1)
where t is the strength of the nearestneighbor (nn) hopping which is determined
by the overlapping integral between the two sites; U is the intraatomic Coulomb
interaction; n
i
, the number operator;
+
σ ), ( j i
c and
σ ), ( j i
c are the creation and
annihilation operators respectively.
This equivalence promises the use of modified versions of the standard
BCS model [Bardeen et al, 1957] for the study of HT
c
superconductors in order to
explain not only the coexistence of superconductivity and antiferromagnetism, but
the rich variety of the properties of the HT
c
materials [Animalu et al, 1998]. The
interest in the twodimensional Hubbard model (H
H
) is based on the possibility
that the competition between the kinetic energy and the Coulomb energy gives
rise to strong electron correlation which may be relevant to HT
c

superconductivity. Due to the proximity of antiferromagnetic and
superconducting phases, Coulomb correlations can be considered as a possible
nonphononic mechanism of HT
c
superconductivity [Thouless, 1972].
Following the lead introduced originally by Thouless [1972], which was
later adapted by Animalu [1992], the creation and annihilation operators in a 4
fermion system are represented by 2
4
x2
4
(i.e. 16x16) matrices extracted from the
16 manyelectron states that form the basis for the representation of the system.
The 16 manyelectron states are shown in TABLE 1 (after Animalu [1992]):
Proceedings of the first International Seminar on Theoretical Physics & National Development
78
Table 1: The 16 basis manyelectron states of a 4Fermion system
INDEX STATE REMARK
0 Vacuum 0particle state
1
↑ = , 1 i
1particle state
2
↓ = , 1 i
”
3
↑ = , 2 i
”
4
↓ = , 2 i
”
5
( ) ↓ = ↑ = , 1 , , 1 i i
2particle state
6
( ) ↑ = ↑ = , 2 , , 1 i i
”
7
( ) ↓ = ↑ = , 2 , , 1 i i
”
8
( ) ↑ = ↓ = , 2 , , 1 i i
”
9
( ) ↓ = ↓ = , 2 , , 1 i i
”
10
( ) ↓ = ↑ = , 2 , , 2 i i
”
11
( ) ↑ = ↓ = ↑ = , 2 , , 1 , , 1 i i i
3particle state
12
( ) ↓ = ↓ = ↑ = , 2 , , 1 , , 1 i i i
”
Proceedings of the first International Seminar on Theoretical Physics & National Development
79
13
( ) ↓ = ↓ = ↑ = , 2 , , 2 , , 1 i i i
”
14
( ) ↓ = ↑ = ↓ = , 2 , , 2 , , 1 i i i
”
15
( ) ↓ = ↑ = ↓ = ↑ = , 2 , , 2 , , 1 , , 1 i i i i
4particle state
Shown below are 4 explicit 16x16 matrix representations of the
annihilation operators,
↓ ↑ ↓ ↑ 2 2 1 1
, , c and c c c , from which the corresponding
creation operators
+
↓
+
↑
+
↓
+
↑ 2 2 1 1
, , c and c c c can be deduced. Offcourse, these
operators satisfy the usual anticommutation relations:
{ }
{ } { }
¦
)
¦
`
¹
= =
=
+ +
′ ′
+
0 , ,
,
σ σ σ σ
σ σ σ σ
δ δ
j i j i
ij j i
c c c c
c c
(2)
Proceedings of the first International Seminar on Theoretical Physics & National Development
80
( ) 3
0
1
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 1 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 1 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 1 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 1 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 1 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 1 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 1 0
1
=
↑
c
Proceedings of the first International Seminar on Theoretical Physics & National Development
81
( ) 4
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0
1
−
−
−
−
=
↓
c
Proceedings of the first International Seminar on Theoretical Physics & National Development
82
( ) 5
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0
2
−
−
−
−
=
↑
c
Proceedings of the first International Seminar on Theoretical Physics & National Development
83
( ) 6
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0
2
−
−
−
−
=
↓
c
Proceedings of the first International Seminar on Theoretical Physics & National Development
84
The matrix representation of
H
T
BCS
H H ≡ in equation (1) is then obtained as:
This is a symmetric diagonal matrix in “Jordan’s Canonical form” [see Fano,
1971] with three identifiable “Blocks”. All offBlock entries are zeros. It should
be noted that MATLAB carries out this and other matrix diagonalization
automatically.
The 2particle states relevant to superconductivity and antiferromagnetism
are extracted from the 6x6 submatrix of equation (6) to give the corresponding
Hamiltonian matrix:
U t t
t t
t t
t t U
−
− −
−
0
0 0
0 0
0
(8)
This characterizes, at halffilling, µ=0, a Heisenberg antiferromagnet defined by
an effective Hamiltonian:
( ) 7
2
0 0
0 0
0 0
0 0
0 0 0
0 0 0 0 0 0
0 0 0 0
0 0 0 0
0 0 0 0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
0 0 0
0























¹

\

−
− −
−
−
−
−
−
=
U
U t
U t
t U
t U
U t t
t t
t t
t t U
t
t
t
t
H
T
BCS
Proceedings of the first International Seminar on Theoretical Physics & National Development
85
U
t
J S S J H
ij
j i eff
2
4
; 2 = ∑ ⋅ − =
(9)
Moreover, the secular equation associated with expression (7) may be written in
the form proposed by Okoye and Animalu [see Animalu, 1992] for the interaction
of two Bogoliubov pairs ( )
↓ − ↑ k k
d d
, and ( )
↓ − ↑ k k
p p
, coupled by pd
hybridization:
0
0
0
0
0
=
+ ∆ ∆
∆ − −
+ ∆
− ∆ −
−
+
−
+
p p p
p p
d d
d d
E
E x J
x J E
x J E
ε
ε
ε
ε
(10)
It has been shown [Parmenter, 1987; Animalu, 1992; and Animalu et al,
1998] that equation (10) has the same eigenvalues as equation (8).
3. THERMODYNAMIC PROPERTIES. MAGNETIC SPIN
SUSCEPTIBILITY
The Hamiltonian
H H H
H
T
BCS
= ≡
represents an excellent testing ground for the exact method using the MATLAB.
Not only are the physical properties of this model of great interest [White et al,
1988], there are also a variety of results available for comparison.
The grand quantum partition function, z, is given by
( )
H
e Tr z
β −
= (11)
where
kT
1
= β , with k being the Boltzman constant and T the absolute
temperature.
The temperaturedependent Helmholtz free energy, F(T), entropy, S(T),
internal energy, E(kT) and electronic specific heat C
v
(T) are all derived from z
using the following basic formulae:
) log( ) ( z T F τ − = (12)
T
F
T S
∂
∂
− = ) ( (13)
Proceedings of the first International Seminar on Theoretical Physics & National Development
86
( )
τ
τ
τ
∂
∂
− =
F
kT E
2
) ( (14)
and ( )
T
E
T C
v
∂
∂
= (15)
where
β
τ
1
= ;
while the temperaturedependent magnetic spin susceptibility, ( ) T χ is calculated
from
( )
( ) [ ]
T
n n N
T
i
i i
2
1
∑ −
=
↓ ↑
−
χ (16)
with N being the number of fermions.
The thermal average of an operator O
ˆ
is defined if O
ˆ
is expressed in
terms of fermion creation and annihilation operators, and can be calculated from


¹

\

=
−
z
e O
Tr O
H β
ˆ
ˆ
(17)
The MATLAB is now used to evaluate these quantities directly from their
respective basic formulae, equations (13) to (16), despite the huge 16x16 matrix
contained in the exponential factor involved.
4. NUMERICAL RESULTS AND DISCUSSIONS
The thermodynamic properties, F(T), S(T), E(kT) and C
v
(T), and the magnetic
spin susceptibility, ( ) T χ , as defined in the preceding section for halffilling
(µ=0), are numerically evaluated for both the Attractive 2D Hubbard
model (AHM) i.e with U<0, and the Repulsive 2D Hubbard model (RHM) with
U>0, in a 2x1 (CuOCu) lattice as a function of the temperature, T, over a range
0.1eV≤ kT ≤5.0eV at intervals of 0.02eV (which ensures high resolution of the
results).In this work we take k=1. In studying the effects of simultaneously
varying both the Coulomb interaction and the nn hopping integral, (U,t) on these
temperaturedependent properties, the range –10eV≤U≤10eV is chosen while the
corresponding t is either 1eV or 0.43eV so as to be within the order of known
experimental values at halffilling [Hybertsen et al, 1990],Table 2:
Proceedings of the first International Seminar on Theoretical Physics & National Development
87
Table 2 : Pairvalues of (U,t):
U/eV 10.0 5.0 4.0 0.137 0.0 0.137 4.0 5.0 10.0
t/eV 1.0 0.43 1.0 0.43 1.0 0.43 1.0 0.43 1.0
Before commencing on the detail of the analysis, it is proper to point out
here that all the results for –0.137eV≤U≤0.137eV closely exhibit the same trend
at very low temperatures and becomes indistinguishable at higher temperatures.
The results within this range of U, which are in trend with the uncorrelated case
(U=0), could be taken as the transition between the AHM and the RHM. The
following analysis therefore, deals mainly with the ranges U≤4eV (AHM) and
U≥4eV (RHM), for the intermediate and strong coupling.
i) Helmholtz free energy, F(T)
The dependence of F(T) on T for different values of (U,t) shows two
distinct groups of curves (Figure 7.1): one of the groups, for U≤4eV (the
intermediate and strong interaction AHM), form clearly separated curves for each
set of (U,t); while for the other group, U≥4eV (the intermediate and strong
interaction RHM), closely packed curves that cross each other are observed.
Irrespective of the value of (U,t), the dependence of F(T) on T is parabolic (see
insert in figure 7.1), having its highest value at T=0
o
K and decreasing to a
minimum at the transition temperature, T
c
.
Proceedings of the first International Seminar on Theoretical Physics & National Development
88
Proceedings of the first International Seminar on Theoretical Physics & National Development
89
This is typical of a normalsuperconducting phase diagram. Apparently,
the T
c
’s of the RHM are generally higher than those of the AHM. This may be a
pointer to the amount of work needed for the transition to the superconducting
state.
Though F(T), in general, have negative values, its values are relatively
higher in the RHM where they exhibit only slight variation for all (U,t). On the
other hand, in the AHM, there are clear variations in F(T) for different (U,t).
ii) Entropy, S(T)
This also exhibits the same two sets of distinct curves for the different
(U,t) as in the case of F(T) (figure 7.2). The results obtained are in excellent
agreement with experiment, with the curves exhibiting the same trend and
features as experimentally obtained results [Zemansky and Dittman, 1989; Paiva
Proceedings of the first International Seminar on Theoretical Physics & National Development
90
et al, 2001]. In general, S(T) for U≤4eV are higher than those for U≥4eV; though
at higher temperature, S(T) tend to converge for all U.
Other important observations include:
• For the uncorrelated case, U=0, the value of S at T=0, S=S
o
, arises from
momenta states, p
, at the Fermi surface, ( ) p ∈ . This is also
approximately true for 0 ≅ U .
• The halffilled RHM, with U≥4eV,exhibits the paramagnetic phase,
where, irrespective of U, the states are at ( ) µ = ∈ p and S
o
is fixed at a
value ≠0.
• With U≤4eV, the AHM describes the antiferromagnetic phase, at half
filling. The bands are split away from ( ) µ = ∈ p and S
o
=0 irrespective of
U.
• However, within the low temperature range, the general rapid drop to zero
of S as the temperature is reduced is an antiferromagnetic signature [Paiva
et al, 2001].
• It is further noted that the temperature dependence of S for different (U,t)
is similar to its dependence for different values of the applied magnetic
field, H
a
[Zemansky and Dittman, 1989], suggesting a possible correlation
between U and H
a
.
iii) Internal Energy, E(kT)
Figure 7.3 also displays two distinct sets of curves for the internal energy,
E(kT), of the HT
c
superconductors, viz, those for the AHM (U≤4eV) which
generally have lower internal energy (suggesting a higher stable state) show
marked variation of E(kT) with (U,t); while those for the RHM (U≥4eV) form a
much more packed set of curves which cross each other. However, E(kT) has
negative value for both models.
Proceedings of the first International Seminar on Theoretical Physics & National Development
91
For all (U,t), as T increases from 0
o
K, E(kT) decreases to a minimum, E
min
,
then rises smoothly to approximately its initial value at higher temperatures. The
E
min
, for the RHM, has a smaller halfwidth (see insert of figure 7.3) than those of
the AHM whose E
min
are spread over a wider temperature range. This suggests
that the AHM is not only more stable but sustains its stable state over a wider
temperature range.
iv) Electronic Specific Heat, C
v
(T)
Proceedings of the first International Seminar on Theoretical Physics & National Development
92
Calculation of C
v
(T) for the intermediate and strong correlations of the 2
D AHM (U≤4eV) agrees with the confirmation of the longrangeordered
magnetic ground state of EuCu
2
Si
2
which is analogous to the heat capacity for
similar Gdbased antiferromagnets and magnetic Eubased compounds for which
the broad character of the C
v
(T) anomaly has been attributed to peculiarities in the
exchange interaction in the ordered state [Bouvier et al, 1991; Paiva et al, 2001],
and to the presence of small crystalfield splitting.
The behavior of C
v
(T), Figure 7.4, agrees, in general, with the results of
computation by a number of authors; for instance, Takahashi, in 1974, who used
the Bethe ansatz techniques, and Duffy and Moreo who, in 1997, carried out
Quantum Monte Carlo (QMC) studies for the 2D and 3D Hubbard models.
The 2D RHM for intermediate and strong interactions (U≥4eV) exhibits a
twopeak structure with a broad hightemperature peak associated with “charge
fluctuation” and a narrower peak at lower temperature associated with “spin
fluctuation”. This observation has been well accounted for from a strong coupling
Proceedings of the first International Seminar on Theoretical Physics & National Development
93
viewpoint [Paiva et al 2001]. It should be noted that the QMC work did not reach
low enough temperature to resolve the two peaks.
The halffilled Hubbard model can be mapped into the spin1/2
antiferromagnetic Heisenberg model with exchange constant J=4t
2
/U, whose
C
v
(T) has a peak at T~J associated with magnetic ordering. One expects,
therefore, that the C
v
(T) for strong coupling RHM at halffilling to have a “charge
peak” at T~U and a “spin peak” at T~J. Furthermore, careful study of C
v
(T) of
RHM suggests that the peaks begin to merge at U/t~4 in agreement with the
general consensus and with the 1dimensional bandwidth Quantum transfer
matrix calculation [Paiva et al, 2001].
In echo to Paiva’s observation in the dynamic mean field theory (DMFT)
[2001], our calculations reveal two crossings for the Hubbard model, with the
hightemperature one being nearly universal, while the lowtemperature
intersections are considerably more spread. It has been argued by Georges and
Kranth in 1993, and by Chandra and Vollhardt in 1999, that this crossing follow
from the fact that the hightemperature entropy is independent of U. This can be
seen from the fact that since
∫
= 
¹

\


¹

\

∂
∂
∞
0
0
T
dT
U
C
(17)
it follows that
U
C
∂
∂
must be positive for some temperature range and negative for
others, a condition for crossing to occur. The narrowness of the crossing region is
traced ultimately to the linear temperature dependence of the double occupancy,
the conjugate variable associated with U.
A partial correlation of S(T) and C
v
(T) can be recognized at weak coupling
where, in the initial increase in S(T) at low T (which comes from the temperature
dependence of the potential energy) is what gives rise to the lowtemperature peak
in C
v
(T).
Finally, the structure of C
v
(T) can be associated with “pseudogap”
formation i.e the onset of short range antiferromagnetic correlation between near
neighbor spins. The “pseudogap” is one of the central features of the 2
dimensional Hubbard model under recent discussion [Paiva et al, 2001], since it is
one of the most interesting features of the normal state of hightemperature
superconductors in the underdoped regime.
Proceedings of the first International Seminar on Theoretical Physics & National Development
94
v) Magnetic Spin Susceptibility, ( ) T χ
Our curves (see figure (7.5)) for the intermediate and strong correlations,
U≥4eV, for the RHM has an excellent agreement with those of undoped
y x x
O M Cu Sr La
− − 4 1 15 . 0 85 . 1
, which exhibits Pauli as well as Van Vleck
paramagnetic contribution; and at higher temperatures, a CurieWeiss type of
behavior is noticed, which is similar to the behavior induced with both Ni and Zn
Proceedings of the first International Seminar on Theoretical Physics & National Development
95
doping of
y x x
O M Cu Sr La
− − 4 1 15 . 0 85 . 1
, where the effective moments may be
determined to fit
( )
( )
o
T
C
T χ
θ
χ +
+
= (18)
where C and θ are the Curie constant and Curie temperature respectively [Koike
et al, 1990]. This may show a slight positive temperature coefficient of χ which
may be interpreted as a tail of a broad maximum at a higher temperature resulting
from a shortranged antiferromagnetic correlation in the 2dimensional sheets of
CuO
2
[Greene et al, 1987; Koike et al, 1990; dos Santos, 1994; Slebasrski et al,
2001; Shizuya et al, 2001 and Pagliuso et al, 2001].
Another inference [Shizuya et al, 2001] of the Curielike paramagnetic
contribution is that, in
3 1
BiO K Ba
x x −
and
3 1
O Bi BaPb
x x −
, this could be a spin
density wave (SDW) domain wall between the charge density wave (CDW)
domain with discontinuing phases by considering 1 or 2dimensional models i.e.
the coexistence of the CDW and SDW is suggested in their semiconducting
phase.
The trend of χ(T) for U≥4eV (i.e RHM) is also similar to that which
demonstrates the temperaturedependence of the higher critical field, H
c2
[Koike
et al, 1990; and Maksimova et al, 2001], pointing to a possible correlation of U
and H
c2
; while, on the other hand, there seem to be a correlation between doping,
δ, and U for U≤4eV (i.e AHM) when χ(T) in figure (7.5) is compared with the
temperaturedependence of χ in a constant field of 1T of Pb
2
Sr
2
Y
1x
Ca
x
Cu
3
O
8+δ
(which is very similar to those of other HT
c
superconductors (HTS) with
pyramidal CuO
2
layers such Bi
2
Sr
2
Ca
1x
Y
x
Cu
2
O
8+δ
 where these pyramidal CuO
2
Proceedings of the first International Seminar on Theoretical Physics & National Development
96
layers may control almost all the properties of these HT
c
materials including their
transition temperature, T
c
). This correlation between doping,δ, and U, and the
general trends of our results, are in strong agreement with results of QMC
simulations for the more realistic 3band Hubbard model [Dopf et al, 1992; dos
Santos, 1994].
While the peaks in figure (7.5) are a clear signature of the
antiferromagnetic ordering of Cu
2+
spins in HTS as is clearly detected in La
2
x
Ba
x
CuO
4
[Koike et al, 1990; Wu et al, 2001; and Pagliuso et al, 2001], the
suppression in χ for the AHM is generally below some temperature, T
x
(U). This
suppression can be understood in the strongcoupling regime by noticing that
local pairs are being formed, and that spin excitations necessarily imply pair
breaking with an energy cost (gap) of the order U . The formation of local pairs
and the associated spin gap should be reflected in the magnetic properties (this
line of reasoning could be applied for intermediate coupling). T
x
(U) may thus
represent a crossover temperature separating two normalstate regions: metallic
and spin gap.
From figure (7.5), it can also be inferred that pair formation can only
occur below a critical value of U=U
p
. It can easily be shown that for AHM,
U
p
∈(2eV, 1eV] which begins at the temperature where χ(U=0)=χ(U=1); while
for RHM, U
p
∈[2eV, 3eV) beginning at the temperature where
χ(U=0.137)=χ(U=2). Our range of U
p
for RHM is smaller than the value
predicted by Micnas et al [1990] i.e. U
p
~7.8eV, within a lowdensity
approximation; while our result for AHM agrees with that obtained by dos Santos
[1994], U
p
∈[2, 1] through Quantum Monte Carlo (QMC) simulation in his work
Proceedings of the first International Seminar on Theoretical Physics & National Development
97
on 3dimensional attractive Hubbard model. Our results may be taken as the outer
limits for all HTS.
5. CONCLUSION
A detail understanding of the relationship of these signatures is desirable
in a number of contexts in using model Hamiltonians to describe strongly
correlated materials, where they can provide clues concerning the suitability of
different model in describing the low temperature physics of specific materials.
The MATLAB creates the atmosphere, and encourages the use of exact
methods in solving problems from fundamental principles and basics formulae,
thereby eliminating errors that, thereto, may be introduced by any form of
approximation or rigorous mathematical manipulation. This application made
easy the exact evaluation and analysis of the properties of HTS described by the
otherwise relatively very simple 2D Hubbard model; and the results obtained are
in very good agreement with experiment and compare favorably with more
sophisticated models and known analytical methods put together. The MATLAB
also proved to be a valuable analytical facility at very low temperatures via high
resolution.
This work may therefore suggest that the inadequacies of known
numerical methods/tools might have greatly contributed in the inability to achieve
a desired model that would adequately account for HTS. The success of this exact
method, with the use of MATLAB, encourages the reevaluation of some theories
that were hitherto supported by approximate analysis.
Proceedings of the first International Seminar on Theoretical Physics & National Development
98
ACKNOWLEDGEMENT
Dr P.O. Akusu wishes to acknowledge the contributions of Marius Bulacu
(Buchrest, Romania) and to salute Professor Alexander O. E. Animalu, a mentor,
a father and a very dear friend.
6. REFERENCES
Akusu, P.O. (2004) Hadronic Journal Supplement, Vol 19(1), Hadronic Press, Fl,
U.S.A.
Animalu, A.O.E., Okoye, C.M.I. and Asomba, G.C. (1998) J. Nig. Ass. Math.
Phys. vol.2, pp297311.
Animalu, C.N. (1992) J. Nig. Ass. Math. Phys. vol.1, pp2328; Hadronic J.
Supplement, 7 pp.287436.
Bardeen, J., Cooper, L.N. and Schrieffer, J.R. (1957) Phys. Rev., vol.106,
pp162174.
Bouvier, M., Lethuillier, P. and Schmitt, D. (1991) Phys. Rev. B, vol.43,
pp1313713144.
Chandra, N.K. and Vollhardt, D. (1999) Phys. Rev. B, vol 59, p10541.
Dopf, G., Muramatsu, A. and Hanke, W. (1992) Phys. Rev. Lett., vol. 63 (3),
pp353356.
dos Santos, R.R. (1994) Phys. Rev. B, vol.50, pp635638.
Duffy, D. and Moreo, A. (1997) Phys. Rev. B, vol 55, p12918.
Fano, G. (1971) Mathematical Methods of Quantum Mechanics, New York,
McGrawHill. 428pp
Georges, A. and Kranth, W. (1993) Phys. Rev. B, vol 48, p7167.
Greene, L.H., Tarascon, J.M., Bagley, B.G., Barboux, P., Mckinnon, W.R.
and Hull, G.W. (1987) Rev. of Solid State Sc., vol.1(2), pp199202.
Hubbard, J. (1963) Proc. Roy. Soc. (Lond.) vol.A276, pp238257.
Hybertsen, M.S., Stechel, E.B., Schluter, M. and Jennison, D.P. (1990) Phys.
Rev. B 41 pp1106811072.
Proceedings of the first International Seminar on Theoretical Physics & National Development
99
Idiodi, J.O.A. (2000) A Research Oriented Course in Superconductivity (Lecture
note), National Mathematical Centre, Abuja, Nigeria.
Koike, Y., Masuzawa, M., Noji, T., Sunagawa, H., Kawabe, H., Kobayashi,
N. and Saito, Y. (1990) Physica C vol.170, pp130138.
Maksimova, G.M., Vodolazor, D.Yu. and Maksimov, I.L. (2001) Physica C,
vol.356, pp6782.
Mierzejewski, M. and Zielinski, J. (1997) Phys. Rev. B 56(18), pp1192511930.
Mincas, R., Ranninger, J. and Robaszkiewics, S. (1990) Rev. Mod. Phys.
vol.62, pp113171.
Pagliuso, P.G., Sarrao, J.L., Thompson, J.D., Hundly, M.F., Sercheli, M.S.,
Urbano, R.R., Rettori, C., Fisk, Z. and Oseroff, S.B. (2001) Phys. Rev.
B, vol.63, pp0924061 to 4.
Paiva, T., Scalettar, R.T., Huscroft, C. and McMahan, A.K. (2001), Phys.
Rev. B 63 pp1251161 to 11.
Parmenter, R.H. (1987) Phys. Rev. Lett., vol.59, pp923925.
Shizuya, M., Fujimura, S., Imai, H., Ji, X., Minami, H., Kita, E. and Uwe, H.
(2001) Physica, C vols.357360, pp169172.
Slebarski, A., Bauer, E.D., Li, S. and Maple, M.B. (2001) Phys. Rev. B, vol.63,
pp1251261 to 7.
Takahashi, M. (1974) Prog. Theor. Phys., vol 52, p103.
Thouless, D.J. (1972) The Quantum Mechanics of ManyBody Systems (2
nd
ed),
New York and London, Academic Press, 242pp.
White, S.R., Scalapino, D.J., Sugar, R.L., Loh, E.Y., Gubernatis, J.E. and
Scalettar, R.T. (1988) Phys. Rev. B 40(1) pp506516.
Wu, G., Neumeier, J.J. and Hundly, M.F. (2001) Phys. Rev. B, vol.63,
pp2451201 to 5.
Zemansky, M.W. and Dittman, R.H. (1989) Heat And Thermodynamics (6
th
ed.) Auckland, McGrawHill Book Company, 436pp.
Proceedings of the first International Seminar on Theoretical Physics & National Development
100
SPECTROSCOPY STUDY OF THE LIGHT – HEAVY ٨
HYPERNUCLEI USING THE QUANTUM MECHANICAL
HYPERVIRIAL THEOREMS
OYEWUMI, K. J.
Theoretical Physics Section, Department of Physics
University of Ilorin, P. M. B. 1515, Ilorin, Nigeria.
EMail: mjpysics@yahoo.com
ABSTRACT
We extend the quantum mechanical hypervirial theorems (HVTs) formalism to
the study of ٨ hypernuclei (HN). The ٨ singleparticle spectra of hypernuclei B
٨
for s, p and dstates are calculated in the quantum mechanical hypervirial
theorems formalism for a variety of ٨hypernuclei. Also, with this formalism, the
lowest ٨ energy level spacing, the kinetic and potential energy operators for the
various ٨ bound in hypernucleus are obtained for s, p and d states. The results
obtained with this formalism are in good agreement with the experimental results
and those results from other theoretical methods. This method works better for
deeply bound states of relatively heavy HN.
KEY WORDS: Hypervirial, ٨hypernuclei, ٨ binding energy, kinetic and
potential energies.
PACS: 03.65.Fd, 03.65.Ge, 03.65.Ca, 03.65W
Proceedings of the first International Seminar on Theoretical Physics & National Development
101
1. INTRODUCTION
In 1953 Marian Danysz and Jerzy Pniewski, two Polish physicists studying
cosmic radiation, observed the first hypernucleus. The interaction of a high
energy proton with a nucleus in the emulsions they were using as a detector
produced a hyperfragment, a nucleus containing a ٨particle. This pioneering
observation initiated a new field of fundamental research called
HYPERNUCLEAR PHYSICS. The hypernucleus itself provides a unique
laboratory suitable not only for studying nuclear structure in the presence of a
strange quark, but also for probing weak interactions between baryons. During the
past 50 years, many experimental results about ٨ hypernuclei have been
produced at CERN, BNL, DAΦNE and KEK (Millener et al. 1985, Millener et al.
1988, Chrien et al. 1988, Ake et al. 1991, Pile et al. 1991, Hasegawa et al. 1996,
Nagae 2000, Tamura et al. 2000, Tanida et al. 2001, Hotchi et al. 2001, Akikawa
et al. 2002, Ahmed et al. 2003, Sasao et al. 2004, Angello et al. 2005, Bressani et
al. 2005, Davids 2005, Hashimoto and Tamura 2006, Gal 2007).
Hypernuclei are exotic nuclei which contain, in addition to the usual
neutrons and protons, at least one hyperon (Danysz and Pniewski 1986 and the
references there in). The hypernucleus is a new type of nucleus for which a
hyperon, ٨, Σ and Ξ , or two hyperons are embedded in a normal nucleus as an
impurity, by having a new quantum number of strangeness. A ٨ hypernucleus is
generally indicated with the symbol of the parent nucleus with the suffix ٨,
indicating that a ٨particle has replaced a neutron. C
Λ
12
means a nuclear system
composed of 6 protons, 5 neutrons and one ٨ particle.
The ٨ hyperon is a baryon, like the nucleons (proton and neutron), with
mass 1115.683 ± 0.006MeV/c
2
, 20% greater than the mass of the nucleon, zero
charge and isospin I=0. It carries a new quantum number, not contained normally
inside the nuclei, the strangeness S=1. The ٨ hyperon is unstable and decays
with lifetime 263± 2 ps (Eidelman et al. 2004, Yao et al. 2006 and Amsler et al.
2008).
However, the most extensively studied hypernuclear system is the single
٨ hypernucleus which consists of a ٨ particle coupled to the nuclear core
(Milner et al. 1985, Bandō and Motoba 1990, Motoba et al. 1988, Lalazissiz et al.
1988, Millener et al. 1988, Chrien et al. 1988, Koutroulos and Grypeos 1989,
Koutroulos 1991, Koutroulos and Papadopoulos 1993, Lalazissis 1993 and 1994,
Hasegawa et al 1996, Ake et al. 1991, Pile et al 1991, Dalitz et al. 1997,
Papadopoulos et al. 1997, Grypeos et al. 1997, Vidaña et al. 1998, Liolios 1999,
Tretyakova and Lanskoy 1999, Usmani and Bodmer 1999, Tamura et al. 2000,
Nagae et al. 2000, Papadopoulos et al. 2000, Dalitz et al. 2001, Grypeos et al
Proceedings of the first International Seminar on Theoretical Physics & National Development
102
2001, Arias de Saavedra et al 2001, Tanida et al. 2001, Hotchi et al. 2001,
Akikawa et al. 2002, Tsushima and Khanna 2003, 2004, Ahmed et al. 2003, Sasao
et al. 2004, Tan YuHong et al. 2004, Angello et al. 2005, Bressani et al. 2005,
Davids 2005, Dalitz et al. 2005, Hashimoto and Tamura 2006 and Gal 2007).
Several experimental results have been produced in an attempt to
determine the ٨hyperon binding energy B
٨
which is a fundamental quantity of the
Hypernuclear Physics and it is defined by the relation (Millener et al. 1985,
Millener et al. 1988, Chrien et al. 1988, Ake et al. 1991, Pile et al. 1991,
Hasegawa et al. 1996, Nagae 2000, Tamura et al. 2000, Tanida et al. 2001, Hotchi
et al. 2001, Akikawa et al. 2002, Ahmed et al. 2003, Sasao et al. 2004, Angello et
al. 2005, Bressani et al. 2005, Davids 2005, Hashimoto and Tamura 2006, Gal
2007):
Λ
− + = B C M C M C M
H core H
2 2 2
, (1)
where M
H
, M
core
and B
٨
are the masses of the hypernucleus, its core and the ٨
hyperon respectively. One of the major achievements of Experimental
Hypernuclear Physics was the determination of the energy spectrum of the ٨
particle bound in quite a number of hypernuclei (David and Pniewski 1986,
Millener et al. 1985, Millener et al. 1988, Chrien et al. 1988, Ake et al. 1991, Pile
et al. 1991, Hasegawa et al. 1996, Nagae 2000, Tamura et al. 2000, Tanida et al.
2001, Hotchi et al. 2001, Akikawa et al. 2002, Ahmed et al. 2003, Sasao et al.
2004, Angello et al. 2005, Bressani et al. 2005, Davids 2005, Hashimoto and
Tamura 2006, Gal 2007).
Theoretical efforts have been devoted to understanding the properties of
hypernuclei. Analytical expressions for the ٨binding energy have been obtained
via usual perturbation and analytical methods (Lalazissis et al. 1988, Lalazissis
1993 and 1994), while mass number dependence in ٨hypernuclei by means of the
HVTs has been discussed by Liolios (1999). The two approximate formulae for
the binding energies in ٨hypernuclei and light nuclei have been investigated by
Liolios (1999).
The relativistic meanfield (RMF) models have been successfully applied
to describe hypernuclei with adjustable mesonhyperon couplings and tensor
couplings (Mareš and Žofka 1993, Lombard et al. 1994, Marcos et al. 1998, Tan
YuHong et al. 2004). Also, ٨hypernuclei are been investigated using the quark
mean field (QMF) model and quarkmeson coupling (QMC) (Shen and Toki
2002, Tsushima and Khanna 2003 and 2004). In order to improve the overall fit
to the singleparticle energies, nonlocality and density dependent effects have
been included in nonrelativistic and relativistic HartreeFock calculations with
Proceedings of the first International Seminar on Theoretical Physics & National Development
103
Skyrme YN interactions (Motoba et al. 1988, Millener et al. 1988, Koutroulos
1991, Koutroulos and Papadopoulos 1993, Lanskoy and Yamamoto 1997,Vidaña
et al. 1998, Tretyakova and Lanskoy 1999 and Cugnon and Lejeune 2000).
In addition, Variational Monte Carlo method (VMC) has been developed
to handle effectively theoretical calculations in ٨hypernucleus (Usmani and
Bodmer 1999, Arias de Saavedra 2001). Most recent reviews, results and
discussions in the study of ٨Hypernuclei can be found in the Bressani (2005)
(references therein) and Nagamiya (2005) (references therein). For a
comprehensive review in ٨ hypernuclei, see Hashimoto and Tamura (2006) and
Millener (2007).
In this research work, our interests are to obtain the ٨ singleparticle
energies B
٨
and other useful quantities, such as the kinetic and potential energy
operators ٨ hypernuclei in the light of the quantum mechanical hypervirial
theorems. These quantities have been obtained for a wide range of ٨hypernuclei
ranging from light toheavy hypernuclei, that is, baryon number 4 to 209 and
for orbital angular momenta up to = 2 for large A (baryon number).
2. BASIC FORMALISM AND THE APPROXIMATE ANALYTIC
EXPRESSIONS FOR B
٨
, <V>
٨
, <T>
٨
AND E
PS
The ٨particle is assumed to move (nonrelativistically) remaining bound
in a hypernucleus of mass number (baryon number) A under the influence of the
mean field generated by the A  1 =A
c
nucleons of the core nucleus. This mean
field approximated by a state independent central potential of the form
∞ ≤ 
¹

\

= r
R
r
f V r V 0 , ) (
0
(2)
where V
0
>0 is the “potential depth”, R>0 is the “potential radius”, and f (f(0)=1)
is the “potential form factor” which determines its shape. The class of potentials
we are considering is the fairly wide class of the so called “oscillatorlike”
potentials, for which f is an analytic function of even power series of x= r/R
∑
∞
=
=
0
2
) (
k
k
k
x d x f , (3)
where the coefficients d
k
are given by the relation
Proceedings of the first International Seminar on Theoretical Physics & National Development
104
. 0 , 2 , 1 , 0 , 
) (
! 2
1
1 0
2
2
< = =
=
d k
dx
x f d
k
d
x
k
k
k
… (4)
Such potentials behave like an harmonic oscillator potential near the origin
(Liolios and Grypeos 1997, Grypeos and Liolios 1999, Liolios 1997, Liolios
1999, Grypeos et al. 2001, Grypeos et al. 2002, Grypeos et al. 2004, Oyewumi et
al. 2004 and Efthymiou et al. 2008). Typical examples of these potentials are the
wellknown:
The Gaussian potential
∞ < ≤ =
−
r e V r V
R
r
G
0 , ) (
2
2
0
(5)
and the (reduced) PöschlTeller (PT) potential
∞ < ≤

¹

\

−
= r
R
r
Cosh
V
r V
PT
0 , ) (
2
0
(6)
where R = r
0
A
1/3
,
3
1
0
0
  3 1


¹

\

=
Λ
V
V
r
N
π
and N V Λ is the volume integral of the spin
average ٨nucleon potential. The depth V
0
and the radius parameter r
0
are taken to
be independent of A and will be determined by a fitting procedure later.
These potentials are very useful in Nuclear Physics, since such potentials
may be considered as a first approximation to the selfconsistent potential in the
study of the behaviour of a nucleon of light nuclei. They have been used
extensively in (Hypernuclear Physics) the study of ٨hyperon in hypernuclei
(Pöschl and Teller 1933, Nieto 1978, Grypeos et al. 1986, Lalazissis et al. 1988,
Lalazissis 1993 and 1994, Liolios and Grypeos 1997, Grypeos and Liolios 1999,
Liolios 1999, Liolios 1997, Grypeos et al. 2001, Grypeos et al. 2002, Grypeos et
al. 2002, Grypeos et al. 2004, Oyewumi et al. 2004 and Efthymiou et al. 2008).
The corresponding Schrödinger eigenvalue problem can be written in the
following form, if we further assume the (approximate) validity of “rigid core
model” express for R, that is R= r
0
A
c
1/3
Proceedings of the first International Seminar on Theoretical Physics & National Development
105
( ) 0 ) ( ) 0 ( , 0 ) (
~
) (
2
0
2 2
2
= ∞ = =
)
`
¹
¹
´
¦
+ + −
−
n n n n
U U x U E x f s
x
L
dx
d
(7)
where, ). 1 (
~
,
2
,
2
0
2
1
2
0
2
2
0 0
2
3
2
2 2
0
+ = =


¹

\

= = =
L and
V
E
E
R V
s
r V
A s s
n
n c
µ µ
This equation is not exactly solvable for these potentials (except for the s
state of the PöschlTeller potential one, see Grypeos et al. (1986), Lalazissis et al.
(1988), Lalazissis (1993) and (1994)). Since there are no analytical solutions for
these ٨particle potentials for the ground and excited states (except for the sstate
of the PöschlTeller potential one), therefore, we have to resort to the
approximation methods or direct numerical methods.
The most widely used approximation schemes are the Rayleigh
Schrödinger perturbation theory and the RayleighRitz variational method.
However, there are few shortcomings which make their applications restricted.
The limitations of these methods have become significant for solving problems in
Physics. Thus, there is the need to develop a new computational method which
provides more accurate results without the use of unperturbed wavefunctions, trial
functions, or matrix elements. One of such methods is that based on the Quantum
Mechanical Hypervirial theorem (HVT), (Hirschfelder, 1960) in conjunction with
HellmannFeynman theorem (HFT) (Hellmann, 1937 and Feymann, 1939).
A number of researchers have studied and applied variations of this
method to several problems: (Hirschfelder 1960, Hellmann 1937 and Feynman,
1939, Epstein and Hirschfelder 1961, Epstein and Epstein 1962, Epstein et al
1967, Hirschfelder and Coulson 1962, Bangudu and Robinson 1965, Robinson
1965, Swenson and Danforth 1972, Maduemezia 1973, 1974, Killingbeck 1978,
1981, 1982, Grant and Lai 1979, Lai 1981, 1982, 1983, 1985, Marc and McMillan
1985, Fernández and Castro 1987, Vinette and Ćìźek 1988, Witwit 1989, Witwit
1991, McRae and Vrscay 1992, Witwit and Killingbeck 1992, Liolios and
Grypeos 1997, 1999, Liolios 1997, 1997, Liolios 1999, Popov 1998, Kotsos et al.
1999, Kwato Njock et al 2000, 2002, Grypeos et al. 2001, Grypeos et al. 2002,
Nsangou and Kwato Njock 2002, Grypeos et al. 2004, Oyewumi et al. 2004,
Dong et al. 2005, Rekab and Zenine 2006 and Efthymiou et al. 2008). For a well
elaborate discussions on HVTs see Hirschfelder (1960), Marc and McMillan
1985, Fernández and Castro (1987), Killingbeck et al. (2001).
These theorems form the basis of a nondegenerate perturbation technique
which provides a powerful scheme for the treatment of some eigenvalue
problems, avoiding the use of wavefunction. This technique is considered a
Proceedings of the first International Seminar on Theoretical Physics & National Development
106
powerful technique in its advantages for calculating the expectation values,
energy eigenvalues and other interesting quantities without the use of the
eigenfunctions, matrix elements, or trial functions. The method constitutes a very
effective alternative to usual perturbation or variational method. This method
finds its applications in various fields of Physics like Atomic and Molecular
Physics, SolidState Physics, Quantum optics, Chemical Physics, Computational
Physics, Nuclear and Particle Physics, and other interesting fields of studies.
Application of the Hypervirial theorem technique in equation (7) leads to
the following approximate analytic expressions for the binding energy B
٨
, the
lowest ٨energy level spacing E
ps
, the expectation values of the kinetic and
potential energy operators < T >
٨
and < V >
٨
for evenpowerseries potentials (5)
and (6). These approximate analytic expressions are obtained as follow:
The approximate analytic expression for the binding energy B
٨
is given as
( )
¹
´
¦
+ − + − + − = − =
− −
Λ
Λ
3
2
2
0
2
1
2
3
1
0
2
1
1 0
3 4 12
8
) ( 2 1
c n c n n
A s L a
d
d
A s d a V E B
1 3
0
2 2
2
2
3 1
3
1
2
1
1
)] 67 36 68 ( ) 25 12 20 ( 4 [
32
) (
−
− + − + + −
−
−
c n n
n
A s L a d L a d d
d
d a
)] 35 4 )( 3 4 ( 3 ) 295 84 ( 8 880 [ 12 {
1024
1
2 4
3 2 1
4
1
− − + − − + L L L a a d d d
d
n n
)] 513 44 )( 3 4 ( ) 569 172 ( 24 6000 [
2 4 3
2
− − − − + − + L L L a a d
n n
} … …
+ − − − − + − +
−
3
4
4
0
2 4
4
2
1
)]} 35 4 )( 3 4 ( 3 ) 49 12 ( 40 560 [ 8
c n n
A s L L L a a d d (8)
and the approximate analytic expression for the lowest ٨energy level spacing E
ps
is obtained from (8) as
,
1 1 s p ps
E E E − = (9)
therefore
¹
´
¦
− − + − − − =
− −
3
2
2
0
2
00
2
01
1
2
3
1
0 00 01
2
1
1 0
] 2 ( 3 [
4
) ( ) ( 2
c c ps
A s a a
d
d
A s a a d V E
Proceedings of the first International Seminar on Theoretical Physics & National Development
107
1 3
0
2
00
2
01
2
2
2
00
2
01 3 1
3
1
2
1
1 00 01
]] 31 ) ( 34 [ ] 6 ) ( [ 8 [
32
) )( (
−
− − − − −
− −
−
c
A s a a d a a d d
d
d a a
5
] 45 ) 295 127 ( 4 ) ( 440 [ 12 {
1024
1
2
00
2
01
4
00
4
01 3 2 1
4
1
+ − + − + a a a a d d d
d
] 293 ) 569 225 ( 12 ) ( 3000 [
2
00
2
01
4
00
4
01
3
2
+ − − − − + a a a a d
} … … + − − − − − +
−
3
4
4
0
2
00
2
01
4
00
4
01 4
2
1
]] 9 ) 49 ( 25 ( 4 ) ( 56 [ 40
c
A s a a a a d d . (10)
The approximate analytic expression for the expectation values of the
kinetic energy and potential energy operators < T >
٨
and < V >
٨
are obtained as
(by applying HellmannFeynman theorem, Hellmann 1937 and Feynman 1939):
( )
¹
´
¦
+ − + − = > <
− −
Λ
3
2
2
0
2
1
2
3
1
0
2
1
1 0
3 4 12
8
) (
c n c n
A s L a
d
d
A s d a V T
1 3
0
2 2
2
2
3 1
3
1
2
1
1
)] 67 36 68 ( ) 25 12 20 ( 4 [
64
) ( 3
−
− + − + + −
−
−
c n n
n
A s L a d L a d d
d
d a
)] 35 4 )( 3 4 ( 3 ) 295 84 ( 8 880 [ 12 {
512
1
2 4
3 2 1
4
1
− − + − − + L L L a a d d d
d
n n
)] 513 44 )( 3 4 ( ) 569 172 ( 24 6000 [
2 4 3
2
− − − − + − + L L L a a d
n n
} … …
+ − − − − + − +
−
3
4
4
0
2 4
4
2
1
)]} 35 4 )( 3 4 ( 3 ) 49 12 ( 40 560 [ 8
c n n
A s L L L a a d d (11)
and
( )
¹
´
¦
+ − + − + − = > <
− −
Λ
3
2
2
0
2
1
2
3
1
0
2
1
1 0
3 4 12
8
) ( 1
c n c n
A s L a
d
d
A s d a V V
1 3
0
2 2
2
2
3 1
3
1
2
1
1
)] 67 36 68 ( ) 25 12 20 ( 4 [
64
) (
−
− + − + + −
−
−
c n n
n
A s L a d L a d d
d
d a
)] 35 4 )( 3 4 ( 3 ) 295 84 ( 8 880 [ 12 {
1024
1
2 4
3 2 1
4
1
− − + − − + L L L a a d d d
d
n n
Proceedings of the first International Seminar on Theoretical Physics & National Development
108
)] 513 44 )( 3 4 ( ) 569 172 ( 24 6000 [
2 4 3
2
− − − − + − + L L L a a d
n n
} … …
+ − − − − + − +
−
3
4
4
0
2 4
4
2
1
)]} 35 4 )( 3 4 ( 3 ) 49 12 ( 40 560 [ 8
c n n
A s L L L a a d d (12)
where
( )
2
3
2 + + =
n a
n
. (13)
Among the various potentials belonging to the evenpowerseries
potentials, the (reduced) PöschlTeller potential has certain additional analytic
advantages for the s states (ground states) and is preferable for use in practice. In
this work, the ground state energy and also the excited state energies have been
obtained analytically. On the other hand, the Schrödinger eigenvalue problem
equation (7) is not exactly solvable for these ٨nucleus potential equations (5) and
(6), except for the ground states of the PöschlTeller potential. This means that the
Schrödinger equation for PöschlTeller potential can be solved analytically for
= 0 (Bessis et al. 1982, Grypeos et al. 1986, Lalazissis et al. 1988, Lalazissis
1989, Lalazissis 1993 and 1994, Liolios 1999). Also, for the purpose of
comparison, ground state solutions for (reduced) PöschlTeller potential are
obtained from the references above. A clear advantage of the present method,
apart from its simplicity is its application to states not covered by the usual
perturbation method (Lalazissis 1993 and 1994). Their n and dependence has
effect on the accuracy of the truncated expansion used (which provides an
accurate assessment of the method).
3. RESULTS AND DISCUSSIONS
To assess the accuracy of this method, we obtained the numerical values
for the binding energy B
٨
, the expectation values of the kinetic and potential
energy operators < T >
٨
, < V >
٨
respectively. The numbers d
k
(from equation (4))
which are determined by the potential shape for the (reduced) PöschlTeller are
obtained from Grant and Lai (1979) as
d
0
= 1, d
1
= 1, d
2
= 2/3, d
3
= 17/45, d
4
= 62/315, (14)
while for the Gaussian potential d
k
are given by
Proceedings of the first International Seminar on Theoretical Physics & National Development
109
)! (
) 1 (
k
d
k
k
−
= . (15)
Lalazissis (1993, 1994) used a local hypernuclear potential of Wood
Saxon form to obtain the analytic expressions for the ٨energy in the lower
nodeless ٨single particle states and also the dependence on the mass number of
energy quantities of a ٨ in hypernuclei were investigated via usual perturbation
method. In the case of this research work, we used the (reduced) PöschlTeller
and the Gaussian potentials due to the fact that (reduced) PöschlTeller potential
falls off exponentially for large r, as does the usual Wood Saxon potential,
although the surface region of (reduced) PöschlTeller potential is very extended
which compliments its usage for comparatively light nuclei.
Again, in Lalazissis (1993, 1994) the mass number dependence has to be
assumed for the radius parameter r
0
as well, for a reliable reproduction of the
experimental results, that is,
3
1
) (
c c o
A A r R= (16)
where A
c
= A  1 is the mass number of the core nucleus. The above expression
follows readily from the almost exact expression for R (which is the same form as
that of the trapezoidal distribution given by Kodama (1971)) on the basis of the
“rigid core model” for the WoodsSaxon potential as this was done by
Daskaloyannis et al.(1985) who analysed B
٨
and obtained also a mass formula for
this quantity.
According to some very thorough studies in the field of hypernuclei, the
experimental results can be fitted much better by a single particle potential if the
radius parameter r
0
is assumed to have the following form (Millener et al. 1988
and Lalazissis 1994);
) (
3
2
2 1 0
−
+ =
c
A r r r . (17)
Also, from equation (7), where µ is the ٨core reduced mass given as:
)
`
¹
¹
´
¦
+ =
Λ
Λ
c N
A m
m
m 1 µ , (18)
where
Λ
m and m
N
are usual masses of the ٨particle and the nucleons,
respectively. The values of m
٨
and m
N
are those used in the past (Lalazissis 1993,
1994, Grypeos et al. 2001, Eidelman et al. 2004, Yao et al. 2006 and Amsler et al.
Proceedings of the first International Seminar on Theoretical Physics & National Development
110
2008). The best fit values for the (reduced) PöschlTeller potential are: V
0
=
34.38MeV and r
0
= 1.142fm so also, we have used the parametrization of
(Millener et al. 1988, Lalazissis 1993 and Lalazissis 1994 as in equation (17); V
0
= 33.68MeV and r
0
= (1.3111.133A
c
2/3
)fm.
For the Gaussian potential, the best fit are: V
0
= 33.0MeV and r
0
=
1.273fm also, the parametrization of (Millener et al. 1988, Lalazissis (1993, 1994)
as in equation (17); V
0
= 32.45MeV and r
0
= (1.438 1.118A
c
2/3
)fm were used.
B
٨
EXP
are the experimental binding energies (Davis and Pniewski 1986, Millener
et al. 1988, Pile 1991, Hasegawa et al. 1996, Usmani and Bodmer 1999 and Arias
de Saavedra et al. 2001), B
٨
PT
and B
٨
GAUS
are the binding energies obtained using
HVTs technique for PT and the Gaussian potentials. B
٨
ANAL
are the ground state
binding energies obtained by using the analytical approach as in Lalazissis (1993,
1994) and B
٨
APPROX
for higher states binding energies as derived by Lalazissis
(1994), B
٨
REL
, B
٨
CBFT
and B
٨
PERT
are the binding energies calculated using
correlated basis functions theory (CBFT) with the HO and WS nucleonic mean
fields by Arias de Saavedra et al. (2001), relativistic approach by Papadopoulos et
al. (2000) and usual perturbation technique by Lalazissis (1993, 1994)
respectively for comparison.
Table 1: Binding energies B
٨
(in MeV) of the 1s states for a ٨particle in
hypernuclei (HN) for different hypernuclei obtained by HVTs technique (the
values in parentheses were obtained using the expression in equation (17)).
HN B
٨
EXP
B
٨
PT
B
٨
GAUS
B
٨
ANAL
B
٨
REL
B
٨
PERT
B
٨
CBFT
He
4
Λ
2.4±0.03 2.40(0.03) 1.96(0.04) 1.96
He
6
Λ
4.2±0.10 5.82(2.45) 5.58(2.41) 5.31
Be
8
Λ
6.8±0.1 8.13(5.68) 8.01(5.74) 7.66
Be
9
Λ
6.70.04 9.03(6.95) 8.94(7.04) 8.59 8.36
B
10
Λ
8.9±0.1 9.80(8.05) 9.74(8.14) 9.39
B
11
Λ
10.2±0.1 10.48(8.99) 10.44(9.09) 10.10 10.10
Proceedings of the first International Seminar on Theoretical Physics & National Development
111
C
12
Λ
10.8±0.1 11.08(9.82) 11.05(9.92) 10.73 10.81 7.57
C
13
Λ
11.7±0.1 11.63(10.55) 11.61(10.64) 11.29 11.43 8.30
O
16
Λ
12.5±0.4 12.98(12.31) 12.97(12.39) 12.70 12.94 12.96 11.21
O
17
Λ
13.36(12.80) 13.35(12.86) 13.10 11.99
Si
28
Λ
16.0±0.3 16.22(16.27) 16.19(16.24) 16.12 16.31 16.20
S
32
Λ
17.5±0.5 16.92(17.07) 16.87(17.01) 16.86 16.98 16.90
Ca
40
Λ
18.7±1.1 18.03(18.31) 17.95(18.21) 18.04 18.00 18.01 19.61
Ca
41
Λ
18.15(18.44) 18.07(18.33) 18.16 19.96
V
51
Λ
19.9±1.0 19.17(19.54) 19.05(19.38) 19.24 18.99
Fe
56
Λ
21.15±1.5 19.58(19.98) 19.45(19.80) 19.68 19.55
Y
89
Λ
22.1±1.6 21.49(21.95) 21.27(21.66) 21.72 20.82 21.46 23.19
Zr
90
Λ
21.54(21.99) 21.31(21.70) 21.76 23.27
Zr
91
Λ
21.58(22.04) 21.35(21.74) 21.81
La
139
Λ
23.8±1.0 23.12(23.55) 22.79(23.16) 23.45
Pb
208
Λ
26.5±0.5 24.42(24.79) 24.01(24.33) 24.84 24.38 27.52
Pb
209
Λ
24.43(24.81) 24.02(24.34) 24.86 27.55
Proceedings of the first International Seminar on Theoretical Physics & National Development
112
Table 2: Binding energies B
٨
(in MeV) of the 1p states for a ٨particle in
hypernuclei (HN) for different hypernuclei obtained by HVTs technique (the
values in parentheses were obtained using the expression in equation (17)).
HN B
٨
EXP
B
٨
PT
B
٨
GAUS
B
٨
APPROX
B
٨
PERT
B
٨
CBFT
C
12
Λ
0.1±0.5 1.01(0.03) 0.39 0.51
C
13
Λ
0.8±0.5 1.54(0.69) 1.02(0.12) 1.00
O
16
Λ
2.5±0.5 2.97(2.47) 2.65(2.15) 2.36 2.98 1.12
O
17
Λ
3.40(3.00) 3.12(2.73) 2.78 1.76
Si
28
Λ
7.0±1.0 6.286(7.20) 6.86(7.19) 5.27 6.87
S
32
Λ
8.1±0.6 7.76(8.25) 7.81(8.27) 7.20 7.78
Ca
40
Λ
11.0±0.6 9.23(9.92) 9.34(9.98) 8.73 9.23 10.27
Ca
41
Λ
9.39(10.10) 9.50(10.16) 8.90 10.61
V
51
Λ
10.78(11.63) 10.92(11.69) 10.35 10.80
Fe
56
Λ
11.36(12.25) 11.51(12.31) 10.96 11.36
Y
89
Λ
16.0±1.6 14.09(15.10) 14.22(15.11) 13.83 14.07 16.76
Zr
90
Λ
14.15(15.16) 14.28(15.18) 13.89
Zr
91
Λ
14.21(15.23) 14.34(15.24) 13.96 16.87
La
139
Λ
20.1±0.4 16.47(17.49) 16.55(17.43) 16.37
Proceedings of the first International Seminar on Theoretical Physics & National Development
113
Pb
208
Λ
21.3±0.7 18.43(19.39) 18.43(19.25) 18.44 18.41 22.78
Pb
209
Λ
18.46(19.41) 18.45(19.28) 18.47 22.82
Table 3: Binding energies B
٨
(in MeV) of the 1d states for a ٨particle in
hypernuclei (HN) for different hypernuclei obtained by HVTs technique (the
values in parentheses were obtained using the expression in equation (17)).
HN B
٨
EXP
B
٨
PT
B
٨
GAUS
B
٨
APPROX
B
٨
PERT
B
٨
CBFT
Ca
40
Λ
1.0±0.5 2.28(3.16) 2.03(2.90) 1.61 1.37
Ca
41
Λ
2.45(3.35) 2.21(3.11) 1.77 1.64
V
51
Λ
4.0±0.5 3.93(5.03) 3.86(4.92) 3.24 3.97
Fe
56
Λ
4.57(5.74) 4.55(5.67) 3.89 4.64
Y
89
Λ
9.5±1.0 7.69(9.09) 7.86(9.14) 7.10 7.70 9.96
Zr
90
Λ
7.77(9.16) 7.93(9.22) 7.17
Zr
91
Λ
7.84(9.24) 8.01(9.30) 7.25 10.08
La
139
Λ
10.57(12.02) 10.79(12.10) 10.10
Pb
208
Λ
13.00(14.43) 13.22(14.48) 12.66 12.99 17.33
Pb
209
Λ
13.03(14.45) 13.25(14.50) 12.69 17.99
Proceedings of the first International Seminar on Theoretical Physics & National Development
114
Table 4: Expectation values of the kinetic energies < T >
٨
(in MeV) of the 1s
states for a ٨ particle in hypernuclei (HN) for different hypernuclei obtained by
HVTs technique (the values in parentheses were obtained using the expression in
equation (17)).
HN < T >
٨
PT
< T >
٨
GAUS
< T >
٨
ANAL
< T >
٨
PERT
Be
9
Λ
8.36(8.10) 8.95(9.00) 8.63
B
10
Λ
8.33(8.12) 8.83(8.89) 8.64
B
11
Λ
8.29(8.18) 8.70(8.76) 8.61
C
12
Λ
8.23(8.15) 8.57(8.62) 8.58
C
13
Λ
8.17(8.10) 8.45(8.48) 8.53
O
16
Λ
7.97(7.87) 8.12(8.20) 8.35 7.87
O
17
Λ
7.90(7.79) 8.02(7.95) 8.29
Si
28
Λ
7.26(7.02) 7.17(6.95) 7.68 7.02
S
32
Λ
7.08(6.79) 6.95(6.69) 7.49 6.79
Ca
40
Λ
6.76(6.43) 6.57(6.27) 7.17 6.42
Ca
41
Λ
6.72(6.38) 6.53(6.22) 7.13
V
51
Λ
6.41(6.03) 6.18(5.83) 6.81 6.03
Fe
56
Λ
6.28(5.88) 6.03(5.68) 6.68 5.89
Proceedings of the first International Seminar on Theoretical Physics & National Development
115
Y
89
Λ
5.62(5.19) 5.33(4.94) 6.00 5.10
Zr
90
Λ
5.61(5.17) 5.31(4.92) 5.98
Zr
91
Λ
5.59(5.15) 5.30(4.91) 5.97
La
139
Λ
5.02(4.57) 4.71(4.32) 5.37
Pb
208
Λ
4.52(4.07) 4.20(3.82) 4.84
Pb
209
Λ
4.51(4.06) 4.29(3.81) 4.83
Table 5: Expectation values of the kinetic energies < T >
٨
(in MeV) of the 1p
states for a ٨ particle in hypernuclei (HN) for different hypernuclei obtained by
HVTs technique (the values in parentheses were obtained using the expression in
equation (17)).
HN < T >
٨
PT
< T >
٨
GAUS
< T >
٨
APPROX
< T >
٨
PERT
C
12
Λ
8.59(7.88) 10.89(10.63)
C
13
Λ
8.81(8.27) 10.90(10.70)
O
16
Λ
9.21(8.92) 10.83(10.68) 12.01 8.11
O
17
Λ
9.28(9.04) 10.79(10.64)
Si
28
Λ
9.44(9.21) 10.19(9.92) 10.41 9.02
S
32
Λ
9.37(9.12) 9.98(9.67) 10.06 8.95
Ca
40
Λ
9.20(8.88) 9.60(9.23) 9.42 8.77
Proceedings of the first International Seminar on Theoretical Physics & National Development
116
Ca
41
Λ
9.18(8.85) 9.56(9.17)
V
51
Λ
8.95(8.55) 9.16(8.72) 8.90 8.48
Fe
56
Λ
8.84(8.41) 8.99(8.53) 8.68 8.35
Y
89
Λ
8.20(7.67) 8.12(7.59) 7.63 7.62
Zr
90
Λ
8.18(7.65) 8.10(7.57)
Zr
91
Λ
8.16(7.63) 8.08(7.54)
La
139
Λ
7.51(6.92) 7.29(6.75)
Pb
208
Λ
6.87(6.26) 6.57(6.02)
Pb
209
Λ
6.86(6.25) 6.57(6.01)
Table 6: Expectation values of the kinetic energies < T >
٨
(in MeV) of the 1d
states for a ٨ particle in hypernuclei (HN) for different hypernuclei obtained by
HVTs technique (the values in parentheses were obtained using the expression in
equation (17)).
HN < T >
٨
PT
< T >
٨
GAUS
< T >
٨
APPROX
< T >
٨
PERT
Ca
40
Λ
9.97(9.85) 11.54(11.20)
Ca
41
Λ
9.99(9.86) 11.51(11.16)
V
51
Λ
10.08(9.85) 11.22(10.80) 10.24 9.50
Fe
56
Λ
10.07(9.80) 11.08(10.63) 10.00 9.43
Proceedings of the first International Seminar on Theoretical Physics & National Development
117
Y
89
Λ
9.81(9.35) 10.28(9.70) 9.42 9.16
Zr
90
Λ
9.79(9.34) 10.26(9.68)
Zr
91
Λ
9.78(9.32) 10.24(9.66)
La
139
Λ
9.28(8.70) 9.41(8.77)
Pb
208
Λ
8.68(8.02) 8.60(7.93)
Pb
209
Λ
8.67(8.01) 8.59(7.92)
Table 7: Expectation values of the potential energies < V >
٨
(in MeV) of the 1s
states for a ٨ particle in hypernuclei (HN) for different hypernuclei obtained by
HVTs technique (the values in parentheses were obtained using the expression in
equation (17)).
HN < V >
٨
PT
< V >
٨
GAUS
< V >
٨
ANAL
< V >
٨
PERT
Be
9
Λ
17.38(15.06) 17.74(15.81) 17.21
B
10
Λ
18.13(16.96) 18.44(16.86) 18.02
B
11
Λ
18.77(17.18) 19.03(17.71) 18.71
C
12
Λ
19.32(17.97) 19.54(18.42) 19.30
C
13
Λ
19.80(18.64) 19.98(19.02) 19.82
O
16
Λ
20.95(20.19) 21.03(20.40) 21.05 20.16
O
17
Λ
21.26(20.59) 21.31(20.76) 21.39
Proceedings of the first International Seminar on Theoretical Physics & National Development
118
Si
28
Λ
23.49(23.29) 23.34(23.17) 23.79 23.28
S
32
Λ
24.00(23.87) 23.80(23.68) 24.35 23.86
Ca
40
Λ
24.79(24.74) 24.51(24.46) 25.21 24.73
Ca
41
Λ
24.88(24.83) 24.59(24.54) 25.30
V
51
Λ
25.58(25.57) 25.22(25.20) 26.05 25.56
Fe
56
Λ
25.86(25.86) 25.47(25.46) 26.36 25.86
Y
89
Λ
27.12(27.13) 26.59(26.59) 27.72 27.12
Zr
90
Λ
27.15(27.16) 26.61(26.62) 27.74
Zr
91
Λ
27.17(27.18) 26.64(26.64) 27.77
La
139
Λ
28.14(28.12) 27.50(27.48) 28.82
Pb
208
Λ
28.93(28.86) 28.20(28.14) 29.68
Pb
209
Λ
28.94(28.87) 28.20(28.15) 29.69
Table 8: Expectation values of the potential energies < V >
٨
(in MeV) of the 1p
states for a ٨ particle in hypernuclei (HN) for different hypernuclei obtained by
HVTs technique (the values in parentheses were obtained using the expression in
equation (17)).
HN < V >
٨
PT
< V >
٨
GAUS
< V >
٨
APPROX
< V >
٨
PERT
C
12
Λ
9.29(7.52) 10.53(9.06)
Proceedings of the first International Seminar on Theoretical Physics & National Development
119
C
13
Λ
10.08(8.63) 11.26(10.05)
O
16
Λ
11.98(11.18) 13.01(12.33) 13.30 10.69
O
17
Λ
12.50(11.85) 13.48(12.92)
Si
28
Λ
16.21(16.34) 16.85(16.94) 17.14 16.22
S
32
Λ
17.06(17.31) 17.62(17.80) 18.13 17.21
Ca
40
Λ
18.39(18.77) 18.82(19.10) 19.34 18.70
Ca
41
Λ
18.53(18.92) 18.94(19.24)
V
51
Λ
19.70(20.15) 20.00(20.35) 20.51 20.11
Fe
56
Λ
20.18(20.64) 20.42(20.78) 20.92 20.60
Y
89
Λ
22.27(22.76) 22.30(22.67) 22.75 22.73
Zr
90
Λ
22.31(22.80) 22.34(22.71)
Zr
91
Λ
22.36(22.85) 22.38(22.75)
La
139
Λ
23.97(24.41) 23.82(24.15)
Pb
208
Λ
25.30(25.65) 25.00(25.26)
Pb
209
Λ
25.31(25.66) 25.01(25.28)
Proceedings of the first International Seminar on Theoretical Physics & National Development
120
Table 9: Expectation values of the potential energies < V >
٨
(in MeV) of the 1d
states for a ٨ particle in hypernuclei (HN) for different hypernuclei obtained by
HVTs technique (the values in parentheses were obtained using the expression in
equation (17)).
HN < V >
٨
PT
< V >
٨
GAUS
< V >
٨
APPROX
< V >
٨
PERT
Ca
40
Λ
11.99(12.79) 13.12(13.74)
Ca
41
Λ
12.18(13.00) 13.29(13.92)
V
51
Λ
13.81(14.73) 14.77(15.47) 15.65 14.47
Fe
56
Λ
14.47(15.42) 15.36(16.09) 16.23 15.20
Y
89
Λ
17.41(18.37) 17.99(18.74) 18.82 18.27
Zr
90
Λ
17.47(18.44) 18.05(18.80)
Zr
91
Λ
17.54(18.50) 18.10(18.85)
La
139
Λ
19.80(20.69) 20.12(20.81)
Pb
208
Λ
21.66(22.43) 21.77(22.38)
Pb
209
Λ
21.68(22.45) 21.79(22.39)
Proceedings of the first International Seminar on Theoretical Physics & National Development
121
Table 10: The lowest ٨ energy level spacings E
ps
obtained by HVT technique for
the PöschlTeller and the Gaussian potentials and also the analytic values together
with the experimental values for various hypernuclei (A
c
) (the parentheses were
obtained using the expression in equation (17)).
HN
EXP
ps
E
ANA
ps
E
PT
ps
E
GAUS
ps
E
C
12
Λ
10.7±0.5 9.97(9.61) 10.09(9.79) 10.66
C
13
Λ
10.9±0.5 10.00(9.73) 10.07(9.86) 10.59(10.52)
O
16
Λ
10.0±0.5 9.96(9.79) 10.01(9.84) 10.32(10.24)
Si
28
Λ
9.0±1.5 9.35(9.06) 9.36(9.07) 9.33(9.05)
S
32
Λ
9.4±0.6 9.15(8.79) 9.16(8.82) 9.06(8.74)
Ca
40
Λ
7.7±0.6 8.79(8.38) 8.80(8.39) 8.61(8.23)
Y
89
Λ
6.1±1.0 7.41(6.85) 7.40(6.85) 7.05(6.55)
Proceedings of the first International Seminar on Theoretical Physics & National Development
122
0.0 0.2 0.4
5
10
15
20
25
B
^
(
M
e
V
)
A
c
2/3
1s
1p
1d
0.0 0.2 0.4
0
5
10
15
20
25
B
^
(
M
e
V
)
A
c
2/3
1s
1p
1d
Figure 1: The binding energies of the ٨ particle in hypernuclei for the states 1s,
1p and 1d for the PöschlTeller and Gaussian potentials with various ٨
hypernuclei (A
c
).
0.2 0.4
0
5
10
15
20
25
B
^
(
M
e
V
)
A
c
2/3
B
^
U EXP
B
^
L EXP
B
^
PT
B
^
GAUS
B
^
ANAL
B
^
REL
0.00 0.06 0.12 0.18 0.24
0
5
10
15
20
25
B
^
(
M
e
V
)
A
c
2/3
B
^
U EXP
B
^
L EXP
B
^
PT
B
^
GAUS
B
^
APPROX
B
^
CBFT
0.05 0.06 0.07 0.08 0.09
0
3
6
9
12
B
^
(
M
e
V
)
A
c
2/3
B
^
U EXP
B
^
L EXP
B
^
PT
B
^
GAUS
B
^
APPROX
B
^
CBFT
Figure 2: The variations of the binding energies B
٨
(MeV) for the states 1s, 1p
and 1d with various ٨hypernuclei (A
c
),
EXP U
B
Λ
and
EXP L
B
Λ
are the experimental
data with upper and lower statistical error bars.
Proceedings of the first International Seminar on Theoretical Physics & National Development
123
0.00 0.08 0.16 0.24 0.32
4.5
6.0
7.5
9.0
10.5
<
T
>
^
P
T
(
M
e
V
)
A
c
2/3
1s
1p
1d
0.00 0.08 0.16 0.24
4
6
8
10
12
<
T
>
^
G
A
U
S
(
M
e
V
)
A
c
2/3
1s
1p
1d
Figure 3: The kinetic energies of the ٨ particle in hypernuclei for the states 1s,
1p and 1d for the PöschlTeller and Gaussian potentials with various ٨
hypernuclei (A
c
).
0.00 0.08 0.16 0.24
2
4
6
8
10
12
<
T
>
^
(
M
e
V
)
A
c
2/3
<T>
^
PT
<T>
^
GAUS
<T>
^
ANAL
0.04 0.08 0.12 0.16
5
10
15
20
25
<
T
>
^
(
M
e
V
)
A
c
2/3
<T>
^
PT
<T>
^
GAUS
<T>
^
APPROX
0.054 0.063 0.072
6
9
12
15
18
<
T
>
^
(
M
e
V
)
A
c
2/3
<T>
^
PT
<T>
^
GAUS
<T>
^
APPROX
Figure 4: The variations of the kinetic energies < T >
٨
(MeV) for the states 1s, 1p
and 1d with various ٨hypernuclei (A
c
).
Proceedings of the first International Seminar on Theoretical Physics & National Development
124
0.00 0.08 0.16 0.24
30
25
20
15
10
<
V
>
^
P
T
(
M
e
V
)
A
c
2/3
1s
1p
1d
0.00 0.08 0.16 0.24 0.32
28
24
20
16
12
8
<
V
>
^
G
A
U
S
(
M
e
V
)
A
c
2/3
1s
1p
1d
Figure 5: The potential energies of the ٨ particle in hypernuclei for the states 1s,
1p and 1d for the PöschlTeller and Gaussian potentials with various ٨
hypernuclei (A
c
).
0.00 0.08 0.16 0.24
30
25
20
<
V
>
^
(
M
e
V
)
A
c
2/3
<V>
^
PT
<V>
^
GAUS
<V>
^
ANAL
0.04 0.08 0.12 0.16
24
20
16
12
<
V
>
^
(
M
e
V
)
A
c
2/3
<V>
^
PT
<V>
^
GAUS
<V>
^
APPROX
0.054 0.063 0.072
28
26
24
22
20
18
16
14
12
<
V
>
^
(
M
e
V
)
A
c
2/3
<V>
^
PT
<V>
^
GAUS
<V>
^
APPROX
<V>
^
PERT
Figure 6: The variations of the potential energies < V >
٨
(MeV) for the states 1s,
1p and 1d with various ٨hypernuclei (A
c
).
Proceedings of the first International Seminar on Theoretical Physics & National Development
125
0 20 40 60 80
6
9
12
15
18
E
p
s
(
M
e
V
)
A
c
E
ps
EXP
E
ps
ANAL
E
ps
PT
E
ps
GAUS
Figure7: The variations of the lowest ٨ energy level spacing E
ps
obtained by
HVT technique for the PöschlTeller and Gaussian potentials, and also the
analytic values plotted with the experimental values for various values of ٨
hypernuclei (A
c
).
4. CONCLUSIONS
4.1 Concluding remarks
A systematic calculation of the ٨hypernuclear binding energies,
expectation values of the kinetic and potential energy operators and the lowest ٨
energy level spacing E
ps
has been presented in the frame work of the HVTs
method. Tables 1 to 3 show the binding energies B
٨
of the 1s, 1p and 1d states for
various ٨hypernuclei (the values in the parentheses correspond to the expression
in equation (17). The variations of the (٨ binding energies) B
٨
for 1s, 1p and 1d
states for various ٨hypernuclei are shown for the two potentials in Figure 1. For
comparison sake, the ٨ binding energies B
٨
for each of these states for the two
potentials with results from other techniques are displayed for various hypernuclei
while the available experimental values with the upper and lower statistical error
bars are also shown in Figure 2.
Also, for 1p and 1d states, we have used the results of Lalazissis (1994)
for the approximate analytic values of B
٨
APPROX
(as in Tables 2 and 3 with Figure
2). Our results reproduce very well all the experimental values B
٨
EXP
for both
potentials. So also, our results (as displayed in Tables 4 to 9) for the expectation
values of the kinetic and potential energy operators agree satisfactorily with
Proceedings of the first International Seminar on Theoretical Physics & National Development
126
available values except in a few instances that the method records a little
difference from the available results due to the shape of the potentials used.
Figures 3 to 6 show the variations of the <T>
٨
and <V>
٨
for 1s, 1p and 1d states
for various ٨hypernuclei and also, their variations with respect to the results from
other techniques (for 1p and 1d states, <T>
٨
APPROX
and <V>
٨
APPROX
are due to
Lalazissis (1994)
).
The lowest ٨ energy level spacings obtained in the light of HVT technique
for the PöschlTeller and the Gaussian potentials, and also the analytic values
together with the experimental values for various ٨hypernuclei are displayed in
Table 10 and Figure 7. It is clear that the various values of E
ps
tend to agree as A
c
increases. Also the mean value of the spacing E
ps
in the region of the sp
hypernuclei (except for A
c
= 139) are in good agreement with the experimental
values.
4.2 Limitation and recommendations
One important condition in applying this method is the magnitude of
parameter s. The truncated series is accurate enough provided
2
1
2
0
2
2


¹

\

=
R V
s
µ
is
small which is like saying that the potential being deep and wide and therefore,
the HVTs technique can not give accurate values for large s or light ٨
hypernuclei. In addition, the two techniques work better for the deeply bound
states of relatively heavy ٨hypernuclei or small s.
In conclusion, some properties of hypernuclei containing one ٨hyperon in
the framework of HVTs technique by using the two ٨nuclear potentials have
been obtained. These properties include; the ٨ binding energies, the expectation
values of the kinetic and potential energies and the lowest ٨ energy level spacing
E
ps
for the 1s, 1p and 1d states for various ٨hypernuclei. From the results for the
expectation values of the potential energy of the ٨particle in the ground and
excited states, it is evident that the variation of < V >
n
 with A
c
increases with
A
c
increasing and that of kinetic energy decreases as A
c
increases, as expected.
The HVTs technique provides a simple, efficient and easily programmable
formalism for obtaining the energy quantities in hypernuclei for ground and
excited states. This technique has a region of their validity, probably in the range
of 208 12 ≤ ≤
c
A . Therefore, as expected, HVTs technique gives a good, reliable
and satisfactory results for the energy quantities for the ground and excited states
Proceedings of the first International Seminar on Theoretical Physics & National Development
127
for 208 12 ≤ ≤
c
A range. It is however hard to say what would happen beyond A
c
= 208 since the experimental results are not available to compare with. Also, it
shows that the techniques provide satisfactory results for heavy ٨hypernuclei for
the ground and excited states.
This method agrees satisfactorily with the experimental results and other
theoretical methods. The quality of the agreement with experiment is rather very
good, in spite of the simplicity of the model. It is worth noticing that, the heavy ٨
hypernuclei (for instance Zr
90
Λ
and Pb
208
Λ
) are better described by PöschlTeller
and Gaussian potentials, which corroborates the fact that the HVTs method works
better for deeply bound states of relatively heavy hypernuclei (small values of s).
ACKNOWLEDMENTS
1. I acknowledge the Scientific Committee on the International Seminar on
Theoretical Physics And National Development ISOTPAND 08 for inviting me
for the ISOTPAND 08 seminar in honour of our able Professor Emeritus Alex
Animalu at 70. To whom honours is due, it must be bestowed. This presentation is
to pay homage to Professor Alexander O. E. Animalu on his 70
th
birthday. I
congratulate you Sir, many more fruitful and rewardable years, amen.
2. My collaborators: Emeritus Prof. M. E. Grypeos (my supervisor), Prof.
Koutroulos, C. G., Dr. Petridou, Th. E. and Efthymiou, C. A. of the Department
of Theoretical Physics, Aristotle University of Thessaloniki, Greece.
3. Let me also use this opportunity to thank all my noble and great lecturers in
each of the School in Theoretical Physics courses organised by National
Mathematical Centre, Abuja, 19972002. Apparently, Emeritus Prof. Animalu
was not only the director as at that time, he was one of the resourceful lecturers.
Others are Profs. Nduka, Rashid, Osondu, Ekhaguerre, Garba, Idiodi, Mshelia,
Onwuagba, Ododo, Sunday Jonah and Ewu and others, I say a big thank you. I
think, some of us benefited immensely from those lectures (Drs. Godfrey
Akpojotor, Patrick Akusu, E. Aghemenloh, Madu (Mrs), E. Enaibe, and
others). I therefore, congratulate NMC, Abuja.
4. I thank Prof. D. J. Millener for sending one of his works to me (reference 53).
Proceedings of the first International Seminar on Theoretical Physics & National Development
128
5. REFERENCES
1. Milner, C. et al. (1985): Phys. Rev. Lett. 54, 1237.
2. Millener, D. J., Dover, C. B. and Gal, A. (1988): Phys. Rev. C 38, 2700.
3. Chrien, R. E. et al. (1988): Nucl. Phys. A478, 705c.
4. Akei, M. et al.(1991): Nucl. Phys. A534, 478.
5. Akikawa, H. et al. (2002): Phys. Rev. Lett. 88, 082501.
6. Pile, P.H. et al. (1991): Phys. Rev Lett. 66, 2585.
7. Hasegawa, T., Hashimoto, O., Homma, S., Miyachi, T., Nagae, T.
Sekimoto, M. and Shibata, T. (1996): Phys. Rev. C 53, 1210.
8. Nagae, T. et al. (2000): Nucl. Phys. A670, 269c.
9. Tamura, H. et al. (2000): Phys. Rev. Lett. 84, 5963.
10. Tanida, K. (2004): Phys. Rev. Lett. 86, 1982.
11. Hotchi, H. et al. (2001): Phys. Rev. C 64, 044302.
12. Ahmed, M. W. et al. (2003): Phys. Rev. C 68, 064004.
13. Sasao, J. et al. (2004) Phys. Lett. B 579, 258.
14. Agnello, M. et al. (2005): “First results on C
12
Λ
production at DAΦNE
(FINUDA Collaboration)” ArXiv:Nucl.ex/050602; Phys. Lett. B 622, 35;
Phys. Rev. Lett. 94, 212303.
15. Bressani, T. , Botta, E. Feliciello, A. and Paticchio, V. (2005): Nucl. Phys.
A 754, 410c.
16. Davis, D. H. (2005): Nucl. Phys. A 754, 3c.
17. Hashimoto, O. and Tamura, H. (2006): Prog. in Part. and Nucl. Phys. 57,
564.
18. Gal, A. (2007): “The Hypernuclear Physics heritage of Dick Dalitz (1925 
2006)” ArXiv: Physics/0701019 [physics.histph].
19. Danysz, D. H. and Pniewski, J. (1953): Phil. Mag. 44, 348.
20. Danysz, D. H. and Pniewski, J. (1986): Contemp. Phys. 27, 91.
21. Eidelman, S. et al. (2004): Phys. Lett. B 592, 1.
22. Yao, W. M. et al. (2006): J. Phys. G: Nucl. Part. Phys. 33, 1.
23. Amsler, C. et al. (2008): Phys. Lett. B 667, 1
24. Bandō, H. and Motoba, T.(1990): Prog. of Theor. Phys. 76, 1321.
25. Motola, T., Bandō, H., Wünsch, R. and Žofka, J. (1988): Phys. Rev. C 38,
1322.
26. Lalazissis, G. A., Grypeos, M. E. and Massen, S. E. (1988): Phys. Rev. C
37, 2098.
27. Koutroulos, C. G. and Grypeos , M. E.(1989): Phys. Rev. C 40, 275.
28. Lalazissis, G. (1993): Phys. Rev. C 48, 198.
29. Lalazissis, G. A. (1994): Phys. Rev. C 49, 1412.
30. Koutoulos, C. G. (1991): J. Phys. G: Nucl. Part. Phys. 17, 1069.
Proceedings of the first International Seminar on Theoretical Physics & National Development
129
31. Koutoulos, C. G. and Papadopoulos, G. J. (1993): Prog. of Theor. Phys.
90, 1039.
32. Dalitz, R. H., Davis, D. H., Motoba, T. and Tovee, D. N. (1997: Nucl.
Phys. A 625, 71c; “Proton emitting Λbound states of hypernuclei” in
Proc. Eur. Conf. Advances in Nuclear Physics and Related Areas,
Thessaloniki 1997, eds. Brink, D. M. , Grypeos, M. E. and Massen, S. E.
(GiahoudiGiapouli, Thessaloniki, 1999), 582.
33. Papadopoulos, G. J., Koutroulos, C. G. and Grypeos, M. E. (1997):
“Relativistic expresssions for the R.M.S. radii of the Λparticle orbits in
Hypernuclei and of the corresponding potential energies” Proc. of the
XIIth Int. Sem. on HEP Problems:Relativistic Nuclear Physics and
Quantum Chromodynamics Vol. II Ed. by A. M. Baldin and V. V. Burov,
244.
34. Grypeos, M. E., Koutroulos, C. G. and Papadopoulos, G. J. (1997):
“Approximate treatment of the Dirac equation with scalar and vector
potentials of rectangular shapes and application to ΛHypernuclei” Proc.
of the XIIth Int. Sem. on HEP Problems: Relativistic Nuclear Physics and
Quantum Chromodynamics Vol. II, Ed. by A. M. Baldin and V. V. Burov,
256.
35. Vidaña, I., Polls, A., Ramos, A. and HjorthJensen, M. (1998): Nucl. Phys.
A 644, 201.; “Binding energy of Λ hypernuclei from realistic YN
interactions” ArXiv: Nuclth/9809060.
36. Liolios, Th. E. (1999): Eur. Phys. J. A 4, 329. ; Europhys. Lett. 46, 583.
37. Tretyakova, T. Y. and Lanskoy, D. E. (1999): Eur. Phys. J. A 5, 391.
38. Usmani, Q. N. and Bodmer, A. R. (1999): Phys. Rev. C 60, 0552151.
39. Papadopoulos, G. J., Koutroulos, C. G. and Grypeos, M. E. (2000): Int. J.
of Theor. Phys. 39, 455.
40. Dalitz, R. H. (2001): Nucl. Phys. A 691, 1c.
41. Grypeos, M. E., Koutroulos, C. G. and Petridou, Th. A. (2001): Int. J.
Mod. Phys. E 10, 393.
42. Arias de Saavedra, F., Co', G. and Fabrocini, A. (2001): Phys. Rev. 63,
064308.
43. Tsushima, K. and Khanna, F. C. (2003): Phys. Rev. C 67, 015211. ;
(2004): “
b c c
c
and Λ Ξ Σ Λ
+
, , hypernuclei in the quarkmeson coupling
model” ArXiv:Nucl/ th/0303073.
44. Tan YuHong , Zhong XianHui , Cai ChongHai and Ning PingZhi
(2004): “The effect of diffirent baryons impurities” ArXiv:Nucl
th/0404035.
45. Dalitz, R. H. (2005): Nucl. Phys. A 754, 14c.
46. Mareš, J. and Žofka, J. (1993): Z. Phys. A 345, 47.
Proceedings of the first International Seminar on Theoretical Physics & National Development
130
47. Lombard, R. J., Marcos, S. and Mareš, J. (1994): Phys. Rev. C 50, 2900.
48. Marcos, S., Lombard, R. J. and Mareš, J. (1998): Phys. Rev. C 57, 1178.
49. Shen, H. and Toki, H. (2002): Nucl. Phys. A 707, 469.
50. Lanskoy, D. E. and Yamamoto, Y. (1997): Phys. Rev. C 55, 2330.
51. Cugnon, J. and Lejeune, A. (2000): Phys. Rev. C 62, 064308.
52. Bressani, T. (2005): “Hypernuclear Physics from craftmen to factories” in
Advances in Nuclear Physics and Related Areas. Eds. Lalazissis, G. A.
and Massen, S. E., 94.
53. Millener, D. J. (2007): “Hypernuclear GammaRay spectroscopy and the
structure of pshell Nuclei and Hypernuclei” Springer Lecture Notes in
Physics 724, 31 79.
54. Nagamiya, S. (2005): Assoc. Asia Pac. Phys. Soc. Bull. 15, 18.
55. Liolios, Th. E. and Grypeos, M. E. (1997): Inter. J. Theor. Phys. 36, 2051.
56. Liolios, Th. E. (1997): Comp. Phys. Comm. 105, 254. ; “Applications of
the Quantum Mechanical Hypervirials Theorems to potentials of Nuclear
and Atomic Physics” Ph.D. Thesis, University of Thessaloniki, Greece.
57. Grypeos, M. E. and Liolios, Th. E. (1999): Phys. Lett. A 252, 125.
58. Grypeos, M. E., Koutroulos, C. G. and Petridou, Th. A. (2002): J. Phys. A:
Math. Gen. 35, 2233.
59. Grypeos , M. E. , Koutroulos, C. G. , Oyewumi, K. J. and Petridou, Th.
(2004): J. Phys. A: Math. Gen. 37, 7895.
60. Oyewumi, K. J., Petridou, Th. A., Grypeos, M. E. and Koutroulos, C. G.
(2004): “Approximate analytic expressions for the expectation values and
the uncertainty relation for evenpowerseries central potentials using
HVT method”. Proceedings of the 3
rd
International Workshop on
Contemporary Problems in Mathematical Physics}, Nov. 1
st
7
th
, 2003 eds.
J. Govaerts, M. N. Hounkonnu, and A. Z. Msezane (World Scientific,
Singapore, 2004) 336.
61. Efthymiou, C. A., Grypeos , M. E. , Koutroulos, C. G. , Oyewumi, K. J.
and Petridou, Th. (2008): “A renormalized HVTs approach for class of
central potential”. Conference of the Hellenic Nuclear Physics Society,
Ioannina, Greece.
62. Pöschl, G. and Teller, E.(1933): Z. Phys. 83, 143.
63. Nieto, M. M. (1979): Phys. Rev. A 20, 700.
64. Grypeos, M. E., Lalazissis, G. and Massen, S. (1986): Nucl. Phys. A {\bf
450}, 283c (Proc. of the Symposium on Hypernuclear and Kaon Physics,
Brookhaven 1985).
65. Hirschfelder, J. O. (1960): Chem. Phys. 33, 1462.
66. Hellmann, E. (1937): “Einfuhrung in die Quantenchemie” (Deuticke,
Vienna).
Proceedings of the first International Seminar on Theoretical Physics & National Development
131
67. Feynman, R. P. (1939): Phys. Rev. 56, 340.
68. Epstein, S. T. and Hirschfelder, J. O. (1961): Phys. Rev. 123, No.4, 1495.
69. Epstein, J. H. and Epstein, S. T. (1962): Am. J. Phys. 30, 266.
70. Epstein, S. T., Epstein, J. H. and Kennedy, B. (1967): J. Math. Phys. 8,
1747.
71. Hirschfelder, J. O. and Coulson, C. A. (1962): J. Chem. Phys. 36, 941.
72. Bangudu, E. A. and Robinson, P. D. (1965): Proc. Phys. Soc., 86, 1259.
73. Robinson, P. D. (1965): Proc. Roy. Soc. London, A283, 229.
74. Swenson, R. J. and Danforth, S. H. (1972): J. Chem. Phys. 57, 1754.
75. Maduemezia, A. (1973): J. Phys. A: Math. , Nucl. Gen., 6, 778. ; (1974): J.
Phys. A: Math. , Nucl., 7, No. 13, 1520.
76. Killingbeck, J. P. (1978): Phys Lett. 65A, 87 ; (1981): J. Phys. A. 14,
1005; (1982): J. Phys. A 15, L443; (1983): “Microcomputer Qunatum
Mechanics” (Bristol, Hilger); (2001): J. Phys. A: Math. Gen. 34, 8309.
77. Grant, M. and Lai, C. S. (1979): Phys. Rev. A 20, 718.
78. Lai, C. S. (1981): Phys. Rev. A 23, 445; (1981): Phys. Lett. A 83, 322;
(1982): Phys. Rev. A 26, 2245; (1983): J. Phys. A: Math. Gen. 16, L181;
(1985): Z. Phys. A  Atoms and Nuclei 321, 201.
79. Marc, G. and McMillan, W. G. (1985): Adv. Chem. Phys. 58, 209.
80. Fernández, F. M. and Castro, E. A. (1987): “Hypervirial Theorems”
(Lecture notes in Chemistry Vol. 43) (Berlin, SpringerVerlag).
81. Vinette, F. and Ćìźek, J. (1988): Com. Phys. Comm. 52, 35.
82. Witwit, M. R. M. (1989): “Perturbation and nonperturbation numerical
calculations to compute energy eigenvalues for the Schrödinger equation
with various types of potentials” Ph.D Thesis, University of Hull, UK;
(1991): J. Phys. A: Math. Gen. 24, 5291; J. Phys. A: Math. Gen. 24, 3041;
J. Phys. A: Math. Gen. 24, 3053; J. Phys. A: Math. Gen. 24, 4535.
83. McRae, S. M. and Vrscay, E. R. (1992): J. Math. Phys. 33 (9), 3004.
84. Witwit, M. R. M. and Killingbeck, J. P. (1992): Can. J. Phys. 70, 1261.
85. Popov, D. (1998): Inter. J. Quant. Chem. 69, 159.
86. Kotsos, B. A., Liolios, Th. E., Grypeos, M. E., Koutroulos, C. G. and
Massen, S. E. (1999): Physica B 269, 424.
87. Kwato Njock, M. G., Nsangou, M., Bona, Z., Nana Engo, S. G. and
Oumarou, B. (2000): Phys. Rev. A61, 0421051, (or ICTP Preprint
No.IC/99/12); Kwato Njock, M. G., Nsangou, M., Oumarou, B. and
Onana Boyomo, M. C. (2002): ICTP Preprint No.IC/2002/50; Kwato
Njock, M. G., Owono Owono, L. C. and Oumarou, B.(2002): ICTP
Preprint No.IC/2002/49; Nsangou, M. and Kwato Njock, M. G. (2002):
Phys. Lett. A 301, 291.
Proceedings of the first International Seminar on Theoretical Physics & National Development
132
88. Dong, S. H., Chen, C. Y. and LozadaCassou, M. (2005): J.Phys. B: At.
Mol. Opt. Phys. 38, 1.
89. Rekab, S. and Zenine, N. (2006): “Application of the HellmanFeynman
and Hypervirial theorems to the eigenvalue problem: Coulomb plus linear
term and quartic anharmonic oscillator potentials” ArXiv: math
ph/0602029.
90. Bessis, N., Bessis, G. and Joulakian, B. (1982): J. Phys. A:Math. Gen. 15,
3679.
Proceedings of the first International Seminar on Theoretical Physics & National Development
133
REVIEW OF DEEPINELASTIC ELECTRONPROTON
SCATTERING: A HADRONIC MECHANICS VIEWPOINT
1
A.O.E. ANIMALU AND
2
C.E. EKUMA
1
Department of Physics & Astronomy, University of Nigeria, Nsukka, Nigeria
2
Department of Physics University of Port Harcourt, Port Harcourt, Nigeria
Email 1) nascience@aol.com; 2) panaceamee@yahoo.com
Abstract
We review the conceptual and formal difficulties associated with the activation of
nonhamiltonian interactions due to contact/overlap of the extended wavepackets
of physical particles involved in deepinelastic electronproton scattering at high
energies in the contemporary interpretations of all experimental data based on the
assumptions that the constituents of the proton are pointlike SU(3) quarks and the
consequential application of the usual “potential” scattering theory of
conventional quantum electrodynamics (QED) based on Feynman graphs to the
computation of the differential crosssection. The remedy of these difficulties and
incorporation of nonhamiltonian interactions through nonunitary transformation
of QED into hadronic mechanics (HM) is presented. As a result, fundamental
revision of the models of the dependence of the structure functions on isoBjorken
scaling variable is proposed and its predictions are shown to be in good agreement
with experimental data. The possibility of electronproton fusion into the
RutherfordSantilli “neutron” under favourable condition is discussed.
1.0 INTRODUCTION AND STATEMENT OF PROBLEM
According to the resonance model [1] of the 1967 SLACMIT
experiments [2,3] on a program of inelastic electronproton (
+ −
p e ) scattering on
the 20GeV Stanford linear accelerator to study electroproduction of resonances
as a function of momentum transfer, the process is viewed as a generalization of
Proceedings of the first International Seminar on Theoretical Physics & National Development
134
the Feynman graph for electronpointproton scattering (see, Fig. 1a) in which
virtual spacelike photon emitted by the incoming electron violently collides with
the interacting target proton and under a favourable kinematical condition
2 2 2
2 q M M M
n
+ + = ν , with
2 2
, . M p q p ν ≡ ≡ , (1.1)
a resonance of mass
n
M is produced. Subsequently, after a short flight this
resonance decays into a multitude of stable hadrons as shown in Fig. 1b.
In their rest frame, these resonances are classified under the product group,
G SU × ) 3 ( where the unitary unimodular symmetry group ) 3 ( SU provides the
internal symmetry through quantum numbers, such as isotopic spin(I),
hypercharge (Y), etc, and G represents a dynamical group, frequently chosen to
be SL(2,C) and (2. ) SL C d × or O(4,2). And in order to compare with the SLAC
MIT experimental data [2] one has to generalize the conventional expression in
“potential scattering theory” of the differential crosssection for electronpoint
proton scattering (with unpolarized initial state, and no observation of final spin),
( )
Ω
≡ =
−
=
Ω
=
− −
+ −
d
d
E
Z
p
E Z
d
d
Mott
p po e
σ
θ
θ α
θ
θ β α
σ
β
) 2 / ( sin
) 2 / ( cos ) (
) 2 / ( sin 4
) 2 / ( sin 1 ) (
4 2
2 2
1
4 4
2 2 2
int
(1.2a)
ks
' ' s k
λ , p
' , ' λ p
q
Fig. 1: Feynman graphs for ) (a electronpointproton (Mott) scattering and ) (b
resonance model of deep inelastic
+ −
− p e scattering.
•
−
e
+
n
p resonance of
mass
n
M
−
e
q
+
p
) (b
) (a
Proceedings of the first International Seminar on Theoretical Physics & National Development
135
) 2 / ( sin 4 ) cos 1 ( 2 ) ' ( ,
E
p
2 2 2 2 2
2
1
θ θ β p p q p p = − = = − =
, (1.2b)
to the differential cross section for deepinelastic scattering of unpolarized
electron from unpolarized nucleons with only the scattered electrons detected[4]:
+
Ω
=
Ω 2
tan ) , ( 2 ) , (
2 2
1
2
2
2
θ
ν ν
σ σ
q W q W
d
d
dE d
d
Mott
(1.3)
where the structure functions, ) , (
2
1
q W ν and ) , (
2
2
q W ν , depend on the properties
of the target system. Since there are two (transverse and longitudinal) polarization
states of the virtual photon, two such functions are required to describe the
process.
In models that satisfy ) 1 , 3 ( ) 3 ( O SU × current algebra, Bjorken[5]
conjectured that, in the limit, , . ,
2 2
∞ → = ∞ → − = p q q M ν such that
ω ν =
2
/ 2 q M is fixed, one should expect the following dependence on ω only:
) ( ) , ( 2
1
2
2
ω ν F q MW = , ) ( ) , (
2
2
2
ω ν ν F q W = (1.4a)
He also derived a sumrule for inelastic electron scattering
[ ]
2
1
) , ( ) , (
2 /
2
2
2
2 2
≥ +
∫
∞
M q
n p
q W q W d ν ν ν (1.4b)
where ) , (
2
2
q W
p
ν and ) , (
2
2
q W
n
ν are the structure functions for the proton and
neutron respectively. This scaling behaviour in Eq.(1.4a) was subsequently found
experimentally as shown in Fig.2a; and a value over the range of MITSLAC data
[2,3] was found for the weighted sum
04 . 0 78 . 0
20
1
2
± =
∫
p
W
d
ν
ω
ω
(1.5)
Alternative presentations of experimental data in terms of the reciprocal variable,
x M q = ν 2 /
2
are shown in Figs. 2b & c.
Proceedings of the first International Seminar on Theoretical Physics & National Development
136
.
Fig. 2a :
1
2 W M
p
and
2
W ν for the proton as functions
of
2
/ 2 q Mν ω = for ) / ( 1 , 6 . 2
2
0
2
c GeV q GeV W > >
and [ ] { } 18 . 0 1 ) / ( 1 ) / (
2 2
1 2
= − + = q W W R ν . Data
from G. Miller et al Phys. Rev.D5, 528 (1972)[2]
Proceedings of the first International Seminar on Theoretical Physics & National Development
137
.
1.0 0.8 0.6 0.4 , 2 . 0
→ x
.Fig.2b.
2
W ν versus ν M q x 2 /
2
= for the proton for
) / ( 2 , 0 . 2
2
0
2
c GeV q GeV W > > . Data from ref.[3] :
A.Bodek et al Phys. Rev .Lett. 30,1087 (1973);
Phys. Lett. 51B, 417(1974); Phys. Rev. D20, 1471 (1979)
Proceedings of the first International Seminar on Theoretical Physics & National Development
138
.
Fig2c. : Early Gargamelle measurements of
N
F
ν
2
compared with
eN
F
2
) 5 / 18 ( calculated from the MIT
SLAC results. (Source J.I. Friedman Nobel Lecture
1990, Physics 1990 p. 715 ref.[6])
Proceedings of the first International Seminar on Theoretical Physics & National Development
139
However, from the 1990 Nobel Lecture by J. Friedman[6] entitled Deep
Inelastic Scattering: Comparisons with the Quark Model, it is apparent that
theoretical and practical difficulties have arisen in the analysis of the unavoidably
limited experimental data from the infinities characterizing the definition of the
Bjorken variable, x (or x / 1 = ω ) and its physical interpretation in Feynman’s quark
parton model[7] as the fraction of proton momentum carried by pointlike constituents of
the proton (usually identified with free quarks) in the socalled infinite momentum frame
( ) ∞ → p . Also comparison of theory with limited experimental data has been largely
limited to sum rule predictions (requiring integration over all x or ω ). Moreover, the
replacement of the electron altogether by a presumed spacelike photon (travelling at
superluminal speed
0
c V > ) interacting with the proton (travelling at subluminal speed
0
c v < ) in Fig. 1 activates the singularity in the special relativity theorem of addition
of velocities, V and v, when
2
0
vV c = . It is not surprising, therefore, that, none of
the existing models has satisfactorily explained the data, especially why scaling
behaviour should set in at energies as low as observed.
It was argued by Jackiw[8] in his 1972 Physics Today review article on
Scale Symmetry, that the experimental results point towards approximate O(3,1)
scale symmetry (broken by nonvanishing divergence of the dilatation current
density due to nonzero masses in the O(3,1) kinematical group sector of the
) 1 , 3 ( ) 3 ( O SU ×
theory). However, as subsequently pointed out by Animalu[9] in a
letter to Physics Today on Jackiw’s article, scale symmetry breaking can be
remedied by “lifting” the ) 1 , 3 ( ) 3 ( O SU × to ) 2 , 4 ( ) 3 ( O SU × current algebra
involving fundamental length or mass scale. We now know that for consistency,
the entire structure of conventional potential scattering theory of quantum
electrodynamics (QED) has to be lifted through nonunitary transformation into
the deepinelastic scattering regime into the more general “hadronic” mechanics
(HM[10]) on account of the activation of nonhamiltonian interaction due to
contact/fusion of the nonpointlike wavepackets of the electron and the proton
involved in the scattering process.
We shall start in Sec. 2 by characterizing the transition from conventional
QED to HM in terms of nonunitary (“isotopic” lifting) transformation of the
Bjorken scaling variable, in order to avoid all infinities in the Feynman graph for
the deepinelastic scattering process when nonhamiltonian contact/fusion
interactions of nonpointlike wavepackets are taken into account. In Sec. 3 we
shall present a nonunitary HM model of the deepinelastic structure functions
and compare their predictions with experiment, and in Sec. 4 we shall discuss the
results and draw conclusions.
Proceedings of the first International Seminar on Theoretical Physics & National Development
140
2. HADRONIC MECHANICS FRAMEWORK
2.1 Nonunitary “Isotopic” Lifting of the Bjorken Scale
Our characterization of the HM viewpoint is anchored on an association of
the two Lorentz scalars, ) (
2 2
p q − and p q. , involved in the Bjorken scale:
, . ,
2
∞ → = ∞ → − p q q ν
such that ω ν / 1 2 / . 2 / ) (
2 2 2
≡ − → − ≡ M q q p q p x ,
with the selfcorresponding points of a nonunitary, nonlinear (“lifting”)
transformation, ) ˆ , ˆ ( ) ( p q q,p → of a rectangular hyperboloid into a torus,
) ˆ ˆ )( 2 / 1 ( .
2 2
p q p q − = . (2.1)
defined (as in Fig.3 showing deepinelastic
+ −
p e ˆ ˆ scattering leading to fusion of a
spherical
+
pˆ into the hole of an
−
eˆ torus) by the isoparametric equations:
. ˆ . ˆ ˆ 2 ˆ ˆ
ˆ
sin ˆ ˆ 2 ˆ ˆ 0 i.e.,
;
ˆ
sin ˆ ˆ 2 ˆ ˆ ˆ ˆ ˆ
;
ˆ
cos ˆ ˆ ,
ˆ
sin )
ˆ
sin ˆ ˆ ( ˆ ,
ˆ
cos )
ˆ
sin ˆ ˆ ( ˆ
2 2
0
2 2
0
2 2
0
2
3
2
2
2
1
0 3 0 2 0 1
q p x i p q p q i p q
p q i p q q q q
q q q p i q q p i q
+ − ≡ + − =
+ − = + + ⇒
= + = + =
θ
θ
θ φ θ φ θ
(2.2a)
This leads to a nonunitary image ( xˆ ) of the isoBjorken variable defined as:
θ θ
ˆ
sin )
ˆ
/ ˆ (
ˆ
sin ) ˆ / ˆ ( ˆ ˆ 2 / ) ˆ ˆ ( ˆ
0 0
2 2
Q q q q i q p q p x ≡ = − ≡ , )
ˆ
ˆ (with
2 2
Q q − ≡ (2.2b)
We observe that Eq.(2.1) may be expressed (as in Animalu’s formulation
of the “extended” relativity principle[11]) in the matrix form
q q p q q p q q ˆ ˆ ˆ ) ˆ ˆ ( . 2
1
2 2
1
τ τ
+ +
≡ − ≡ ≡ . (2.3a)
which involves a “lifting” of the underlying metric
,
1 0
0 1
ˆ
0 1
1 0
1 1


¹

\

−
= → =


¹

\

τ τ
(2.3b)
where , 0 ˆ
1 1
= − U T T U τ τ (2.3c)
involves two (unitary and nonunitary) transformation matrices:
Proceedings of the first International Seminar on Theoretical Physics & National Development
141
1 1 1 1
2 2 2 2
1 †
1 1 1 1
2 2 2 2
U ; U U
−    
= = =  
 
−
\ ¹ \ ¹
; 2
0 1
;
1 0
T T I
−  
= = −

\ ¹
.(2.3d)
Such a Lieadmissible algebraic relation in Eq.(2.3c) was at the foundation of the
SantilliHeisenberg equation of motion of “hadronic mechanics” [10]:
)
ˆ ˆ
( ,
ˆ ˆ ˆ ˆ ˆ ˆ
ˆ
/
ˆ ˆ
S R A S H H R A t d A d i ≠ − = (2 .4)
and is said to be Lieisotopic when I S R
ˆ ˆ ˆ
= = (called an “isounit”).
Fig. 3: Visual image of the fusion of two wave packets of the
proton(sphere) in electron (torus) in deepinelastic scattering.
−
e
+
p
Proceedings of the first International Seminar on Theoretical Physics & National Development
142
2.2 NonUnitary Image of Feynman graph
In this section, we proceed next to study the Feynman graphs for (a)
computing Mott cross section[4] for electronpointproton (Coulomb) scattering
in QED and (b) its HM image for including nonhamiltonian interactions
activated by the mutual overlapping of the extended wavepackets of the electron
and the proton in deepinelastic scattering, as shown in Fig. 4.
Two striking features of the HM image arise, namely: 1) The “lifting” of
the longrange Coulomb potential between the electron and the proton wave
packets through the activation of nonlocal contact/overlap interaction which we
shall discuss in the rest of this subsection; and (2) the modelling of the HM
image of the deepinelastic structure functions for comparison with experimental
data in Sec. 3.
Of interest in the “lifting” of the electronproton longrange Coulomb
potential
r Ze r A c Ze r V
o C
/ ) ( ) / ( ) (
2
0
− = ≡
by nonpotential interactions is the elimination
of the divergence of the Feynman graph for the Coulomb interaction vertex due to
the factor
2
2
/ 1 ' / 1 q k k ≡ −
associated with the Fourier transform of
C
V which is
the timecomponent (
0
A ) of the electromagnetic 4vector potential,
) 3 , 2 , 1 , 0 ( , = µ
µ
A
. By expressing the interparticle Coulomb force
) / / (
2 2
r Ze dr dV
C
− = − as a functional of the potential energy
C
V , and
Fig. 4: .Feynman graph for ep Coulomb scattering in QED (left figure)
and its HM image for deepinelastic ep scattering (right figure).
ks
' ' s k
λ , p
' , ' λ p
q
s kˆ
ˆ
' ˆ '
ˆ
s k
λ
ˆ
, ˆ p
'
ˆ
, ' ˆ λ p
Proceedings of the first International Seminar on Theoretical Physics & National Development
143
eliminating explicit rdependence between dr dV
C
/ and
C
V , a nonlinear first
order differential equation results:
2
2
Ze
V
dr
dV
C C
= , or
2
0
0
) / 1 ( A Ze
r
A
=
∂
∂
. (2.5)
As this is a special case of Riccati’s equation, an obvious step to achieve a
progressive generalization of the Coulomb potential is to lift Eq.(2.5) to the most
general isoRiccati’s equation via an isogauge principle[12]
,
ˆ ˆ
ˆ
ˆ
2
R V Q V P
r d
V d
dr
dV
C C
C C
+ + = → (2.6a)
where R Q P , , are constants (in general, functions of rˆ ). Typically, the
approximation of
C
V
ˆ
by a Yukawa potential,
), r ˆ (
ˆ
) ˆ (
ˆ
ˆ 2
0
φ ≡ − ≈
−
r
e g
r V
r M
C
(2.6b)
satisfies the following Riccati’s equation
) ˆ
ˆ
/ ˆ ˆ (
ˆ
2
ˆ
) ˆ / 1 (
ˆ
ˆ
2 2 2 2 2 2
e c m V
r
V e
r d
V d
C C
C
φ
− − = ,
φ
m M
2
1
( = ).
which can be transformed via the (Weyllike) gauge principle
( ) r d r V e
r
C
ˆ ) ˆ (
ˆ
) ˆ / 1 ( exp
ˆ
0
2
∫
− = φ (2.7a)
i.e.,
ˆ
ˆ
ˆ
) log(
ˆ
ˆ
2 2
φ
φ
φ

¹

\

− ≡ − =
r d
d
e
r d
d
e V
C
, (2.7b)
into a linear secondorder (static isoKleinGordon) equation for a scalar field,
φ , of mass
φ
m :
Proceedings of the first International Seminar on Theoretical Physics & National Development
144
. 0 ) ˆ ( )
ˆ
/ ˆ (
ˆ
ˆ
ˆ ˆ
1
)
ˆ
/ ˆ (
ˆ ˆ
2
ˆ
2 2
2
2
2
2
= 
¹

\

− ≡
− +
r c m
r d
d
r
r d
d
r
c m
r d
d
r r d
d
φ
φ
φ φ
φ
φ
(2.8)
As a result, the Fourier transform of
C
V
ˆ
given by ] )
ˆ
/ ˆ ( /[
2 2 2
0
c m q g
φ
+ −
eliminates the divergence of the Fourier transform of
C
V in the limit 0 → q .
3. NONUNITARY IMAGES OF STRUCTURE FUNCTIONS AND
COMPARISON WITH EXPERIMENTS.
In this section we turn finally to the construction and experimental verification of
the nonunitary image of the transition from the electronpointproton differential
crosssection [from Eqs.(1.2a & b)]:
( )
Ω
≡ =
−
=
Ω
=
− −
+ −
d
d
E
Z
p
E Z
d
d
Mott
p po e
σ
θ
θ α
θ
θ β α
σ
β
) 2 / ( sin
) 2 / ( cos ) (
) 2 / ( sin 4
) 2 / ( sin 1 ) (
4 2
2 2
1
4 4
2 2 2
int
(3.1)
to the existing model of the deepinelastic differential crosssection [in Eq.(1.3)]
.
2
tan ) ( 2 ) (
2
tan ) , ( 2 ) , (
2
1 2
2 2
1
2
2
+
Ω
≡
+
Ω
=
Ω
=
θ
ω ω
σ
θ
ν ν
σ σ
ν
F F
d
d
q MW dE q W
d
d
d
d
Mott
dE
Mott
. (3.2)
We shall assume that when nonhamiltonian interactions are taken into account
through nonunitary transformation of the entire scattering formalism, the
corresponding result may be expressed as “isotopic” lifting of (3.2) in the form:
[ ] ) 2 /
ˆ
( tan ) ˆ (
ˆ
2 ) ˆ (
ˆ
ˆ
ˆ
ˆ
ˆ
2
1 2
θ ω ω
σ σ σ
F F
d
d
d
d
d
d
Mott
+
Ω
≡
Ω
→
Ω
. (3.3).
The challenge then is to explicitly construct the nonunitary images of the
structure functions and compare them with experimental data highlighted earlier
Proceedings of the first International Seminar on Theoretical Physics & National Development
145
in Figs.2a, 2b & 2c. Just as in thermionic emission of electrons (fermions) from
hot wires due to absorption of photons from blackbody radiation field, if the
emission of stable hadrons (fermions or bosons) from the resonance (proton) state
due to absorption of virtual photon (in Fig. 1) is subject to some conservation,
0 2 1
ˆ ˆ ˆ
F F F = + (a constant), then their variations with respect to the isoBjorken
scale ωˆ would follow the simple “deterministic model” of a “hostparasite”
system given as in Eq.(1.11a) of ref.[12] by the Birkhoffian equations:


¹

\



¹

\

−
=


¹

\

2
1
2
1
2
1
ˆ
ˆ
0
ˆ
ˆ
0
ˆ /
ˆ
ˆ /
ˆ
F
F
F
F
d F d
d F d
γ
γ
ω
ω
(3.4a)
Consequently, by eliminating
1
ˆ
F and
2
ˆ
F in turns, we obtain the Riccati equations:
2
2 2 0 2 0 2 2
2
1 1 0 1 0 1 1
ˆ ˆ
ˆ )
ˆ ˆ
(
ˆ
ˆ /
ˆ
ˆ ˆ
ˆ )
ˆ ˆ
(
ˆ
ˆ /
ˆ
F F x F F F d F d
F F x F F F d F d
γ γ ω
γ γ ω
+ − ≡ − − =
− ≡ − =
(3.4b)
where
0 0
ˆ
ˆ F x γ ≡ . The solutions, subject to the boundary conditions,
,
ˆ
) 0 (
ˆ
,
ˆ
) 0 (
ˆ
20 2 10 1
F F F F = = are [13]
( )
( ) [ ]
( )
( ) [ ]
ω
ω
γ
γ
ω
γ
γ
ω
ˆ ˆ
0 2 0
0
2
ˆ ˆ
0 1 0
0
1
0
0
1
ˆ
/ ˆ 1
/ ˆ
ˆ
ˆ
1
ˆ
/ ˆ 1
/ ˆ
ˆ
ˆ
x
x
e F x
x
F
e F x
x
F
−
+
− −
=
− −
=
(3.4b)
whose features are as shown for , / ˆ
ˆ
0 10
γ x F > and γ / ˆ
ˆ
0 20
x F < in Fig. 5 where they are
also compared with experimental data. Observe that as found with thermionic
emission in ref.[12],
1
ˆ
F resembles MaxwellBoltzmann distribution while
2
ˆ
F resembles FermiDirac distribution, and the agreement between theory and
experiment is quite good.
In terms of the reciprocal Bjorken variable xˆ , the corresponding curve for
) ˆ (
ˆ
2
x F turns out to be the image of ( ) ωˆ
ˆ
2
F has the form
( )
( ) [ ]
0
ˆ ˆ
0 2 0
0
2
1
ˆ
/ ˆ 1
/ ˆ
ˆ
ˆ
ω
ξ ω
ξ ω
x
e F
x F
+
− +
= (3.5)
Proceedings of the first International Seminar on Theoretical Physics & National Development
146
whose feature is as shown for ξ ω / ˆ
ˆ
0 20
> F in Figs. 6a and b, where it is also
compared with experimental data for ) (
2 2
x F W ≡ ν . The agreement between theory
and experiment is again quite good.
.
Fig. 5: Comparison of ) ˆ (
ˆ
1
ω F & ) ˆ (
ˆ
2
ω F for
γ / ˆ
ˆ
0 20
x F < with ) ( 2
1 1
ω F MW = & ) (
2 2
ω ν F W =
where
2
/ 2 q Mν ω = , for proton; , 6 . 2 GeV W >
) / ( 1
2
0
2
c GeV q > and R=0.18. Data from G. Miller et
al Phys. Rev.D5, 528 (1972)[2].
→ ω ω ˆ ,
γ / ˆ
0
x
) ˆ (
ˆ
2
ω F
20
ˆ
F
Proceedings of the first International Seminar on Theoretical Physics & National Development
147
.Fig.6a. Comparison of ) ˆ (
ˆ
2
x F for ξ ω / ˆ
ˆ
0 20
< F (solid
line) with
2
W ν versus ν M q x 2 /
2
= for the proton for
) / ( 2 , 0 . 2
2
0
2
c GeV q GeV W > > .Data from ref.[3] :
A.Bodek et al Phys. Rev .Lett. 30,1087 (1973); Phys. Lett.
51B, 417(1974); Phys. Rev. D20, 1471 (1979)
.
ˆ , → x x
1.0 0.8 0.6 0.4 , 2 . 0
) ˆ (
ˆ
2
x F
ξ ω / ˆ
0
20
ˆ
F
Proceedings of the first International Seminar on Theoretical Physics & National Development
148
.Fig.6b. Comparison of ) ˆ (
ˆ
2
x F for ξ ω / ˆ
ˆ
0 20
< F (solid
line) with ) (
2 2
x F W = ν with ν M q x 2 /
2
= for the proton
for ) / ( 2 , 0 . 2
2
0
2
c GeV q GeV W > > .Data from ref.[3] :
A.Bodek et al Phys. Rev .Lett. 30,1087 (1973); Phys. Lett.
51B, 417(1974); Phys. Rev. D20, 1471 (1979)
.
ˆ , → x x
1.0 0.8 0.6 0.4 , 2 . 0
) ˆ (
ˆ
2
x F
Proceedings of the first International Seminar on Theoretical Physics & National Development
149
.
Fig.6c : Early Gargamelle measurements of
N
F
ν
2
compared
with
eN
F
2
) 5 / 18 ( calculated from the MITSLAC results )
and with HM model ) ˆ (
ˆ
2
x F
N ν
. (Source of data J.I. Friedman
Nobel Lecture 1990, Physics 1990 p. 715 ref.[6].
) ˆ (
ˆ
2
x F this paper.
Proceedings of the first International Seminar on Theoretical Physics & National Development
150
Finally, we observe that there is a striking similarity between our expression
for ( ) ωˆ
ˆ
2
F and Planck’s expression for the energy density per unit wavelength
interval based on BoseEinstein statistics, as cited in Eq.(1.2) of ref.[12]:
( ) ( )
1
/ 5
1
5
1
1 ) (
2
−
− −
− ≡ =
λ
λ λ λ
T a
BE
e a E n a W (3.6)
which is, in turn, strikingly similar to the Hulthen potential
) 1 /( ) ˆ (
ˆ
ˆ
ˆ
0
− − =
r k i
H
e V r V (3.7)
which was employed in 1978 by Santilli[10] in his original application of HM to
Rutherford’s conception of the neutron as compressed hydrogen atom, hence the
name RutherfordSantilli (RS) neutron.
Fig.7 : Transition from conventional quantum mechanical
atomic system (normal Hatom) to hadronic system
(RutherfordSantilli “neutron”) [10]
Hulthen potential
Longrange
Coulomb potential
Deepinelastic ep
scattering
Proceedings of the first International Seminar on Theoretical Physics & National Development
151
The main feature of
H
V
ˆ
is that it produces one lowlying bound state
(identified with the RS neutron) under the conditions of deep overlapping of their
wavepackets, that could result from deepinelastic scattering as indicated in Figs.
7. This makes it intriguing to observe an analogy between the divergent average
“zeropoint energy”
0
E given by Planck’s quantum hypothesis (in Eq.(1.3) of
ref.[12]) for a BoseEinstein distribution of photons in blackbody radiation
(“photon”) field
∫
=
0 0 0
2
) ( E W
d
c h
λ
λ
(3.8)
W being the energy density per unit wavelength, and the expression evaluated
from MITSLAC data (cited by Friedman[6], as given in Eq.(1.5) above]
04 . 0 78 . 0
20
1
2 2
± = =
∫
p
F
d
I
ω
ω
(3.9)
where the integral was cut off for 1 < ω and 20 > ω (corresponding naturally to
the two cutoff scales we have defined for a torus). Since this is equivalent to the
difference (in MeV)
[ ] 78 . 0 ) 78 . 938 56 . 939 ( ) (
2
0
= − = + − ≅ ∆
e p n
m m m mc (3.10)
between the neutron rest mass (
n
m ) and the mass of the normal hydrogen atom
(
e p H
m m m + ≈ ), it makes physical sense to interpret 0.78 (MeV) as a positive
(“excess”) energy (associated with the repulsive “psuedopotential”[15] due to
nonorthogonality of the overlapping
−
eˆ and
+
pˆ wavepackets in the RS neutron).
4. DISCUSSION AND CONCLUSION
In this paper we have reviewed the conceptual and formal (mathematical)
difficulties of the contemporary application of the potential scattering theory of
QED and Feynman’s quarkparton model[7] to the interpretation of deepinelastic
scattering, when nonhamiltonian interactions due to contact/fusion of the
extended wavepackets of the physical particles involved in the scattering
processes are taken into account; and we have shown how the difficulties could be
Proceedings of the first International Seminar on Theoretical Physics & National Development
152
remedied through nonunitary transformation of the conventional Feynman graph
of potential scattering theory of QED into its nonunitary image in HM. The fact
that these nonunitary images were calculated without recourse to perturbation
theory by solving nonlinear matrix Riccati’s equation which is a wellknown
source of Lieadmissible algebra [14] and the good agreement with experimental
data underscore the relevance of the generalization of the basic Heisenberg’s
equation of conventional quantum mechanics in the form in Eq.(2.4) at the
foundation of HM. Technically, the transition from conventional quantum
mechanical scattering theory to the hadronic mechanics image demands the use of
isomathemtics to ensure isounitarity of the generalized isoscattering theory.
This feature and the compatibility of the RS model with the SU(3) isoquark
picture in 2
nd
quantization formalism will be elaborated in subsequent papers in
this series.
5. REFERENCES
1. G. Domokos, S.KovesiDomokos and E. Shonberg, Phys. Rev. D3, 1184
(1971); Phys. Rev. D3, 1191 (1971).
2. G. Miller et al Phys. Rev.D5, 528 (1972)
3. A. Bodek et al Phys. Rev .Lett. 30,1087 (1973); Phys. Lett. 51B, 417(1974);
Phys. Rev. D20, 1471 (1979)
4. S.D. Drell and J. D. Walecka, Ann. Phys. (NY) 28, 18 (1964).
5. J.D. Bjorken, Phys. Rev. 179, 1547 (1969)
6. J.I. Friedman, Deep Inelastic Scattering: Comparisons with the Quark
Model, Dec. 8 1990 Nobel Lecture, Physics p.715738.
7. R.P. Feynman, Phys. Rev. Lett. 23, 1415 (1969).
8. R. Jackiw, Introducing Scale Symmetry Physics Today p.23, Jan 1972.
9. A.O.E. Animalu, Scale Symmetry Physics Today p.76 June 1972.
10. R. M. Santilli, "Hadronic Mathematics, Mechanics and Chemistry,"
Volumes I, II, III, IV and V, International Academic Presss (2008),
available in pdf format from the web site
http://www.ibr.org/HadronicMechanics.htm. For a review of 30 years of
studies on the structure, synthesis and stimulated decay of the neutron,
please see J. V. Kadeisvili, Hadronic J. {\bf 31}, 1 (2008) [9k], free pdf
download available from the web site http://www.ibr.org/Rutherford
SantilliII.pdf also available in htlm format from the web site.
http://www.ibr.org/RutherfordSantillineutron.htm
Proceedings of the first International Seminar on Theoretical Physics & National Development
153
11. A.O.E. Animalu, Lieadmissible approach to Extended Relativity
Principle, Hadronic J.10, (1987).
12. A.O.E. Animalu. Some Implications of nonUnitary Transformations of
Planck’s Quantum Hypothesis in Physics, (Hadronic J. (2008) to appear).
13. Tertsegha Tivde and A.O.E. Animalu, Riccati Equation Modeling in
Biophysics and Other Physical Phenomena (Int. Seminar on Theoretical
Physics & National development, Abuja, Nigeria August 2628, 2008).
14. H.C. Myung in Proceedings of the 3
rd
Workshop on Hadronic Mechanics
and Nonpotential interactions held in Patras Greece (1986).
15. A.O.E. Animalu, Intermediate Quantum Theory of Crystalline Solids
(PrenticeHall, New Jersey, USA) 1977. Chapter 5.
Proceedings of the first International Seminar on Theoretical Physics & National Development
154
RICCATI EQUATION IN BIOPHYSICS AND OTHER PHYSICAL
PHENOMENA
TERTSEGHA TIVDE AND A.O.E. ANIMALU.
DEPT. OF PHYSICS AND ASTRONOMY, UNIVERSITY OF NIGERIA, NSUKKA.
tivdeter@yahoo.com, nascience@aol.com
ABSTRACT
We review the occurrences of Riccati’s Equation in Biophysics as a mathematical
model of the HostParasite system and in other physical phenomena such as the
model of Atmospheric Pollution by efflux of fumes from the Benue Cement
factory, an Entropy “Death” Model of the earth due to Global warming, and
the RutherfordSantilli neutron. We shall discuss the physical characteristics of
the solutions, especially the limiting of exponential decay or growth of the linear
part of the equation by the nonlinear part associated with the transition from life
to death of these complex systems.
0. Introduction
A mathematical model uses mathematical language to describe a system.
Mathematical models are used not only in the natural sciences and engineering
disciplines but also in the Social Sciences to describe diverse behaviours of
interacting complex systems under various conditions.
Eykhoff (1974) defined a mathematical model as “a representation of the
essential aspects of an existing system (or a system to be constructed) which
presents knowledge of that system in usable form”.
Mathematical models can take many forms, including but not limited to
dynamical systems, statistical models, differential equations, or game theoretic
models. These and other types of models can overlap with a given model
depending on a variety of abstract structures.
Examples of mathematical models
Proceedings of the first International Seminar on Theoretical Physics & National Development
155
• Population Growth. A simple (though approximate) model of population
growth is the Malthusian growth model. The preferred population growth
model is the logistic function which we shall use in this paper to describe a
hostparasite system.
• Model of a particle in a potentialfield. In this model we consider a
particle as being a point mass m which describes a trajectory which is
modeled by a function x giving its coordinates in space as a function of
time. The potential field is given by a function V(x) and the trajectory is a
solution of the differential equation
Note that this model assumes that the particle is a point mass, which is
certainly not true especially when used as a model of planetary motion to
describe the approach and penetration of a meteorite into the atmosphere
of a planet in the solar system.
• Model of rational behavior for a consumer. In this model we assume a
consumer faces a choice of n commodities labeled 1,2,...,n each with a
market price p
1
, p
2
,..., p
n
. The consumer is assumed to have a cardinal
utility function U (cardinal in the sense that it assigns numerical values to
utilities), depending on the amounts of commodities x
1
, x
2
,...,x
n
consumed.
The model further assumes that the consumer has a budget M which he or
she uses to purchase a vector x
1
, x
2
,..., x
n
in such a way as to maximize
U(x
1
, x
2
,..., x
n
). The problem of rational behavior in this model then
becomes an optimization problem, that is one of finding
subject to:
This model has been used in general equilibrium theory, particularly to
show existence and partial optimality of economic equilibrium. However,
the fact that this particular formulation assigns numerical values to levels
Proceedings of the first International Seminar on Theoretical Physics & National Development
156
of satisfaction is the source of criticism (and even ridicule). However, it is
not an essential ingredient of the theory but an idealization.
• Mobius strip model of a nonpointlike spin1/2 particle. This model
will be used in this paper to describe in geometrical terms how such a
spin1/2 particle can be represented as a fusion of two tangled strips, as
envisaged in Santilli’s model(1978) of the Rutherford’s conception of the
neutron as a compressed hydrogen atom within a hyperdense star.
One of the main aims of scientific modeling, according to Silvert (2001),
is to apply quantitative reasoning to observations about the world, in the hope of
seeing aspects that may have escaped the notice of others. There are many
specific techniques that modelers use, which enable them to discover aspect of
reality that may not be obvious to everyone. One of the essentials is the
understanding of the role that assumptions play in the development of the model.
The usual approach to model development is to characterize the system by
making some assumptions about how it works and translating these into
equations and a simulation program. After simulation, one of the final steps is the
validation: whether we can trust the data presented by the model.
A model in science is a physical, mathematical, or logical representation
of a system of entities, phenomena, or processes. Attempts to formalize the
principles of the empirical sciences in the same way lead logicians to axiomatize
the principles of logic used in a descriptive interpretation of the model of reality.
The aim of these attempts is to construct a formal system for which reality is the
only interpretation. A model is a formalized interpretation which deals with
empirical entities, phenomena, and physical processes in a mathematical, or
logical way.
In this paper, the occurrence of Riccati equation in Biophysics and other
physical phenomena is our paramount concern. We shall select some biophysical
systems and physical phenomena to illustrate how Riccati Equations occur in
biology and physics. As to the formal definition of Riccati equations, consider
the first order differential equation
If we formally expand f(x,y), while x is kept constant, we will get
Proceedings of the first International Seminar on Theoretical Physics & National Development
157
If we stop at the first order term in y, we will get a linear equation. Riccati looked
at the approximation to the second degree in y by considering equations of the
type
These equations bear his name, Riccati equations. They are nonlinear and in
order to solve a Riccati equation, one will need a particular solution in order to be
able to construct other more general solutions.
1. The Host Parasite Model in Biology
We shall now begin by asking the questions: what is a parasite in the
biological context and what are the essential features of the parasite way of life?
These questions have been answered succinctly by Anya(1983) who pointed out
that the popular notion of the parasite as a hangeron, one who depends on
another, the host, often to the host’s detriment, is inaccurate from a biological
viewpoint. The parasite has a vested interest in the survival of its host since it
must live and survive in the host. In fact a dead host is of no use to any other
organism, most especially the parasite.
Parasites are of two types, called endo and ectoparasites. Examples of
endo parasite include, Liver fluke, Plasmodium, Tapeworm, Roundworm, and
Trypanosome while those of ecto include Tinea, Ringworm, Louse, Tick,
Mistletoe etc. as shown in the lifecycle of some parasites (see, Figs. 1 and 2
below).
Proceedings of the first International Seminar on Theoretical Physics & National Development
158
The hostparasite relationship is an ecological relationship in which four
conditions must be satisfied. These conditions are as follows:
The parasite is physiologically dependent on the host, just as a freeliving
organism is physiologically dependent on the environment.
The nature of the ecological relationship dictates that the reproductive
potential of the parasite should be greater than that of the host.
The relationship is ideally in a state of dynamical equilibrium although some
perturbations of this equilibrium can occur and thus lead to the death of the
Fig1. Life cycle of Malaria parasite
Fig 2. Lifecycle of Liver fluke
Proceedings of the first International Seminar on Theoretical Physics & National Development
159
heavily infected hosts.
The process of infection is such that an over dispersed distribution of parasites
in the population is generally the case.
An over dispersed population is one in which many individual organisms of a
given specie are not randomly distributed but rather tend to be concentrated at
particular points of the environment. In the case of the parasites in a particular
host, the parasites may be segregated either in terms of age or habitat, ecology etc.
It is the issue of stability of the host parasite system which, like the
stability of an atomic nucleus (host) with respect to the population of the neutrons
(parasite) within it, that demands a logistic model of population dynamics.
Typically a population if unchecked grows exponentially, in accordance with the
Router differential equation:
( ) αψ ψ δ β
τ
ψ
= − =
d
d
(1.1)
where ( ) τ ψ is the size of the population, τ ψ d d / is the rate of increase with the
time τ , and α is a constant designating the difference between the birthrate β
and the deathrate δ of the population under consideration. The solution is
( ) ( ) 0
ατ
ψ τ ψ e = (1.2)
so that the population grows exponentially if 0 > α and decays exponentially if
0 < α and remains constant if 0 = α . However, exponential growth rate is in
nature often achieved for short periods of time only, i.e., it is not sustainable as in
the buildingup of infections of snails with parasite (miracidia) discussed by Anya
and Okonkwo (1991). In most cases the growth of population is checked in two
ways: Either inbuilt mechanisms check the growth rate equally over the whole
range of population densities, or the checks operate most effectively as the
population increases due to limitations of resources, such as nutrients (or energy).
It is the latter situation which usually generates stability much more easily. The
intrinsic resistance to population growth in this situation is accommodated by
modifying equation (1.1) to the form
( ) , φψ α ψ
τ
ψ
− =
d
d
( ) Equation s Riccati' (1.3)
where φ α / is the value of ψ when birth rate equals death rate at which the
population maintains a stable state. This is a Riccati’s Equation, whose general
Proceedings of the first International Seminar on Theoretical Physics & National Development
160
feature is that the crossratio of any four solutions is independent of the time, i.e.
conserved (see, Piaggio(1958)). However, we can solve eqn. (1.3) by separation
of variables using partial fractions thus:
( ) ( )
τ ψ
φψ α ψ
τ
φψ α ψ
ψ
d d d
d
= 
¹

\

−
⇒ =
−
1
which, by partial fractions becomes:
∫
=
∫
−
+
∫
⇒
=
−
+
τ
τ
τ
φψ α
ψ
τ
ψ
ψ
τ
φψ α
ψ
ψ
ψ
0 0 0
d
d
d d
d
d
( )
( )
( )
( )

¹

\

−
+ = 
¹

\

− 0
0
ln ln i.e.,
φψ α
ψ
ατ
τ φψ α
τ ψ
( )
( )
1
0
/
1
/
i.e.,
ατ
ψ
φ α
φ α
τ ψ
−

¹

\

− −
=
e
(1.4a)
This shows that the population’s rate of increase reduces as the population size
increases, until the equilibrium state, ( ) φ α τ ψ / → is attained as ∞ → τ . The
logistic curve is shown in fig. 1.2a below:
Proceedings of the first International Seminar on Theoretical Physics & National Development
161
Basically fig1.2a shows two cases: ( ) φ α ψ / 0 < and ( ) φ α ψ / 0 >
which indicates that, in the parasitehost relationship viewed as a system, there is
a negative feedback ensuring stability. In other words, if the population of the
parasites increases without bound, the nutrients in the host shall be used up within
…….. Exponential Decay of parasite
..……. Exponential Growth of parasites
Fig 1.2a Logistic Curve
0
ψ
φ α /
0
ψ
τ
Proceedings of the first International Seminar on Theoretical Physics & National Development
162
a short period of time exposing the parasite to the danger of starvation and finally
death as the host dies. An image logistic curve which is of interest in some
physical phenomena such as deepinelastic electronproton scattering (Animalu
and Ekuma(2008)) and characterized for ( ) φ α ψ / 0 > by the function
( )
( )
1
0
/
1
/
ατ
ψ
φ α
φ α
τ ψ
+

¹

\

− +
=
e
(1.4b)
is shown in fig. 1.2b.
Fig 1.2b Logistic Curve
0
ψ
φ α /
0
ψ
τ
…….. Exponential growth of parasite
..……. Exponential Decay of parasites
Proceedings of the first International Seminar on Theoretical Physics & National Development
163
2. Pharmacokinetics
Pharmacokinetics is the study of drugs and/or metabolite kinetics in the
body. It deals with a mathematical description of the rates of drugs movement
into, within and exit from the body. It also includes the study of drug metabolism
or biotransformation rates. The body is a very complex system and drug
undergoes many steps as listed by Bourne (2001) and summarized as ADME,
which stands for absorbed, distributed through the body, metabolized or excreted
as illustrated in the fig.3 below
As observed by Animalu and Katyar (1996), pharmacokinetics is one of the
methods employed in treating a host infected by parasite which involves the
infusion of a medicine or drugs into the blood stream of the host.
Pharmacokinetic or drugs kinetics is concerned with the distribution of such
drugs or traces of radioactive substances among various compartments of the
body i.e. the blood circulatory system, the intestinal tract, tissues, cells, blood
plasma, etc.
Fig. 3 Drug Disposition
Proceedings of the first International Seminar on Theoretical Physics & National Development
164
As a corollary of fig.3 above, we say that, the drug also interacts with
receptors and causes therapeutic and/or toxic responses. Although the details of
drug kinetics are complicated, it is fortunate that we can often approximate drug
kinetics process using “simple” mathematical models.
In order to develop a mathematical model of pharmacokinetics, we need first
to know the volume of distribution of drugs or radioactive traces and the apparent
volume of the mixing container. Inasmuch as the body is not a physiological
volume, the volume of drug distribution would not be lower than blood or plasma
volume but it can be much larger than body volume for some drugs. It is a
mathematical ‘fudge’ factor relating the amount of drug in the body and the
concentration of drug in the measured compartments, usually plasma. The volume
ν is defined as the amount of drug in the body (container) per concentration
measured in the plasma, i.e.,
) ( / ) ( t t ϕ η ν = (2.1)
where ν =volume of distribution of drug in the blood plasma; ) (t η = amount of
drugs in the body, and ) (t ϕ = concentration measured in plasma. We see here
that, immediately after the intravenous dose is administered, the amount of drug
in the body is the dose, ) (t η . The diffusion of the drug in the blood stream is an
example of an exponential growth or decay process whose repetition at regular
intervals also leads to a resistance to growth of the concentration characterised by
a limit having the form of a Hulthen potential, as we now proceed to show.
Suppose that the volume of blood in the host is ν and that the initial
concentration of drug such as glucose in the blood stream is ) 0 ( ϕ . Suppose
further that glucose is infused into the blood stream at a constant rate ξ and
removed from the blood stream due to the physiological needs of the host at a rate
proportional to the concentration ) (t ϕ . Then the principle of continuity which
states that the gain in the amount that has entered the medium in the time over the
amount that has left the medium in this time gives:
( )
( ) t
dt
d
t
γϕ ξ
ϕ
ϕ
η
− = ⋅
,
γϕ ξ
ϕ
− = ⇒
dt
d
v
(2.2)
We can rewrite (2.2) as Riccati equation,
Proceedings of the first International Seminar on Theoretical Physics & National Development
165
2
ϕ ϕ
ϕ
Ψ + Ω =
dt
d
(2.3)
where η ξ / = Ω and η λ / − = Ψ . If we now suppose that the dose ) (t η of a
medicine is given to the infected host (patient) at regular intervals of durationτ ,
and that the medicine also disappears from the host at a rate proportional to the
concentration ) (t ϕ of medicine in the blood, then the differential equation given
by the continuity principle is
γϕ
ϕ
− =
dt
d
v
(2.4)
This gives
τ
ν
γ
η ϕ < ≤ − = t 0 ), exp( ) ( t t
which follows by solving (2.4) via the method of separation of variables:
dt
d
ν
γ
ϕ
ϕ
− =
( )
( )

¹

\

= ⋅ = =
+ − = ⇒ + − =
− + −
∫ ∫
t e e
t
v
t dt
t c t
v
d
v v
v
 exp e t
c ln c
c
γ
η ϕ
γ
ϕ
γ γ
γ
ϕ
ϕ
We see that, at time τ , the residue of the first dose is
( ) 
¹

\

= τ
γ
η τ ϕ
v
 exp
so that when another dose is given we get for a succession of doses
Proceedings of the first International Seminar on Theoretical Physics & National Development
166
( ) ( ) ( ) ( )
( ) [ ] ( )
[ ]
[ ] τ τ τ
γ
τ
γ
τ
γ γ
η
τ
γ
η τ
γ
η
γ
η
τ τ
γ
η τ ϕ τ ϕ
n t
v
t
v
n t t
v
t
v
t
v
< ≤
)
`
¹
¹
´
¦

¹

\

+ +

¹

\

+

¹

\

+

¹

\

=

¹

\

− − + +
− − +

¹

\

− =
− − + =
1  n ,
1  n
exp . . .
v
2
exp
v
 exp 1  exp
1
v
 exp . . . exp exp
exp
This involves a geometric series whose sum is
( )
( )
( ) 1 exp
1 exp
v
 exp
−
−

¹

\

=
t
t n
v
v
γ
γ
τ
γ
η τ ϕ
and gives
( )
( )
( ) ( )
1 exp
1 exp
exp 1
−
→
−
− −
=
τ
η
τ
τ
η τ ϕ
γ γ
γ
v v
v
n
n
.
This limit has the form of a Hulthen potential in the variable τ . Accordingly, the
time evolution of concentration is as shown in Fig. 4 below.
4 3 2 τ τ τ τ
τ
γ
η
v
e
−
− 1
1 −
− τ
γ
η
v
e
Fig. 4. Concentration of drugs in the body
) (t ϕ
t
Proceedings of the first International Seminar on Theoretical Physics & National Development
167
The curve in Fig. 4 shows that, in each interval, concentration decreases and from
the maximum concentration at the beginning of an interval it goes on decreasing
as the number of intervals increases, but the maximum value is always below
. ) 1 /(
τ
ν
γ
η
−
− e . The minimum value in the interval occurs at the end of each
interval and this also increases, but it lies below ) 1 /( −
− τ
ν
γ
η e .
3. Ugwuanyi’s Model of Atmospheric Pollution at Benue Cement
Factory
Let us proceed next to describe another interesting case of the occurrence
of Riccati equation, namely Ugwuanyi’s model of atmospheric pollution at
Benue Cement Factory due to the hydrologic cycle settling of suspended aerosols
from fluid. Ugwuanyi considered the forces on a nonpointlike particle of sand or
dust given in Fig, 5 below:
Here, a particle falling under the action of gravity will accelerate until the
frictional force (or drag) of the fluid just balances gravitational acceleration
(material balances) after which it will continue to fall at a constant velocity
known as the terminal setting velocity, .
t
u This terminal velocity is calculated by
making a force balance on the particle. i.e
F
D
=Frictional drag force
F
G
=Gravitational force
F
H
=Viscous drag
Aeroid Flow
Fig.5 Forces acting on a Particle in a moving Air Stream (fluid)
Proceedings of the first International Seminar on Theoretical Physics & National Development
168
D B G R
F F F F − − = (3.1)
These forces are then expressed as:
dt
du
M F
R
= (3.2)
Mg) ( = =
E G
Ma F (3.3)
Mg Ma F
p
E
p
B


¹

\

= =
ρ
ρ
ρ
ρ
` (3.4)
where m = mass of particle, u = velocity of particle,
E
a = acceleration = g for
gravitational settling,
2
g
a
+
= ω r for centrifugal settling, where ω = angular
velocity. Substituting the values of
G
F ,
R
F and
B
F into equation (3.1), gives
M
F
g
dt
du
D
p
p
−
−
=
ρ
ρ ρ
(3.5)
Experimentally,
2
2 2
D
1kg/m if
2
u
or
2
u
F = = ρ
ρ
D p D p
C A C A
where
D
C = coefficient of friction or drag, and
p
A = projected area of particles at
right angles to the direction of settling. Note that
D
F is a dimensionless quantity
and
D
C is a function of Reynold’s number. Hence Eq. (3.5) becomes
2
2
u
M
A C
g
dt
du
p D
p
p
ρ
ρ
ρ ρ
−
−
= (3.6)
which is Riccati’s equation. For a particle that is spherical in shape,
p
3
p 6
1
2
4
1
d 2
3
d
p p
p p
d
M
A
ρ ρ π
π
= =
Proceedings of the first International Seminar on Theoretical Physics & National Development
169
where
p
d is the particle diameter. Thus,
4
3
2
u
d
A C
g
dt
du
p p
p D
p
p
ρ
ρ
ρ
ρ ρ
−
−
= (3.7)
and Φ = − =
−
p p
p D
p
p
d
A C
g
ρ
ρ
ϕ
ρ
ρ ρ
4
3
, so that (3.7) may be rewritten as
g
2
u
dt
du
Φ − =ϕ (3.8)
At the point, 0 =
dt
du
, i.e. at a steady state, one gets the velocity with which the
particle settles. Hence,
.
4
3
0
2
t
p p
p D
p
p
u
d
A C
g
dt
du
ρ
ρ
ρ
ρ ρ
−
−
= =
At steady state, = =
t
u u terminal velocity of particle,
( ) ( )
d
3C
4g
u or d
3C
4g
u
p
D
p
t p
D
p 2
t
ρ
ρ ρ
ρ
ρ ρ −
=
−
= (3.9)
This applies to
rest, at y parmanentl (iii)
in water. oil or air as such , particles, rising (ii)
particles, settling (i)
p
p
p
ρ ρ
ρ ρ
ρ ρ
=
<
>
It is interesting to note that the terminal velocity is chiefly a function of the
particle size (
p
d ), relative density of the particle and the fluid and frictional force,
D
C . For further discussion of the characteristics of the model, we refer the reader
to Ugwuanyi’s work.
Proceedings of the first International Seminar on Theoretical Physics & National Development
170
4. Entropy “Death” Model of the Earth due to Global Warming
As a third example of the occurrence of Riccati equation in models of physical
phenomena, let us describe how the “entropy” death of the earth due to global
warming could take place. The total energy of a closed thermodynamics system
given by, TS E E
T
+ ≡ , may be interpreted as the sum of available energy
( E E
a
≡ ) and unavailable energy ( TS E
n
≡ ) per particle of the system at a given
temperature T , where E is the internal energy and S the entropy. The 1
st
Law of
thermodynamics tells us that
T
E is conserved. Consequently, if we suppose that
both the available and unavailable energy depend on a common variable (which
we may naturally take to be the entropy) by writing ) ( ), ( S E E S E E
n n a a
= = then
the 2
nd
law of thermodynamics can be captured by the decrease/increase of the
available/nonavailable energy as a function of entropy in the following (dual)
form:
a n
n
a n
a
E E
dS
dE
E E
dS
dE
β β = − = , (4.1)
where
0 0 0 0 0
; ) 0 ( ; ) 0 (
u a T n n a a
E E E E E E E + ≡ = = and T k
B
/ 1 = β ,
B
k
being the Boltzmann constant. Thus by eliminating
n
E in the first equation, or
a
E
from the second equation, we obtain the Riccati equations
) ( ), (
0 0 n T n
n
a T a
a
E E E
dS
dE
E E E
dS
dE
− + = − − = β β (4.2)
The solutions are:
[ ]
0 0 0 0
0
/ exp
u T u a
T ao
a
E S E E E
E E
E
β +
= (4.3a)
[ ]
[ ]
0 0 0 0
0 0 0 0
/ exp
/ exp
u T u a
u T T u
n
E S E E E
E S E E E
E
β
β
+
= (4.3b)
These have the remarkable property that when ∞ → S ,
0 0 0
) ( , 0 ) (
n a F n a
E E E S E S E + ≡ → → . (3.4)
In other words, when at thermodynamic equilibrium temperature (T ) the entropy
tends to its maximum (infinite) value, all the available energy would be exhausted
Proceedings of the first International Seminar on Theoretical Physics & National Development
171
( 0 ) ( → S E
a
) while the nonavailable energy would be equal to the total energy of
the system (
0
) (
F n
E S E → ). This agrees with the maximum entropy definition of the
“death” of a thermodynamic system.
5. The Mobius Strip Model of an Extended Spin1/2 Particle
One of the intriguing ideas of contemporary physics is the 1978 proposal
by Santilli to revive Rutherford’s 1920 concept of the neutron – a spin1/2 neutral
particle – as a compressed hydrogen atom that could exist in superdense stars.
After the discovery of the neutron in 1932 by Chadwick, Rutherford’s model was
rejected on the grounds that according to the conventional quantum mechanical
principles governing addition of angular momenta and the spinstatistics theorem,
a spin1/2 particle (neutron) cannot be built from two other spin1/2 particles
(proton and electron). Santilli’s 1978 proposal of “hadronic” mechanics in which
he revived Rutherford’s concept is based on a representation of the compressed
Hatom as an extended object. A visual model by Michael McDonnough and
reproduced from Santilli(2008) is shown in Fig 6(a) below comprising a non
pointlike electron orbit represented by a torus circumscribing a spherical proton;
In Fig.6(b) we show a case of fusion of two tori for
0
π →
− +
e e fusion.
(a) (b)
Fig. 6:(a) Neutron as compressed Hatom;(b) Two Tori Fusion:
0
π →
− +
e e .
Proceedings of the first International Seminar on Theoretical Physics & National Development
172
An visual model of the RutherfordSantilli neutron as a Mobius strip is
shown in Fig. 7(a), by noting that it requires a rotation by 720 degrees to return a
point on the surface of the strip to itself so that the strip apparently has spin1/2.
However, if the strip is cut once along its flat surface, one obtains the “resonance”
strip shown in Fig. 7(b) and on second cutting one obtains two separate but
“tangled” strips shown in Fig. 7(c), which means that it is indeed possible to build
Mobius strip (i.e. a neutron) from two “tangled” strips of electron and proton. It is
reasonable to speculate that the “tangling” energy is responsible for the positive
experimental mass difference,
2
MeV/c 78 . 0 = − −
e p n
m m m .
(a)
→
.
(b)
→
(c)
strips. tangled" " & ) (
strip resonance" " (b) strip Mobius neutron" " .(a) : Fig7
− +
→
→ ≡
e p c
Proceedings of the first International Seminar on Theoretical Physics & National Development
173
The interest of the Mobius strip model is that if we suppose that the force
between the two tangled strips constituting the Mobius strip can modelled by
Riccati’s equation:
,
2
R QV PV
dr
dV
H H
H
+ + =
( R Q P , , ) being constants, then the equation may be expressed and integrated in
the form:
,
) )( (
0
0
∫ ∫
− −
=
H
V
V
H H
H
r
B V A V
dV
dr
where
P
PR Q Q
B
P
PR Q Q
A
2
4
;
2
4
2 2
− − −
=
− + −
=
Thus, by using the partial fraction expansion
) ( ) ( ) )( (
1
B V
A B
A V
B A
B V A V
H H H H
−
−
+
−
−
≡
− −
we find
( )
( )
( )
( )
( )
( )
( )
( )
−
−
−
−
− =
−
−
− +
−
−
− =
−
−
+
−
−
=
∫ ∫
A V
B V
B r V
A r V
B A
B V
B r V
A B
A V
A r V
B A
B V
dV A B
A V
dV B A
r
H
H
H H
V
V
H
H
V
V
H
H
H H
0
0
0 0
) (
) (
ln ) (
) (
ln ) (
) (
ln ) (
) (
) (
) (
) (
0 0
i.e.,
( )
( )
( )
( ) A V
B V
B r V
A r V
B A
r
H
H
−
−
−
−
=
−
0
0
) (
) (
exp
( ) ( )
( )
( )
, ) ( exp ) (
0
0
A V
B V
A r V
B A
r
B r V
H H
−
−
− =
−
−
( )
( )
( )
( )
, exp ) (
0
0
0
0
A V
B V
B
A V
B V
B A
r
r V
H
−
−
− =


¹

\

−
+ −
+
−
Proceedings of the first International Seminar on Theoretical Physics & National Development
174


¹

\

− + −
+


¹

\

− +
+
−


¹

\

−


¹

\

− −
+


¹

\

− +
+
×


¹

\

− −
= ∴
P
PR Q Q
V
P
PR Q Q
V
P
PR Q r
P
PR Q Q
V
P
PR Q Q
V
P
PR Q Q
r V
H
2
4
2
4
4
exp
2
4
2
4
2
4
) (
2
0
2
0
2
2
0
2
0
2
1 ) exp(
0
−
−
≡
r m
M
This has the form of the Hulthen potential ) 1 /( ) (
0
− − =
ikr
H
e V r V which was
employed by Santilli in his original application of hadronic mechanics to
Rutherford’s conception of the neutron as compressed hydrogen atom, hence the
name RutherfordSantilli (RS) neutron.
Fig.8 : Transition from conventional quantum mechanical
atomic system (normal Hatom) to hadronic system
(RutherfordSantilli “neutron”)
Hulthen potential
Longrange
Coulomb potential
Proceedings of the first International Seminar on Theoretical Physics & National Development
175
As indicated in Fig. 8, the main feature of
H
V is that it produces a single low
lying bound state (identified with the RS neutron) under the conditions of deep
overlapping of the wavepackets of the electron and the proton. Intriguingly, the
compatibility with the 3quark picture follows apparently from the relation,
3 2 2
2 2 2 = + , between the dimensions
N
2 of the SO(2N) group of fermion
creation and annihilation operators for N=2 or 3 fermions.
6. Conclusion
We have been concerned in this paper with a study of nonlinear systems which
can be modelled with Riccati Equation. We have seen in each of the examples
above that the solution of the Riccati Equation gives us results that could pave the
way to deeper understanding of complex systems.
7. REFERENCES
Agunwamba, J.C (2007) Engineering Mathematical Analysis. Enugu:DeAdroil
Innovation. ISBN: 9788137083.
Animalu A.O.E. and V.K. Katyar, Application of Mathematical and Physical
Modeling to the HostParasite system in Biology and Medicine, a lecture
delivered at the workshop on mathematical and physical models in biology
and medicine at the National Mathematical Centre, Abuja, Nigeria April 22
27, (1996).
Animalu A.O.E. and E.C. Ekuma, Review of deepinelastic electronproton
scattering : a hadronic viewpoint, to be presented in this seminar (August
2628, 2008)..
Braver, F and Castillo Chavez, C, Mathematical Models in Population Biology
and Epidemiology. Heidelberg: Springer Verlag (2000)
Ituna, V. and Ramin E.S., Dynamics Systems, Modelling and Analysis. Irwin:
McGrawHill. ISBN: 0070216738 (1997).
Kapur, J.N. Mathematical Models in Biology and Medicine. India: Affiliated East
West press (1989)
Kapur, J.N. Mathematical Modelling. New Dublin: Willey Eastern Ltd. (1990)
Proceedings of the first International Seminar on Theoretical Physics & National Development
176
Larmour, J. Dynamical Teory of Electric and Luminiferous Medium
Philosophical Transactions of the Royal Society. 190, 205300 (1897)
Lin, C.C. and Segel, L.A. Mathematics Applied to Deterministic Problems in the
Natural Sciences. Philadephia: SIAM ISBN: 0898712297. (1988)
Lotka, A.J. Elements of Physial Biology. Williams and Wilkins, Batimore. (1925)
Nichoson, A.J., and Barley V.A., The Balance Animal Population. Proceedings of
the Zool. Soc of London. 1:531598 (1935).
Okworonkwo, F.O. Aspects of The HostParasite Relations of Schistosoma
Haematobium (Trematoda –Schistosomatidae) and its Snails Host. Ph.D
Thesis University of Nigeria Nsukka (1986)
Santilli, R.M. "Hadronic Mathematics, Mechanics and Chemistry," Volumes I, II,
III, IV and V, International Academic Presss (2008), available in pdf format
from the web site http://www.ibr.org/HadronicMechanics.htm. For a
review of 30 years of studies on the structure, synthesis and stimulated
decay of the neutron, see J. V. Kadeisvili, Hadronic J. {\bf 31}, 1 (2008)
[9k], free pdf download available from the web site http://www.ib
r.org/RutherfordSantilliII.pdf also available in htlm format from the web
site. http://www.ibr.org/RutherfordSantillineutron.htm
Semenou, M.N Chemical Kinetics and Chain Reactions. Clarendon: Oxford.
(1935)
Sroud, K.A, Advanced Engineering Mathematics. New York: PALGRAVE
MACMILLAM. ISBN: 1403903123 (2003)
Thomtom, S and Manon, J Classical Dynamics of Particles and Systems. Fifth
Edition, Thomson Learning, 5465 (2004).
Ugwuanyi, J.U. Ph.D. Thesis (Nnamdi Azikiwe University, Awka, Nigeria)
Proceedings of the first International Seminar on Theoretical Physics & National Development
177
MATHEMATICAL ANALYSIS OF ADIABATIC MODEL OF
BLOCH NMR FLOW EQUATIONS FOR FUNCTIONAL
MAGNETIC RESONANCE IMAGING
Awojoyogbe O. B
+*
. M. Dada
+
, Olufemi Folorunsho Moses++
+*, +Department of Physics,
Federal University of Technology, Minna
NigerState, Nigeria
Email: awojoyogbe@yahoo.com
++ P.M.B. 1090, Surulere, Lagos State, Nigeria
Abstract
In this contribution, solutions to the Bloch NMR flow equations in the form of
polynomials are presented. The polynomials are obtained in terms of
trigonometric, algebraic, ordinary and special functions. By means of these
polynomials, appropriate mathematical algorithms are developed to consider the
motion of a blood molecule of mass m as a function of coordinate x alone. We
derived the first integral (constant of the motion) and energy integral for the blood
molecule. The energy integral gives us specific information about the motion of
the blood molecule (oxyhemoglobin molecule or molecule of some other
chemicals in the brain that take part in NMR signal production) depending on the
energy required by neurons when subjected to various degree of excitation. This
mathematical model and analysis may be very significant to explain the motion of
the molecules of each fluid substance that is responsible for specific task
performed by the brain. The dynamics of NMR signal as developed in terms of
sine and cosine functions can be additional important tools that can help to see the
direct relationship between changes in blood flow to the brain and neural
communication.
Keyword: Bloch NMR flow equations, NMR transverse magnetization model
polynomials, functional magnetic resonance imaging.
Proceedings of the first International Seminar on Theoretical Physics & National Development
178
1. Introduction
When there is an increased activity in the brain, blood is drawn faster through the flow
system, this results in correspondence increase in signal intensity on the magnetic
resonance (MRI) scan. Changes in blood flow and blood oxygenation in the brain
(collectively known as hemodynamics) are closely linked to neural activity. When
nerve cells are active they consume oxygen carried by hemoglobin in red blood
cells from local capillaries. The local response to this oxygen utilization is an
increase in blood flow to regions of increased neural activity. This hemodynamic
response leads to local changes in the relative concentration of oxyhemoglobin
and deoxyhemoglobin and changes in local cerebral blood volume in addition to
this change in local cerebral blood flow. Functional MRI is based on the increase
in blood flow to the local vasculature that accompanies neural activity in the
brain. This result in a corresponding local reduction in deoxyhemoglobin because
the increase in blood flow occurs without an increase of similar magnitude in
oxygen extraction. Deoxyhemoglobin is paramagnetic therefore alters the T
2
*
weighted magnetic resonance image signal [18]. Thus, deoxyhemoglobin is
sometimes referred to as an endogenous contrast enhancing agent, and serves as
the source of the signal for fMRI.
It is well known that when there is an increase in brain activity, oxygen is needed
in the conversion of some substances into energy which the brain cells need to
carry out specific tasks. However, It is not known whether the NMR signal
observed in the brain fMRI is not a function of oxyhemoglobin alone but that
some other chemicals in the brain take part in the signal production. It may be
possible that other NMR sensitive chemicals are the source of the NMR signal
that is observed. These other NMR sensitive chemicals may be the most important
in brain metabolism. We know that an increase in blood flow to any part of the
brain is caused by an increase in metabolic rate (or an increase in energy need of
the excited neuron) in the area and thus a proportionate increase in the rate of
neural communication. Solutions to the Bloch NMR flow equations in the form of
polynomials which can be taken as the definitions of new NMR functions as
presented in this paper can provide required mathematical algorithms and
computational methods to reveal specific information needed to identify the NMR
sensitive chemicals most important in brain metabolism.
Proceedings of the first International Seminar on Theoretical Physics & National Development
179
2. Mathematical Method
We study the flow properties of the modified time independent Bloch NMR flow
equation which describes the dynamics of blood flow under the influence of rF
magnetic field as derived in the earlier studies [9].
For steady flow
0 =
∂
∂
t
M
y
(1)
) (
1
) (
1 1
1 1
2 1
2
1
2 2
1
2 1
2
1
2
2
2
1
2
x B M T M
T T
x B T
dx
dM
T T
VT
dx
M d
T V
o y
y y
γ γ =


¹

\

+ +


¹

\

+ + (2)
Two reasonable initial boundary conditions which may conform to the realtime
experimental arrangements were chosen. These are:
1. M
o
≠ M
z
a situation which holds good in general and in particular when the rF
B
1
(x) field is strong say of the order of 1.0G or more.
2. before entering signal detector coil, fluid particles has magnetization
M
x
=0, M
y
= 0
If B
1
(x) is large; B
1
(x) >> 1G or more so that M
y
of the blood bolus
changes appreciably from M
o
.
Resonance condition exists at Larmor frequency
o
f = B  = 0 γ ω (4)
based on the following adiabatic condition


¹

\

>>
2 1
2
1
2
1
) (
T T
x B γ (5)
where γ denotes the gyromagnetic ratio of fluid spins; ω/2π is the rF excitation
frequency; f
o
/γ is the off resonance field in the rotating frame of reference. T
1
and
T
2
are the spinlattice and spinspin relaxation times respectively. Equation (2)
can be written as
o y
y y
M nT M n
dx
dM
T T
VT
dx
M d
T V
1
2
2 1
2
1
2
2
2
1
2
1 1
= +


¹

\

+ + (6)
Proceedings of the first International Seminar on Theoretical Physics & National Development
180
where
2
1
1 x VT − = (7)
) (
4
2 1
2
1
T T
xT
VT
+
−
= (8)
The parameter n is a real constant which completely defines the rF B
1
field of the
NMR system.
1
B n γ = (9)
When the rF B
1
field is applied, M
y
has a maximum value when rF B
1
is
maximum and M
o
= 0. At the point when the maximum NMR signal is received
(maximum values of M
y
and rF B
1
, respectively), equation (6) becomes
0
1 1
2
2 1
2
1
2
2
2
1
2
= +


¹

\

+ +
y
y y
M n
dx
dM
T T
VT
dx
M d
T V (10)
where n is a real constant. The solutions of equation (10) are obtained by power
series:
∑
∞
=
=
0 p
p
p y
x n M (11)
The general recurrence relation can be written as
( )( )
q p
n
p p
n p
n
2 1
2 2
2
+ +
−
=
+
(12)
From equation (12), we obtain for the even coefficients n = 2p
( )
0
1
2 /
1
2 2
2
1
2
1
1
2
1
2
1
1
2
1
csc 2
2 α
π π

¹

\

+ − Γ

¹

\

− − Γ

¹

\

= − − =
−
=
∏
n k n k
n n
n j k n n
k
k
j
o even
(13)
and the odd coefficients n =2p1 as
Proceedings of the first International Seminar on Theoretical Physics & National Development
181
( )
1
1
2 / ) 1 (
1
2 2
1
2
1
2
1
1
2
1
2
1
1
2
1
sec 2
2 n
n k n k
n n
n j k n n
k
k
j
odd

¹

\

+ − Γ

¹

\

− − Γ

¹

\

= − − =
−
−
=
∏
π π
(14)
The general solution is obtained in closed form as
) sin sin( ) sin cos(
1 1 1
0
x n
n
n
x n n M
y
− −
+ = (15)
Performing a change of variables gives the equivalent form of the solution
) ( * ) ( ) sin sin( ) sin cos(
1 4 3
1
2
1
1
x M V c x M c x n c x n c M
n real n y −
− −
+ = + = (16)
where
∑
=
−
−
− −
− =
2 /
0
2
) 2 (
)! 2 ( !
)! 1 (
) 1 (
2
) (
n
k
k n k
n
x
k n k
k n n
x M (17)
and
∑
=
−
−
−
− =
2 /
0
2 *
) 2 (
)! 2 ( !
)! (
) 1 ( ) (
n
k
k n k
n x
k n k
k n
x M (18)
Generally, whether an NMR transverse magnetization model Polynomial is an
even or odd function depends on its degree n.
) ( ) 1 ( ) ( x M x M
n
n
n
− = − (19)
M
n
(x) is an even function, when n is even and odd function, when n is odd.
M
n
(x) is the NMR transverse magnetization model polynomial of the first kind
and M*
n
(x) is the NMR transverse magnetization model polynomial of the second
kind. Another equivalent form of the solution is given by
( ) ( )] ) 1 ( sinh[ ] 1 cosh[(
2
6
2
5
− + + − + = x x nIn ic x x nIn c M
y
(20)
Proceedings of the first International Seminar on Theoretical Physics & National Development
182
3. Generating Functions of the NMR Transverse
Magnetization Model
The NMR transverse magnetization model polynomial of the first kind are a set of
orthogonal polynomials defined as the solutions to the modified Bloch NMR flow
equation and denoted by M
n
(x). They are used as an approximation to a least
squares fit, and are intimately connected with trigonometric multipleangle
formulas. They are normalized such that M
n
(x) = 1. The first few polynomials are
illustrated in table 1 and figure 1 respectively for 1 < x < 1 and n = 1, 2, 3, 4, 5.
The NMR transverse magnetization model polynomial of the first kind M
n
(z) can
be defined by the contour integral
( )
( )
∫
+ −
−
=
− −
dt
t tz
t t
i
z
n
n 2
1 2
2 1
1
4
1
) ( M
π
(21)
.
.
(n) M
n
(x)
1 x
2
1 2
2
− x
3
x x 3 4
3
−
4
1 8 8
2 4
+ − x x
5
x x x 5 20 16
3 5
+ −
6
1 18 48 32
2 4 6
− + − x x x
Fig,1. The first few NMR transverse magnetization
model polynomial of the first kind
Table 1. The first few T
*
2
weighted
NMR transverse magnetization
model polynomial of the first kind
Proceedings of the first International Seminar on Theoretical Physics & National Development
183
The NMR transverse magnetization model polynomials of the second kind are
defined as
t
nt
t M
n
sin
) sin(
) (cos
1
=
−
(22)
Table 2. The first few NMR transverse magnetization model polynomials of the second kind.
N M
*
n
(x)
2
1 4
2
− x
3
x x 4 8
3
−
The NMR transverse magnetization model polynomials of the first kind are
defined through the identity
) cos( ) (cos θ θ n M
n
= (23)
The NMR transverse magnetization model polynomials of the first kind can be
obtained from the generating functions
2
2
1
2 1
1
) , (
t xt
t
x t h
+ −
−
≡ (24)
and
2 2
2 1
1
) , (
t xt
xt
x t h
+ −
−
≡ (25)
For x≤ 1 and t< 1
A closely related generating function is the basis for the definition of the NMR
transverse magnetization model polynomials of the second kind.
The polynomials can also be defined in terms of the sums
Proceedings of the first International Seminar on Theoretical Physics & National Development
184
( )
∑
=
− −
− 
¹

\

= =
2 /
0
2 2
2
1
1 ) cos cos( ) (
n
q
q
q n
n
q
n
x x x n x M (26)
where 
¹

\

=
n
q k 2
is a binomial coefficient and [x] is the floor function or the product
∏
=
−
)
`
¹
¹
´
¦
−
− =
n
k
q
n
n
k
x x M
1
1
2
) 1 2 (
cos 2 ) (
π
(27)
The NMR transverse magnetization model polynomials are orthogonal
polynomials with respect to the velocity weighting function (1x
2
)
1/2
¦
¹
¦
´
¦
=
≠ ≠
= =
−
∫
0 , 0
2
1
0
1
1
) ( ) (
n m
m n real
m n
nm
dx
V
x M x M
πδ
π
. (28)
where δ
nm
is the Kronecker delta. The NMR transverse magnetization model
polynomials of the first kind satisfy the additional discrete identity
¦
¹
¦
´
¦
=
≠ ≠
= = =
∑
0 , 0
2
1
0 1
) ( ) ( ) (
j i m
j i m
k
m
k
j i
ij
x x M x M
δ
(29)
where x
k
for k =1, ..., m are the m zeros of M
n
(x).
By using this orthogonality, a piecewise continuous function f(x) in 1 ≤ x ≤ 1 can
be expressed in terms of NMR transverse magnetization model Polynomials:
∑
∞
= +
¦
¹
¦
´
¦
=
+ −
0
) ( ), (
int
2
) ( ) (
) (
m
continuous x f x f
s po ous discontinu at
x f x f
m m
x P C (30)
where
Proceedings of the first International Seminar on Theoretical Physics & National Development
185
¦
¦
¹
¦
¦
´
¦
∫
∫
=
−
−
=
=
1
1
1
1
0 ) ( ) (
1 1
,..... 34 , 2 , 1 ) ( ) (
1 2
m dx x M x f
V
m dx x M x f
V
m
n
real
n
real
C
π
π
(31)
This orthogonal series expansion is the FourierNMR series expansion or a
Generalized Fourier Series expansion.
The NMR transverse magnetization model Polynomials also satisfy the recurrence
relations
) ( ) ( 2 ) (
1 1
x M x xM x M
n n n − +
− = (32)
{ }
2
1 1
)] ( [ 1 ) ( ) ( x M VT x xM x M
n n n
− − =
+
(33)
For n ≥ 1, as well as
2
1 1 2
)] ( ) ( [ ] 1 ) ( )[ 1 ( x M x M x M x
n n n
− = − −
+ +
(34)
2
1 1 2
2
)] ( ) ( [ ] 1 ) ( )[ 1 ( 2 x M x M x M x
n n n − +
− = − − (35)
They have a complex integral representation
( )
( )
∫
+ −
−
=
− −
c
n
n
dz
z xz
z z
i
x
2
1 2
2 1
1
4
1
) ( M
π
(36)
and a Rodrigues representation
] ) 1 [(
)!
2
1
( 2
) 1 (
) ( M
2 / 1 2 1 −
−
−
−
=
n
n
n
n
n
n
x
dx
d
n
VT
x
π
(37)
The NMR transverse magnetization model polynomial of the first kind is related
to the Bessel function of the first kind J
n
(x) and modified Bessel function of the
first kind I
n
(x) by the relations
Proceedings of the first International Seminar on Theoretical Physics & National Development
186
) ( ) (
0
x J
dx
d
i M i x J
n
n
n

¹

\

= (38)
) ( ) (
0
x I
dx
d
M x I
n n

¹

\

= (39)
Putting x = cosφ allows the NMR transverse magnetization model polynomials of
the first kind to be written as
) cos cos( ) cos( ) (
1
x n n x M
n
−
= = φ (40)
The second linearly dependent solution to the transformed differential equation
0
2
2
2
= +
n
n
M n
d
M d
φ
(41)
is then given by
) cos sin( ) sin( ) (
1
x n n x G
n
−
= = φ (42)
which can also be written
) ( ) (
*
1 1
x M VT x G
n n −
= (43)
where G
n
(x) is not a polynomial.
4. The Signal Property of the NMR Transverse Magnetization
Model Polynomials
The signal property of the NMR transverse magnetization model polynomials is
the trigonometric representation on [1,1]. These celebrated NMR transverse
magnetization approximation polynomial S
m
(x) of degree ≤ m for f(x) over [
1,1] can be written as a sum of {M
n
(x)}:
Proceedings of the first International Seminar on Theoretical Physics & National Development
187
∑
=
= ≈
m
n
n n m
x M d x S x f
0
) ( ) ( ) ( (44)
The coefficients {d
n
} are computed with the formulas

¹

\

+
+
+
=
+
=
∑ ∑
= =
π
2 2
1 2
cos ) (
1
2
) ( ) (
1
2
0 0
m
k
n x f
m
x M x f
m
d
m
k
m
k
k k n k n
(45)
for n = 2,3,……m where
m k for
m
k
x
k
,...... 3 , 2 , 1 , 0
2 2
1 2
cos = 
¹

\

+
+
= π (46)
For illustration, several NMR transverse magnetization approximation
polynomials of degree n = 1,2, 3, 4, and 5 and their error analysis for
trigonometric, algebraic, ordinary and special functions have been presented as
chebyshev polynomials [10].
5. Dynamics of the NMR Transverse Magnetization
Based on equation (10), when the equilibrium magnetization M
o
along the z –axis
becomes zero, the transverse constant magnetization M
y
with amplitude
γ
o
f
d =
is maximum and there is no precession around zaxis. M
y
(t) can be written as,
) ( ) ( ) (
1 0
t M t M t M
y y y
+ =
where
2
cos ) 0 (
2
sin ) 0 ( ) (
2
sin ) 0 (
2
cos ) 0 ( ) (
1
1
1
t f
g
t f
ig t M
and
t f
ig
t f
g t M
o o
o y
o o
o yo
+ =
+ =
(47)
The frequency f
o
is called the Rabi frequency which describes transition between
the states 0〉 and 1〉, under the action of resonant rF B
1
field. At t = 0, the spin is
in the ground state,
Proceedings of the first International Seminar on Theoretical Physics & National Development
188
0 ) 0 ( ) 0 (
1
= = g and i g
o
(48)
From equation (47), we can write,
2
sin ) (
2
cos ) (
1
t f
i t M
and
t f
t M
o
y
o
yo
=
=
(49)
If the rF B
1
field is applied for a duration of τ such that
o
f
π
τ = (50)
then we can write from equation (49),
i M and M
y yo
= = ) ( 0 ) (
1
τ τ (51a)
and
1 ) ( 0 ) (
2
1
2
= = τ τ
y yo
M and M (51b)
This mathematical analysis indicates that a pulse of a resonance rF field with
duration given in equation (50) drives the spin system from the ground state to
excited state. Such a pulse is called πpulse. If the spin is already in the excited
state,
1 ) 0 ( 0 ) 0 (
1
= = g and g
o
(51c)
After the action of πpulse we have
0 ) ( ) (
1
= = τ τ
y yo
M and i M (51d)
Thus, a πpulse drives the spin into the ground state. The πpulse changes the
state of the NMR system from 0〉 to 1〉 or from 1〉 to 0〉. If a pulse of different
duration is applied, we can drive the NMR system into a superpositional state,
creating a onecubit rotation. Following the same procedure, a π/2pulse drives
the system into a superposition with equal weights of the ground and the excited
Proceedings of the first International Seminar on Theoretical Physics & National Development
189
states. The measurement of the state of the system gives the state 0〉 or the state
1〉 with equal probability, 1/2. The same result is obtained when a π/2pulse
drives the system from a pure excited state as given in the initial conditions of
equation (51c).
Considering the change of the average value of magnetization components under
the action of resonant rF B
1
field when the system is initially in the equilibrium
(ground) state and its dynamics is described by equation (49), the evolution of the
average values of the magnetization components is given by
t f t M
M
o y
x
sin
2
1
) (
0
=
=
(52)
t f t M
and
o z
cos
2
1
) ( =
(53)
Equation (52) describes the precession of the average magnetization around the x
axis, in the rotating system of coordinates. At t = 0, the average magnetization
points in the positive z direction. The zcomponent of the average spin decreases,
and the ycomponent increases. At any moment we have
4
1
2 2
= +
z y
M M (54)
After the action of π/2pulse, we have
0
2
1
= = =
o z y
M M and M (55)
This shows that the average magnetization points in the positive ydirection. A π
pulse, we obtain
2
1
0 − = = =
o z y
M M and M (negative zdirection) (56)
The graphical representation of the transverse magnetization derived in equation
(49a), equation (49b) and equation (52 are shown in figure 2.
Proceedings of the first International Seminar on Theoretical Physics & National Development
190
(a)
(b)
Proceedings of the first International Seminar on Theoretical Physics & National Development
191
6. Qualitative Description of the Position and Potential
Energy of Blood Particles
Multiplying both sides of equations (7) and (8) by m/2 gives
2
2
1
2
1
2
2 2 2
x
T
m
T
m
V
m
− = (57)
) (
4
2 1 1
2
T T T
xmT
mV
+
−
= (58a)
) (
4
2 1 1
2
T T T
xT
dt
dx
+
−
= (58b)
The solution of equation (58b) can be written as
t
T T T
T
o
e x t x
) (
4
2 1 1
2
) (
+
−
= (58c)
Fig. 2 Graphics of the transverse magnetization derived in
(a) equation (49a),(b) equation (49b) and (c) equation (52).
(c)
Proceedings of the first International Seminar on Theoretical Physics & National Development
192
In equation (57) the quantity on the right depends only on the initial conditions
and is therefore constant during the motion. It is called the total energy
2
1
2T
m
E = ,
and we have the law of conservation of kinetic
2
2
V
m
E
k
= , plus potential energy
2
2
) ( x
k
x E
p
= , which holds, as we can see, only when the force is a function of x
alone:
2
1
2
mV + ( ) x E = ) (x E E
p k
+ = E. (59)
where
2
1
T
m
k = . Solving for V, we obtain
V =
dt
dx
= ( ) [ ]
2 / 1
2
x E E
m
− (60)
The function x(t) is to be found by solving for x in the equation
( ) [ ] dx x E E
m
x
x
2 / 1
0
2
−
∫
− =
0
t t − (61)
In this case, the initial conditions are expressed in terms of the constants E and x
o
.
In applying equation (61), and in taking the indicated square root in the integrand,
we must carefully use the proper sign, depending on whether the velocity V given
by equation (60) is positive or negative. In cases where V is positive during some
parts of the motion and negative during other parts, it may be necessary to carry
out the integration in equation (61) separately for each part of the motion.
Equation (61) becomes, for this case, with t
o
= 0,
2 / 1
0
2
2
1
2
−
∫

¹

\

−
x
x
kx E
m
dx = . t (62)
Making the substitutions
Proceedings of the first International Seminar on Theoretical Physics & National Development
193
sin θ = ,
2E
k
x (63)
ω = ,
m
k
(64)
so that
2 / 1
0
2
2
1
2
−
∫

¹

\

−
x
x
kx E
m
( )
∫
−
= =
θ
θ
θ θ ω
θ
ω
0
0
1 1
d dx
by equation. (62),
0
θ ω θ + = t
From equation (63):
x = A
k
E
= θ sin
2
( )
0
sin θ ω + t (65)
where
A
k
E
=
2
(66)
Thus the coordinate x oscillates harmonically in time, with amplitude A and
frequency ω/2. The initial conditions are determined by the constants A which are
related to E and x
o
by
2
2
1
kA E = (67)
0
sinθ =
o
x (68a)
We can now determine the position function x(t) from equation (58c) as
t
T T T
T
e t x
) (
4
0
2 1 1
2
sin ) (
+
−
= θ (68b)
Proceedings of the first International Seminar on Theoretical Physics & National Development
194
It may be interesting to note that there is the sign difficulty in taking the square
root in equation (62) by replacing (1sin
2
θ
)1/2
by (cos θ)
1
, a quantity which can
be made either positive or negative as required by choosing θ in the proper
quadrant.
The function in equations (57 and 59) is called the energy integral. The equation
of motion is generally defined as
0
2
2
= + kx
dt
x d
(69)
An integral of the equations of motion of a mechanical system is called a
constant of the motion. In general, any mechanical problem can be solved if we
can find enough first integral, or constants of the motion. The general solution of
equation (69) is given in equation (65).
Even in cases where the integral in equation (61) cannot easily be
evaluated or the resulting equation solved to give an explicit solution x (t), the
energy integral in equation (59), gives us useful information about the solution.
For a given energy E, we see from equation (60) that the blood molecule is
confined to those regions on the xaxis where E(x) ≤ E. furthermore, the velocity
is propositional to the square root of the difference between E and E(x). Hence, if
we plot E(x) versus x, we can give a good qualitative description of the kinds of
motion that are possible. For the potentialenergy function shown in Fig. 3 we
note that the least energy possible is x
4
E
o.
At this energy, the blood molecule can
only be at rest in x
o
. With a slight higher energy E
1
, the molecule can move
between x
1
and x
2;
its velocity decreases as it approaches x
1
or x
2
, it stops and
reverses its direction when it reaches either x
1
or x
2,
which are called turning
points of the motion. With energy E
2,
the blood molecule may oscillate between
turning points x
3
and x
4,
or remain at rest at x
5.
With energy E
3,
there are four
turning points and the blood molecule may oscillate in either of the two potential
valleys. With energy E
4,
there is only one turning point; if the molecule is initially
traveling to the left, it will turn at x
6
and return to the right, speeding up over the
valleys at x
0
and x
5,
and slowing down over the hill between. At energies above E
5
,
there are no turning points and the blood molecule will move in one direction
only, varying its speed according to the depth of the potential at each point.
Proceedings of the first International Seminar on Theoretical Physics & National Development
195
E(x)
E
5
E
4
E
1
E
0
x
6
x
3
x
1
x
0
x
2
x
4
x
5
x
.
Fig. 3. A potential energy function for onedimensional motion of blood particle
when a blood particle is oscillating near a point of stable equilibrium we can
find an approximate solution for its motion
Proceedings of the first International Seminar on Theoretical Physics & National Development
196
Fig. 4. Three dimensional graphics of equation
(58c) when T
2
= 0.25s and x
o
= 0.001m
(a)
(b)
Proceedings of the first International Seminar on Theoretical Physics & National Development
197
Fig. 5. Two dimensional graphics of equation
(58c) when T
2
= 0.25s and x
o
= 0.001m
(a)
(b)
Proceedings of the first International Seminar on Theoretical Physics & National Development
198
7. Conclusion
We have presented a theoretical model for the dynamics of blood molecules
when there is a flush of blood to a region of the brain when becomes activated.
As in classical mechanics, every blood molecule is assumed to follow a definite
trajectory which specifies its position as a function of time. We consider a blood
molecule moving in one dimension only. We take this as the x direction and that
the trajectory is a function of x(t) which depends on T
1
and T
2
relaxation
parameters of blood flow according to equation (68b). Graphics showing the
position function x(t) from equation (58c) are presented in figures 4 and 5.
Solutions to the Bloch NMR flow equations in the form of polynomials allow us
to express the blood flow velocity of the blood molecule as the differential of
position with respect to time, and the acceleration as the differential of the
velocity. In this way we are able to specify the position and velocity of the blood
molecule at a given time. Another important quantity derived as a result of the
solution is momentum, p, defined as the product of the mass and the velocity in
equation (58a).
The key to MRI is that the signal from hydrogen nuclei varies in strength
depending on the surroundings. NMR relaxation is a consequence of local
fluctuating magnetic fields within a molecule. Local fluctuating magnetic fields
are generated by molecular motions. In this way measurement of relaxation times
can provide functional information of motions within a molecule on the atomic
level. This provides a means of discriminating between NMR sensitive chemicals
that are the source of the NMR signal observed in the brain and those that are not.
A very important quantity derived in this study is the energy, E of the blood
molecule. We distinguish between kinetic energy, E
k
, which comes from the
motion of the blood molecule, and the potential energy, E
p
, which depends on its
position. A point where E(x) has a minimum is called a point of stable
equilibrium. A molecule at rest at such a point will remain at rest. If displaced a
slight distance, it will experience a restoring force tending to return it, and it will
oscillate about the equilibrium point. For a blood molecule moving without a
force, both potential energy and kinetic energies are constant. Generally, they will
vary during the motion, but in such a way that the total energy given by equation
(59) remains constant.
A point where E(x) has a minimum is called a point of unstable equilibrium. In
theory, a molecule at rest there can remain at rest, since the force is zero, but if it
is displaced the slightest distance, the force acting on it will push it farther away
from the unstable equilibrium position. A region where E(x) is consistent is called
Proceedings of the first International Seminar on Theoretical Physics & National Development
199
a region of neutral equilibrium, since a molecule can be displaced slightly without
suffering either a restoring or a repelling force.
This kind of qualitative discussion, based on the energy integral, is simple and
very useful. It can be very interesting to study this model and understand it well
enough to be able to see at a glance, for any potential energy curve, the types of
motion that are possible. However, it may be only part of the force on a blood
molecule is derivable from a potential function E(x). If the remainder of the force
is represent by F
R
, we can write
F = +
dx
dv
R
F (70)
In this case the energy (E
k
+E
p
) is no longer constant. Since the motion of the
blood molecule is governed by
2
2
dt
x d
m ma F = = (71)
If we substitute F from equation (70) in equation (71), and multiply by , / dt dx we
have, after rearranging terms, the time rate of change of kinetic plus potential
energy is equal to the power delivered by the additional force
R
F .
From equations (57) and (67) the coordinate x oscillates harmonically in time,
with amplitude A (equal to unity) and frequency ω/2 as one of the local response
to an increase in blood flow to regions of increased neural activity. The difference
in energy as shown in figure 2 in terms of T
1
relaxation time is very significant
because it can be accurately explored to identify the NMR sensitive chemicals
that are the source of the NMR signal observed in the brain (Fig. 4 and 5). Since
0 ≥
k
E , we have
p
E E ≥ , which means that, classically, the blood molecule can
be found only in the range 1 1 ≤ ≤ − x . At the end of the interval, where
p
E E = ,
its kinetic energy vanishes; the point 1 ± = x are called turning points.
It can be interesting to note that appropriate application of classical and quantum
mechanics to equations (6, 59,& 69) can give valuable information about the
physical quantities such as rF γB
1
= n, position , velocity, energy and momentum
of a blood molecule in terms of NMR parameters. We may be able to understand
the direct relationship between change in blood flow to the brain and the increase
in metabolic rate in this area of the brain and neural communication.
Proceedings of the first International Seminar on Theoretical Physics & National Development
200
Acknowledgement
This work was supported in part, by Federal University of Technology, Minna,
Nigeria and Swedish International Development Agency (SIDA) through the
Abdus Salam International Centre for Theoretical Physics (ICTP), Tieste, Italy.
8. References
1. Belliveau, J. W., Kennedy D. N. Jr., McKinstry, R. C., Buchbinder, B.
R., Weisskopf, R. M., Cohen, M. S., et al. (1991). Functional mapping
of the human visual cortex by magnetic resonance imaging. Science,
254:716719.
2. Cohen, M. S., Bookheimer, S. Y. (1994). Localization of brain function
using magnetic resonance imaging. Techniques in Neuroscience,
17(7):268277.
3. Heiken, J.P., Brown, J. J. (Eds.) (1991). Manual of Clinical Magnetic
Resonance Imaging (2nd ed.). New York: Raven.
4. Horowitz, A. L. (1995). MRI Physics for Radiologists: A Visual
Approach (3rd ed.). New York: SpringerVerlag.
5. Le Bihan, D. (moderator) (1995). NIH conference: Functional magnetic
resonance imaging of the brain. Annals of Internal Medicine, 122:296
303.
6. Kwong, K. K., Belliveau, J. W., Chesler, D. A., Goldberg, I. E.,
Weisskopf, R. M., Poncelet, B. P., et al. (1992). Dynamic magnetic
resonance imaging of human brain activity during primary sensory
stimulation. Proceedings of the National Academy of Sciences USA,
89:56755679.
7. Ogawa, S., Lee, T. M., Kay, A. R., Tank, D. W. (1990). Brain magnetic
resonance imaging with contrast dependent on blood oxygenation.
Proceedings of the National Academy of Sciences USA, 87:98689872.
8. Rosen, B. R., Belliveau, J. W., Aronen, H. J., Kennedy, D., Buchbinder,
B. R., Fischman, A., Gruber, M., Glas, J, Weisskopf, R. M., Cohen, M.
S., et al., (1991). Susceptibility contrast imaging of cerebral blood
volume: human experience. Magnetic Resonance in Medicine,
22(2):293299.
9. Awojoyogbe, O. B. A Mathematical Model of Bloch NMR Equations
for Quantitative Analysis of Blood Flow in Blood Vessels with
Changing Crosssection II. Physica A, 323c, pp 534550, (2003)
Proceedings of the first International Seminar on Theoretical Physics & National Development
201
10. John H. Mathews (2004), Module for Chebychev polynomials
http://math.fullerton.edu/mathews/n2003/ChebyshevpolyMod/Links
ChebyshevpolyMod_link_25.html.
Proceedings of the first International Seminar on Theoretical Physics & National Development
202
BTRANSFORM AND APPLICATION TO THE SICKLE CELL MODELS
Oyelami
1
, B.O., Ale
2
, S.O., Onumanyi
3
, P. and Ogidi
4
, J.
National Mathematical Centre, P.M.B. 118, Wuse, Abuja, Nigeria
Abubakar Tafawa Balewa University, Bauchi, Nigeria.
email:bo yelami2000@yahoo.com;samalenmc@yahoo.com;ogidija@yahoo.com
Abstract
The idea of the BTransform of Oyelami and Ale is applied to an impulsive sickle
cell anaemia model. In [6] the result for overall blood pressure exerted on the
blood vessels of the sickle cell aneamia (SCA) patient was computed using the
assumptions that the blood cells of the patient do not rotate or collide in the blood
vessels. In this paper, collision and rotation are introduced into the SCA model.
From the analysis of the model, it was found that the formation of crystals and
low oxygen concentration in the blood capillaries of the patient are due to fall in
the blood pressure in the capillaries and kidney and heart failures are due to high
pressure of the patient. The health situation of the SCA patient can be improved
using drugs that would increase the areal potential of the heamoglobin S to have
more affinity for the absorption of oxygen and to reduce pain often experience by
the SCA patients.
Keywords: BTransform model, sickle cell, impulsive differential equations and
blood pressure.
1. Introduction
Impulsive differential equations describe processes which quickly change
their states for short moment of times when compare to the total evolution time for
the systems. The impulsive moments may happen at fixed or nonfixed moments
and the behavior of state variables describing the processes may show some
‘jumps’’, “shocks” attributes etc. This kind of impulsive behaviour makes the
system not easily accessible to most existing concepts and theories in biophysics,
differential equations and control systems [1,3,4,6,910&12] .
Proceedings of the first International Seminar on Theoretical Physics & National Development
203
Furthermore, impulsive moments not only depend on impulsive sets but
also on the dynamics of the systems, this special feature gives rich perspective for
investigation for many real life processes [1,3&10].
The thermionic current in a vacuum tube is not a smooth flow of electrons
but is subject to fluctuation due to the random emission of electrons, this small
short effect as known in physics can be explain with help of impulsive theory, see
for example, the gas enclosure problem [6].
The theory of impulsive system is multidisciplinary and calls for a unified
approach to study problems arising from the field. One fundamental problem in the
theory of impulsive system is how to obtain transform for the system because of
impulsive attribute for which no traditional transform method such as Fourier,
Laplace etc. are known to be applicable to the impulsive systems.
In our earlier paper [6], the Btransform was developed and applied to a
variety of real life problems. This paper is on the application of the Btransform in
biophysics to sickle cell anaemia (SCA) model.
Sickle cell anaemia is one of haemoglobin disorder often referred to as
structural heamoglobin variant disorder which mostly result from single amino
acid substitution in the α and β chains of the haemoglobin. We can simply
interpret sickle cell anaemia as being caused when the haemoglobin S is an
abnormal heamoglobin produced as a result of glutamic acid of valine at the sixth
position of Nterminal of the β chain. Recent research findings from experimental
point of view show that sickle cell disease is the polymerizations of deoxygenated
sickle heamoglobin, HbS .Reducing red blood cell sickling is to increase HbS
oxygen affinity [5].
Sickle cell disorders reflect the propensity of the red blood cells to assume a
sickle configuration when blood is oxygenated leading to a shortlived red cell
survival and tendency to vasoocclusion [16].This is fatal and leads to stroke as a
result of sequestration of blood into the lung, liver or spleen, or occlusion of
cerebral vessels.
Sickle cell anaemia is one of frequent child mortality in the subSaharan
Africa where children with this disease hardly survival beyond 5 years and very
survive beyond 18 years [13]. Research finding also indicated that low
concentration of nitric oxide with increase oxygen affinity could serve as
alternative therapeutic for SCA disease.
Proceedings of the first International Seminar on Theoretical Physics & National Development
204
There are several mathematical models on sickle cell aneamia. There are
models built upon the HardyWeinberg (HW) laws with fundamental assumption
that gene frequency does not change with time, that is, fixed from generation to
generation. There are those models that are of stochastic origin like the HW family
but fundamentally developed using the idea of the birth and death processes. More
recently, mathematical model using impulsive differential equations are being
applied to biomedicine with special applications to sickle cell anaemia modeling
[2, 6&9].
Sickle cell anaemia is disease commonly found among the black race and it
is inheritable and seems to have no permanent cure. The SCA model was
developed to study to what extent has the geometric 'sickle' shape of the red blood
cells of the patient contributed to the pressure exerted on the blood vessels of the
SCA patient. The investigation carry out incorporates the idea of massenergy
equations in line with most investigations in fluid dynamics.
We obtained the results using the assumptions that the red blood cells of the
SCA patient do not rotate or collide in the blood vessels. We will introduce rotation
and collision of the sickle red blood cells on the blood vessels of the patient into
our study .Our interest is to compute the contribution of rotation and collision of
the blood to the overall blood pressure of the SCA patient.
Furthermore, our computation shows that the fall in the pressure in the
capillaries of the patient is responsible for low solubility of oxygen and the
formation of crystals in the capillaries of the sickle cell anaemia patients. And the
problem of kidney and heart failures often associated with the SCA patients may be
because of some physiological problems that have to do with higher blood pressure
exerted on the blood vessels of the patients compared to normal persons.
Finally, we must emphasize that the Btransform has a lot of potential
applications not yet explored especially in physics. It is therefore recommended
that more concerted efforts be devoted to the new transform method.
2. BTransform
Consider the impulsive differential equations
)) ( (
,... 2 , 1 , 0 ,
k
k
t x I x
k
t
t x), f(t, = x
= ∆
= ≠
(IDE)
Proceedings of the first International Seminar on Theoretical Physics & National Development
205
where
R R I
R R R f
n
n n
→
→ ×
+
:
:
f and I are assumed to satisfy the conditions for the existence and uniqueness of
solution of (IDE) (see[ 3& 10]).
The Btransform of the function ) (t x with impulses at fixed moments
,.. 2 , 1 }, { = k t
k
during the evolutionary process is [6,8&9]
(q)
x
+ (q)
x
= x(t)
B 1 c
1
n
where
x
c
(q) and x
I
(q) are the
I c
L L and components of the Btransform and are defined as
and
where n’
= 0, 1, 2,... n; n’ is the order of the transform. For sake of simplicity, we
will choose n
/
= 1. The advantage of taking n’= 1 lies in the derivation of the
inverse transform.
The inverse transform for components of x
c
(q) and x
I
(q) can be obtained
(see [6,8 & 9]) as follows:
dq
e
(q)
x
i 2
1
= (t)
x
sq
c
i + v
i  v
c ∫
∞
∞
π
))
t
q)I(x( ,
t
( = (t)
x k k
t < t < t
1
k o
ψ
∑
)) t I(x(t
k
e
= x(t)
L
= (q)
x
q / t 
t < t < t
1 1
n
1
k
k o
=
∑
0,1,2,... = k ,
t
t x(t)dt,
e
= x(t)
L
= (q)
x k
q t/ 
0
c c
n
1
≠
∫
∞
Proceedings of the first International Seminar on Theoretical Physics & National Development
206
The Btransform is valid in the union of the sets
¹
´
¦
)
`
¹
= = − ∈ < ∈ =
∫
∞
+ −
0
/
1
/
... 2 , 1 n ,..., 2 , 1 }, { , ) ( : ) (
'
k t R t m dt t x e R t x A
k
q t n
n
k
and
¹
´
¦
)
`
¹
= < ∈ =
∑
< <
−
,... 2 , 1 , )) ( ( : )) ( (
/
2
/
0
'
n m t x I e R t x I B
k
t t t
q t n
k
k
n
k
and such that
Diam(A∪B)= max(x(t),I(x(t
k
)))< + ∞.
where . is the ndimensional Euclidean norm and m
1
and m
2
are constants that are
assumed to exit.
3. Simple Sickle Cell Anaemia Model
In the recent times many research findings revealed that some Africans and
South East Asians are suffering from heamoglobin disorder diseases such as
Sickle Cell Anaemia and Thalasseamia. It is estimated that approximately 7% of
the world population are carriers of such disorders and that 300,000400,000
babies with several forms of disorders are born annually [16].
Sickle cell anaemia is an inheritable disease commonly found among the
black race especially American Negroes, Africans and the people of
Mediterranean countries. It is a genetic problem in which the normal heamoglobin
N in the blood is replaced with an abnormal heamoglobin Hbs. Heamoglobin Hbs
is found to be extremely inefficient in carrying oxygen [13, pp 599].
The sickle heamoglobin,which is often called heamoglobin Hbs, is much
less soluble than normal heamoglobin Hbn and forms crystals when the oxygen
concentration falls especially in the capillaries of the tissues of the patient. This
gives rise to abnormal situation wherein the normal red blood cell becomes sickle
in shape. The victim consequently suffers all the symptoms of extreme oxygen
shortage (weakness, emaciation, kidney and heart failures, etc.).
In our earlier paper [6], we studied the effects of the sickle shape of the SCA
patient's red blood cells to the disease. Using the impulsive system theory, the
blood pressure exerted on the blood vessels of the patient was found, the
assumption we used was that the blood cells do not collide and do not rotate in the
Proceedings of the first International Seminar on Theoretical Physics & National Development
207
blood vessels. In reality, these trends normally make some contributions to the
generation of blood pressure, even though it may be small.
In this paper, we do not go into genetic formulation of the problem, but we
intend to compute to what effect the rotation and the collision of the sickle blood
cells contribute to the overall blood pressure of the body.
We hope our investigation would offer answers to some basic questions
regarding sickle cell anaemia, about the insolubility of heamoglobin in the
capillary of the affected patients.
How does the blood pressure of the patient lead to heart and kidney failures
and even the painful swollen legs of the patients? Is it possible to provide
permanent cure for SCA disease? What are the basics things to be targeted when
developing drugs for SCA patients? These are some of the questions we seek
answers to.
The investigation carry out incorporates the idea of massenergy equations
in line with most investigations in fluid dynamics. In [6], we do not approach the
SCA model from the mass balance and conservation energy equations point of
view. The reason for this was due to the presence of some inherent problems
associated impulsive equations (see
[3, 710 ]
for some of them). Those problems
make it almost impossible for us to approach the problem from that perspective.
It must be noted that everyday new phenomena are being discovered for the
impulsive differential equations. For this reason, we will only confined the
framework of our study to the breakthroughs so far made in the field of impulsive
differential equations as related to models we will consider .
Let us briefly mention, in a geometrical term, that a typical red blood cell
(erythrocyte) of a SCA patient is deformed into a shape (fig.1) as against the
normal blood cell which is biconcave in shape (fig.2).
Proceedings of the first International Seminar on Theoretical Physics & National Development
208
rdx π
Fig.1 A Sickle red blood cell.
1 + k k
x x
x
d
a – the normal red blood cell ; b – the Sickle red blood cell; c – blood plasma; d – the
blood vessel
Fig. 2 A normal red blood cell and sickle red blood cell.
Proceedings of the first International Seminar on Theoretical Physics & National Development
209
We intend to compute the effective blood pressure exerted on the blood
vessels of a SCA patient using the combination of the geometric formulation and
the impulsive theoretic, namely, by application of impulsive differential equations
to the movement of the sickle red blood cells in the vessels of the patient and to
compute the pressure exerted on the body of the patient.
The model equation for the SCA patient blood pressure was formulated to
be(see[6])
,... 2 , 1 , 0 ,
,
, = ≠ k
k
x x r), x,
A
o
g( + )
u
n
p, x, p
o
P( + rx 2 =
dr
dp
π
(1)
satisfying the initial conditions
(r)
P
=  x) P(r,
n
x = x
k
(2)
where
u
D
x
C
2 = )
u
, x, ,
P
P(
2
m f n o
ρ ρ (3)
C
f
= Coefficient of friction; D = Diameter of the vessel;
2
m
u
= Mean square velocity
of the blood plasma; g
dr
xdA
r x A
0
0
) , , ( = is the arial potential of the sickle red blood
cell; r is the radius of the sickle red blood cell; ρ is the density of the blood; x is the
movement of the blood along the xaxis (see fig.1); A
0
is the area cutoff as a result
of sickle shape of the blood cell.
It will be recalled (see [6]), that we stated that x
k
 x
k+1
= f
0
(α, x
k
), k = 0, 1,
2,... and x
k
depends on the surface density α and f
0
(α, x
k
) is a piecewise continuous
function. It was also noted that x
k
is, in fact, impulsive because of vibration and
variation effect of the texture of the composition of the surface of the sickle blood
cell.
Now we wish to compute the contribution of the rotation and collision
effects of the sickle blood cells to the overall body pressure of the SCA patient
using eqns (13). We assume that the blood of the SCA patient is Newtonian and
that rotation and collision take place among sickle blood cells.
The idea of using rotation and collision of the sickle blood cells hinges on
computation of the position vector x
k
of the k
th
blood cell and then use it to
compute the overall pressure exerted on the body of the SCA patient using eqns(1
3).
Proceedings of the first International Seminar on Theoretical Physics & National Development
210
3.1 Rotational Effect
We consider the rotational effect of the sickle red blood cell. A typical
sickle blood cell is represented in the blood vessel in xy Cartesian coordinate plain.
In the diagram, (see fig.1), the e
t
and e
n
denote the tangential and normal unit
vectors in (e
t
,e
n
) plain.
i
m g is the weight of the ith blood cell. V is the floatation
force acting on the blood cell. If the kinematical force retarding the flow of the ith
blood cell is such that it is proportional to the square of velocity V
i
,V
i
is assumed
constant. By simple projection on xaxis, since the fluid is assume to be Newtonian
and then take the resolution of forces in direction of e
t
and e
n
respectively we have
i i i i t
i i i n
i i i
V m kV g m f
g m gA h f
r x
= − =
= − =
=
2
.
sin
0 cos
cos
θ
θ ρ
θ
Now define
.
1 1 1
sin cos sin cos : ) (
) (
i i i i i i
i
i i i i
i i
r r
dt
d
r r V I
V I V
θ θ θ θ
θ
θ − − − =
= ∆
+ + +
( 5)
Therefore the impulsive differential equation governing the rotating sickle red
blood cell is
) (
sin
.
2
i i
i
i
i
i
i
i
i
V I V
g
m
v
V
m
k
dt
dV
= ∆
− = + θ
(6)
Applying the Btransform to eq. (6), we have
) 0 (
sin ) (
1
) (
0
0
2
i i
i i
i
ic ic
i
V V
V q g
m
V
q V
q
q V
m
k
=
+


¹

\

− = + θ
(7)
It follows from eq (7) that the solution of the quadratic equation in V
ic
Proceedings of the first International Seminar on Theoretical Physics & National Development
211
q
m
k
m
q V q g
m
V
k
q V
i
i
i
i
ic
2
0
3
) sin ( 4
1 1
) (
+ −
− −
=
−
θ
(8)
and
) sin ( 4
1 1
) (
2
0
3
q
m
k
m
q V q g
m
V
k
q V
i
i
i
i
ic
+ −
− +
=
+
θ
(9)
And for
I
L we have
)) ( (
0
/
q V I e V
i
t t t
q t
iI
k
k
∑
< <
−
= . (10)
Therefore
¹
´
¦
≤ ≤
≥ ≥
=
−
+
0 , 0 e if ) (
0 , 0 e if ) (
) (
t
t
n ic
n ic
ic
e q V
e q V
q V (11)
This implies that
)) ( ( / ) (
) ( ) ( ) (
0
q V I q e q V
q V q V q V
i
t t t
t
ic
iI ic
k
k
∑
< <
−
+ =
+ =
Therefore the velocity of sickle red blood cells being
dq e q V
i
t V
tq
C
ic
∫
= ) (
2
1
) (
π
(12)
Therefore
1
/
0
) (
2
1
) ( dqdt e q V
i
t x
q t
C
t
i
∫ ∫
=
π
(13)
Proceedings of the first International Seminar on Theoretical Physics & National Development
212
C is the contour along which the integration is taken and the result can be obtained
through the residue theory.
Therefore ) (t x
i
is the movement of the ith sickle cell along the blood vessel
taking into consideration the rotational effects.
Now let x
rot
(t) and x
col
(t) be the position vector of the sickle red blood cell
as result of rotation and collision respectively. x
rot
(t) can be obtained as x(t) =
x
rot
(t),where x(t) is in eqns. (13) and a similar way x
col
(t) = x(t).
4. Pressure Contribution due to Rotation and Collision
4.1 No Collision but Conservation Laws Hold
Assume that the sickle red blood cells move along the vessels without
impact taken place between two or more cells then the conservation laws hold. The
potential energy stored in therein the blood is
)) ( )) ( (
2
1
) (
k k
t gx h t x mI t E ρ + = (14)
After some tedious computation we found that the impulsive differential equation
governing the movement of the sickle blood cell therefore is
0 )) ( (
,... 3 , 2 , 1 , 0 , ), (
) (
=
= ≠ − =
k
k
t x I
k t t t gx h
dt
t dx
ρ
(15)
It follows that the movement of the blood cells under this dispensation is given as
gt h
e x t x
ρ −
=
0
) ( and it is interesting to observe that impulses have no effect in this
type of movement as eq(15) revealed ( )) ( (
k
t x I =0).
4.2 Collision
If we now assume that collision take place among the blood cells. We will
consider two types of collision; firstly, straight on collision between two or more
cells and secondly, the oblige collision. Assume that P
i
is the probability that the x
i
sickle blood cell collides with x
i+1
sickle blood cell. We start our computation from
the fig. 3 & fig.4.
Proceedings of the first International Seminar on Theoretical Physics & National Development
213
Proceedings of the first International Seminar on Theoretical Physics & National Development
214
x
i
is the initial velocity at time t, y
i
is the final velocity after collision. Hence by
momentum equation and the Newton’s law of collision we have
y y
x
x
e
y + y =
x
+
x
1 + i i
1 + i i
1 + i i
1 + i i
− = − − ) (
Where, e is the coefficient of restitution, the value of e is such that 1 0 ≤ ≤ e . If
the collision of the sickle red blood cell is elastic (i.e., e = 0). It is not certain
whether or not the collision of sickle red blood cell is elastic. This is subject to
further experimental confirmation. Therefore, the impulsive differential equation
governing the collision of the sickle red blood cell being eq (16).The expected
collision equation for the sickle red blood cells being
:
+∞ =
∞ →
< < < <
= = = ∆
= ≠ − + + =
= ≠ + + − =
+ +
+
k k
k k i
k i i i
k i i i
t
t
t t t
k t t x EI y E
k t t Ex e Ex e Ey
k t t x E e x E e y E
lim
, ... 0
,... 2 , 1 , ), ( ) (
,... 2 , 1 , 0 , , ) 1 (
2
1
) 1 (
2
1
,... 2 , 1 , 0 , , ) 1 (
2
1
) 1 (
2
1
2 1
. .
1 1
.
.
.
1
β
where
. x
i
N
1 = i
i
i
N
1 = i
i
Py = y E ,
P
= x E
∑ ∑
• •
(17)
N is the number of the sickle red blood cells, usually, this is several billions in
number.
For oblique impact, we equivalent equation to eqn(16) as
(16)
Proceedings of the first International Seminar on Theoretical Physics & National Development
215
+∞ =
∞ →
< < < <
= = = ∆
= ≠ − + + =
= ≠ + + − =
+ +
+
k k
k k i
k i i i
k i i i
t
t
t t t
k t t x EI y E
k t t Ex e Ex e Ey
k t t x E e x E e y E
lim
, ... 0
,... 2 , 1 , ), ( ) (
,... 2 , 1 , 0 , , ) 1 (
2
1
cos ) 1 (
2
1
,... 2 , 1 , 0 , , ) 1 (
2
1
cos ) 1 (
2
1
2 1
. .
1 1
.
.
.
1
β
α
α
The angle of oblique impact can be computed as
)
dt
dx
x

x
+
x

x
x
( =
i
i + i i 1 + i
i
i
) (
1
cos tan
1
1
α
θ
−
(18)
θ
i
, i = 1,2... must be such that m/2 < θ
i
< .
2
i  π
The minimum possible angle for
oblige impact is α = 0, θ
i
= iπ, i = 0, 1, 2,... If θ = ,
2
π
that is, x
i+1
= x
i
we have
degenerated case. We will return to the model from eqn(16) and eqn(17) later.
Therefore the impulsive differential equation governing the blood cell under
oblique impact, being in matrix form, is equivalent to
))
t
(
x
I( = y ,
dt
dx
A =
dt
dy
k i i i
i
β ∆ (19)
where
Application of the Btransform to eqn (15) yields:
) , ( ), , (
) 1 (
2
1
cos ) 1 (
2
1
) 1 (
2
1
cos ) 1 (
2
1
1
1
+
+
= =
− +
+ −
=
i i i
i i
x x x y y y
e e
e e
A
α
α
Proceedings of the first International Seminar on Theoretical Physics & National Development
216
hgx(t)dt
e
g h
1
= (q)
x
q
1
+
x
=
dt
t dx
L
t/q
o c o c
ρ
ρ
−
∞
∫
) (
(20)
Therefore
gx(t)dt h
e
g h
q
 qx = (q)
x
t/q
o o
c
ρ
ρ
−
∞
∫
(21)
I(x(t))dt
e
= x(t) L = x(q)
t/q
t < t < t
c
k o
−
∑
(22)
Therefore
.
e
))]
t
gI(x( h  C
g h
1
+
gx(t)dt] h
e
hpg
1

x
[
q
1
=
(q)
x
+ (q)
x
= x(q)
/q t 
k
t < t < t
t/q 
o
o
I c
k
k o
ρ
ρ
ρ
2
1
∑
∫
∞
(23)
The inverse transforms of x(q) is
dq
e
x(q)
i 2
1
= x(t)
tq
o
∫
∞
π
x(t)dtdq
e
g h
1
 dq e x =
t/q 
o o
tq
o
∫ ∫ ∫
∞ ∞ ∞
ρ
0
dq)].
e e
))(
t
gI(x( h  [C
g h
1
+
/q t  t 
k
o t < t < t
k kq
k o
ρ
ρ 2
1
∫ ∑
∞
(24)
Now let ) (t x
rot
and ) (t x
col
be the position vectors of the sickle red blood
cell as result of rotation and collision respectively. ) (t x
rot
can be obtained as
) ( ) ( t x t x
rot
= where x(t) is obtained in eqn. (24) and the similar way we can
obtain ) (t x
col
as ) ( ) ( t x t x
col
= .
It would be recalled in [6] that the pressure generated among the blood
vessels of the SCA patient as obtained from eqns (1and 2), using the Btransform
was given as
Proceedings of the first International Seminar on Theoretical Physics & National Development
217
)
u
, ,
P
,
r
P(
e x
 (r)
P e
= x) P(r,
m o o
rp 2 3 3
o
xr 2
ρ
π
δ
π π
r) A, g(r,
e x
4 +
xr 2 2 2 π
π
).
x
, ( f
e
+
k
o
xk 2
x < x <
x k o
α
π
∑ (25)
Thus if P
rot
(r, x) and P
col
(r, x) are the contribution to the blood pressure of the SCA
patient due rotation and collision sickle red blood cells respectively, then
)
x
P(r, = x) (r,
P rot rot
(26)
And
).
x
P(r, = x) (r,
P col col
(27)
The overall pressure P
ov
(r,x) exerted by the ith sickle red blood cell on the patient
is
x). (r,
P
+ x) (r,
P
+ x) P(r, = x) (r,
P col rot ov
(28)
In [6] we found that the total pressure exerted on the wall of the vessels of the
patient was
x)dx. (r,
P
)
A

r
(
N(x)
=
P ov
o
2
o
(r)
T
π
λ
∫
∞
(29)
where
)
A
 r (
N(x)
o
2
π
λ
.
is the number of the sickle red blood cells present per unit volume, λ(r) = λ is the
mean free part of the blood cells.
Now P
m
is the blood pressure generated by the heart and sufficiently
transmitted through out the vessels, then the tension exerted on the body of the
anaemia patient is
) 4 )
N P
+ p 
P
x)( + r(r =
T v T m
1
sb
δ π
(30)
For the normal person this is
.
N
P) 
P
x)( + r(r =
T v m
1
nb
δ π 4
(31)
Proceedings of the first International Seminar on Theoretical Physics & National Development
218
N
v
is the number of the blood vessels present in the body, which is several billion.
The presence of r
6
10 4 ~
−
× m control the explosive growth of
T
1
nb
; T
sb
and T
nb
were obtained in [6] as
)
N P
+ p 
P
x)( + r(r =
T v T m
1
sb
δ π 4
(32)
and
.
N
P) 
P
x)( + r(r =
T v m
1
nb
δ π 4
(33)
Where
P
(r)
T
is defined in Eq(40) but P
rot
(r,x) = 0, P
col
(r,x) = 0.
If we compare T
sb
and T
nb
with the
T
1
sb
and
T
1
nb
respectively. We found that
T
1
sb
and
T
1
nb
are slightly higher T
sb
and T
nb
respectively because of the contributions
of P
rot
(r,x) and P
col
(r,x) to p(r,x).
5. Observations
The sickle cell anaemia patient tends to experience pain in comparison to
normal person because
T
1
sb
>
T
1
nb
and because of additional pressure generated by
.
N P
x) + r(r
v T
π (34)
The formation of crystal with low oxygen concentration is the blood capillaries of
the patient may be due to fall in the blood pressure as our computation suggests,
since, at the capillaries r
6
10 4 ~
−
× m, x
rot
and x
col
become very small, consequently,
P
rot
(r,x ) and P
col
(r,x) becomes are small too.
The smaller the overall pressure in the capillaries of the patient couple with
some physiological reasons, and perhaps genetic ones are responsible for the low
solubility of oxygen in the haemoglobin S.
The problem of kidney and heart failure are due to higher blood pressure of
the patient since
T
1
sb
>
T
1
nb
as our computation revealed. Other related problems that
have to do with blood pressure and osmoregulation of the internal environment of
the patient may be also responsible for these failures.
In [6] we emphasized that if ) , , (
0
r x A g is very large, the potency of the
haemoglobin S to absorb oxygen reduces and pain is experienced by the patient.
Therefore, any drug that will alleviate the problem of SCA patient must be able to
Proceedings of the first International Seminar on Theoretical Physics & National Development
219
reduce ) , , (
0
r x A g by enhancing the absorption potential of the haemoglobin and it
should be able to control the blood pressure of the patient at a very reasonable
level. The use of analgesics in direction will help to reduce body pain of the
patient.
The study of the genetic code of the sickle cell anaemia patient and the
possibility of the providing drug that will enhance the solubility of oxygen in
haemoglobin will greatly help to solve SCA problem. SCA is a hereditary disease
that can be averted by yielding to genetic counseling from health educationists in
Health Care Centres.
The researchers are still going on genetic disorder related diseases such as
sickle cell anaemia and Thelasseamia on how to determine the interaction between
genetics and physiology of the diseases. The present work and ([5, 6 &16]) may
offer the information on the interactions.
Acknowledgements
The authors are grateful to the National Mathematical Centre, Abuja and the
Abubakar Tafawa Balewa University of Technology, Bauchi, all in Nigeria for
their supports.
6. References
[1] Ale S. O. and Oyelami, B. O., Impulsive Systems and Applications,
International Journal of Mathematics , Education, Science and Technology,
2000 ,Vol.31, No. 4, pp539544.
[2] Ale, S. O. and Oyelami, B. O., On Chemotherapy of Impulsive Models
Involving Malignant Cancer Cells, Abacus Journal Mathematics
Association of Nigeria, Vol. 24, No. 2, 1996, pp110.
[3] Bainov, D. D., Lakshikantham, V. and Simeonov, P. S., Theory of
Impulsive Differential Equations ,World Scientific Publication,Singapore,
1989.
[4] Beltrami, E., Mathematics for Dynamic Modeling ,Academy Press London,
1987.
[5] Bob Williamson, Our human genome  how can it serve us well? Bulletin
of the World Health Organization, 2001, 79 (11), pp. 1005.
Proceedings of the first International Seminar on Theoretical Physics & National Development
220
[6] Oyelami, B. O. and Ale, S. O.,Btransform Method and its Applications, in
obtaining Solutions of some Impulsive Models. International Journal of
Mathematics , Education, Science and Technology,, 2000, Vol. 31, No.
4,pp 525538.
[7] Oyelami, B. O.: On Military Model for Impulsive Reinforcement Functions
using Exclusion and Marginalization Techniques, Nonlinear Analysis 35
(1999), pp 947958.
[8] Oyelami, B. O. and Ale, S. O.: Btransform and its applications to a fish
hyacinth model, International Journal of Mathematics, Education,Science
and Technology, 2002 Vol. 33, No. 4, pp565  573.
[9] Oyelami, B. O., Ale, S. O., Onumanyi P., Ogidi J.A., Impulsive HIV1
model in the presence of antiretroviral drugs using Btransform method.
Proceedings of African Mathematical Union, 2003, pp6276.
[10] Pandit, S. G. and Deo Sudashiv H.,Differential Systems Involving
Impulsive. Lecture Notes in Mathematics, SpringerVerlag, Berlin 
Heidelberg  New York, 1982.
[11] Simeonov, P. S. and Bainov, D. D., Impulsive Differential Equation:
Asymptotic Properties of the Solutions. World Scientific Publication,
Singapore, 1989.
[12] Simeonov, P. S. and Bainov, D. D., Theory of Impulsive Differential
Equations: Periodic Solutions and Applications. Longman, Essex, 1993.
[13] Robert, M.B.V.; Biology, A Functional Approval, Nelson Butler and
Tanner Ltd. Rome and London, 1971.
[14] Lakshimikantham, V. and Drici, Z., Positivity and Boundedness of
Solutions of Impulsive Reactiondiffusion Equations, Journal of
Computation and Applied Mathematics, 88 (1988), pp 175184.
[15] Erbe, L. H., Freeman, H.I., Lin, X, Z, and Wu, H.J., Comparison Principles
for Impulsive Parabolic Species Growth, Journal Australian Mathematical
Society Applied Mathematics Series, Vol. 32, Part 4, 1991.
[16] Weatheral, D. J. and Clegg, J. B., Inherited haemoglobin disorders: An
increasing global health problem, Bulletin World Health Organization,
2001, 79 (8),pp 704711.
Proceedings of the first International Seminar on Theoretical Physics & National Development
221
COMPARATIVE ANALYSES OF ATMOSPHERIC CO
2
AND CO
CONCENTRATIONS OVER ISSYKKUL, KYRGYZSTAN
F.N. Okeke
1
and E.A.Hanson
2
1. Department of Physics and Astronomy, University of Nigeria, Nsukka.
2. Centre for Basic Space Science, University of Nigeria, Nsukka.
esther.hanson@unn.edu.ng
Abstract
The data obtained from the spectrophotometric measurements of carbon
dioxide in the column of the continental atmosphere over IssykKul Weather
Station in Kyrgyzstan, owned by World Data Center Kyoto, for a period of 25
years, from January 1981 to December 2005 are given. Analyses reveal seasonal
variations and longterm trend of carbon dioxide concentration for the period
under investigation. There is significant positive correlation between CO
2
emission and time with a correlation coefficient of 0.7037. During this period,
CO
2
concentration has increased from 343.4 parts per million (ppm) to 369.0ppm.
Similarly carbon monoxide content over the weather station peaked at 3ppm. Both
gases have positive correlation coefficients at 0.7037 and 0.6302 with time frame
of 1985 to 2005 and 1959 to 2007 respectively. Also, the two gases exhibit
positive correlation coefficient of 0.4272 with each other; indicating that emission
of CO
2
creates potentials for emission of CO and vice versa.
1. Introduction
The Earth’s atmosphere is part of the sunearth system, which is
considered as a region of transformation of energy fluxes of terrestrial origin
(Okeke, 2006). The supposed equilibrium state of the earth’s atmosphere has been
severely interrupted by man’s activities. This has impacted negatively on Earth
environment in its entirety.
The Earth’s atmosphere has four distinct classifications; the troposphere,
the stratosphere, the mesosphere and the ionosphere whose altitudes from the
planetary surface are 6 – 20km, 50km, 85km and 100km respectively (Okeke,
2004; Lantech, 2004; Okeke, 2006; Okeke 2007; Oyedum 2007). The earth’s
atmosphere is basically composed of nitrogen (77% by volume), oxygen (21%),
Proceedings of the first International Seminar on Theoretical Physics & National Development
222
water vapour and a number of greenhouse trace gases (GTG), such as CO
2
, CH
4
and N
2
O (Okeke, et al. 2004) and other molecules (Okeke, 2005). However,
importance of the presence of carbon dioxide in the atmosphere at the right
proportion cannot be overemphasized.
Carbon dioxide in the atmosphere is emitted through a number of ways
(Wikipedia contributors, 2008). It is emitted naturally through carbon cycle and
through human activities. Carbon dioxide emissions have risen from 280 ppm in
1850 to 364 ppm in the 1990s (Lantech 2004) currently averaging at 385ppm
(Wikipedia contributors, 2008). Since 1956 there has been a general increase in
the concentration of atmospheric CO
2
due to combustion and deforestation
(Cleveland, 2007).
IssykKul located at 42̊ 37ˈN and 76̊ 59ˈE and altitude 1640m is one of the
weather monitoring stations of the World Data Center, Japan. Its altitude places it
at a vintage point for atmospheric observations and monitoring. At IssykKul the
air is relatively free of local pollutant and hence, is thought to be representative of
air in the southern hemisphere.
A number of work have been carried out on concentration of atmospheric
carbon dioxide at different locations ( Kashin et al. 2007b; Semenov et al. 2003).
Investigation carried out by Kashin et al. (2007a) found that the concentration of
atmospheric carbon dioxide over IssykKul was ~382.7ppm per year. Cleveland
(2007) ascertained that the mean value of carbon dioxide concentration was
377.38ppm in Mauna Lao Observatory, Hawaii.
2 Source of Data
The dataset analysed in this work are obtained from a weather station in
IssykKul, Kyrgyzstan, with coordinates 42̊ 37ˈN and 76̊ 59ˈE and altitude
1640m, using spectrophotometry on a timescale of continuous daytime reading,
which is totally dependent on the sky conditions.
Despite that IssykKul weather station records parameters such as methane
(CH
4
), carbon monoxide (CO), ozone (O
3
), and carbon dioxide (CO
2
)
concentrations, etc, carbon dioxide and carbon monoxide are the only parameters
whose data were quite robust. The concentration of CO2 spans for a period of 25
years –i.e. from May 1980 to July 2005, whereas readings of other weather
parameters such as methane concentration cover just short time duration i.e. from
August 2004 to November 2005. Hence carbon dioxide and carbon monoxide
were chosen for analysis due to the robustness of their data.
Proceedings of the first International Seminar on Theoretical Physics & National Development
223
3. Analyses and Discussions of Results
The monthly mean and annual mean of the CO
2
concentrations were
computed as shown in figures 3.1, 3.2 and 3.3 respectively, for the period under
investigation. Thus, these figures illustrate the seasonal distribution of CO
2
concentration in IssykKul between 1980 and 2005.
Figure 3.1 below depicts the trend of CO
2
concentration for a period of ten
years, starting from January 1981 to December 1990. The plots indicate an
increased concentration of CO
2
in the months of February through May where it
peaks at 364ppm in May 1990, followed by a decline from June to September
with a least concentration at 337.6ppm in August 1981.
monthly mean Concentration of CO2 from 1981 to
1990 at IssykKul
335
340
345
350
355
360
365
370
0 2 4 6 8 10 12 14
Month
C
o
n
c
e
n
t
r
a
t
i
o
n
(
p
p
m
)
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
Fig. 3.1: Monthly Mean Concentration of CO
2
Proceedings of the first International Seminar on Theoretical Physics & National Development
224
Monthly Mean Concentration of CO2 from 1991 to
2000 at IssykKul
335
340
345
350
355
360
365
370
375
380
0 2 4 6 8 10 12 14
Month
c
o
n
c
e
n
t
r
a
t
i
o
n
(
p
p
m
)
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
Fig. 3.2: Monthly Mean Concentration of CO
2
Monthly mean Concentration of CO2 from 2001 to
2005 at issykKul
365
370
375
380
385
390
0 2 4 6 8 10 12 14
Month
c
o
n
c
e
n
t
r
a
t
i
o
n
(
p
p
m
)
2001
2002
2003
2004
2005
Fig. 3.3: Monthly Mean Concentration of CO
2
Proceedings of the first International Seminar on Theoretical Physics & National Development
225
Average concentration of CO2 from 1981 to 2005
y = 1.7952x  3218.7
R
2
= 0.7037
310
320
330
340
350
360
370
380
390
1975 1980 1985 1990 1995 2000 2005 2010
Years
C
o
n
c
e
n
t
r
a
t
i
o
n
(
p
p
m
)
Fig. 3.4: Annual Mean Concentration of CO
2
Concentration of CO at IssykKul from 1959 to 2007
0
0.5
1
1.5
2
2.5
3
3.5
1950 1960 1970 1980 1990 2000 2010
Year
C
o
n
c
e
n
t
r
a
t
i
o
n
(
p
p
m
)
Fig. 3.5: Annual Mean Concentration of CO from 1959 to 2007
Proceedings of the first International Seminar on Theoretical Physics & National Development
226
concentration of CO2 against
Concentration of CO
310
320
330
340
350
360
370
380
390
0 1 2 3
Concentration of CO (ppm)
C
o
n
c
e
n
t
r
a
t
i
o
n
o
f
C
O
2
(
p
p
m
)
Fig. 3.6: Graph of CO
2
against CO
The overall trend observed in figure 3.4 reveals that there is positive
correlation between CO
2
emission and time – i.e. from 1981 to 2005. Within the
course of 25 years, CO
2
concentration has increased from 343.4ppm to 369.0ppm.
The minimum and maximum concentrations of atmospheric carbon monoxide
were recorded in 1964 and 1997 as 0.25ppm and 3ppm respectively, with an
average value of 1.41ppm, as shown in Fig. 3.5. Statistical analysis shows that
during the period under investigation, atmospheric carbon monoxide is well
correlated with time range of 1959  2007, with a positive correlation coefficient
of 0.6302
The longterm trend of average concentration of both CO
2
and CO are
359.18ppm and 1.41ppm respectively during these periods. Percentage increase of
atmospheric CO
2
at 4.84% and carbon monoxide at 56% is a proof that the gases
exhibit positive correlation with not only time but also with each other, with a
correlation coefficient of 0.4272.
Proceedings of the first International Seminar on Theoretical Physics & National Development
227
4 Conclusions
The positive correlation of both the carbon dioxide and carbon monoxide
are significance of increased emission of these gases into earth’s atmosphere. This
trend could be attributed to human activities and the structure of time variation of
these gases is a proof that higher concentrations should be expected in the nearest
future. The seasonal changes in atmospheric CO
2
indicate that the atmosphere is
rapidly affected by terrestrial activities. It is inferred from this that human activity
may be rapidly communicated to the atmosphere.
It can also be deduced that the positive correlation between CO
2
and CO
are indications that the emission of CO
2
incites a corresponding emission of CO
and vice versa.
Acknowledgements
The authors express their sincere gratitude to Centre for Basic Space
Science, Nsukka and particularly the Director of the Centre, Prof. P.N. Okeke, for
making the facilities needed for the development of this paper available. They are
also indebted to the Department of Physics and Astronomy, University of Nigeria,
Nsukka for their unfailing assistance. We also express our gratitude to World
Data Center for Greenhouse Gases, Japan, for making the data available for
scientific research.
5 References
1. Cleveland C., Robert J. and Vranes K. (2007). Atmospheric Science
Biochemistry and Climate Change. The Encyclopedia of Earth.
2. Isikwue, B.C., Okeke, F.N. and Ugonabo, O.J. (2007). The Influence of El
Niño Southern Oscillation (ENSO) on Ozone Variation in Lagos Area of
Nigeria.NJSR Vol 3, p. 68 77.
3. Kashin F., Aref év V. Kamenogradskii N. Semonov V. and Sinyakov V.
(2006). Carbon Dioxide Content in Atmospheric Thickness over Central
Eurasia (IssykKul Monitoring Station.) Izvestiya, Atmospheric and
Oceanic Physic Vol. 43, p.484489
4. Lantech Water treatment & air purification Holding B.V. (2004).
http://www.lenntech.com/carbondioxide.htm
Proceedings of the first International Seminar on Theoretical Physics & National Development
228
5. Okeke, P.N., Soon, W.H. (2004). Introduction to Astronomy and Astrophysics.
SAN Press Ltd., Enugu ISBN 978352559X.
6. Okeke, F.N. (2006a). Physics and Atmospheric Physics. Seminar delivered to
members of Physic Department, U.N.N.
7. Okeke, F.N. and Okoro E.C. (2006b). Measurements of Aerosols Parameters in
Nsukka, Nigeria. NJSR vol. 2, p36 45
8. Oyedum, O.D. (2007). Effects of Tropospheric Conditions on Microwave
propagation in Nigeria: NJSR vol.3, p78 – 97.
9. Semenov V. Sinyakov V. Aref év V., Kashin F, and Kamenogradskii N.
(2003). Measurements of radiative Active tropospheric Constituents over
the Northern tien Shan (Kyrgyazstan). Geophysical Research Abstracts.
Vol. 5, p. 01356
10 Wikipedia contributors (2008). en.wikipedia.org/wiki/Carbon_dioxide 
133k.
Proceedings of the first International Seminar on Theoretical Physics & National Development
229
AIR QUALITY MANAGEMENT IN NIGERIA – PROBLEMS AND
CTS
J. U. UGWUANYI
Department of Physics,
Federal University of Agriculture, P.M.B. 2373, Makurdi, Nigeria
Email: jonathan2@rediffmail.com
Abstract
This paper examines the problems and prospects of air pollution management in
Africa, using Nigeria as a case study. The study is specifically based on air quality
assessment, environmental damage assessment, abatement options, cost benefit
analysis, emission inventories, policy instruments, awareness programs and health
impacts on man, animal husbandry and crop yields. The ambient air quality in
some African countries exceeds the international ambient air quality standards.
And, there is a strong indication that daily respiratoryrelated emergency visits in
Africa are correlated with the ambient and aerosol concentrations. Sadly enough,
many African countries do not have effective air pollution control policy. Lack of
accurate and reliable air quality data often leads to pseudopolicy decisions,
mistrust and misunderstanding among the operation industries, the communities
and the government. The paper therefore advocates for establishment of National
Ambient Air Quality Monitoring Network and adequate air quality legislation, in
Nigeria. This presupposes immediate need for a comprehensive program of Air
Quality Management (AQM) in major cities in Nigeria.
Key words: Air Pollution, Air quality management, Environmental
education & Health effects.
.
Proceedings of the first International Seminar on Theoretical Physics & National Development
230
1. Introduction
Atmosphere, the gaseous envelope of air surrounding the earth, is a vital
component of our existence here on earth. It transmits and alters the solar energy
that controls the climate. It also acts as a shield, protecting us from the damaging
meteoritic impacts and from penetrating radiation, such as ultraviolet rays (UV)
from the sun. Above all, it supports the flight of birds, insects, aircraft, and
transport of air pollutants, aerosols, & spores. In fact, its gases provide raw
materials for life itself; without which we would not exist. Little wonder, Owen
1
observes that, 'air is the man’s precious resource. He can survive for weeks or
even months without food, and for days without water. But even a few minutes
without air threatens his hold on life'. Again, the importance of clean air is
succinctly put by Porritt, et al
2
, ‘Man breathes in and out about once every 4
seconds, 16 times a minute, 960 times an hour, 23,040 times per day, 8,409,600
times each year. If one lives to be 70 years old, he will inhale about 75 million
gallons of oxygencontaining air into the delicate recesses of his lungs’.
But throughout the world, man's activities have seriously affected the
behavior of the atmosphere. The energy balance of the earth's surface has been
significantly changed, resulting in: (a) Acid rain – which occurs within, and
downwind of areas of major industrial emissions of sulfur dioxide (SO
2
) and the
oxides of nitrogen (NOx). The emitted NOx & SO
2
into the atmosphere are
transferred into sulfate & nitrate particles and, by combing with water vapor, into
mild sulfuric and nitric acids. These acids then return to earth as dew, drizzle,
sleet, snow and rain. (b) Greenhouse effects (global warming) – the build up of
the so called greenhouse gases (e.g. carbon dioxide, methane &
chlorofluorocarbons {CFCs}) arising from industries & agriculture which trap
heat in the atmosphere; and this may induce a general rise in world temperature of
2 to 3K in the mid or late twenty first century
3
. Other planets with gaseous cover
such as Venus & Mars are also reported to be experiencing this phenomenon
4
. (c)
Damage to ozone layer – this layer is located within 24 to 48km above sea level.
Ozone absorbs 99% of the harmful UV from the sun. But global warming is
already destroying the layer to such an extent that some significant 'holes' have
been detected in this layer
2
. In fact, the fast spreading of the tropical diseases like
malaria, dengue fever, onchocerciasis, and cholera, as well as the dwindling
agricultural yields in the tropics, has been attributed to the global warming
5
.
Proceedings of the first International Seminar on Theoretical Physics & National Development
231
Nigeria has a population of over 140 million people and an abundance of
natural resources, especially oil & gas. It is the 10
th
largest oil producer in the
world, the third largest in Africa and the most prolific oil producer in subSaharan
Africa. Nigerian economy is largely dependent on its oil sector, which supplies
95% of its foreign exchange earnings
6
. For instance, in 1997, mining (principally,
crude petroleum, coal & natural gas) provided about 97.6% of the country’s total
export earnings
7
. Again, in 1998 Nigerian total primary commercial energy
consumption registered 0.96 quadrillion Btu: 70.8% of which was petroleum
consumption, 22.7% natural gas, 6.1% hydro and 0.4% coal. The Federal
government of Nigeria is also trying to promote the use of coal for domestic
consumption & industrial uses as a means of combating deforestation & over
reliance in oil
8
.
The environmental sideeffects of the rapid industrialization that
accompanied the 1970s  2000s oil boom in Nigeria have gradually made the
problems of air pollution a fact to be reckoned with in the country. The
continuous flaring of natural gas by multinational oil companies, massive use of
fuelwood/coal due to the nation's ailing economy, indiscriminate bush burning,
and other abrasive forces have aggravated the problems of air pollution in recent
years. In addition, the 'getrichquick' attitude and the ostentatious life styles of an
average Nigerian have resulted in an unprecedented urban population growth,
indiscriminate disposal of solid/hazardous wastes, and the use of secondhand
goods [especially motor vehicles] for domestic, commercial, agricultural &
industrial purposes.
Nigerian oil industry has grown in size and in complexity since its
discovery some 47 years ago, with crude oil and gas reserves of about 25 billion
barrels and 182 trillion cubic feet (TCF), respectively
9, 10
.
With the current crude oil production of 2.5 million barrels per day, it is
disclosed that 8 million cubic feet of natural gas is burned off everyday
11
. Indeed,
Nigeria which according to the UN Economic Commission for Africa, is
categorized as a gassurplus nation, still has a limited associated gas sales (and
utilization), as 68% of the gas produced each day is flared
12
. Nigeria gas flaring
accounts for about 20 per cent of the world total, but the gas demand is still very
low. The gas demand is only 0.33 TCF per annum. Hence, the country may have a
gas energy reserve life of more than 450 years. That is not all. Between 1976 and
1992, a total of 835 separate oil spills were recorded, and 100,000 barrels of oil
were spilled in 1997 & 1998 alone
11, 12
. During dry season most of the spilled oils
catch fire, and this may continue to burn for days such that together with the
burning gas, a rain of fine particles (aerosols) are produced
13, 14
.
There is also
Proceedings of the first International Seminar on Theoretical Physics & National Development
232
evidence of severe dust pollution by some industries in the country, notably
cement, iron & steel and tin. The principal sectors in manufacturing industries are
food processing, petroleum refining, ion & steel, textiles, cigarettes,
pharmaceuticals, pulp & paper, and cement. Also, agriculture, which includes
hunting, farming, forestry and fishing, contributed 32.7% of the country's gross
domestic product (GDP) in 1997
11
. Further more, Nigeria's Threatened
Environment
15
reports that annually bush burning sweeps through about 260,000
ha of forestland and about 100,000 ha of savanna land in Nigeria. So, there is
undoubtedly every indication that pollution of the country's lower atmosphere is
on the increase
16, 17
. The lethal effects of long exposure to aerosols & particles on
man, animals, plants and aesthetic materials are known
18  20
. What is not known
perhaps, is the extent to which air pollutants have affected Africans, especially
Nigerians.
Niger Delta region, with a population of 10.5 million people & the 'epi
center' of oil industries, may be the worst hit areas in Nigeria. Regrettably
enough, literatures reviewed indicate that no comprehensive studies have been
conducted with regards to air quality monitoring, particle composition and
characterization, as well as model predictions in this region. But there have been a
good number of speculations that concentration levels of particle mass, elements,
and organic compounds, et alia, are being elevated, and that daily respiratory
related emergency visits could be correlated with the ambient & aerosol
concentrations
21, 22
. Lack of accurate and reliable air quality data may lead to
pseudopolicy decisions, which will create an atmosphere of mistrust, as well as
misunderstanding, among the operating industries, the community and the
government. Even though particle exposures have been monitored, characterized
& predicted in many urban areas in USA and Europe, a very limited studies on the
composition & health effects of ambient air particles have been conducted in
developing countries, especially Africa. Consequent upon this, most developing
countries are adopting and using air quality data & guidelines that have more
linkage with Western European or North American models than with the
socioeconomic and institutionalized conditions in developing nations
23
. Nigeria
may not be an exception. This exacerbates the air pollution problems in such
countries since 'aerosol characteristics are different among & within continent
24
,
and even within different regions of a country.
In the continuing search for lasting solutions to air pollution problems and
perennial food shortages in Nigeria, one important approach one believes is to
obtain accurate & reliable data on the quality of ambient air in the country.
Proceedings of the first International Seminar on Theoretical Physics & National Development
233
2. Air Quality Management
Regular and effective management of our air space involves the following
parameters;
♦ Air Quality Monitoring/Measurements (AQM)
This important aspect of air quality management appears to be lacking in
Nigeria. And if it exists at all, it must be on individual and uncoordinated
basis, which cannot bring about the kind of clean air we need as a fast
developing nation. Some of the parameters that require continuous monitoring
in the country include; particulate pollutants, e.g.
5 . 2
PM &
10
PM and
Gaseous pollutants such as
2
SO ,
2
NO ,
3
NH , S H
2
, CO, VOC and
3
O .
♦ Data Analysis
The measured pollutants must be analyzed for toxic trace elements such as
lead, cadmium, zinc, nickel, mercury, chromium and iron, just to name some.
These metals when in large quantities are very injurious to man, animals and
plants. The equipment one recommends fr the analysis are ICP, AAS and X
ray fluorescence Spectrometer.
♦ Monitoring Equipment
There are many modern machines for measurement of air pollutants
worldwide. But those that may be suitable for Nigeria due to her weather
conditions and topographic features are Airmetrics and Respirable Dust
Sampler.
♦ AQM Preparation
Before one embarks on air quality monitoring in any nation salient points
should be carried out.
1. Site selection/identification of pollutant sources
2. Planning and training of field workers
3. Equipment selection
4. Calibration and operations
5. Integration of air motion with meteorological data
6. Finance and manpower requirements
7. Network design and citing of stations
8. Data collection and storage
9. Quality assurance.
Proceedings of the first International Seminar on Theoretical Physics & National Development
234
3. Air Quality Assessment
AIR QUALITY AND METEOROLOGICAL DATA OBTAINED DURING
CONTINUOUS MONITORING OR SEMICONTINUOUS MONITORING IN
A CITY OR TOWN ARE USED TO ASSESS THE QUALITY OF AIR IN THE
REGION. ALSO AN EMISSION INVENTORY IS TAKEN. THE EFFECTS OF
THE POLLUTANTS ARE USUALLY CATEGORIZED INTO;
♦ Air pollution related disease e.g. allergic asthma, pulmonary tuberculosis,
upper respiratory track infection, pneumonia, bacteria meningitis and
whooping cough). A research carried out in Benue state and its surroundings
indicated that ambient air quality in the state exceeds the internal ambient air
quality standards, and that out 1,684 patients treated for airborne related
diseases, 51 of them lost their lives to the inferno
25
. Nearly 64% of the
patients treated for eye diseases were women. This is probably due to the fact
that women are more involved in poor agricultural practices and burning of
fuelwood in the state.
♦ Monetary valuation of health impacts – economic valuation of morbidity
and mortality effects
The diseases under discussion can cause a lot economic loss to the nation in
addition to the loss of lives. Sickness (morbidity) may involve loss of man
hour, hospitalization or premature births. So, morbidity is commonly valued
by the cost of illness approach that incorporates direct costs of medical
treatment as well as lost of incomes due to the illness
26
. There are other
damages effects like poor traffic visibility and coloration of national
monuments/parks.
Proceedings of the first International Seminar on Theoretical Physics & National Development
235
EFFECTS OF SPECIFIC POLLUTANTS AND THEIR LIKELY
SOURCES
S/NO POLLTANTS POTENTIAL HEALTH
DAMAGE
LIKELY
SOURCES
1. CO Cardiac spasm, collapse in
exercise, lower birth weight,
hearth and brain damage,
impaired perception
Automobiles and
Biomass burning
2. PM
10
, PM
2.5,
NO
x
,
O
3
, CO, SO
2
,
Respiratory diseases, reduced
activities
Fuel combustion,
spraying, power
plants, sweeping
3. Pb, VOC Carcinogenic/coronary diseases,
spontaneous abortion, reduced
intelligence, altered behavior,
reduced fertility, anemia
Decomposition of
organic mater, road
traffics, iron and
steel industries,
leadacid batteries,
gasoline and petrol
engines
4. Dust Allergic asthma, influenza,
mycosis, pulmonary tuberculosis
Cement industries,
stone crushing,
millings, harmattan
winds
4. Conclusion
The essence of this paper is to recommend to the relevant ministries in various
African countries the need for a coordinated and continuous ambient air quality
management. This presupposes immediate need for a comprehensive program of
Air Quality Management (AQM) in major cities in every African country. This
will not only provide adequate and accurate air quality data for legislation and
policy decisions but also provide the required information for air pollution
Proceedings of the first International Seminar on Theoretical Physics & National Development
236
education and epidemiological studies of airborne diseases in Africa. It will
equally enhance the living standards and reduce hospital emergency visits.
5. References
1. Owen, O. S (1980). Natural Resources Conservation – An Ecological
Approach. Macmillan Publishing Company, New York. 556604.
2. Porritt, J. et al (1991). Save the Earth. Dorling Kindersley, London. 103.
3. Environmental Catalogue (1991). Instrumentation to Monitoring the
Environment. ELE International Ltd. Publications. UK. 138pp.
4. Ambashit, R. S. (1990). Environment & Pollution – An Ecological Approach.
Students Friends & Co. Publishers, India. 153164.
5. Monastersky, R. (1996). ‘Health in the Hot Zone: How Would Global
Warming Affect Humans?’ Science News. 149(14). 218219.
6. Nigeria: Oil & Gas Industry – Overview (2001). Internet News
(www.Nigeria.com ), March 8.
7. The Europa World YearBook (1999). Europa Publishers Ltd. (40
th
ed.), UK,
vol.2, 26712695.
8. Nigeria: Environmental Issues (2000). US Energy Information
Administration. Internet News (www.eia.gov), April.
9. Collins Edomaruse, (2001). 'Federal Government to Pay $3.5b Cash Call to
NNPC Partners this Year'. This Day (Lagos), Internet News
(www.allAfrica.com), March 19.
10. Tokunbo Adedoja, (2000). 'Gas Flaring may cause Health Problems in Niger
Delta  Minister'. This Day (Lagos), Internet News (www.allAfrica.com),
November 13.
11. Douglas Farah, (2001). 'Nigeria's Oil Exploitation Leaves Delta Poisoned'.
Washington Post Foreign Service, Internet News (www.washingtonpost.com
), March 18.
12. Rachel's Environment & Health Weekly (2001). 'Crimes of Shell'.
Environmental Research Foundation, Annapolis. Internet News
(www.allAfrica.com ), March 13.
13. Daily Trust, (2001). 'Oil Spills Destroys Farms in Ogoniland'. Internet News
(www.allAfrica.com ), May 2.
14. BBC Internet News (2001). 'Action to Prevent Nigeria Fire'.
(www.Nigeria.com ), May 5.
15. Nigeria's Threatened Environment, 'A National Profile: By Nigerian
Environmental Study/Action Team (NEST)'. 1991, 101129.
Proceedings of the first International Seminar on Theoretical Physics & National Development
237
16. Ugwuanyi, J.U. & Obi, F.C. (1997). 'Air Quality Monitoring  A Resource for
Sustainable Development in Benue State'. Proceedings of a seminar on
available technologies for transfer. Cooperative Extension Center (CEC),
University of Agriculture, Makurdi, February 1015.
17. Nyagba, S.I. (1996). 'Combating Environmental Pollution: The Benue
Cement Company (BCC) Experience'. A keynote address at a training
workshop for investigative reporters & editors in Africa (IREA), ITF
conference center, Jos, Nigeria. 2527.
18. Samet, J.M., et al (2000). 'Fine Particulate Air Pollution & Mortality in 20 US
Cities  19871994'. The New England Journal of Medicine. Vol.343, No.24,
17421749.
19. Risse, U., et al (2000). 'Health RelatedRelevant Interaction between Airborne
Particulate Matter & Aeroallergens (pollen)'. Journal of Aerosol Science. Vol.
31, suppl. 1. S2728.
20. Gerard Hoek & Bert Brunekrey (2000). 'Daily Mortality & Air Pollution in
the Netherlands'. Journal of the Air & waste Management Association. Vol.
50, Aug. 13801389.
21. Oluwale, A.F. & Akeredolu, F.A (1992). 'Ambient Air and Airborne
Radiation Pollution Monitoring in Nigeria', in E.O.A. Aina & N.O.Adedipe
(eds.). Towards Industrial Pollution Abatement in Nigeria, FEPA Monograph
2. Ibadan University Press, Nigeria. 259278.
22. The Nigerian Environment. A Newsletter of the Federal Ministry of Works &
Housing (Environmental Planning & Protection Division). Vol., No.1. 1989.
23. Seth AppiahOpoku. (2001). 'Environmental Impact Assessment in
Developing Countries: the Case of Ghana'. Environmental Impact Assessment
Reviews. Vol. 21, Issue 1. 5971.
24. Despiau, S., et al (1996). 'Concentrations & Size Distributions of Aerosol
Particles in Coastal Zone'. Journal of Aerosol Science. Vol. 27, No. 3. 403
415.
25. Amos, T. et al (1972). Ecology, Pollution & Environment. W.B.Saundas
Company, USA. 8189.
26. Ugwuanyi, J. U. and Obi, F. C. (2002). ‘A Survey of Health Effects of Air
Pollution on Peasant Farmers in Benue State, Nigeria’. Intern. J. Environ.
Studies (Taylor & Francis). Vol. 59, 665 – 677.
27. Urban Air Quality Management Strategy in Asia (1997): World Bank
Technical Paper No. 378 (ed. J. J. Shah and T. Nagpal), World Bank
Washington, D. C., 47 – 57
Proceedings of the first International Seminar on Theoretical Physics & National Development
238
SHALLOW WATER FLOW OVER A VARRYING NON
UNIFORM BOTTOM REGION
G C E Mbah
Department of Mathematics, University of Nigeria, Nsukka, Nigeria
email: gcembah1@yahoo.com
ABSTRACT
A study is made about water flow over a varying nonuniform bottom region. This
is made possible by constructing a model for the height of the water that is
flowing over the entire flow region. Considering the flow as that of shallow water,
we studied the velocity and the resulting wave forms at particularly those points
within the varying nonuniform regions. Analysis shows that the velocities of
flow as well as the resulting wave forms depend on the angle of the region as well
as whether the flow is dispersive or not. On the dispersiveness of the flow, it was
shown that the velocity of flow was greater at the points in this region when the
flow is dispersive as compared to the case when nondispersive. Of particular
interest to note is the wave form for these two cases. Variation in the wave form
appears almost linear for the dispersive case as against the very nonlinear form
for the nondispersive case ( See Figs. 1.1b and 2.1b )
1. INTRODUCTION:
Shallow water flow has been of interest to people in Engineering and other areas
of fluid Mechanics. However, many of such studies had adopted simplified forms
of the bottom topography of such flows. Okeke (1983) worked on shallow water
waves but assumed that the flow of such water is over a slopping bottom. He
considered the waves to be linear. However, he looked at the impact of dispersion
on the flow mechanism. In his later work, Okeke (1985), he assumed that such
flowing shallow water has constant water depth which we see is not natural or
realistic enough.
Proceedings of the first International Seminar on Theoretical Physics & National Development
239
In our own study of shallow water flow, Mbah & Ezeorah (2007), we
considered the case where the bottom topography was nonuniform at different
points and shown as:
For this, we got that the expression for the height of the water ( given as H ) at all
points of the region of flow is given as:
H = h + x Coth β ( 1 )
where h = height at the uniform bottom level region
x = ½ the width of the nonuniform region
β = angular measurement of the depth of the nonuniform region.
We discovered here that this presented more realistic situation unlike those
of Okeke (1983, 1985). However, further look at this model of the height of the
water along the channel of flow shows that it is not necessarily constant as we
assumed in our earlier work, Mbah & Ezeorah (2007). Thus, in this present work,
I considered a case where this nonuniform region is being filled by deposits by
the flow such that the angle β changes with time. A typical case of this is the
erosion flow over nonuniform region like sandy area. The flow carries along with
it particles of sand and debris to or from such nonuniform bottom region(s), and
as it does this, it tries to fill it by depositing these particles of sand and debris at
such regions or digs up more particles of sand from such nonuniform bottom
region(s). Some times also the erosion digs deep into the soil thereby causing very
deep gullies where the angle of inclination of the sides of these gullies changes
with time. We shall for now consider only the case where the flow tries to fill the
h
H
x
β
Proceedings of the first International Seminar on Theoretical Physics & National Development
240
region. With this therefore, we see that it is more appropriate to write β as a
function of time and given as:
β = θ + ξ t where ξ > 0, t ≥ 0.
By this, we then have the expression for the general height, H, as:
H = h + x Cot (θ + ξt ) …… ( 2 )
2. GOVERNING EQUATIONS FOR SHALLOW WATER WAVES WITH
VARYINGNONUNIFORM BOTTOM TOPOGRAPHY.
Here, we consider the Shallow Water wave equations governing the
weakly nonlinear waves on the surface of Shallow Water with varying non
uniform bottom topography. Incorporated here are the vertical component of the
water profile and the related energy transfer as the wave progresses along the flow
channel. Also included is the dispersive term. We consider the xaxis as
horizontal and normal to the shore line, the zaxis as the vertical such that z = η(x,
t) represents the wave profile occurrence on the water surface, z = h is the
constant water depth at the level bottom regions of the Shallow Water flow as
measured from the undisturbed water level.
With these conditions, the equations governing the evolution of the
weakly nonlinear dispersive wave train in Shallow Water with varying non
uniform bottom topography is given as:
{ } [ ] 0 ) ( = + +
∂
∂
+
∂
∂
t xCot h U
x t
ξ θ
η
(1)
{ }

¹

\

∂ ∂
∂ + +
=
∂
∂
+
∂
∂
+
∂
∂
+
∂
∂
t x
U t xCot h
x
U
x
g
x
U
U
t
U
2
3
2
3
3
3
( ξ θ
λ
η
(2)
Here, U(x,t) is the component of the particle velocity along the xaxis for t > 0 as
the time, λ is the constant associated with the wave dispersion in the Shallow
water, g is the constant due to gravity with the term
{ }


¹

\

∂ ∂
∂ + +
t x
U t xCot h
2
3 2
3
( ξ θ
representing the vertical velocity effect on the horizontal velocity as well as the
pressure.
Proceedings of the first International Seminar on Theoretical Physics & National Development
241
Solution:
To be able to obtain a closed solution for these two equations, Peregrine
(1972), Whitham (1975), Leibovich (1974) and Okeke (1983) were consulted.
Equally the earlier work by Mbah and Ezeorah (2007) on Shallow water flow on
nonuniform bottom topography with angle β constant was helpful in trying to
obtain a solution to the above problem. Now, to solve the above problem, we
define a function w(x,t) in such a way that:
) 3 (
) (
1
x
w
and
t
w
t xCot h
U
∂
∂
− =
∂
∂
+ +
= η
ξ θ
where β = θ + ξ t
We discover that when we substitute equation ( 3 ) into equation (1 ), it is
satisfied. Similarly, if we substitute equation ( 3 ) into equation ( 2 ) and noting
that β is a function of t, we get that
( ) ( ) ( )
( ) ( )
( ) ( )
( )
( )
( )
( )
(4) 0
1
3
3
2
3
sec 3
3
sec ) 2 ( 2 6
3
2 1
3
sec ) ( 4 7 sec
2
2 2
2
2
3 2 2
4
2
3
3
4
2
3 2
2
2 2
3
2
2
2 2
2
2
2
1
4
3
2
2
=
∂
∂
−
∂ ∂
∂
∂
∂
+
+

¹

\

∂
∂
+
−
∂ ∂
∂ +
−
∂ ∂
∂
+
∂ ∂
∂
+
+
∂ ∂
∂
−
+
−
∂ ∂
∂
+
−
+
+
+
∂
∂
+
−
+
+
∂
∂
+
−
+
+
−
+
x
w
g
t x
w
t
w
xCot h
t
w
xCot h
Cot
t x
w xCot h
t x
w Cot
t x
w
xCot h
t x
w Co x
xCot h
Cot
t x
w
xCot h
Co Cot h
xCot h
Cot
t
w
xCot h
Cot
xCot h
t
w
xCot h
Co Cot xCot h
xCot h
Cot
xCot h
xCo
β
β
β β
β
β
λ
β ξ
β
β λ
β
β β ξ
β
β λ
β
β
β
β
β β β ξ
β
β λ
β
β ξ
Proceedings of the first International Seminar on Theoretical Physics & National Development
242
Since periodic wave trains are possible in nonlinear dispersive system, let us
define a characteristic curve Γ: ∈ = x – ct which we call the phase of the
oscillation propagating with constant phase speed c and wave number k such that
w = w(∈). To reduce the complexity of the equation (4), let us make the following
definitions: r = h + x Cotβ such that r = r(x,t). With this, equation ( 4 )
simplifies to
(5) 0
1
3
3
2
3
sec 3
3
sec ) 2 ( 2 6
3
2 1
3
sec ) ( 4 7 sec
2
2 2
2
2
3 2 2
4
2
3
3
4
2
3 2
2
2 2
3
2
2
2 2
2
2
2
1
4
3
2
2
=
∂
∂
−
∂ ∂
∂
∂
∂
+

¹

\

∂
∂
−
∂ ∂
∂ +
−
∂ ∂
∂
+
∂ ∂
∂
+
∂ ∂
∂
−
−
∂ ∂
∂
−
+ +
∂
∂
−
+
∂
∂
−
+ −
x
w
g
t x
w
t
w
r t
w
r
Cot
t x
w xCot h
t x
w Cot
t x
w
r t x
w Co x
r
Cot
t x
w
r
Co Cot h
r
Cot
t
w
r
Cot
r
t
w
r
Co Cot xCot h
r
Cot
r
xCo
β β
β λ β ξ β λ
β β ξ β λ β
β β β ξ β λ β ξ
Since w = w(∈) and ∈ = x – ct, equation ( 5 ) simplifies further to :
) 6 (
3
sec ) ( 4 7 sec
3
sec ) ( 2 6
3
2
3
2
3
sec 3
3
2
2
3
2
2
2
2
2
2
2
2
1
4
3
2
2
2
2 2
3
2 2 2 2
3
3 2 2
2 4
4 2
∈
+
∈
∈
−
∈
=
∈
−
− +
+
∈
−
+ + −
+
∈
+ − −
∈
+
d
w d
g
d
dw
d
dw
r
Cot c
d
w d
r
c
d
dw
r
Co Cot xCot h c
r
Cot c
r
Co cx
d
w d
r
Co xCot h c
r
cCot
r
c
r
Cot c
d
w d Cot c cCo x
r
Cot c
d
w d rc
r
c
β
β β β ξ β λ β ξ
β β ξ β λ β
β β ξ β λ λ
Let us simplify this further by making the following substitutions:
,
3
2
3
sec 3
,
3
2 2
2
2
β β ξ β λ
ρ
λ Cot c cCo x
r
Cot c rc
r
c
s + − = + =
Proceedings of the first International Seminar on Theoretical Physics & National Development
243
) ( ,
3
sec ) ( 2 6
3
2
2
2 2
3
2 2 2 2
r
c
r
Co xCot h c
r
cCot
r
c
r
Cot c
=
−
+ + − = τ
β β ξ β λ β
δ
.
,
3
sec ) ( 4 7 sec
3
2
2
2
2
1
4
3
2
2
r
Cot c
r
Co Cot xCot h c
r
Cot c
r
Co cx
β
µ
β β β ξ β λ β ξ
σ
=
−
− + =
Then the above equation reduces to:
) 7 (
2
2
2
2
2
2
3
3
4
4
∈
+
∈
∈
−
∈
=
∈
+
∈
+
∈
−
∈ d
w d
g
d
dw
d
dw
d
w d
d
dw
d
w d
d
w d
d
w d
s µ τ σ δ ρ
Equation ( 7 ) is a fourth order nonlinear ordinary differential equation which we
need to solve. Since this is a nonlinear fourth order ordinary differential equation
which is usually difficult to solve analytically, we shall obtain solution to it by
making certain realistic assumptions so as to linearise the equation.
Assumption 1:
Suppose that
∈ ∈

¹

\

∈ d
dw
d
w d
and
d
dw
2
2
2
τ are very small and can be neglected.
With this, we will neglect the term
∈
∈
−
∈ d
dw
d
dw
d
w d
µ τ
2
2
and equation (7)
becomes;
) 8 ( 0 ) (
2
2
3
3
4
4
=
∈
+
∈
− +
∈
−
∈ d
dw
d
w d
g
d
w d
d
w d
s σ δ ρ
If we integrate this equation once with respect to ∈, we then obtain:
0 ) (
2
2
3
3
= = +
∈
− +
∈
−
∈
ζ ζ σ δ ρ assume shall and w
d
dw
g
d
w d
d
w d
s
If we put P =
∈ d
d
, P
/
=
2
2
∈ d
d
and P
//
=
3
3
∈ d
d
, then we obtain:
sP
//
 ρP
/
+ ( δ  g )P + σ = 0 or sP
//
 ρP
/
+ ( δ  g )P =  σ (9).
Proceedings of the first International Seminar on Theoretical Physics & National Development
244
Solving the homogeneous part of the equation (9), we get
( ) ( )
)
`
¹
¹
´
¦
− − +
− − =
∈ 2 / 1
2
2
1
2 / 1
2
2
1
) ( 4 ) ( 4
2
g s BSin g s DCos P
s s
i
cf
e
s
δ ρ δ ρ
ρ
(10)
Similarly, we solve for the particular part of the solution to get:
g
P
PI
−
=
δ
σ
(11)
Thus, we obtain the general solution to equation (9) by combining the solutions in
equations (10) and (11) as:
( ) ( )
g
g s BSin g s DCos P
s s
i
e
s
−
+
)
`
¹
¹
´
¦
− − +
− − =
∈
δ
σ
δ ρ δ ρ
ρ
2 / 1
2
2
1
2 / 1
2
2
1
) ( 4 ) ( 4
2
(12)
Now, we had that P =
∈ d
d
⇒ ⇒⇒ ⇒ Pw =
∈ d
dw
and
∈
− =
∂
∂
+
=
d
dw
r
c
t
w
xCot h
U
β
1
and thus we now have:
e
ik
A w with Pw
d
dw
x
w
similarly and Pw
r
c
U
∈
= − =
∈
− =
∂
∂
− = − = η ,
Hence,
( ) [ ] ( ) [ ] { } [ ]
(13)
) ( 4 ) ( 4
2 / 1
2
2
1
2 / 1
2
2
1 2
e
e e
ik
ik
s s
i
g r
Ac
g s BSin g s DCos
r
Ac
U
s
∈
∈ ∈
)
`
¹
¹
´
¦
−
−
− − + − − − =
δ
σ
δ ρ δ ρ
ρ
( ) ( )
e e
ik
s s
i
g
g s BSin g s DCos
s
∈ ∈
−
+
)
`
¹
¹
´
¦
− − +
− − − =
δ
σ
δ ρ δ ρ η
ρ
2 / 1
2
2
1
2 / 1
2
2
1
) ( 4 ) ( 4
2 (14)
Equations (13) and (14) are the solutions to equation (8) where we have assumed
that
∈ ∈

¹

\

∈ d
dw
d
w d
and
d
dw
2
2
2
τ are very small. This condition is only possible if the
wave number k is very small and this is usually obtained in shallow waters.
Proceedings of the first International Seminar on Theoretical Physics & National Development
245
Assumption 2:
∈ ∈ ∈ d
dw
d
w d
and
d
w d
w
2
2
2
2
τ µ are both not very small and can be neglected.
We have just considered a case where
∈ ∈

¹

\

∈ d
dw
d
w d
and
d
dw
2
2
2
τ were very
small which is usually obtainable in shallow waters. However, situations may
arise where they may not generally be small. In this case, they may or may not be
neglected and the term
∈
∈
−
∈ d
dw
d
dw
d
w d
µ τ
2
2
will not be neglected entirely.
Generally therefore, we need to solve the equation (7) with further
modifications in the form of further assumptions. A look at the equation shows
that it is a nonlinear fourthorder ordinary differential equation and this usually
presents some problem in solving it analytically. As a result, the further
assumptions will reduce the complexity of the differential equation. Our effort
here is to remove the nonlinearity in the equation. Thus, with this condition, the
right hand side of equation (7) on expansion now becomes:
{ } { }
{ } (15) above 2 assumption the using
2
1
2
2
2
2
2
w w
d
d
d
w d
w w w
d
d
w
d
d
d
dw
d
dw
d
w d
′
∈
− =
∈
+ ′
∈
− ′
∈
=
∈
∈
−
∈
µ
µ µ τ µ τ
Thus, equation (7) becomes:
( ) { }
(16)
2
2
2
2
2
3
3
4
4

¹

\

∈
+
∈
− =
′
∈
− =
∈
+
∈
− +
∈
−
∈
d
dw
d
w d
w
w w
d
d
d
dw
d
w d
g
d
w d
d
w d
s
µ
µ σ δ ρ
If we integrate both sides of this equation (16) while neglecting the constant of
integration, we then obtain:
w w w
d
dw
g
d
w d
d
w d
s ′ − = +
∈
− +
∈
−
∈
µ σ δ ρ ) (
2
2
3
3
(17)
Proceedings of the first International Seminar on Theoretical Physics & National Development
246
Defining P as before, we get equation (17) as
sP
//
 ρP
/
+ ( δ + µw  g )P + σ = 0 or better put as:
sP
//
 ρP
/
+ ( δ + µw  g )P =  σ (18)
Using the same technique as above, we may not get the solution to
equation (18) as easy as we got that above because of the term µw. We will in our
further works attempt solving this equation numerically.
Having solved the equation for the assumptions, let us see the effect of these
assumptions on the nonlinearity and thus on the phase speed. We shall do this
bearing in mind the dispersiveness of the flow. So, we consider two cases:
1. where the dispersive term λ is neglected, that is, λ = 0
2. where the dispersive term λ is not neglected, that is, λ ≠ 0
In general, if we put w = w(∈) = Ae
ik∈,
we then substitute into equation (8) to
get:
sk
4
+ ρik
3
– ( δ  g)k
2
+ ikσ = 0.
On resubstituting for the terms s, ρ, δ, σ above, we obtain
(21) 0
cot 7 cot 6
cot 3
3
sec ) ( 4
sec
3
sec ) ( 2
3
sec
3
2
3
cot 2
3
4
3
3
2 2
2
3 4
2
2
2
1
2
2 2 3 2 3
2
3
2
2
3 2 2 2 3 4
2
=
−
+ − −
−
+
−
−
+
−
+
)
`
¹
¹
´
¦
− + + − +
∈
r
ik
r
k
r
ik
r
k
r
Co Cot xCot h ik
r
Co xik
r
Co xCot h k Co xik
c
gk A
r
Cot k
r
ik
r
k
r
Cot k ik rk
c
e
ik
β λ β λ
β λ λ β β β ξ
β ξ β β ξ β ξ
β β β
Assumption 1:
Case 1
Suppose λ = 0. Then equation (21) reduces to:
Proceedings of the first International Seminar on Theoretical Physics & National Development
247
(22) 0
3
sec ) ( 4
sec
3
sec ) ( 2
3
sec
) (
cot cot
3
2
3
cot 2
3
2
2
2
1
2
2 2 3 2 3
2
4
3
3
2
4
3
2
2
3
2 2 2 3 4
2
=
−
+ −
−
+
−
+

¹

\

+ −
∈
− −
+ + − +
r
Co Cot xCot h ik
r
Co xik
r
Co xCot h k Co xik
c
gk
A k o
r
ik
r
k
r
k
r
ik
r
k
r
Cot k ik rk
c
β β β ξ
β ξ β β ξ β ξ
β β
β β
This further simplifies to:
0
3
sec ) ( 4
sec
3
sec ) ( 2
3
sec
cot cot
3
2
3
cot 2
3
2
2
2
1
2
2 2 2 2
3
2
2
3
3 2
2 2 2 2 3
2
=
−
+ −
−
+
−
+

¹

\

−
∈
− − + + − +
r
Co Cot xCot h i
r
Co xi
r
Co xCot h k Co xik
c
gk
A
r
ik
r
k
r
k
r
ik
r
k
r
Cot k ik rk
c
β β β ξ
β ξ β β ξ β ξ
β β β β
.
Thus equation (23) will become:
m
1
c
2
– m
2
c + gk = 0 (24)
where
( ) ( )
( )
3 2
2 2
2
3
3
3
2
3
3
3
1
cot
3
2
3
cot 2
3
3
r
Ak
ir Ak
r
ik
r
Cot k
A r
r
ik
A r
r
rk
m
β
β β
− −
+ − − + ∈ − =
and
2
2
2
1
2
2
2 2 2
2
3
sec ) ( 4 sec
3
sec ) ( 2
3
sec
r
Co Cot xCot h i
r
Co xi
r
Co xCot h k Co xik
m
β β β ξ β ξ
β β ξ β ξ
−
+
−
−
+ =
Solving equation (24), we get:
Proceedings of the first International Seminar on Theoretical Physics & National Development
248
) 25 (
2
4
1
1
2
2 2
m
gk m m m
c
− ±
=
Equation (25) gives the expression for the phase speed when the flow is non
dispersive.
Case II
For a dispersive wave, λ ≠ 0 and so we determine the expression for the c
using equation (21). This will simplify further when we consider k to be very
small, that is, 0 < k << 1 so that we can neglect k
3
and k
4
. Thus we have:
) 26 ( 0
3
sec ) ( 4
3
sec ) ( 2
6 7 sec
cot
3
2
2
2
2
2
1 2 2
3
2 2
4
3
2
2
3
2 2 2
2
= +
−
−
− −
− − +
+
∈
− −
gk
r
Co Cot xCot h ik
r
Co xCot h k
r
Cot k
r
ikCot
r
Co xik
r
Ak
r
Cot k
r
k
c
β β β ξ β β ξ
β λ β λ β ξ
β β
If we define:
3
2 2 2
3
cot
3
2
r
Ak
r
Cot k
r
k
m
β β ∈
− − = and
2
2
2
1
2 2
3
2 2
4
2
2
2
4
3
sec ) ( 4
3
sec ) ( 2 6 7 sec
r
Co Cot xCot h ik
r
Co xCot h k
r
Cot k
r
ikCot
r
Co xik
m
β β β ξ
β β ξ β λ β λ β ξ
−
−
− −
− − + =
then equation (26) becomes:
m
3
c
2
+ m
4
c + gk
2
= 0 (27)
This is just a quadratic equation whose solution is:
) 28 (
2
4
3
2
3
2
4 4
m
gk m m m
c
− ± −
=
Proceedings of the first International Seminar on Theoretical Physics & National Development
249
Equations (25) and (28) are the expressions for c for nondispersive and
dispersive cases respectively. In our analysis, we shall see the effect of this
dispersiveness on the wave phenomena on shallow water with variable non
uniform bottom topography.
3. ANALYSIS
To be able to carry out clear analysis on the fluid flow mechanisms over a
varying nonuniform bottom region, appropriate and correct values for the
equation parameters has to be chosen. Hence, bearing in mind the realistic nature
of flow into a contoured or “V”shapedshaped bottom region, we chose the
following values for the parameters :
g =9.8, k = 0.02, A = 19, h = 6, 8 ≤ x ≤ 8, ξ= 0.01
while the other ones are variable in nature over time. As shown in the figures
below, we defined the variables for ease of writing as: e = ξ, b= β, l = λ and a =
A.
Using these values, we wrote a Program and using MatLab5.3, we were
able to generate all the figures below using various values for the time, t, the
angle β as well as for the λ= l. In fig. 1.1a and 1.1b, fig. 2.1a and 2.1b, we showed
the velocity of flow and the wave profile for t =0.5. Fig. 2.2a and 2.2b are for the
same parameters as for fig. 2.1a and 2.1b but on the other side of the variable non
uniform region after the point 0. From these figures, we can see that the velocity
increased rather slowly very close to the entering point into the region but half
way into the region, it increases very sharply. On reaching the point 0, the
velocity begins to decrease until at points very close to the exit from the region
when now it again begins to increase.
Furthermore as can be seen from Fig. 1.3a and 1.3b, as time increases
meaning increase in the angle, the velocity of flow into the region decreases. As t
increases, the change in the velocity becomes linear and at t =30 and above, there
is no change in the flow velocity. We have to note that at this point, the angle β is
almost 90
o
, meaning that the contoured or variable nonuniform region has been
leveled up by filling since the angle was changing positively with time and that at
such points on the line of flow, the velocity and wave profiles supposed to remain
the same as before those point. See the figures as below.
Proceedings of the first International Seminar on Theoretical Physics & National Development
250
In fig.1.3a and 1.3b as shown below, we chose a different angle ( β= 1.04
+ ξ*t) so as to see its impact on the flow mechanism. In this very figures, t was
chosen to be 0.5 and we see that because of the nature of the contour, there was a
sharp drop in velocity for a very shot distance before the velocity rapidly begins
to increase. We see in Figs. 1.4 and 1.5 that as t increases, there is a variation in
the rate of change of the velocity. We see that at t = 15 the flow remains steady
except at the points very close to the centre of the rough region and at these
points, there appears a kind of turbulence flow . At t = 20, the velocity of flow of
water into this region resembles that of fig 1.1a at t=0.5. In all these figures up to
fig.1.5, we considered the nondispersive flow where λ was chosen as Zero.
8 6 4 2 0
0
0.005
0.01
0.015
0.02
0.025
0.03
distance(x) Fig. 1.1a
u
8 6 4 2 0
12
11
10
9
8
7
6
x 10
4
distance(x) Fig. 1.1b
e
t
a
l=0, b=1.24+e*t, t=0.5
8 6 4 2 0
3
3.5
4
4.5
5
5.5
6
6.5
7
x 10
3
distance(x) Fig. 1.2a
u
8 6 4 2 0
6
5.5
5
4.5
4
3.5
3
x 10
4
distance(x) Fig. 1.2b
e
t
a
l=0, b=1.24+e*t, t=3
8 6 4 2 0
0.08
0.07
0.06
0.05
0.04
0.03
0.02
0.01
distance(x) Fig. 1.3a
u
8 6 4 2 0
2
1.5
1
0.5
0
0.5
1
x 10
3
distance(x) Fig. 1.3b
e
t
a
l=0, b=1.04+e*t, t=0.5
8 6 4 2 0
0.03
0.025
0.02
0.015
0.01
0.005
0
0.005
distance(x) Fig. 1.4a
u
8 6 4 2 0
8
6
4
2
0
2
4
6
x 10
4
distance(x) Fig. 1.4b
e
t
a
l=0, b=1.04+e*t, t=14
Proceedings of the first International Seminar on Theoretical Physics & National Development
251
In fig. 2.1(a & b), we considered the dispersive flow so that λ ≠ 0 and in
this case, we chose λ=6. Smaller values for λ are meaningless for the same values
for other parameters of the flow. In Figs. 2.1 and 2.3, the major difference of these
from those of figs. 1.1 – 1.5 is that the former had an initial decrease in the
velocity before picking up in velocity and smoothly and steadily, although non
linearly, increases up to the point at the centre which is 0. There is greater
variation in the velocity of flow here as compared to the later
0 2 4 6 8
7.5
8
8.5
9
9.5
10
distance(x) Fig. 2.2a
u
0 2 4 6 8
9.5
9
8.5
8
7.5
7
6.5
6
5.5
5
distance(x) Fig. 2.2b
eta
l=6, b=1.24 + e*t, t=0.5
8 6 4 2 0
0
0.005
0.01
0.015
0.02
0.025
distance(x) Fig. 1.5a
u
8 6 4 2 0
6
4
2
0
2
4
6
x 10
4
distance(x) Fig. 1.5b
e
t
a
l=0, b=1.04+e*t, t=16
Proceedings of the first International Seminar on Theoretical Physics & National Development
252
In the remaining figures, figs. 2.4 and 2.5, we also varied the angle to see
its impact on the flow mechanism for a dispersive flow. We chose the same angle
β=1.04 + ξ*t. The result in this analysis is that the same type of flow mechanism
is established. Note that for these two cases considered, the velocities of flows are
not equal. The wave shapes as well as velocities of the waves are also not the
same.
8 6 4 2 0
7.8
8
8.2
8.4
8.6
8.8
9
9.2
9.4
distance(x) Fig. 2.3a
u
8 6 4 2 0
7.5
7
6.5
6
5.5
5
4.5
distance(x) Fig. 2.3b
eta
l=6, b=1.24 + e*t, t= 15
Proceedings of the first International Seminar on Theoretical Physics & National Development
253
For the second approximation in the solution method, we feel that an
inclusion of the term will have some easonable effect on the flow parameters and
thus the flow velocity and wave profile. This is why we shall attempt to solve that
using numerical techniques since the equation is nonlinear and of fourth order.
8 6 4 2 0
7.5
8
8.5
9
9.5
10
distance(x) Fig. 2.5a
u
8 6 4 2 0
9
8.5
8
7.5
7
6.5
6
5.5
5
4.5
distance(x) Fig..2. 5b
eta
l=6, b=1.04 + e*t, t= 25
8 6 4 2 0
5.5
6
6.5
7
7.5
8
8.5
9
9.5
10
distance(x) Fig. 2.4a
u
8 6 4 2 0
9.5
9
8.5
8
7.5
7
6.5
6
5.5
5
distance(x) Fig. 2.4b
eta
l=6, b=1.04 + e*t, t= 0.5
Proceedings of the first International Seminar on Theoretical Physics & National Development
254
4. REFERENCES:
E.O. Okeke (1983): On the linearized Shallow Water Waves over a sloping
bottom. Nuovo Cimento, C(1), 6, p. 72
E. O. Okeke (1985): A work on the Shallow Water Waves. Journal of the
Nigerian Mathematical Society, Volume 4, p. 89 – 93
D. H. Peregrine: Equations for Water Waves and approximations behind them.
Proceedings, Seminar, Madison. Waves on Beaches and resulting sediment
Transport, Academic Press, N.Y. 1972, p. 95
G. B. Whithman: Linear and nonlinear Waves. Pure and Appl. Math., John Wiley,
New York, 1975, p. 476.
S. Leibovich and A. R. Seebass: Nonlinear Waves, Cornell Univ. Press, Ithaca,
1974, p. 104
G. C. E. Mbah and J. N. Ezeorah (2008): On the wave equations of Shallow
water with Nonuniform Bottom Topography (Accepted for publication by
the Journal of the Nigerian Association of Mathematical Physics, Vol. 12
edition )
Proceedings of the first International Seminar on Theoretical Physics & National Development
255
LANGUAGE AND DIMENSIONALITY IN PHYSICS: THE PROSPECT OF AFRICAN
RENASCENCE
A.O.E. Animalu and A.O. Azali
Dept. of Physics and Astronomy, University of Nigeria, Nsukka, Nigeria
nascience@aol.com
Abstract
This paper was stimulated by the May 2008 interactive meeting in Cape
Town, South Africa, between Dr. Nelson Mandela and Professor Steven Hawking
on the socalled Next Einstein Project whose aim was “to find and nurture the
best African mathematical and scientific talent for Africa”. It discusses how the
project can be anchored on Mandela’s concept of “linguistic unity in diversity” by
developing a unified African world view from two complementary ones, herein
called linear and curvilinear world views, namely (a) the ancient Egyptian
(African) world view characterized by a linear geometric symbol – the pyramid
and its duals with respect to reciprocation of its vertices (points) and faces
(planes) – for organizing diverse alphabet systems of languages as geometric
objects (tetrahedron, cubes, octahedron, etc) in topologically closed language
space; and (b) “cyclic” African time characterized in modern African literature
by a curvilinear goemetric symbol – a “snaketrappedinabox” signifying the
multifaceted struggle of traditional African world view with the “linear” time of
the JudeoChristian cubic world view and the Copernican suncentred world view
of European Renaissance during the 18
th
and 19
th
century era of European
colonization and imperialism in Africa – and its nonunitary transformation into a
torus transcending Hawking’s “toroidal” view of the geometry of the universe
uniting Einstiein’s relativity doctrine and the quantum theory. We discuss how the
unified African world view explains the variety of geometric objects and
algebraic dimensions that pop up in the current quest for a “theory of everything”,
and how it could provide the necessary paradigm shift for driving African social,
economic and political development through “linguistic” and “scientific”
renascence in the 21
st
century.
Proceedings of the first International Seminar on Theoretical Physics & National Development
256
1. INTRODUCTION : STATEMENT OF THE PROBLEM
In May 2008, a group of eminent scientists including the world renowned
Professor Stephen Hawking of Cambridge University, U.K. gathered in Cape
Town, South Africa “to launch a project [titled the ‘next Einstein’ project] to find
and nurture the best African mathematical and scientific talent” (see Fig. 1).
In view of the diversity of languages within the African continent, we wonder
what can be accomplished by the “next Einstein project” whose aim is “to roll out
15 new postgraduate centres of mathematical and scientific excellence across
Africa”. Evidently, if deep appreciation by Africans of the unified field theories
of contemporary physics is set as the ultimate goal of the project, then the project
could be anchored on Dr. Nelson Mandela’s concept of “linguistic unity in
diversity” expressed in his 1994 published Long Walk To Freedom in the
following words[1]: Without language, one cannot talk to people and understand
them; and cannot share their hopes and aspirations; grasps their history,
appreciate their poetry or savour their songs. I [have] realized that we [Africans]
are not different people with separate languages; we are one people, with
different tongues. In any event, inasmuch as the struggle of black South Africa
headed by Mandela with white racism was basically a struggle between Western
and African world views, which took different forms in different languages in
different parts of Africa, a unified African world view would provide the
Fig.1: Stephen Hawking of Cambridge University,
U.K. and Nelson Mandela at the Nelson Mandela
Foundation in search of “African Einstein”
(Courtesy: Cambridge Alumnus Magazine)
Proceedings of the first International Seminar on Theoretical Physics & National Development
257
necessary paradigm shift for driving African social, economic and political
development through “linguistic” and “scientific” renascence in the 21
st
century.
Two multireferential (old and new) symbols of African world view which
may be called the linear and the curvilinear come to mind, namely (a) the
pyramid as a geometric object that symbolizes the ancient Egyptian (African)
civilization, and (b) the “cyclic” African time associated with “creation snake
spurn tail in mouth” described by modern African writers, especially Wole
Soyinka[2], the Nigerian Nobel Laureate in Literature, in his Idanre and other
Poems(1967) but trapped in a box (representing the European preRenaissance
JudeoChristian cubic world view) with intent to suffocate the snake to death as
described by modern African novelists, especially Chinua Achebe[3] in his
celebrated novel, Arrow of God, (1964). We shall show in Sec. 2 of this paper that
the linear geometric object – pyramid or pairs of pyramids and their duals with
respect to reciprocation of the vertices (points) and the faces (planes) – provide a
logical space for topological closure of the alphabet systems of three international
languages – especially Hebrew, English and Arabic – which were imposed on
Africa by European Christian missionaries and Muslim jihads as well as colonists
and imperialists especially in the 18
th
and 19
th
centuries when the writing of most
indigenous African languages were undertaken or supervised by foreign linguists;
and therefore the geometric objects provide a framework for testing the self
consistency with respect to topological closure of the alphabet systems of
indiginous African languages. We shall also discuss in Sec. 2 how the geometric
principle of duality in Wittgenstein’s language space[4] explains the variety of
geometric objects and algebraic dimensions that pop up in the current quest for a
“theory of everything”. In Sec. 3 we shall show that the curvilinear geometric
object – snakeinabox – is equivalent under nonunitary transformation to a
torus, which transcends the contemporary “toroidal” geometry of the universe
uniting Einstiein’s relativity doctrine and the quantum theory described by
Hawking[5] in his classic 1990 published book A Brief History of Time. In Sec.4,
we shall show how such reciprocation of points and planes of the geometric
objects of ancient Egypt (African) world view and nonunitary transformation of
the “cyclic” African time into the “linear” time of the JudeoChristian creation
axiom change the spheroidal geometry of the Copernican suncentred world view
of European Renaissance into the “toroidal” topology of the curvilinear African
world view. And in Sec.5 we shall discuss how the unified African World View
provides the necessary paradigm shift for driving African social, economic and
political development through African “linguistic” and “scientific” renascence in
the 21
st
century.
Proceedings of the first International Seminar on Theoretical Physics & National Development
258
2. GEOMETRICAL STRUCTURE OF LANGUAGES
Let us begin with Alvin Toffler’s epigram stated in his 1981 published
book[6] The Third Wave that “every civilization has a hidden code – a set of rules
and principles that run through all its activities like a repeated design”, and an
observation that the hidden code of the first wave of African civilization was both
“mathematical” and “linguistic” inasmuch as ancient Egyptian (African)
civilization is symbolized by the “geometry” ( “geo” = land, “metric” = measure)
of the “pyramid” which was developed in connection with land tenure and
taxation, and on whose walls were inscribed the great body of religious
compositions (hieroglyphics, c. 2400 BC) called the Egyptian Book of the Dead
edited by Budge [7]. The civilization was geocetric, i.e. earthcentred and one of
its features is a “linear” principle of duality (see, Fig. 1a) which was subsequently
borrowed by the Greeks in their chart of elements of the earth based on the five
perfect (Platonic) solid shapes (tetrathedron, cube, octahedron, icosahedron and
duodechedron) of Greek geometry and adorned with the Greek Olypmpic colours
(red, yellow, white, black and green).
This Egyptian dual principle relating the 3dimensional pyramid to its
“linear” pentagon projection in a 2dimensional plane was transformed into the
“curvilinear” pentagon on Plato’s ideal (spherical) cosmos (see, Fig. 1b), but
Egyptian geocentrism persisted in Greek world view.
Fig. 1a: “Linear” dual principle of Egyptian (African) “pyramid” geometry
borrowed by the Greeks in the chart of elements with Platonic geometries
Egyptian
Greek
Proceedings of the first International Seminar on Theoretical Physics & National Development
259
In particular, Florence in Italy became the centre of a tradition of Platonic studies
uniting 15
th
century European intellectuals (Thomas Moore, John Colet,
Desiderius Erasmus, Giovanni Pico, etc) in their studies of Platonic doctrine prior
to the Copernican Revolution pioneered by a Polish canon, Copernicus (1473
1543) and others – Kepler, Galileo and Sir Isaac Newton. The Copernican
Revolution began with his correction of the Egyptian Ptolemy’s earthcentred
model (geocentrism) to a suncentred model (heliocentrism) and progressed
enormously when the German Jahannus Kepler reconciled the suncentred model
with the Platonic ideas of cosmic harmony, which he did by accomodating the
Platonic game ball (the duodecahedron) in a suncentred universe as indicated in
Fig. 1b, and by using the insight derived from it as well as experimental
observations of the actual motions of the planets with improved scientific tools
(telescopes) to infer his celebrated laws of planetary motion. Kepler’s synthesis
based on the principle of duality was a happy compromise for Western
civilization in that the Copernican heliocentrism killed the Egyptian geocentrism
in a way that set the European renaissance in motion. In his 1618 published book,
Harmony of the World, regarded as the most fateful scientific work of the 17
th
century renaissance in Europe based on the Copernican world view, he celebrated
this achievement in the following words cited by Arthur Koestler[8] in his
Pelicanpublished book, The Sleepwalkers (p.399):
“I mockingly defy all mortals with this open confession: I have
robbed the golden vessels of the Egyptians to make out of them a
tabernacle for my God, far from the frontiers of Egypt. If you
forgive me, I shall rejoice. If you are angry, I shall bear it. Behold,
I have cast the dice, and I am writing a book either for my
contemporaries, or for posterity…”
Fig.1b: Plato’s (Greek) ideal cosmos based on a transposition of the
“linear” pentagon borrowed from Egyptian geometry into a
“curvilinear” pentagon on a sphere, subsequently replaced by an
octahedron inscribed in a sphere by Kepler in his 1618 published
book, Harmony of the World .
Proceedings of the first International Seminar on Theoretical Physics & National Development
260
The final step in the Copernican heliocentric system was taken by a theoretician,
the English Sir Isaac Newton, who explained why the planets so moved, by
postulating his[Newton’s] laws of motion and law of gravitation. Newton was
acclaimed the greatest scientist because his theory could be tested and proved: it
ushered in the Machine Age paradigm that enabled Western civilization to
conquer the world. While Kepler’s laws of motion were translated into a political
lesson of constitutional monarchy in which the king, like the Sun, was at the
centre of the 18
th
century Europe, Newton’s law of gravitation was translated into
an economic lesson by Adam Smith in his Wealth of the Nations, and by Locke
into a theory of social relations. In short, the Copernican revolution was the secret
heliocentric code behind the slavery of Africans and the colonization of Africa by
Europeans. The code is embedded in metaphors like the following: The British
Empire was a universe in which Britain was the Sun; the colonies (Nigeria, South
Africa, Kenya, etc) were planets held in [economic] orbit by the sun’s
gravitational force; the tribal communities were the moons; and the colonial
people (Africans) were depicted as slaves seemingly flung at random into the
array of planets, as sketched in Fig. 1c below.
It was a framework in which the law of reciprocity (equal give and take) which
was the basis of African man’s intuitive dialogue with the land deity made him to
accept the Christian missionaries from Europe because they preached reciprocity
in the relationship between man and God, but to reject imperialism based on the
profit motive because it was exploitative – based on deceit and use of force.
Fig. 5.1a
Fig.1c .Model of a very powerful British government at the centre (
)
overwhelming several satellite colonies orbiting round it and held, as in the
Copernican model of the solar system, by gravitational [economic] action
atadistnce forces which favour exploitation and separatism of races.
Proceedings of the first International Seminar on Theoretical Physics & National Development
261
Understandably, racism explains the 1988 advertisement in Nature put up
by Dr. Kalim Siddiqui [9] of the Muslim Institute, London, entitled: “How
Muslim is your science?” In this advertisement, Siddiqui called for intermeshing
of Muslim religious tradition and science paradigms, and raised the questions: Are
there new scientific revolutions waiting to happen in the frame work of Islamic
culture and Islamic civilization? If so, what would that be? Should there be a
Muslim Einstein, a Muslim Thomas Kuhn,…? Or is, as some would have us
believe, fundamental science truly value free? Or as others would insist, being
value free itself is a value constraint. These questions apply mutatis mutandis to
the “next Einstein project” in Africa and has apparently moved the peg back to the
conflict between the JudeoChristian cubic world view based on the Bible in
which Western science thrives and the Muslim jihads based on the Quoran. While
the JudeoChristian cubic world view is based on St Augustine’s book City of
God (written in 413 AD under the sack of Rome) which had its origin in the cubic
box totem having the shape of the Holy Taberbacle (Exodus 25:910) used as a
kind of Bible in the Middle Ages, the Muslim totem – identified here as an
octahedron (dual of the cube derived from two pyramids on a common base) –
has its origin in a passage in the Quoran [SurahtulMaryam(19), Ayah(19)]: He
(Angel Gabriel) said, I am only a messenger of thy Lord, that I may bestow on
thee a faultless son(Jesus), in which the prime number 19 is the number of
“primitive” geometric elements (5 vertices (points) + 8 edges (lines) + 5 faces
(planes) + one centre point) that make up an Egyptian pyramid (see, Fig. 2a & b)
Fig. 2a: Primitive Geometric elements of the Pyramid
19 = 5
+ 5
+ 8
+ 1
Proceedings of the first International Seminar on Theoretical Physics & National Development
262
This brings us to Galileo’s dictum in his works that: “Philosophy is
written in that vast book which stands ever open before our eyes, I mean the
universe; but it cannot be read until we have learnt the language and become
familiar with the characters[“alphabets’] in which it is written. It is written in
mathgematical language”. It was from such a synthesis of religious totems, that a
geometric representation of the alphabet system of a language has emerged in a
1989 article[10] by a Jewish group (Meru Foundation) entitled A Geometric
Metaphor for Transcendence, in which an attempt was made to unravel the
Hebrew “sacred alphabets” from an exploration of “sacred geometry” discovered
by Stan Tenen in 1968 through an “autocorrelation” of 12 of the 27letter Hebrew
alphabets used in the first verse of the Hebrew Bilble (B’reshit), i.e., Genesis 1:1.
Believing that the text may have been generated mathematically, the group
thought it was challenging to find out what these ancient patterns meant in
contemporary mathematical and physical scientific thought. This effort resulted in
a “translation” of Gen. 1:1 in a 3dimensional “Rubick cube” (see, Fig. 3a)
comprising the 26 “primitive” geometric elements (8 points [corners], 12 lines
[edges] and 6 planes [faces]) and its centre point, the lines being represented by
their midpoints and the planes by their centre points and assigned integer
coordinates (l,m,n) “base 3” as in crystallography. As a byproduct of this
exercise, they associated the corresponding letters of the 26 English alphabets
(A,B,C, …, X,Y,Z) with the three “primitive” geometric elements (points, line
and planes) defining an English Alphabet Cube as shown in Fig. 3b.
Synthesis
Muslim totem JudeoChristian totem
Fig. 2b: Synthesis of “linear” dual religious totems
Proceedings of the first International Seminar on Theoretical Physics & National Development
263
Fig. 3a: Geometric metaphor for Gen 1:1 showing the resulting pattern identifiable
as a torus by its geometry – consistent with Kabbalistic description – that takes the
form of Oroboros, the “snake that eats its tail” (Source: Tenen et al 1989).
A B C D E F G
H I J K L M N O
P Q R S T U V
W X Y Z.
Fig.3b. Association of 26 English alphabets with a regular cube defined by 8
vertices (points) +12 edges (lines) + 6 faces (planes).
Proceedings of the first International Seminar on Theoretical Physics & National Development
264
We have found a similar association of the corresponding letters of the 30
Arabic alphabets (see, fig. 4) with the primitive geometric elements of a pair of
tetrahdra, i.e. 2x15, where the 15 elements comprise four vertices (points), 6
edges (lines) and 4 faces (planes) plus the centrepoint.
To actualize “next Einstein project” for Africa, it is worth noting that
Einstein[11] recognized language as part of the “hidden code” of civilizations
transcended in the geometric objects of world views by his inclusion of language
as one of his “6dimensional” concept of society in his article entitled “Why
Socialism” published by the Monthly Review Vol. 1, No. 1, May, 1949 where he
states that “society” provides: 1) food, 2) clothing, 3) home, 4) tools of work, 5)
language, and 6) form content of thought. His Jewish (religious and national)
content of this concept of society may be summarized as shown in Fig. 5 in
terms of the principle of duality of two trinities (“up” and “down” triangles)
making up the “Start of David” that adorns the Jewish national flag.
Fig. 4b: One of a pair of Arabic Language Tetrahedra comprising 15 primitive
geometric elements, namely four vertices (points), six edges (lines) and four
faces (planes) plus a center point.
Proceedings of the first International Seminar on Theoretical Physics & National Development
265
Next we observe that a similar (geometric) form content of thought occurs
in physics in the “8dimensional” realization of the unitary symmetry group
[SU(3)] of the observed strongly interacting particles (hadrons = baryons and
mesons) in 3dimensional (B,I,Y)space, B being the baryon number, I the
isotopic spin and Y the hypercharge (as shown in Fig. 6) which two other Jewish
physicists, GellMann and Ne’eman[12], called the “8fold Way” . And it turns
out that the above realization of SU(3) provides the geometric object for
representing the alphabet systems of two indigenous African languages (Igbo and
Hausa in Nigeria) as closed systems comprising 38 alphabets (see, Fig. 7).
Fig.5: A possible relation of Einstein’s concept of
society to Jewish (“Star of David”) national flag.
1
2
3
4
5
6
Proceedings of the first International Seminar on Theoretical Physics & National Development
266
Isospin (I)
Hypercharge
(Y)
Fig. 6. (a) “8dimensional” realization of SU(3) symmetry of the strongly
interacting particles (baryons + mesons) in (I,Y)space according to Gell Mann
and Ne’mann’s 8Fold Way; (b) unified representation in (B,I,Y)space.
(a) (b)
Σ
+
1 1/2 0 ½ +1
p
n
Σ
+
∧
Ξ°
K°
π°
η
K°
π
+
K
+
I
Y
B
Σ
–
Σ
0
π
–
Σ
+
Σ
–
Σ
0
∧
Ξ° Ξ
+
n
K
p
Ξ
–
Λ
p
n
Ξ°
Σ
–
Ξ
–
π
–
π°
K
+–
K
+
K
o
π
+
K
o
Σ
0
Λ
η
Proceedings of the first International Seminar on Theoretical Physics & National Development
267
Fig. 7 has a number of intriguing features. Firstly, it shows that the alphabet
systems are built from two English alphabet cubes, but instead of 26+26 =52, we
have only 38 elements required for topological closure of the alphabet
polyhedron. As a result, two symbols (X and Q) previously excluded from the
alphabet susyems of the two indigeous African languages have been included for
the alphabet polyhedron (made of two deformed cubes) to have a closed set of
primitive geometric elements (12 points, 18 lines and 8 planes). Secondly, the
total number of “primitive” geometric elements (points, planes, and lines) that
characterize the topologically close geometric objects (Egyptian pyramid, English
alphabet cube, the octahedron (dual of the cube) and Igbo or Hausa alphabet
polyhedron), as summarized in Table 1, may be said to define the algebriac
“dimensions” of Wittgenstein language space[5].
A B C D E F G H I J K L M N O P
(Q) R S T U V W (X) Y Z; I N O U GB
GH GW KP KW NW NY SH
38 IGBO ALPHABETS POLYHEDRON
A B C D E F G H I J K L M N O P
(Q) R S T U V W (X) Y Z; B D K
Y FY GW GY KW KY KY SH TS
38 HAUSA ALPHABETS POLYHEDRON
Fig. 7 : Two oppositely faced English alphabet cubes (above)
define one (38) Igbo or Hausa alphabet polyhedron.
Proceedings of the first International Seminar on Theoretical Physics & National Development
268
No. of Primitive
Geometric
Elements
Egyptian
Pyramid
English
Alphabet
Cube
Octahedron
(Dual of Cube)
Igbo & Hausa
Language
Polyhedron
Vertices (points) 5 8 6 10
Faces (planes) 5 6 8 10
Edges (lines) 8 12 12 18
Total (=
algebraic
“dimension” of
language space)
18
26
26
38
A brief comment on the concept of algebraic “dimension” of language space,
introduced here for the first time, is important.. We have defined the algebraic
dimension of each geometric object as the total number of the three “primitive”
elements (points, lines, and planes) characterizing the toplogically closed object in
3dimensional Cartesian space in the following sense. Suppose that the four
vertices (X,Y,Z,T) say, of the Arabic language tetrahedron (in Fig.4b) are
assigned homogenous point coordinates ), (
α
x X ≡ ), (
α
y Y ≡ ), (
α
z Z ≡
), (
α
t T ≡ with 3 , 2 , 1 , 0 = α , in 3dimensional projective space[13] based on four
homogeneous coordinates. Then the linear homogenous algebraic relation
is the condition for a set of 6 linecoordinates, ), , , , , , (
21 13 32 03 02 01
F F F F F F with
βα αβ
F F − = , to exist such that (Maxwell’s electromagnetic field type of)
equations
(2.1) , 0
3 3 2 2 1 1 0 0
3 2 1 0
3 2 1 0
3 2 1 0
3 2 1 0
J x J x J x J x
t t t t
z z z z
y y y y
x x x x
− − − = =
Proceedings of the first International Seminar on Theoretical Physics & National Development
269
,
3
0
β
α
αβ
α
J F x =
∑
=
(2.2)
associate the “current” (
3 2 1 0
, , , J J J J ) with the plane coordinates of a face of the
tetrahedron. This embodies the geometric principle of duality relating the three
“primitive” geometric elements (points, lines and planes) of 3dimension space in
which a point can be represented either simply as a “point” or alternatively, as the
intersection of two lines, or the common part of there planes. Consequently, the
fact that the three primitive geometric elements (point, line and plane) can be
assigned coordinates on the same footing explains the existence of such elusive
experimental entities as mathematical linelike objects (such as lines of
electromagnetic force) and planelike objects (such as magnetic monopoles of
unified gauge field theory, and quarks of SU(3) theory). In particular, the usual
gauge symmetry of electromagnetic fields corresponds, in geometric terms, to
stretching the “Faraday lines” of electric and magnetic forces. while SU(3) unitary
symmetry of strong forces corresponds to stretching of the “plane” representing
the conserved currents associated with triplets of moving point charges.
Formally, as is well known, the constraints on the algebraic dimensions of
a secondquantized fermion field is determined by FermiDirac statistics through
the representation of the anticommutation algebra of the single fermion creation
and annihilation operators,
+
σ i
c and
σ i
c ,
, 0
'
,
'
,
,
' ' ' '
,
=
+ +
=
=
+
+
+
≡
+
)
`
¹
¹
´
¦
)
`
¹
¹
´
¦
)
`
¹
¹
´
¦
σ σ σ σ
σσ
δ δ
σ σ σ σ σ σ
j
c
i
c
j
c
i
c
ij i
c
j
c
j
c
i
c
j
c
i
c
(2.3)
for i, j = 1, …, N, ) , ( ↓ =↑ σ . These operators are generators of an SO(2N) group
and can be represented by 2
N
x2
N
matrices defined by Thouless[14]. The main
feature of the matrices is that the matrices decompose into N+1 blocks or
submatrices of dimension


¹

\

×


¹

\

i
N
i
N
with
N
N
i i
N
2
1
=


¹

\

∑
=
(2.4)
Proceedings of the first International Seminar on Theoretical Physics & National Development
270
where i =0,1,…,N. Consequently, the configuration is defined by the
th
K order
Pascal triangle coefficients of
N
x ) 1 ( + where N varies from 1 to K. The Pascal
triangle of dimensions is shown below for N=1,2,…,8.
The most striking feature of this spectrum of dimensions is the dual
symmetry, i.e. occurrence of pairs of the same dimension in each row
corresponding to given N=2,…,8. As can be seen, 256=248+16 is the number of
the field degrees of freedom of SO(16) and/or E8 group “theory of
everything”(TOE) proposed by Lisi[15] but reduced to 248 after assigning the
excess 16 algebraic elements to 8 Higgs algebraic elements in order to recover the
standard model of electroweak and strong interactions and gravity. But duality
was rejected by the Christian Council at Nicea in its 325A.D. declaration: “Credo
in unum Deum …(I believe in one God), which also says, “per quem omnia facta
sunt” (that all creation takes place through Christ). This led to the conflict
between Western science and religion and the travails of Galileo under the
Inquisition of the Roman Church in 1500’s. Moreover, as argued by Martin
Bernel[16] in his 1987 published book Black Athena, there is no doubt that the
Greek culture, which was born between 2100 and 1100 B.C., borrowed and
adpted from Egyptian (African) civilization, the notions of duality, deities and
languages, but Eurpoean scholars beginning in the 18
th
century carefully excised
Egypt, and especially Black Africa, from the family tree of Western culture on
account of racism. This is the “crisis” in Western world view that has created an
“opportunity” for curvilinear African world view to which we now turn.
1 2 , 0
0
= = N ,
2 2 , 1
1
= = N
4 2 , 2
2
= = N
8 2 , 3
3
= = N
16 2 , 3
4
= = N
32 2 , 5
5
= = N
64 2 , 6
6
= = N
128 2 , 7
7
= = N
256 2 , 8
8
= = N 1 8 28 56 70 56 28 8 1
1 7 21 35 35 21 7 1
1 6 15 20 15 6 1
1 5 10 10 5 1
1 4 6 4 1
1 3 3 1
1 2 1
1 1
1
The Pascal Triangle for the 2
N
x2
N
matrix representation of SO(2N)
Proceedings of the first International Seminar on Theoretical Physics & National Development
271
.
3. TRANSFORMATION OF WESTERN WORLD VIEW INTO AFRICAN
(“SNAKEINABOX”) TOROIDAL WORLD VIEW
The conept of “cyclic” African time is perhaps the most important descriptive
aspect of the “crisis” represented in modern African literature by a curvilinear
goemetric symbol, namely a “snaketrappedinabox”. This symbol which
appears on the cover page of Chinua Achebe’s novel, Arrow of God cited earlier
describes the action of Oduche, a young convert to Christianity, who trapped the
Idemili river python (his tribal totem of regeneration) with intention to suffocate it
to death. It leads to an analogy of thought between Kepler in the Mysterium
Cosmographicum (see, Fig.8(i)) and Achebe in Arrow of God (see, Fig. 8(ii)).
Fig. 8: Analogy between (i) Kepler’s synthesis of the Copernican suncentred
model of the solar system with the JudeoChristian cubic world view, and
Achebe’s representation of African “creation snake spurn tail in mouth”
trapped in a box in Arrow of God from which may be abstracted Hawking’s
view of the universe as a torus described in A Brief History of Time.
Kepler
Copernicus
“Duality”
(i)
Hawking
“Box” trap as
Quantization Volume
ox”)
Achebe
“Snake” as
Wave
(ii)
Proceedings of the first International Seminar on Theoretical Physics & National Development
272
The most important thing to be learnt from the analogy is not a body of
knowledge, but a method of thinking about conflicts in geometrical terms. Kepler
made a painstaking observation about the planetary system and tried to fit it into a
pattern (as in Fig. 8(i)) showing that the planets moved in nearly circular orbits
round the sun, and deduced the empirical laws governing their motion (Kepler’s
first, second and third laws of 1600). In the same way, Achebe made a
painstaking observation of the snake totem of his African homeland and tried in
the Arrow of God to fit it into a pattern from which he deduced the empirical laws
of thought governing its confrontation with the invading European Judeo
Christian cubic box totem. In the South African context, Achebe’s “snakeina
box” symbolism in Fig.8(ii) gives a meaning to the view from the plush
neighbourhoods of Cape Town around the waterfront where one could see on
clear days the Robben Island Prison where Mandela (representing the African
royal python) was incarcerated for 27 years. Just as in the Arrow of God, the royal
python survived its imprisonment, albeit weakened, so also did Mandela survive
the imprisonment to become the first black president of South Africa. A
mathematical idealization of the “snake spurn tail in mouth” as a torus (in
agreement with Hawking’s model of the universe) is also suggested by the
celebration of toroidal ornaments – necklaces and earrings – by an African
woman (as shown in fig. 9), indicative of her “intuitive dialogue” with nature.
In mathematical terms, one can derive the toroidal African world view via a
Mobius (nonunitary) transformation of the linear time (t) of the JudoChristian
creation axiom stretching from past to future into the cyclic “African” time (τ )
[17]:
Fig.9: Celebration of toroidal world view by
an African woman through her ornaments
Proceedings of the first International Seminar on Theoretical Physics & National Development
273
) (
0
0
0
/
t
e
i t
i t
Tt t
Ω
≡
+
−
− = ≡ →
τ
τ
τ τ , (3.1a)
where we have used the fact that
θ
τ τ
i
e t i t
±
+ ≡ ±
2
0
2
0
for ) / ( tan
0
1
τ θ t
−
= .
Eq.(3.1a) shows that the circular boundary
0
τ τ = in the complex τ plane
corresponds to the line,
0 0
τ τ i t i t + = − in t plane since it is the locus of
points equidistant from
0
τ i t ± = , as shown in Fig. 10a.
Consequently, in (3+1)dimensional spacetime, the transformation of the cube
firstly into a sphere and then into a torus (as shown Fig. 10b) may be expressed
either in terms of the BornVon Karman (periodic) boundary condition[18] on the
faces of the cube or in terms of the usual Minkowski spacetime (x,y,z,ct)
variables, in which a spherical light wave of radius ct in Cartesian cubic (x,y,z)
space is deformed into a torus characterized by the parametric equations:
Fig. 10a: Mobius transformation of a line into a circle
Line in tplane
0
τ −
0
τ +
Circle in
plane − τ
Fig. 10b: Transformation of a cube into a sphere into a torus.
Proceedings of the first International Seminar on Theoretical Physics & National Development
274
( ) ( )
( ) ( )
. / ˆ
ˆ
,
ˆ
cos
ˆ
ˆ zˆ cos
ˆ sin
ˆ
sin
ˆ
ˆ ˆ ˆ ˆ ˆ sin sin
, ˆ cos
ˆ
sin
ˆ
ˆ ˆ ˆ ˆ x ˆ cos sin
T k i t t
t c z ct
t c c y y ct
t c c x ct
B
− ≡ ≠ →
= → ≡
− = → ≡
− = → =
τ
θ θ
ϕ θ τ ϕ θ
ϕ θ τ ϕ θ
(3.2a)
Here, τˆ is associated with a new time scale which we shall call a
“thermodynamic time” by expressing it in absolute temperature T scale,
B
k being
the Boltzmann constant, the Planck constant, and c the speed of light in
vacuum.
On elimination of ϕˆ from (3.2a) we find
{ }
{ } θ τ τ
ˆ
sin ) ˆ ˆ ( )
ˆ
ˆ ( 2 ˆ ˆ ˆ ) ˆ ˆ ( )
ˆ
ˆ (
) ( 0
2 2 2 2 2
2 2 2 2
c t c z y x c t c
z y x ct
= − − − + →
− − − =
(3.2b)
and, equivalently, by eliminating θ
ˆ
, we have

¹

\

− ± = − − − +
2 2
2
2 2 2 2 2
ˆ
ˆ
1 ) ˆ ˆ )(
ˆ
ˆ ( 2 ˆ ˆ ˆ ) ˆ ˆ ( )
ˆ
ˆ (
t c
z
c t c z y x c t c τ τ (3.2c)
where

¹

\

− ± =
2 2
2
ˆ
ˆ
ˆ
1
ˆ
sin
t c
z
θ . (3.2d)
Consequently, for small values of ) ˆ
ˆ
ˆ ( 2 / ˆ
ˆ
2 2
τ θ t c s ≡ , Eq.(3.2b) gives
approximately an O(2,3)invariant form:
2 2 2 2 2 2
ˆ
ˆ
) ˆ ˆ )(
ˆ
ˆ ( 2 ˆ ˆ ˆ ) ˆ ˆ ( )
ˆ
ˆ ( s c t c z y x c t c ± = ± ≈ − − − + θ τ τ (3.2d)
Proceedings of the first International Seminar on Theoretical Physics & National Development
275
which characterizes a space of higher dimension than the 4dimensional space
time continuum of Einstein’s doctrine. And intriguingly, when π θ ) (n
ˆ
2
1
+ = in
Eq. (3.2b) so that
) ˆ ˆ )(
ˆ
ˆ ( 2 ˆ ˆ ˆ ) ˆ ˆ ( )
ˆ
ˆ (
2 2 2 2 2
τ τ c t c z y x c t c ± = − − − + (3.3a)
one can unify the two branches into a quartic relation
( )( ) 0 ]
ˆ
ˆ ˆ ˆ [ ˆ ˆ ˆ ]
ˆ
ˆ ˆ ˆ [ ˆ ˆ ˆ
2 2 2 2 2 2 2 2
= + − + + − − + + t c c z y x t c c z y x τ τ (3.3b)
which represents a pair of concentric spheres in r
ˆ
space of radii t c c
ˆ
ˆ ˆ ˆ ± τ
(see, Fig. 11).
This defines a spherical shell of thickness, T k c
B
/ 2 that fills all spacetime in
the limit as 0 → T , h ∞ → ) / 2 T k c
B
, i.e. an infinite background (radiation) of
the primeval “Big Bang” theory of creation of the universe[4].
Finally, an application of the principle of duality to the “toroidal” world
view can be used to construct the 3dimensional representation of SU(3) by
studying the geometric object obtained by projecting the the baryon octet on the
circular section of the outer sphere of a torus and compressing the pseudoscalar
mesons onto the corresponding circular sction of the hole of the torus, as shown in
) / ( 2 T k c
B
•
Fig.11: Representation of the “quartic” curve of Eq.(3.3b) as two
concentric spheres, giving as 0 → T , ∞ → ) / ( 2 T k c
B
an
infinite back ground (radiation) of the primeval “Big Bang” [4].
Proceedings of the first International Seminar on Theoretical Physics & National Development
276
Fig. 12a to obtain the replicated geometric pattern in Fig.12b which has the
following analytical properties.
From p. 102 of T.E. Faulkner’s Projective Geometry[17], the (uds)point
equation of the conic (circle) in Fig.12b referred to u,d,s, as vertices, i.e. points, of
a triangle of reference, (1,0,0), (0,1,0) and (0,0,1) is:
, 0
s 0
0
0
) , , ( or , 0 ) ( 2 =



¹

\




¹

\

= + + d
u
f g
f h
g h
s d u d u h u s g s d f (3.3)
where . 0 ≠ fgh By the geometric principle of duality, the ) (lmn lineequation of
the conic inscribed to the triangle of reference is:
(c)
s
d
d
s
Y
u
u
I
(b)
π
+
K
0
K

n
K
+
π

I
Y
K
0
p
∑
*
∑

Ξ° Ξ
–
t
2
X3
X2
X1
t
1
t
3
Fig. 12: (a) baryon octet and (compressed) meson octet duality
with respect to circular section of a torus; (b) and (c) geometric
characterization of the dual principle in terms of basic triplets.
(a)
Proceedings of the first International Seminar on Theoretical Physics & National Development
277
0 = + + Hlm Gnl Fmn (3.4)
where H G F C B A , , , , , are the cofactors of h g f c b a , , , , , respectively in the
determinant
.
c f g
f b h
g h a
(3.5)
Similarly, if we take as triangle of reference X
1
, X
2
, X
3
, selfpolar with respect to
the conic, (see Fig. 12(c)) then the polar of ) 0 , 0 , 1 (
1
≡ X is the line X
2
X
3
, and its
equation, which is 0 = + + gz hy ax , reduces to , 0 = x and so, . 0 = = g h Similarly,
0 = = f h and . 0 = = g f Thus the equation of the conic referred to the selfpolar
triangle is:
. 0 = + + s s c d d b u u a (3.6)
Consequently, the construction of a selfpolar triangle of a given conic S is
equivalent to the algebraic problem of reducing a quadratic form to one with a
diagonal matrix by transforming the variables.
We now observe that the “metrics” of the two quadratic forms in Eqs.. (3.6) and
(3.3), in the special case where,
3
1
= = = = = = = j h g f c b a , (3.7)
have the explicit forms and properties:
( )
2
3
1
3
1
3
1
3
1
3
1
3
1
3
1
3
1
3
1
Q ,
0
3
1
3
1
3
1
0
3
1
3
1
2
1
0
,
3
1
0 0
0
3
1
0
0 0
3
1
Q Q + Ρ =






¹

\

= + Ρ






¹

\

=






¹

\

= Ρ
(3.8)
The relations in Eq. (3.8) apply to the fermion number (F) and electric charge
(Q
F
) of the basic particles (leptons,
− −
µ ν e and “quarks” u d s) with respect to
Proceedings of the first International Seminar on Theoretical Physics & National Development
278
the strict conservation of fermion number and electric charge in all known
interactions involving leptons and hadrons viz. (as pointed out by Animalu[18]:



¹

\

= + Β






¹

\

−
− =






¹

\

=
Β Β
0 0 0
0 0 0
0 0 1
,
3
1
0 0
0
3
1
0
0 0
3
2
,
3
1
0 0
0
3
1
0
0 0
3
1
Q Q B
(3.9a)



¹

\

= +



¹

\

−
− =



¹

\

=
0 0 0
0 0 0
0 0 1
,
1 0 0
0 1 0
0 0 0
,
1 0 0
0 1 0
0 0 1
L l
Q L Q L
(3.9b)
( ) ( )
,
2
L
2
Q L , ;
L L
Q L Q Q Q L Q + = + + Β = + Β + = + Β
Β Β
(3.9c)
where B is the baryon number and Q
B
the electric charge (in unit of the proton
charge) of the quark triplet (u.d.s), while L is the lepton number and Q
L
the lepton
number of lepton triplet ( )
− −
µ ν , , e . Moreover, the orthogonal matrix (U) which
diagonalizes Q in Eq. (3.8) in the form Q
B
in Eq. (3.9a) is given explicitly by
B
Q UQU U U U = =






¹

\

−
− =
− + − 1 1
; ,
6
2
6
1
6
1
0
2
1
2
1
3
1
3
1
3
1
, (3.10)
which corresponds to a rotation through an angle θ determined by
( ) = U Trace
°
= + = − + 15 i.e., 1, 2cos 
6
2
2
1
3
1
θ θ (3.11)
This angle, it so happens, is the correct numerical value of the Cabibbo
suppression of the leptonic decay of hadrons. Moreover, if we classify all
elementary particles (leptons, baryons, mesons and intermediate bosons) in 3
dimensional (L,B,Q)space of the absolutely conserved quantities as shown in
Fig.13a, we see that the leptons (Fig. 13b) belong to the pair of inverted pyramids
(inside the cube) while the hadrons (baryons and mesons) belong to the
octahedron (dual to the cube in Fig. 13c): the neutrino appears as “planelike”
Proceedings of the first International Seminar on Theoretical Physics & National Development
279
object in the former and “pointlike” object in the latter; and the classification
scheme accommodates not only the normal the Hatom but also the antiHatom.
(a)
Fig.13: (a) All elementary particles; (b) leptons; (c) hadrons
(b) (c)
H
H
' H
’
−
e
+
µ
γ
+
e
−
µ
' H
ν
ν
ν
Λ Ξ Σ , , ,
0 0
n Λ Ξ Σ , , ,
0 0
n
+ + +
W K , ,π
Proceedings of the first International Seminar on Theoretical Physics & National Development
280
4. The Prospect of African Linguistic and Scientific
Renascence in 21
st
Century
Finally, we proceed to conclude this paper by examining the question as to the
possibility that the unified African world view developed in this paper would
provide a paradidgm shift for linguistic and scientific African renascence in the
21
st
century. Two features of the unified African world view lend credence to this
possibility, namely:
(i) Our abstraction of a richer form of the geometric principle of duality
from our elaboration of the linkage of the ancient Egyptian (African)
pyramid totem to the structure of the alphabet systems of diverse
languages and the classification of the elementary particles.
(ii) The abstraction of the torus as a geometric object for elaboration of the
Copernican world view by an application of nonunitary
transformation of the linear time of the underlying JudeoChristian
creation axiom to the cyclic African time interpretable as
“thermodynamics time” and related to Hawking’s toroidal model of
the universe[4].
Consequently, a systematic treatment of nonunitary generalizations of Planck’s
quantum hypothesis[19] and scattering theory[20] is our envisaged paradigm shift
from Western world view to the unified African world view for driving scientific
African development in the 21
st
century.
In terms of the components of African development power cycle, our
unified African world view demands that instead of the Western pentagon power
cycle principle based on the observation by the renowned Prussian military
strategist, Carl von Clausewitz (17801831) that “all military [security] problems
are political, all political problems are economic, and all economic problems are
scientific and technological”, African development in the 21
st
century should
include language or “word” power, and hence shift from pentagon to the
hexagonal power cycle shown in Fig.14a. In political terms, this means that
instead of operating the current exploitative “neocolonial” political systems
dictated by the Copernican world view which is the the secret code of Western
capitalism based on actionatdistance “economic” (gravitational) force as
discussed earlier with reference to Fig. 1c, African development in the 21
st
century should be based on African “communalism” sustained by contact
interaction among member states of the African union like “nuclear democracy”
among the constituents [protons and neutrons] of the atomic nucleus ( Fig. 14b).
Proceedings of the first International Seminar on Theoretical Physics & National Development
281
Economic Power
Political Power
Technological
Power
Scientific Power
Language or
“Word” Power
Military Power
Fig.14a : Hexagonal Power Cycle incorporating language,
science and technology in the principle of duality
Fig. 5.1b
Fig. 14b:Model of African communalism comprising interpenetrating of
the former colonial states among themselves and with the central African
union government in a type of “nuclear democracy” in which central
power is derived from and shared with the former colonial states..
Proceedings of the first International Seminar on Theoretical Physics & National Development
282
In this way, African communalism based on the unified African world
view may guide Africa to a fulfilment of the dictum reported in the New York
Times of April 13, 1933, quoting the great Irish playwright and Nobel Laureatte in
Literature in 1925, George Bernard Shaw, as telling correspondents that: “For all I
know, the next great civilization may come from Negro race…”
ACKNOWLEDGEMENTS
We would like to acknowledge the fact that this article was intended to lay a
theoretical foundation for our multilingual African project in partnership with the
Institute of African Studies, University of Nigeria, Nsukka but it received
additional impetus from the publication by the Cambridge Alumnus Magazine of
the meeting between Dr. Nelson Mandela and Professor Steven Hawking of
Cambridge , UK, on the launching of the “next Einstein project” for Africa.
5. REFERENCES
1. Nelson Mandela, Long Walk to Freedom(, Little, Brown & Co, London,
1964)
2. Achebe, Chinua, Arrow of God (Heinemann, Kenya, 1988) p.50
3. Wole Soyinka, Idanre and other Poems (Eyre Methuen, London, 1967)
p.65
4. Steven Hawking, A Brief History of Time (Bantam Books, N.Y. 1990) p,
139.
5. David Pears, Wittgenstein Fontana (1971)p.85; Wittgenstein, Tractatus.
6. Alven Toffler, The Third Wave (1981) p.46
7. E.A. Wallis Budge ed. The Egyptian Book of the Dead (The Papyrus of
Ani) Egyptian Text Transliteration and Translation, A & B Books
Publishers, N.Y. ISBN 1881316998 Reprinted (1994)
8. Arthur Koestler, The Sleepwalkers (Pelican, 1968) p.399
9. Siddiqui, K. Nature June (1988).
Proceedings of the first International Seminar on Theoretical Physics & National Development
283
10. Stan Tenen et al, Geometric Metaphor for Transcendence (Meru
Foundation 1989) P.O. Box 1738, San Anselmo CA 94979, USA.
11. Albert Einstein, Why Socialism, Monthly Review Vol.1, No. 1, May, 1949.
12. GellMann, M. and Ne’eman, Y. Eightfold Way
13. J.A. Todd, Projective and Analytical Geometry, (Pitman and Sons Ltd,
London, 1958).
14. D.J. Thouless, Quantum Mechanics of ManyBody Systems (Academic
Press, N.Y. & London 1961).
15. A. Lisi, An Exceptionally Simple theory of Everything available at
http://uduality.blogspot.com/
16. Martin Bernel, Blck Athena Vol.1 (1987)
17. Faulkner, T.E. Projective Geometry, (Oliver and Boyd 1952, p. 102
18. A.O.E. Animalu, Implications of NonUnitary Transformation of Planck’s
Quantum Hypothesis in Physics, Hadronic J. 31, 271316 (2008)
19. A.O.E. Animalu, Lepton and Hadron Currents in O(4,2) Current Algebra,
Nuov. Cim. Lett. 3, 729 (1972).
20. A.O.E. Animalu, IsoFeynman Propagator and IsoSmatrix of Hadronic
Mechanics, Hadronic J. 31, 317350 (2008).
This action might not be possible to undo. Are you sure you want to continue?
We've moved you to where you read on your other device.
Get the full title to continue reading from where you left off, or restart the preview.