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# The HST view of the FR I / FR II dichotomy Based on observations with the NASA/ESA Hubble Space Telescope, obtained at the Space Telescope Science Institute, which is operated by AURA, Inc., under NASA contract NAS 5-26555 and by STScI grant GO-3594.01-91A

## 1 Introduction

The original classification of extended radio galaxies by Fanaroff & Riley (fr (1974)) is based on a morphological criterion, i.e. edge darkened (FR I) vs edge brightened (FR II) radio structure. It was later discovered that this dichotomy corresponds to a (continuous) transition in total radio luminosity (at 178 MHz) which formally occurs at $`L_{178}=2\times 10^{33}`$ erg s-1 Hz-1. The presence of radio sources with intermediate morphology, in which typical FR I structures (such as extended plumes and tails) are seen together with features characteristics of FR II sources (narrow jets and hot spots) (see e.g. Parma et al. parm87 (1987), Capetti et al. capetti95 (1995)) argues in favour of a continuity between the two classes.

From the optical point of view both FR I and FR II are associated with various sub-classes of elliptical-like galaxies, but statistically their populations are different (Zirbel zirb96 (1995)). Owen (owen93 (1993)) found that the FR I/FR II division is also linked to the optical magnitude of the host galaxy, possibly suggesting that the environment plays an important role in producing different extended radio morphologies. Moreover, FR II are generally found in regions of lower galaxy density and are more often associated with galaxy interactions with respect to FR I (Prestage & Peacock pp (1988), Zirbel zirb97 (1997)). Differences are also observed in the optical spectra: while FR I are generally classified as weak-lined radio galaxies, strong (narrow and broad) emission lines are often found in FR II (Morganti et al. morg92 (1992), Zirbel & Baum zirb95 (1995)), although a sub-class of weak-lined FR II is also present (Hine & Longair hine (1979)).

Within the unification scheme for radio-loud AGN (for a review, see Urry & Padovani urry95 (1995)), FR I and FR II radio galaxies are thought to represent the parent population of BL Lac objects and radio-loud quasars, respectively (Antonucci & Ulvestad anto85 (1985), Barthel bart89 (1989)). In order to explain the lack of broad lines in the “mis-oriented” (narrow-lined) FR II–type objects, obscuration by a thick torus is invoked. A combination of obscuration and beaming is therefore necessary at least for the FR II-quasars unification (e.g. Antonucci & Barvainis anto90 (1985)). However, there is evidence that this simple picture is probably inadequate: some radio–selected BL Lacs - among the most powerful sources in the class \- display an extended radio structure and luminosity typical of FR II (Kollgaard et al. koll92 (1992), Murphy et al. murphy93 (1993)) and broad - although weak - lines have been observed in some BL Lacs. Moreover, Owen et al. owen96 (1996) noted that the lack of BL Lacs in a sample of radio galaxies located in Abell clusters can be an effect of their selection criteria if the parent population of BL Lacs includes both FR I and FR II. This idea is also consistent with a recently proposed modification of the unification scheme, which claim that the weak-lined FR II are indeed associated with BL Lac objects (Jackson & Wall jackson (1999)). These observations can be however reconciled with the unification scenario once continuity between the weak and powerful radio–loud sources is allowed and thus transition objects are expected.

In Chiaberge et al. (pap1 (1999), hereafter Paper I) we studied HST images of all FR I radio galaxies belonging to the 3CR catalogue, finding that unresolved nuclear sources are commonly present in these objects. A strong linear correlation is found between this optical and the radio core emission, extending over four orders of magnitude in luminosity. This, together with spectral information, strongly argues for a common non-thermal origin, and suggests that the optical cores can be identified with synchrotron radiation produced in a relativistic jet, qualitatively supporting the unifying model for FR I and BL Lacs. Furthermore, the high rate detection ($`\stackrel{>}{}`$85 %) of optical cores in the complete sample indicates that a standard pc–scale geometrically thick torus is not present in these low-luminosity radio galaxies. Any absorption structure, if present, must be geometrically thin, and thus the lack of broad lines in FR I cannot be attributed to obscuration. Alternatively, thick tori are present only in a minority of FR I. Given the dominance of non-thermal emission, the optical core luminosity also represents a firm upper limit to any thermal component, suggesting that accretion might take place in a low efficiency radiative regime.

The picture which emerges from this analysis is that FR Is lack substantial thermal (disc) emission, Broad Line Regions and obscuring tori, which are usually associated with radio-quiet and powerful radio–loud AGN.

As a natural extension of Paper I, here we study the HST images of a sample of low redshift FR II radio galaxies, in order to explore how the differences in radio morphology are related to the optical nuclear properties. In particular, one of the most important questions is whether the FR I/FR II dichotomy is generated by two different manifestations of the same astrophysical phenomenon, and the transition between the two classes is indeed continuous, or instead it reflects fundamental differences in the innermost structure of the central engine.

The selection of the sample is presented and discussed in Sect. 2, while in Sect. 3 we describe the HST observations. In Sect. 4 we focus on the detection and photometry of the optical cores. Finally, in Sect. 5 we discuss our findings.

## 2 The sample

The sample considered here comprises all radio galaxies belonging to the 3CR catalogue (Spinrad spinrad (1985)) with redshift $`z<0.1`$, morphologically classified as FR II. We directly checked their classification for erroneous or doubtful identifications by searching the literature for the most recent radio maps. The final list (see Table 1) constitutes a complete, flux and redshift limited sample of 26 FR II radio galaxies.

We searched for optical spectral classification and/or optical spectra, in order to differentiate our sources on the basis of the presence of broad or narrow emission lines. For only one source (namely 3C 136.1) we could not find spectral information in the literature. All spectral types usually associated with FR II galaxies are represented in the sample: five objects are BLRG, fifteen are classified as NLRG, while four show only weak lines in their optical spectrum (WLRG). The remaining source, namely 3C~371, has been classified as a BL Lac object. In Table 1 redshifts and radio data are reported, as taken from the literature, together with the optical spectral classifications.

In Fig. 1 we show the redshift vs total radio luminosity diagram for the sample of FR II galaxies, together with the sample of FR I discussed in Paper I, but limited to sources with $`z<0.1`$ for coherence with the FR II sample. FR II have a median redshift $`z=0.06`$, and total radio luminosities at 178 MHz are between $`10^{32}`$ and 1034 erg s-1 Hz-1 ($`H_0=75`$ km s-1 Mpc-1 and $`q_0=0.5`$ are adopted hereafter). Notice that whereas the two samples are selected at the same limits of redshift and flux, FR II are, on average, more luminous and distant than FR I.

## 3 HST observations

HST observations of the FR II sources are available in the public archive (up to April 1999) for 25 out of the 26 sources (only 3C~33 and 3C~105 have not been observed). The HST images were taken using the Wide Field and Planetary Camera 2 (WFPC2). The whole sample was observed using the F702W filter as part of the HST snapshot survey of 3C radio galaxies (Martel et al. martel (1999), De Koff et al. De Koff (1996)). For 3C 192 we used a F555W image, as this source was not observed with the F702W filter. Exposure times are in the range 140–300 s. The data have been processed through the standard PODPS (Post Observation Data Processing System) pipeline for bias removal and flat fielding (Biretta et al. biretta (1996)). Individual exposures in each filter were combined to remove cosmic rays events.

## 4 Optical cores in FR II

In Paper I we have adopted a simple operative approach, based on the analysis of the nuclear brightness profile, in order to establish when an optical core is present in a radio galaxy. As in the case of FR I sources, the FWHM fall into two very distinct regimes: in 11 cases we measured a FWHM = 0.05′′ – 0.08′′, i.e. indicative of the presence of an unresolved source at the HST resolution, while in 8 cases we found widths larger than 0.2′′. We therefore believe that no ambiguity exists on whether or not a central unresolved source is present.

In three sources (3C 382, 3C 390.3 and 3C 445) the central regions are saturated. While, on the one hand, this prevents us from deriving their brightness profile, on the other is by itself a clear indication of a point-like source. In fact diffuse emission would produce saturation with our instrument configuration and exposure times only for surface brightness $`<13`$ mag arcsec-2 in the R band, much larger than typically observed in the central regions of radio-galaxies at this redshift. Furthermore in all these sources we observe diffraction rings and spikes, the characteristic hallmarks of the HST Point Spread Function.

We performed aperture photometry of these components. The background level is evaluated, as in Paper I, by measuring the intensity at a distance of $`5`$ pixels ($`0.23^{\prime \prime }`$) from the center. The dominant photometric error is thus the determination of the background in regions of steep brightness gradients, especially for the faintest cores, resulting in a typical error of $`10\%`$. For the saturated cores we evaluated their fluxes by comparing the PSF wings with those of several bright stars seen in archival HST images taken with the same filter. This method leads to a somewhat larger uncertainties, 25 % as estimated from the scatter of measures obtained with different reference stars, which arise from the time dependent structure of the HST PSF. In Table 1 we report fluxes and luminosities of the optical cores.

All of the images were taken using broad band filters, which include emission lines. In particular, the F702W transmission curve covers the wavelength range $`59008200`$ Å and thus within our redshift range includes the H$`\alpha `$ and \[N II\] emission lines. Unfortunately, no HST narrow band images are available for the NLRG and WLRG, however, we expect the line contamination to be small, due to the wide spectral region covered by the filters used ($``$ 2000 Å) with respect to typical lines equivalent width. We correct the broad band fluxes only in the case of BLRG, where the emission of broad lines is probably co-spatial to the optical core, using ground-based data taken from the literature (Zirbel & Baum zirbel (1995)). The resulting emission line contribution is typically $`2530\%`$ of the total flux measured in the F702W filter.

In 8 cases the nuclear regions only show diffuse emission: for such galaxies we estimate upper limits to a possible central component evaluating the light excess of the central 3x3 pixels with respect to the surrounding galaxy background. The remaining 3 sources show complex morphologies, e.g. with dust lanes obscuring the central regions, and no photometry was performed.

FR II cores span a wide range of optical luminosities $`L_o`$ (from $`10^{25.5}`$ up to $`10^{30}`$ erg s-1 Hz-1). In Fig. 3 we report the optical core versus radio (5 GHz) core luminosity for the FR II sample, superimposed to the data (as from Paper I) for FR I galaxies limiting ourselves, for consistency, to those with redshift $`z<0.1`$. FR II show a complex behavior, which however seems to be related to their optical spectral classification.

Let us firstly consider the blazar, 3C~371. As one might expect, since its emission is dominated by beamed synchrotron radiation, it is among the brightest source both in the radio and in the optical band (see Fig. 3). In the $`L_r`$ vs $`L_o`$ plane it falls in the low luminosity end of the region defined by radio selected blazars (Chiaberge et al., in preparation).

The second group of sources is represented by the BLRG (3C~111, 3C~227, 3C~382, 3C~390.3 and 3C~445): all of them have very luminous optical cores ($`L_o>10^{28}`$ erg s-1 Hz-1) being – together with 3C~371 – the most powerful objects of the sample and clearly separating from the other FR II in the diagram. Notice that they have an optical excess (or radio deficiency) of up to 2 orders of magnitude with respect to the radio-optical core luminosity correlation found for FR I.

In 5 WLRG and NLRG, namely 3C~88, 3C~285, 3C~388, 3C~402 and 3C~403, we detected optical cores which share the same region in the luminosity plane as FR I sources with luminosities between $`L_o=10^{25.5}`$ up to more than $`10^{27.5}`$ erg s-1 Hz-1.

The 8 upper limits, all associated with WLRG or NLRG, are also plotted. Four objects (3C~35, 3C~98, 3C~192 and 3C~326) lie close to the correlation defined by FR I. Conversely, 3C~15, 3C~353, 3C~452 and 3C~236 present an optical luminosity deficit of one to two orders of magnitude given their radio core emission with respect to FR I.

No radio core data have been found in the literature for 3C~136.1, 3C~198 and 3C~318.1.

## 5 Discussion

In the 24 nearby FR II radio galaxies (out of a complete sample of 26) studied in this paper, 13 show an unresolved optical core, in 8 cases we can only set an upper limit to their luminosity, while 3 sources present a complex nuclear morphology. The location in the optical-radio core luminosity plane is clearly connected to the optical spectral classification.

Conversely, cores in FR I radio galaxies show a linear correlation between their radio and optical luminosity, which strongly argues for a common non-thermal origin. The presence of such correlation provides a useful benchmark to investigate the origin of optical cores in FR II.

In the following we consider each FR II group separately.

### 5.1 Broad Line Radio Galaxies

Let us first focus on BLRG. These sources present, overall, a strong optical excess (or radio deficit), of up to two orders of magnitude, with respect to the correlation defined by the FR I cores (see Fig. 3). Note that in the sample of nearby FR I, the only source lying well above the radio-optical correlation is 3C 386, which also shows a broad H$`\alpha `$ line.

BLRG are objects in which the innermost nuclear regions are thought to be unobscured along our line of sight (Barthel bart89 (1989)). We therefore expect the presence of a thermal/disc component: indeed this might dominate over any synchrotron jet radiation and thus be responsible for the observed emission. The idea that we see directly an accretion disc is supported by several observations: in the case of 3C~390.3, a bump in the spectral energy distribution has been interpreted as radiation emitted by a disc component with intermediate inclination (Edelson & Malkan edelson86 (1986)). Furthermore, the broad and double peaked H$`\beta `$ line observed in this source as well as in other BLRG (see e.g. Eracleous & Halpern eracl94 (1994)), can be accounted for within a relativistic accretion disc model (Perez et al. perez88 (1988)).

The location of 3C 111 is puzzling, as it lies along the correlation. However, several pieces of evidence point to the idea that beamed radiation from the relativistic jet significantly contributes in this source: it has the largest core dominance among the BLRG of our sample; superluminal motions with apparent speed $`v3.4c`$ have been revealed in the inner jet (Vermeulen & Cohen vermu (1994)), implying that the angle between the line of sight and the jet axis is smaller than $`30^{}`$; the radio core is strongly variable and polarized (Leahy et al. leahy (1997)). Furthermore a broad K$`\alpha `$ iron line is detected in the X–ray band, but with a relatively small equivalent width which can be explained if the continuum emission is diluted by a beamed component (Reynolds et al. reynolds (1998)). However, its total radio extent of $``$ 250 kpc argues against a viewing angle typical of blazars. Thus 3C~111 appears to be a transition source between radio-galaxies and blazars, seen at an angle sufficiently small that the jet beaming already affects its nuclear properties.

### 5.2 WLRG and NLRG with optical cores

Let us now concentrate on the NLRG and WLRG in which we detected optical cores. These objects (2 WLRG and 3 NLRG), all with FR II radio morphology, have cores with radio and optical emission properties that are completely consistent with those found in FR I. This suggests that in these sources the nuclear emission is similarly dominated by synchrotron radiation from the inner jet.

In the case of FR I, based on the high fraction of detected nuclei, we suggested that any obscuring material must be geometrically thin and thus the absence of broad lines and the relative weakness of any thermal (disc) component with respect to the synchrotron emission cannot be ascribed to extinction.

For FR II with FR I–like nuclei – of which we do not have enough statistics – there is an alternative possibility, namely that the optical core (jet) emission is produced outside the obscuring torus (and thus outside the BLR). In this sense they would represent transition objects seen at an intermediate angle between the completely obscured and unobscured ones. However, VLBI observations show that radio cores are unresolved on scale of $``$ 0.1 pc in nearby radio galaxies and this suggests that their optical counter–parts have a similar extent, as already discussed in Paper I. Furthermore, a symmetric jet-counter jet structure has been observed in several radio sources, implying that they lie essentially in the plane of the sky (Giovannini et al. giovannini98 (1998)). If the core emission is indeed produced outside the torus, at a distance of, say, $``$1 pc from the central black hole, a clear separation between the two sides of the jet (and no stationary core) should be observed in these highly misoriented objects (although, at present, symmetric jets have been found only in FR I). This ad hoc geometrical model does not seem to be viable, but a conclusive test requires spectropolarimetry looking for polarized scattered broad lines. A further indication could be obtained from the comparison of the nuclear infrared (reprocessed?) luminosity of FR Is and FR IIs with FR I–like nuclei of similar optical luminosity.

We conclude that these FR II are intrinsically narrow-lined objects which are in every aspect, except their extended radio-morphology, similar to FR I. Note that the presence of an FR I-like nucleus in a FR II does not seem to be connected with the total (radio) luminosity or redshift of the galaxy. In fact, the total power of such sources spans the range $`L_{178}=10^{32}10^{33.5}`$ erg s-1 Hz-1 and the redshifts are between $`z=0.0250.091`$, completely overlapping with the entire sample and not limited, as one might expect, to the low luminosity end.

Conversely, it appears that a possible relationship exists between the occurrence of FR I-like nuclei in FR II and the environment, as all these 5 galaxies reside in clusters. This result can be particularly important, as it is known that FR I and FR II inhabit different environments, with FR II generally avoiding rich groups, especially at low redshifts (Zirbel zirb97 (1997)), while FR I are usually located in rich clusters. However, before any firm conclusion can be drawn about this issue, a larger sample of objects has to be considered.

### 5.3 WLRG and NLRG without optical cores

In 8 galaxies, all WLRG or NLRG, we do not detect the presence of an unresolved nuclear component. Four sources are located above or very close to the FR I correlation. They are consistent with being objects in which an optical counter–part to the radio core is present, but it is too faint to be seen against the bright background of the host galaxy.

The remaining 4 objects (3 NLRG and 1 WLRG) are certainly more interesting, since they lie 1 - 2 orders of magnitude below the correlation. Therefore they lack not only of a BLR, but also of the expected optical counterpart of the radio core. However, note that these sources have radio core luminosities which cover the same range of BLRG. According to the prescriptions of the unification schemes, they can well be the obscured counter–parts of BLRG. Noticeably, excluding the blazar 3C~371, BLRG and these obscured sources clearly distinguish themselves for having the brightest radio cores among FR II.

## 6 Conclusions

In Chiaberge et al. (pap1 (1999)) we discovered that FR I nuclei lie in the radio-optical luminosity plane along a tight linear correlation. We argued that this is due to a common synchrotron origin for both the radio and optical emission. FR I nuclei must also be unobscured and intrinsically lacking of BLR and of significant thermal emission from any powerful accretion disc.

In order to explore how the differences in radio morphology are related to the optical nuclear properties, we analyzed HST images of 24 extended radio-galaxies morphologically classified as FR II, belonging to the 3C catalog and with $`z<0.1`$. We detected optical cores in 13 sources, which implies that the covering fraction of any obscuring material is less than $`0.54`$, or equivalently, the torus has an opening angle of $`63^{}`$. This can be even larger if at least some of the upper limits are actually just below the detection threshold. Notice that our determination of this critical angle is inconsistent with the division between higher redshift ($`0.5<z<1`$) 3CR quasars and radio galaxies, which has been found to be $`\theta 45^{}`$ (Barthel bart89 (1989)). This might be a problem, however the low redshift selection of our sources does not allow to derive any firm conclusion. We are currently studying a larger and higher redshift sample in order to further investigate this issue (Chiaberge et al. in preparation).

Our results suggest that the radio morphology is not univocally connected with the optical properties of the innermost structure of radio galaxies. In fact, at least at low redshifts, there is not a single homogeneous population of FR II: unlike FR I, they show a complex behavior, which is however clearly related to their optical spectral classification.

In BLRG optical nuclei are likely to be dominated by thermal (disc) emission. As discussed above, line emission contamination cannot account for this excess. In agreement with the current unification scheme of radio loud AGNs, we also identify their possible obscured counter–parts. It seems that broad lines and obscuring tori are closely linked and both are present only associated to radiatively efficient accretion.

We also find five FR II sources, spectrally identified as narrow lined objects, which harbor nuclei essentially indistinguishable from those seen in FR I. By analogy with FR I, we argue that their optical nuclear emission is produced primarily by synchrotron radiation, they are not obscured to our line of sight and therefore intrinsically lack a BLR.

Clearly, a classification based on the optical nuclear properties, as seen in these HST images, is more likely to reflect true similarities (or differences) on the nature of the central engine (such as, e.g., the rate of radiative dissipation in the accretion disc) than the traditional dichotomy of radio morphology.

From our data and within the limits of the available statistics, we find no evidence of a continuous transition between the two classes (FR I and FR II), as they are well separated in the $`L_r`$ vs $`L_o`$ plane. At this stage we only point out that sources with cores below $`L_o<10^{27.5}`$ erg s-1 Hz-1 (or equivalently $`L_r<10^{31}`$ erg s-1 Hz-1) have FR I like nuclei, while FR II start above this threshold.

It is of particular interest that a significant fraction of FR II (at least 30 %, but can be as large as 50 % depending on the nature of the sources without detected optical nuclei) have FR I–like nuclei. The fact that all of these are located in clusters, an environment typical of FR I, might represent an important hint on the origin of the different flavours of radio galaxies, worth exploring through the study of a larger sample of objects.

These results have also interesting bearings from the point of view of the unified models. In fact, this picture argues against the idea that all FR II radio galaxies constitute the parent population of radio-loud quasars. We propose instead that galaxies with FR II morphology and an FR I-like core are possibly mis-aligned counter–parts of BL Lac objects. This can account for the observation that some radio-selected-type BL Lacs show radio morphologies more consistent with FR II than with FR I (e.g. Kollgaard et al. koll92 (1992)).

To conclude, we note that all of the galaxies included in our sample are low redshift objects with total radio powers not exceeding $`L_{178}10^{27}`$ erg s-1 Hz-1: thus a crucial observational issue is to understand whether these results hold to higher power/redshift samples or they are limited to low luminosities FR II. This will be explored in a forthcoming paper.

###### Acknowledgements.

We thank Jim Pringle for insightful suggestions and Edo Trussoni for useful comments on the manuscript. The authors acknowledge the Italian MURST for financial support. This research was supported in part by the National Science Foundation under Grant No. PHY94-07194 (A. Celotti).
This research has made use of the NASA/IPAC Extragalactic Database (NED) which is operated by the Jet Propulsion Laboratory, California Institute of Technology, under contract with the National Aeronautics and Space Administration.


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# Disorder and Interaction in 2D: Exact diagonalization study of the Anderson-Hubbard-Mott model

## Abstract

We investigate, by numerically calculating the charge stiffness, the effects of random diagonal disorder and electron-electron interaction on the nature of the ground state in the 2D Hubbard model through the finite size exact diagonalization technique. By comparing with the corresponding 1D Hubbard model results and by using heuristic arguments we conclude that it is unlikely that there is a 2D metal-insulator quantum phase transition although the effect of interaction in some range of parameters is to substantially enhance the non-interacting charge stiffness.

Understanding the nature of the ground state in an interacting disordered electron system is one of the most formidable and interesting challenges in condensed matter physics. A question of fundamental importance is whether the ground state of an interacting disordered electron system is a metal, an insulator, or some other state (e.g. superconductor). This question takes on particular significance in two-dimensional (2D) systems where it is generally accepted that (1) the disordered 2D system in the absence of any interaction is a localized (weakly localized for weak disorder) insulator, and (2) the interacting clean 2D system (without any disorder) is a Fermi liquid metal at high electron densities (and a Wigner crystal at low electron densities). Little is known about the disordered interacting system when both disorder and interaction are strong and of comparable magnitudes so that neither may be treated as a perturbation. A notable attempt  by Finkelstein to analytically explore the nature of the disordered interacting electron system remains inconclusive as the theory flows toward strong coupling. Recently renewed interest has developed  in this subject with much of the current motivation arising from a set of experimental measurements on the low temperature transport properties of low density 2D electron (or hole) systems confined in Si MOSFETs and GaAs heterostructures. These transport measurements (carried out as a function of carrier density) have been interpreted  by many (but not all) as exhibiting evidence for a 2D metal-insulator quantum phase transition (M-I-T) with the system being a metal at high density $`n(>n_c)`$ and an insulator at low density $`(n<n_c)`$ with $`n_c`$ as the critical density separating the two phases. If true this would be a striking example of an interaction driven quantum phase transition since changing density $`(n)`$ is equivalent to tuning the effective ratio of the interaction energy to the non-interacting kinetic energy of the system. Much interest has naturally focused on this possible 2D M-I-T quantum phase transition, particularly because the corresponding non-interacting disordered 2D electron system is thought on rather firm grounds  to be always localized (Anderson localization) and therefore strictly an insulator at T=0 in the thermodynamic limit. (Much of the debate in interpreting the experimental data relating to the 2D M-I-T phenomenon arises from the fact that the experiments are necessarily done at finite temperatures and in finite systems, whereas the theoretical quantum phase transition is a T=0 infinite system phenomenon.) If such a 2D MIT exists it is of great interest because the metallic phase must be a non-Fermi liquid since it cannot be adiabatically connected to the corresponding insulating noninteracting 2D disordered system.

In this letter we address the nature of the ground state of a disordered interacting 2D electron system numerically by exactly diagonalizing the few particle 2D interacting Hamiltonian and doing a disorder averaging. We use the extensively studied 2D Hubbard model  and its natural extensions for our exact diagonalization calculations. We study the effects of both on-site (as in the standard Hubbard model) and longer range interactions whereas the disorder in our model is a random on-site disorder of strength $`W`$ (with $`W`$ denoting the width of the square distribution from which the on-site disorder energy is randomly chosen). Without interaction, our model is the 2D Anderson model, which has a localized insulating ground state, whereas without disorder our model is the Mott-Hubbard model which has an extended metallic ground state away from half filling. We restrict to low “metallic” filling factors (typically less than quarter filling) because our central interest is in understanding the continuum systems, and also because we want to stay below half filling where the 2D Hubbard model has an interaction driven Mott transition. Our typical exact diagonalization study uses the Lanczos technique for $`N=6`$ electrons (with spin) on a $`4\times 4`$ 2D lattice, corresponding to a filling of $`\nu =6/32=3/16`$. This involves the diagonalization of matrices of $`313600^2`$size. We typically average over 10 disorder realizations. Following standard notations  three parameters $`t`$ (the hopping amplitude), $`U`$ (the on-site interaction strength), and $`W`$ (disorder strength) parametrize our minimal Anderson-Hubbard model. We carry out our exact diagonalization in the subspace of the total number of electrons $`N`$ and the total spin component $`S_z=[(NM)/2+M/2]`$ with $`M`$ being the number of spin up electrons. We note that the Hilbert space grows exponentially with the system size, and the results presented in this work are the essential current limit on what can be achieved via the exact diagonalization technique for this problem.

To characterize the nature of the ground state, i.e. its localization properties, we use the technique  suggested by Kohn a long time ago and calculate the charge stiffness $`D_c`$, sometimes also referred to as the Drude weight, of the finite system. We calculate charge stiffness for each individual disorder realization exactly through our finite size diagonalization, and then obtain the root mean square average by averaging over a number of disorder realizations. The charge stiffness $`D_c`$, which is simply related to the persistent current , is the zero frequency weight of the long wavelength conductance (i.e. the Drude weight) in the system. As such, it is finite for a metal or a conductor and is zero for an insulator or a localized system in the thermodynamic limit . Thus $`D_c`$ is an eminently reasonable “order parameter” for studying metal-insulator or localization transitions, although the fact that in finite systems $`D_c`$ must necessarily be finite introduces complications in interpreting numerical results. We mention that the strict classification of a metal (finite $`D_c`$) or an insulator ($`D_c=0`$) based on the charge stiffness applies in the thermodynamic limit only in the absence of disorder because diffusive metallic electrons (in the presence of finite disorder) have algebraically vanishing $`D_c`$ in the thermodynamic limit (whereas $`D_c`$ vanishes exponentially in the thermodynamic limit for an insulator). But this is only of academic interest in finite cluster studies where no strict distinction between metals and insulators exist in any case since all finite systems, by definition, have finite conductance (and are therefore ”metals” in a trivial sense) by virtue of finite size effects. Charge stiffness (or persistent current magnitude) has been extensively used in the literature in finite size numerical localization studies (see, for example, ref. 7 in the context of 2D M-I-T problem) of disordered interacting systems, and it is empirically well-known that the calculation of $`D_c`$ in finite systems is an extremely effective way of numerically studying the localization problem in the presence of both interaction and disorder. This is mainly because the charge stiffness is closely related to the phase sensitivity of the system to boundary conditions, which is an operationally effective way of distinguishing a metal from an insulator.

In Fig. 1 we show our calculated disorder-averaged charge stiffness for the $`4\times 4`$ 2D Hubbard cluster (with $`6`$ electrons) as a function of the on-site repulsion $`U`$ for various values of the disorder strength $`W`$. In the absence of any disorder ($`W=0`$), the clean 2D Hubbard model away from half filling is expected to be a metal with a finite value of $`D_c`$, whereas the corresponding 2D Anderson model ($`U=0`$, $`W0`$) is expected to be a weakly localized insulator for small $`W`$ (crossing over to an exponentially strongly localized insulator for large $`W`$). The numerical results for these limiting cases ($`W=0`$, $`U0`$ and $`W0`$, $`U=0`$) are also shown in Fig. 1 for the sake of comparison and completeness.

The most important generic feature of the results shown in Fig. 1 is the peak in the charge stiffness at an intermediate value of $`UU_cW`$ where the calculated charge stiffness for the finite 2D cluster has a maximum for a given disorder strength $`W`$. The charge stiffness $`D_c`$ appears to decrease from this peak value (for a given $`W`$) for both $`UU_c`$. Note that $`D_c`$ increases sharply from $`U=0`$ to $`U=U_c`$, and then decreases slowly for $`U>U_c`$. This peak or the maximum in $`D_c`$ is rather manifest in Fig. 1 for $`W/t=5`$ and $`3`$ (i.e. for strong disorder) whereas for weak disorder (e.g. $`W/t=0.5`$ in Fig. 1) the peak occurs at somewhat larger values of $`U/W2`$ and is not so obvious from Fig. 1 (we have explicitly verified that the peak exists for $`W/t=0.5`$ also). The actual value of $`U_c/t`$ clearly depends on the disorder strength $`W`$, increasing with $`W/t`$ from $`U_c/t0.95`$ for $`W/t=0.5`$ through $`U_c/t3.0`$ for $`W/t=3`$ to $`U_c/t3.5`$ for $`W/t=5`$. The qualitative behavior of our results is explained by the competition between $`U`$ and $`W`$ in the Anderson-Hubbard model. In a disordered system the random potential $`W`$ favors a maximal occupation (double occupation for our spin $`1/2`$ electrons) of the lowest energy sites. The on-site repulsion $`U`$ on the other hand opposes double occupancy and favors configurations with minimal number of double-occupied sites. This competition between $`W`$ and $`U`$, where $`W`$ tends to localize the charge density and $`U`$ tends to homogenize the charge density, is a well-known feature  of the disordered Hubbard model. The results shown in Fig. 1, in particular, the increase of $`D_c`$ as $`U`$ increases from zero for a fixed disorder strength $`W`$, is a direct result of the competition. Note that the actual crossover behavior of $`D_c(U,W,t)`$ shown in Fig. 1 cannot be parametrized by the single parameter $`U/W`$$`D_c`$ depends on both $`U/t`$ and $`W/t`$. We have carried out similar calculations in an ‘extended’ Anderson-Hubbard model with a long-range interaction (in addition to $`U`$) with results qualitatively similar to those shown in Fig. 1.

The direct interpretation of our exact finite size results shown in Fig. 1 is that the conductance of a finite disordered 2D system increases when the interaction is turned on (at a fixed disorder), reaching a maximum for $`U=U_cW`$, and then it decreases slowly with still increasing $`U`$. The issue of applying these numerical results based on $`4\times 4`$ 2D clusters to address the fundamental question of 2D M-I-T is, however, extremely tricky. For example, one popular recent line of thinking, based mostly on numerical work involving spinless electrons in finite 2D systems , has been to interpret equivalent results on interaction-enhanced conductance as evidence in favor of a 2D M-I-T, with the peak in $`D_c`$ at $`UU_c`$ being interpreted as an intermediate metallic phase. We disagree with this interpretation for reasons to be discussed below. We emphasize that any conclusion about the existence of a true quantum phase transition, based entirely on small system numerical results of the type shown in Fig. 1, is fundamentally problematic since all finite systems (whether they are conductors or insulators in the thermodynamic limit) have finite $`D_c`$ in finite size systems. In principle, a finite size scaling analysis of the numerical results is capable of determining the existence of a quantum phase transition (i.e. the 2D M-I-T), but in practice, of course, one does not have anywhere near the number of data points (for various 2D system sizes) minimally required to carry out a meaningful finite size scaling analysis in this problem.

Our conclusion that the charge stiffness results depicted in Fig. 1 do not indicate the existence of a true 2D M-I-T, but instead show a crossover from an Anderson insulator at small $`U/W`$ to a disordered Mott insulator (a “Wigner glass” phase) at large $`U/W`$ with an intermediate crossover regime (around $`U=U_cW`$) of interaction-enhanced finite size conductance (or equivalently, an enhanced localization length), which is not a thermodynamic “metallic phase”, is based on two complementary sets of arguments: (1) Comparison with the corresponding one dimensional (1D) results; and (2) strong circumstantial evidence based on heuristic theoretical arguments.

To better understand the nature of the 2D disordered Hubbard model we have carried out an identical finite system charge stiffness calculation on the corresponding 1D disordered Hubbard model (1D Hubbard rings). We show the corresponding 1D Anderson-Hubbard model results in Fig. 2 for $`6`$ electrons on a $`12`$ site ring (corresponding to quarter filling). The 1D results of Fig. 2 are qualitatively identical to the 2D results of Fig. 1: $`D_c`$ in the disordered 1D Hubbard model initially increases as a function of $`U/W`$ for a fixed $`W`$, showing a maximum at $`U=U_cW`$, and then it decreases slowly for large $`U>U_c`$, exactly as in 2D system. The “critical” $`U_c/t`$ for the charge stiffness peak in the 1D system is $`U_c/t0.7`$, $`3.3`$, $`4.5`$ for $`W/t=0.5`$, $`3`$, $`5`$ respectively (which are not that different from the corresponding 2D results at $`3/16`$ filling).

Noting that the charge stiffness results shown in Figs. 1 and 2 in the 2D and 1D disordered Hubbard models respectively are essentially indistinguishable (i.e. just by looking at the results of Figs. 1 and 2 one does not know which one corresponds to 1D and which to 2D since the results are qualitatively identical) one is forced to conclude that if the results of Fig. 1 are interpreted as exhibiting evidence for a 2D M-I-T then one must, based on the results of Fig. 2, infer that there is also a 1D M-I-T in the disordered 1D Hubbard model as a function of the interaction strength. We mention in this context that we have verified that the 1D disordered extended Hubbard model (with additional long range interaction) produces results qualitatively similar to those in the corresponding 2D system – thus the equivalence between 1D and 2D charge stiffness results is valid for finite and long range interactions also.

There are, however, very compelling theoretical grounds  to believe that 1D disordered systems are localized even in the presence of interaction. Thus, the results of Fig. 2 cannot be interpreted as evidence for a 1D M-I-T — instead the maximum in $`D_c`$ as a function of $`U`$ only indicates the interaction-induced enhancement of the localization length (or, equivalently the persistent current ), which in a finite system, increases the Drude conductance or the charge stiffness. Based on the striking qualitative similarity between the 1D (Fig. 2) and the 2D (Fig. 1) results and the fact that both systems have strictly localized or insulating ground states in the disordered, $`W0`$, non-interacting, $`U=0`$, system) we therefore conclude that the 2D results of Fig.1 do not indicate a 2D M-I-T; it only indicates an interaction-induced enhancement of the 2D localization length for intermediate interaction strengths $`UU_c`$. Note that while the intermediate-interaction crossover regime ($`UU_c`$) is not a new quantum phase (it is still an insulator), the interaction-induced enhancement of the 2D localization length may be extremely large, and even the experimental 2D systems  showing the so-called 2D M-I-T may actually be “effective” metals since the enhanced localization lengths may be larger than the actual system size (or, the phase breaking length at finite temperatures).

In addition to the above empirical argument for the non-existence of a 2D M-I-T based on the comparison between 1D and 2D exact diagonalization results we have a heuristic theoretical argument which points to the same conclusion. The small $`U(0)`$ and the large $`U(\mathrm{})`$ interaction limits of the disordered 2D Hubbard model are believed to be insulating or localized on theoretical grounds. The non-interacting $`(U0)`$ disordered 2D system is known to be localized for any finite disorder (the localization length is exponentially large, the so-called weak localization regime, for small disorder) by virtue of the scaling theory of localization . The localized large $`U(\mathrm{})`$ regime arises from the fact that the pure Hubbard ground state (in the absence of disorder) must have strong ferromagnetic correlations in the large-$`U`$ limit in order to minimize the interaction energy. In fact, it is known  that the large $`U`$ ground state of a Hubbard-type model with an additional next-nearest neighbor hopping term is ferromagnetic (the same is true for the pure Hubbard model at fillings close to half). In this limit, therefore interaction tends to become less relevant since the electrons being spin polarized avoid each other. The system in this large-$`U`$ limit may thus be approximately equivalent to a non-interacting or weakly interacting system (albeit a spin-polarized one), and the introduction of any disorder ($`W0`$) necessarily localizes this 2D “effectively non-interacting” Hubbard system. The weakly localized (for small disorder) large $`U(\mathrm{})`$ 2D system has, however, an exponentially longer localization length (which explains the enhanced $`D_c`$ for large $`U`$ in Fig. 1) than the usual non-interacting ($`U0`$) disordered limit because the ferromagnetic spin-polarized phase ($`U\mathrm{}`$) has a larger Fermi energy, which would exponentially enhance the localization lengths. Thus, both the small $`U`$ and the large $`U`$ regimes are necessarily localized, and the enhancement of $`D_c`$ in the intermediate-$`U(U_c)`$ regime must either indicate a crossover between an Anderson insulator ($`U0`$) and a disordered Mott insulator (equivalently a Mott glass, “Wigner glass” in the corresponding continuum system) for $`1/U0`$ or involve two quantum phase transitions – one from the low-$`U`$ Anderson insulator phase to the intermediate ($`UU_c`$) “metallic” phase with enhanced $`D_c`$ and then again from this intermediate “metallic” phase to the large-$`U`$ Mott glass phase. We see absolutely no features in our 2D or 1D numerical results which could be indicative of such a double or re-entrant insulator ($`U0`$) - “metal” ($`UU_c`$) - insulator ($`1/U0`$) quantum phase transition.

We conclude with a critical discussion of the recent low temperature experimental results in low density, high mobility 2D systems which have motivated the current resurgence in the issue of 2D M-I-T in disordered and interacting electron systems. Experimentally one finds  that the high density regime ($`n>n_c`$) is “metallic” in the sense of having a positive temperature coefficient ($`\frac{d\rho }{dT}>0`$) of the resistivity $`\rho `$ and the low density ($`n<n_c`$) is insulating with $`\frac{d\rho }{dT}<0`$. This has been interpreted by many  (but not all -) as clear evidence of an interaction-driven M-I-T occurring at a critical density $`n_{c\text{ }}`$. The standard interpretation of these experimental observations as a 2D M-I-T is, however, problematic because the high density phase (i.e. the less interacting phase) is the nominal “metallic” phase according to this interpretation. This makes little sense since the non-interacting or the weakly interacting very-high density phase must be a weakly localized 2D insulator based on the scaling theory . Thus, very similar to the conclusion we reached for our exact diagonalization numerical results, the experimental situation must correspond to either a double quantum phase transition (the very high density phase is a weakly localized insulator, with the intermediate regime, corresponding to our peak in $`D_c`$ around $`UU_c`$, being a novel interaction-induced “metallic” phase) or just a sharp crossover from a high density weakly localized insulator to a low density strongly localized insulator occurring around $`nn_c`$. Logically, there can be either two quantum phase transitions (insulator$``$metal$``$insulator) or none, based on our knowledge that the asymptotic high and low density phases are both insulating phases with the high density phase being the standard weak localized phase and the low density phase being a strongly localized phase. Experimentally, there is little evidence for two quantum phase transitions (note that there must be two quantum phase transitions or none; it cannot be one quantum phase transition and one crossover). Therefore we believe, based on arguments similar to what we use to interpret our theoretical results presented in this paper, that the experimental observations are indicating a very sharp crossover (around $`nn_c`$) from a weakly to a strongly localized 2D insulator as $`n`$ decreases, and the high density regime ($`n>n_c`$) is only an effective “metal” because the effective system size (the phase breaking length at finite $`T`$) is smaller than the localization length which may have been substantially enhanced by interaction effects as we show in this paper. There is some very recent experimental support  for this scenario.

We emphasize that the interaction induced enhancement of $`D_c`$ for $`0<U/W1`$ in Fig. 1 should not be considered as evidence in favor of a 2D M-I-T (as was recently done in ref. 7 based on finite system studies of spinless electrons using smaller system sizes) particularly since (1) the interaction enhancement is only effective for very large disorder strength ($`W/t>1`$) where the system is likely to be localized any way (note that for weak disorder, $`W/t<1`$, there is essentially no interaction induced $`D_c`$ enhancement – if there is indeed an interaction-driven 2D metallic phase it is likely to be in the low disorder regime where Fig. 1 indicates little interaction enhancement), and (2) the actual interaction-enhanced $`D_c`$ values in the strong disorder regime in Fig. 1 are still extremely small in magnitude (and are much smaller than the corresponding $`D_c`$ values for non-interacting weak disorder system, which is still known to be weakly localized by virtue of scaling localization). We therefore conclude that the interaction enhancement of $`D_c`$ seen in Fig. 1 (and 2) indicates an interaction-driven enhancement of the localization length in the strong disorder regime, and not a 2D M-I-T.

We thank Eugene Demler for stimulating discussions. We also acknowledge helpful correspondence with Andy Millis, Charles Stafford and Dieter Vollhardt. This work is supported by the US-ONR.


text:
# Discovery of an Obscured Broad Line Region in the High Redshift Radio Galaxy MRC 2025-218

## 1. Introduction

Deep radio surveys have proven to be one of the best methods for finding high redshift galaxies. Most evidence suggests that these powerful radio sources are the precursors of local giant ellipticals (e.g. Pentericci, et al. 1999). Many have irregular and complex morphologies suggestive of mergers and they are often surrounded by an overdensity of compact sources; presumably sub-galactic clumps (e.g. van Breugel et al. 1998). At both low and high redshifts, radio galaxies usually have strong optical emission lines, especially OIII at 5007 Å. It is strongly debated, however, if the emission lines arise by the same mechanism as the radio jets. Several authors (e.g. Rawlings & Saunders 1992, Eales & Rawlings 1993, and Evans 1998) have demonstated a strong correlation between radio luminosity and \[OIII\] luminosity, but as Evans showed, there is a strong selection effect based on the detection limits as a function of distance and this may explain much of the correlation. Since the galaxies are often disturbed, star formation, large scale shocks and a central AGN are all possible sources of the line emission. Active galaxy unification models suggest that radio galaxies are quasars with obscured broad line regions (e.g. Antonucci 1993). Eales & Rawlings (1993, 1996) and Evans (1998) have been successful at using infrared spectrographs on 4-meter class telescopes to measure a few of the brightest lines in small samples of radio galaxies in the redshift range 2.2 to 2.6 and they find line ratios most consistent with Seyfert 2 (obscured AGN) nuclei. Independent of our current efforts, a team has also successfully used the ISAAC instrument on the VLT to observe high redshift radio galaxies (HzRGs) including MRC 2025-218 (McCarthy, personal communication).

An additional unexplained phenomenon is that at high redshifts (z$`>`$0.6) the radio, optical continuum, infrared continuum and emission line structures tend to be closely aligned (Chambers, Miley, & van Bruegel 1987, and McCarthy et al. 1987). This is probably not seen in lower redshift targets because the central activity tends to be a smaller fraction of the total luminosity than in high redshift sources. Among the proposed explanations are that the emission lines arise from shock induced star formation (De Young 1989, Rees 1989) or that it is scattered light originating from the central nucleus (Fabian 1991). This is a crucial question in our understanding of how and when most star formation occured in giant elliptical galaxies and in clusters in general.

MRC 2025-218 (z=2.630) has a compact near infrared and optical continuum morphology (van Breugel et al. 1998), but extended Ly$`\alpha `$ emission (5′′) aligned with its radio axis (McCarthy et al. 1992). The extended UV emission has significant (8.3$`\pm `$2.3 %) linear polarization perpendicular to the UV axis (Cimatti et al. 1996) suggesting that scattering plays a significant role. McCarthy et al. also found three extremely red galaxies (ERO’s: R-K $`>`$ 6 mag) within 20′′ of the radio galaxy. This is a large overdensity of such objects and strongly suggests an association between the ERO’s and the active galaxy. In this paper we present infrared spectra taken with a long slit oriented close to the radio axis and including one of the ERO’s. The ERO spectra will be described in a future paper. For all calculations we have assumed a cosmology with $`\mathrm{\Lambda }`$=0, q0=0.1 and H0=75 km s-1 Mpc-1. For a redshift of 2.63 this yields a luminosity distance of 2.1$`\times `$104 Mpc and an angular scale of 7.7 kpc per arcsecond.

## 2. Observations and Data Reduction

The field of MRC 2025-218 was observed on 4 Jun, 1999 (UT) with the near infrared spectrograph NIRSPEC (McLean, et al. 1998 and McLean, et al. 2000) on the Keck II Telescope during its commissioning. First the field was imaged in the K-band with the slitviewing camera which is a HgCdTe PICNIC detector (2562 pixels) sensitive from 1 to 2.5 microns. Figure 1 shows the reduced image of the field with a total integration time of 540 seconds and a FWHM of 0$`\stackrel{}{\mathrm{.}}`$54. As shown in the figure, the slit (42′′ long and 0$`\stackrel{}{\mathrm{.}}`$57 wide) was placed on both the radio galaxy and the extremely red galaxy dubbed ERO-A by McCarthy et al. (1992). This corresponded to a slit position angle of -7 degrees.

Figure 1. - K band image of the MRC 2025-218 field.

For spectroscopy, the telescope was repeatedly moved roughly 20 arcseconds to center the objects first in the upper portion of the slit then the lower portion. Four 300 second exposures were taken in both the H-band ($``$1.6$`\mu `$m) and K-band ($``$2.2$`\mu `$m) yielding an effective integration time on MRC 2025-215 of 20 minutes in each band. For guiding, NIRSPEC’s optical guide camera was used to actively track a bright star roughly 2 arcminutes from MRC 2025-218.

Arc lamp and flat lamp spectra were taken at each setting prior to changing mechanism setups. The 7.6 magnitude A0 star PPM 272233 was also observed at the same settings in order to remove telluric absorption effects from the atmosphere. The calibrator star was reduced first. For each band the spectral pair was subtracted and divided by a reduced flat field lamp spectra. Bad pixels were then identified and removed by medianing the four nearest neighbors. The spectra were spatially rectified using a quadratic polynomial at each row, then spectrally rectified with a quadratic at each column. The negative spectrum of the star was then shifted and subtracted from the positive spectrum producing a combined spectrum with residual atmospheric lines removed. The stellar spectrum was extracted by averaging the central 3 pixels along the 2-d spectrum. A synthetic black body spectrum was divided into the stellar spectrum and residual hydrogen absorption lines from the Brackett series were interpolated over. The spectra of the radio galaxy were reduced in a similar way except they were divided by the reduced calibration star spectrum instead of a black body. For extraction of the galaxy spectra, a 6 pixel spatial aperture (1$`\stackrel{}{\mathrm{.}}`$14) was used. Spectrophotometry was obtained by determining the equivalent widths of the emission lines within a 1$`\stackrel{}{\mathrm{.}}`$5 aperture in the spectra and comparing this to the broad band fluxes of the galaxy in a 1$`\stackrel{}{\mathrm{.}}`$5 circular aperture in the slit viewing camera images.

Figure 2. - H band spectrum of MRC 2025-218. It is dominated by \[OIII\] at rest wavelength 5007 Å. Also present is the other member of this doublet (\[OIII\], 4959 Å) and a weak H$`\beta `$ emission line.

## 3. Results

Figure 2 shows the H-band spectrum of MRC 2025-218. By far the most dominant line is \[OIII\] (5007 Å) redshifted to 1.82 $`\mu `$m. This line is highlighted in figure 3 where the complete position velocity map of this line is presented. Panel (a) of figure 3 is stretched to highlight the spectrally double nature of the nuclear emission ($`\mathrm{\Delta }`$v $``$ 200 km sec-1). Panel (b) shows three faint emission knots at large angular separations (1′′-2′′) and/or high kinematic velocities ($``$400 km s-1) Although faint, these structures repeat in the individual spectra that cover the \[OIII\] line. Two knots appear at essentially 0 km sec-1 relative velocity, but 1$`\stackrel{}{\mathrm{.}}`$8 North and 2$`\stackrel{}{\mathrm{.}}`$4 South of the Nucleus. A high speed clump appears 1′′ North of the nucleus and at a redshifted relative velocity of 410 km sec-1. This high speed clump is also the brightest within our slit with a flux of roughly 1$`\times `$10-16 ergs s-1 cm-2. Also detected in the H-band spectrum is the other member of the \[OIII\] doublet at 4959 Å, and H$`\beta `$. The ratio of \[OIII\] / H$`\beta `$ is extremely large at 17$`\pm `$7. The H$`\beta `$ line has a total nuclear flux of only 5 $`\times `$ 10-17 ergs cm-2 s-1. Table 1 gives all detected fluxes and line widths.

Figure 4 shows the K-band spectrum which is dominated by a broad H$`\alpha `$ emission line. The spectrum has had a median filter passed over it to improve the appearance of the fainter lines. The H$`\alpha `$ is well modeled by a pair of Gaussians having line widths of 9300$`\pm `$900 km/s and 730$`\pm `$100 km/s. The narrow component is consistent with the Ly$`\alpha `$ line width of 700 km/s found by Villar-Martin et al. 1999. After subtracting away the two H$`\alpha `$ components, the middle graph in figure 4 shows the strong \[NII\] (6548/6583 Å) emission lines as well as weaker features from \[OI\] (6300 Å) and \[SII\](6716/6731 Å). The line fluxes and widths are also given in table 1.

Figure 3. - Position velocity plots for OIII (5007). Panel (a) is stretched to show the double nuclear peak. Panel (b) highlights three extended emission regions circled in white. The OIII line is highly disturbed with several different kinematic and spatial components including a kinematically split nucleus and a high velocity (400 km/s) knot located 2” off nucleus. Nearby OH lines from the Earth’s atmosphere are labeled.

| TABLE 1 | | | |
| --- | --- | --- | --- |
| Emission Line Strengths | | | |
|  | Rest | Flux | Line Width |
| Line | $`\lambda `$(Å) | ($`\times 10^{16}`$ ergs s-1 cm-2) | (km s-1) |
| SII | 6731 | 0.4$`\pm `$0.3 | 200$`\pm `$100 |
| SII | 6716 | 0.6$`\pm `$0.3 | 200$`\pm `$100 |
| NII | 6583 | 1.3$`\pm `$0.3 | 880$`\pm `$100 |
| NII | 6548 | 1.3$`\pm `$0.3 | 880$`\pm `$100 |
| H$`\alpha `$(narrow) | 6563 | 2.7$`\pm `$0.4 | 730$`\pm `$100 |
| H$`\alpha `$(broad) | 6563 | 18$`\pm `$2 | 9300$`\pm `$900 |
| OI | 6300 | 0.8$`\pm `$0.3 | 800$`\pm `$400 |
| OIII | 5007 | 8.4$`\pm `$1.6 | 600$`\pm `$200 |
| OIII | 4959 | 2.1$`\pm `$0.4 | 600$`\pm `$200 |
| H$`\beta `$ | 4861 | 0.5$`\pm `$0.3 | 600$`\pm `$200 |

## 4. Discussion

### 4.1.  Nuclear Spectrum

The nuclear spectrum of the HzRG MRC 2025-218 is clearly dominated by emission lines from a central AGN. The broad H$`\alpha `$ line width is 9300 km/s which is only seen in type I AGN (unobscured broad line regions). This line width is very close to the mean H$`\beta `$ line width of 9870$`\pm `$950 km/s of radio loud quasars in the redshift range 2.0 to 2.5 by McIntosh et al., 1999. The ratio of \[OIII\]/H$`\beta `$ is 17 which is also only seen in AGN and ratios of \[NII\]/H$`\alpha `$ and \[OI\]/H$`\alpha `$ are also consistent with AGN excitation (Osterbrock, 1989).

From the H$`\alpha `$/H$`\beta `$ narrow line ratio of 5.4 we derive an optical extinction AV=1.4 mag. In this calculation we’ve assumed an intrinsic ratio of H$`\alpha `$/H$`\beta `$ = 3.1 as seen in local AGN (Osterbrock, 1989), and the interstellar extinction law of Cardelli et al. (1989). This must be treated as an upper limit, however, since radio loud objects may have elevated H$`\alpha `$ due to collisional excitation (e.g. Baker et al. 1994). If the broad line ratio of H$`\alpha `$/H$`\beta `$ were similar to the narrow line ratio, then broad H$`\beta `$ should have marginally been detected in our H-band spectrum. We therefore feel safe in the assumption that the extinction to the broad line region is similar to the value for the narrow line region (1.4 mag), but not necessarily significantly greater. This extinction is also sufficient to explain the lack of broad Ly$`\alpha `$ detections in McCarthy et al. (1990) and Villar-Martin et al. (1999b). Without extinction our broad line emission would predict a Ly$`\alpha `$ broad line flux of 2.6$`\times `$10-15 ergs s-1 cm-2 in the Villar-Martin slit which would have been easily detected but with AV=1.4 mag this is reduced to less than 3$`\times `$10-16 ergs s-1 cm-2 which would have been marginably detected at best.

Figure 4. - The K band spectrum of MRC 2025-218 is dominated by a very wide (9300 km s-1) strong emission line of H$`\alpha `$. The upper graph is the reduced spectrum overlayed with the H$`\alpha `$ profiles. The dashed line is the x-axis for this graph. The middle graph has had the continuum and H$`\alpha `$ emission lines subtracted to emphasize the weaker lines of NII. The bottom graph is the residuals after subtracting gaussians for each emission line.

Given the similarities in line width with radio loud quasars we now try to determine if the extinction could explain the observed differences between MRC 2025-218 and radio loud quasars. If we correct the H$`\alpha `$ flux for AV=1.4 mag (the upper limit to the narrow line extinction), then the broad line flux becomes 5.2$`\times `$10-15 ergs s-1 cm-2 or a broad line H$`\alpha `$ luminosity of 2.6$`\times `$1044 ergs s-1. We used the sample of quasars of McIntosh et al. (1999) to derive a mean H$`\alpha `$ luminosity of 6.11$`\times `$1044 ergs s-1 based on the mean H$`\beta `$ equivalent width of their sample, no extinction and an intrinsic ratio of 3.1 between H$`\alpha `$ and H$`\beta `$. The one sigma dispersion in this value is only 10% in their sample. Our extinction corrected H$`\alpha `$ luminosity is then weaker than their mean by a factor of 2.6 suggesting the central engines are very similar. If we go a step further and assume that the intrinsic luminosities are the same, then the broad line extinction would need to be AV=3.5 mag instead of AV=1.4 mag as derived above for the narrow line region.

A remaining difference between MRC 2025-218 and the quasars in the McIntosh sample is the H-band magnitude. MRC 2025-218 has a broad band magnitude of H=19.1 while the mean quasar H-band magnitude is 15.16. After correcting for the different redshifts (quasar mean z=2.2) then MRC 2025-218 is 3.2 magnitudes fainter than the quasars at a rest wavelength of 4550 Å. If the broad band flux of MRC 2025-218 is dominated by the AGN then it would require AV=4.2 mag to make it equal to the quasar sample. This is surprisingly close to the value of 3.5 mag required to match the broad H$`\alpha `$ fluxes. The assumption that the AGN dominates the broad band flux in a radio galaxy, however, is not obvious and may be in conflict with the empirically determined K magnitude versus redshift relation observed in both low redshift and high redshift objects (Eales et al. 1997). MRC 2025-218 is consistent with the K vs. Z relation both with and without taking the line emission into account.

Villar-Martin et al. (1999) find that MRC 2025-218 has large ratios of \[NV\]/HeII and \[NV\]/\[CIV\] and suggest that the most likely explanation is that N is overabundant. They held out the possibility, however, that contamination from a broad line region was enhancing this line in comparison to their other radio galaxies. But they argued against this due to the lack of any broad lines including \[CIII\]. From our broad H$`\alpha `$ detection, however, we clearly see that the broad line region is only partially obscured and the strong NV emission is probably not indicative of high metalicity. This is further corroborated by the relatively low ratios of \[NII\]/H$`\alpha `$(narrow).

### 4.2. Spectral Shape and Extended Emission

The double spectral peak found in \[OIII\] could be due to a high velocity (200 km s-1) cloud of gas or possibly a double active nucleus. The unsmoothed H$`\alpha `$ narrow line is quite noisy but also shows a double profile with a separation of 200 km s-1. Due to the noise, however, we are not confident in the second H$`\alpha `$ peak. If the second peak were due to a star forming region it would be unlikely that the \[OIII\] line would be double as well since the OIII/H$`\beta `$ ratio should be much lower for a starburst.

The off nucleus knots seen in \[OIII\] are difficult to understand. Extended OIII has been observed in other radio galaxies aligned to the radio axis (Armus et al. 1998) but no line ratios have been determined for this gas. If we assume that the emission is from starbursts then our brightest knot (1$`\times `$10-16 ergs s-1 cm-2) would have an \[OIII\]/H$`\alpha `$ ratio less than 1.0. This would make the H$`\alpha `$ flux greater than 1$`\times `$10-16 ergs s-1 cm-2 and a luminosity more than 5$`\times `$1042 ergs s-1. Assuming the relationship of Kennicutt (1983) that the star formation rate is equal to L(H$`\alpha `$) divided by 1.12$`\times 10^{41}`$ ergs/s we derive a star formation rate of 45 M yr-1. This is comparable to the rates seen in Pettini et al. (1998) where they studied 5 star forming galaxies in the redshift range 2.2 to 3.3. This is also close to the estimated star formation rate of the Lyman Break Galaxy MS1512-cB58. As calculated in Teplitz et al. (2000) cB58 has a SFR of 620 M yr-1 but after removing a factor of 30 for gravitational lensing this becomes 21 M yr-1.

## 5. Conclusions

We have obtained the most sensitive infrared spectra ever taken of a high redshift radio galaxy. The galaxy has very strong emission lines with ratios and line widths consistent with an obscured quasar. The narrow line region appears to be partially obscured with AV around 1.4 mag, but from comparisons with high redshift quasars, we estimate that the extinction to the broad line region is between 3 and 5 magnitudes. Since other radio galaxies in the same redshift range don’t show broad emission lines, we suggest that MRC 2025-218 is further along in its evolution towards an unobscured quasar. We cannot rule out any of the proposed mechanisms for the production of the aligned emission. But based on the \[OIII\] line strength if the majority of the emission is due to star formation, we find that the star formation rate is comparable to that of Lyman Break Galaxies at similar redshifts. We urge even deeper observations of this and other similar radio galaxies in order to measure additional extended line emission.

It is a pleasure to acknowledge the hard work of past and present members of the NIRSPEC instrument team at UCLA: Maryanne Angliongto, Oddvar Bendiksen, George Brims, Leah Buchholz, John Canfield, Kim Chin, Jonah Hare, Fred Lacayanga, Samuel B. Larson, Tim Liu, Nick Magnone, Gunnar Skulason, Michael Specncer, Jason Weiss and Woon Wong. In addition, we thank the Keck Director Fred Chaffee, CARA instrument specialist Thomas A. Bida, and all the CARA staff involved in the commissioning of NIRSPEC. We also want to thank Lee Armus for many useful discussions. We are also grateful for a very careful review from our anonymous referee. Data presented herein were obtained at the W.M. Keck Observatory which was made possible by the generous financial support of the W.M. Keck Foundation.


text:
# Partial Dynamical Symmetry in a Fermion System

## Abstract

The relevance of the partial dynamical symmetry concept for an interacting fermion system is demonstrated. Hamiltonians with partial SU(3) symmetry are presented in the framework of the symplectic shell-model of nuclei and shown to be closely related to the quadrupole-quadrupole interaction. Implications are discussed for the deformed light nucleus 20Ne.

PACS numbers: 21.60Fw, 21.10-k, 21.60.Cs, 27.30+t

Symmetries play an important role in dynamical systems. They provide labels for the classification of states, determine selection rules, and simplify the relevant Hamiltonian matrices. Algebraic, symmetry-based models offer significant simplifications when the Hamiltonian under consideration commutes with all the generators of a particular group (‘exact symmetry’) or when it is written in terms of the Casimir operators of a chain of nested groups (‘dynamical symmetry’) . In both cases basis states belonging to inequivalent irreducible representations (irreps) of the relevant groups do not mix, the Hamiltonian matrix has block structure, and all properties of the system can be expressed in closed form. An exact or dynamical symmetry not only facilitates the numerical treatment of the Hamiltonian, but also its interpretation and thus provides considerable insight into the physics of a given system.

Naturally, the application of exact or dynamical symmetries to realistic situations has its limitations. Usually the assumed symmetry is only approximately fulfilled, and imposing certain symmetry requirements on the Hamiltonian might result in constraints which are too severe and incompatible with experimentally observed features of the system. The standard approach in such situations is to break the symmetry. Partial Dynamical Symmetry (PDS)  corresponds to a particular symmetry-breaking for which the Hamiltonian is not invariant under the symmetry group and hence various irreps are mixed in its eigenstates, yet it possess a subset of ‘special’ solvable states which respect the symmetry. This new scheme has recently been introduced in bosonic systems and has been applied to the spectroscopy of deformed nuclei  and to the study of mixed systems with coexisting regularity and chaos . It is the purpose of this Letter to demonstrate the relevance of the partial dynamical symmetry concept to fermion systems. More specifically, in the framework of the symplectic shell-model of nuclei , we will prove the existence of a family of fermionic Hamiltonians with partial SU(3) symmetry. The PDS Hamiltonians are rotationally invariant and closely related to the quadrupole-quadrupole interaction; hence our study will shed new light on this important interaction. We will compare the spectra and eigenstates of the quadrupole-quadrupole and PDS Hamiltonians for the deformed light nucleus 20Ne.

The quadrupole-quadrupole interaction is an important ingredient in models that aim at reproducing quadrupole collective properties of nuclei. A model which is able to fully accommodate the action of the collective quadrupole operator, $`Q_{2m}=\sqrt{\frac{16\pi }{5}}_sr_s^2Y_{2m}(\widehat{r}_s)`$, is the symplectic shell model (SSM), an algebraic scheme which respects the Pauli exclusion principle . In the SSM, this operator takes the form $`Q_{2m}=\sqrt{3}(\widehat{C}_{2m}^{(11)}+\widehat{A}_{2m}^{(20)}+\widehat{B}_{2m}^{(02)})`$, where $`\widehat{A}_{lm}^{(20)},\widehat{B}_{lm}^{(02)}`$, and $`\widehat{C}_{lm}^{(11)}`$ are symplectic generators with good SU(3) \[superscript $`(\lambda ,\mu )`$\] and SO(3) \[subscript $`l,m`$\] tensorial properties. The $`\widehat{A}_{lm}^{(20)}`$ ($`\widehat{B}_{lm}^{(02)}`$), $`l`$ = 0 or 2, create (annihilate) $`2\mathrm{}\omega `$ excitations in the system. The $`\widehat{C}_{lm}^{(11)}`$, $`l`$ = 1 or 2, generate a SU(3) subgroup and act only within one harmonic oscillator (h.o.) shell ($`\sqrt{3}\widehat{C}_{2m}^{(11)}=`$ $`Q_{2m}^E`$, the symmetrized quadrupole operator of Elliott, which does not couple different h.o. shells , and $`\widehat{C}_{1m}^{(11)}=\widehat{L}_m`$, the orbital angular momentum operator). A fermion realization of these generators is given in .

A basis for the symplectic model is generated by applying symmetrically coupled products of the 2$`\mathrm{}\omega `$ raising operator $`\widehat{A}^{(20)}`$ with itself to the usual $`0\mathrm{}\omega `$ many-particle shell-model states. Each $`0\mathrm{}\omega `$ starting configuration is characterized by the distribution of oscillator quanta into the three cartesian directions, $`\{\sigma _1,\sigma _2,\sigma _3\}`$ ($`\sigma _1\sigma _2\sigma _3`$), or, equivalently, by its U(1)$`\times `$SU(3) quantum numbers $`N_\sigma (\lambda _\sigma ,\mu _\sigma )`$. Here $`\lambda _\sigma =\sigma _1\sigma _2`$, $`\mu _\sigma =\sigma _2\sigma _3`$ are the Elliott SU(3) labels, and $`N_\sigma =\sigma _1+\sigma _2+\sigma _3`$ is related to the eigenvalue of the oscillator number operator. The product of $`N/2`$ raising operators $`\widehat{A}^{(20)}`$ generates $`N\mathrm{}\omega `$ excitations for each starting irrep $`N_\sigma (\lambda _\sigma ,\mu _\sigma )`$. Each such product operator $`𝒫^{N(\lambda _n,\mu _n)}`$, labeled according to its SU(3) content, $`(\lambda _n,\mu _n)`$, is coupled with $`|N_\sigma (\lambda _\sigma ,\mu _\sigma )`$ to good SU(3) symmetry $`\rho (\lambda ,\mu )`$, with $`\rho `$ denoting the multiplicity of the coupling $`(\lambda _n,\mu _n)(\lambda _\sigma ,\mu _\sigma )`$. The quanta distribution in the resulting state is given by $`\{\omega _1,\omega _2,\omega _3\}`$, with $`N_\sigma +N=\omega _1+\omega _2+\omega _3`$, $`\omega _1\omega _2\omega _3`$, and $`\lambda =\omega _1\omega _2`$, $`\mu =\omega _2\omega _3`$. The basis state construction is schematically illustrated in Fig. 1 for a typical Elliott starting state with $`(\lambda _\sigma ,\mu _\sigma )=(\lambda ,0)`$. 20Ne, for instance, has $`N_\sigma `$ = 48.5 (after removal of the center-of-mass contribution) and $`(\lambda _\sigma ,\mu _\sigma )`$ = (8,0) . To complete the basis state labeling, additional quantum num-

bers $`\alpha =\kappa LM`$ are required, where $`L`$ denotes the angular momentum with projection $`M`$, and $`\kappa `$ is a multiplicity index, which enumerates multiple occurrences of a particular $`L`$ value in the SU(3) irrep $`(\lambda ,\mu )`$ from 1 to $`\kappa _L^{max}(\lambda ,\mu )=[(\lambda +\mu +2L)/2]`$ \- $`[(\lambda +1L)/2]`$ \- $`[(\mu +1L)/2]`$, where \[$`\mathrm{}`$\] is the greatest non-negative integer function . The group chain corresponding to this labeling scheme is Sp(6,R) $``$ SU(3) $``$ SO(3) which defines a dynamical symmetry basis.

The quadrupole-quadrupole interaction connects h.o. states differing in energy by $`0\mathrm{}\omega `$, $`\pm 2\mathrm{}\omega `$, and $`\pm 4\mathrm{}\omega `$, and may be written as

$`Q_2Q_2`$ $`=`$ $`9\widehat{C}_{SU3}3\widehat{C}_{Sp6}+\widehat{H}_0^22\widehat{H}_03\widehat{L}^26\widehat{A}_0\widehat{B}_0`$ (2)
$`+\{\text{terms coupling different h.o. shells}\},`$
where $`\widehat{C}_{SU3}`$ and $`\widehat{C}_{Sp6}`$ are the quadratic Casimir invariants of SU(3) and Sp(6,R) with eigenvalues $`2(\lambda ^2+\mu ^2+\lambda \mu +3\lambda +3\mu )/3`$ and $`2(\lambda _\sigma ^2+\mu _\sigma ^2+\lambda _\sigma \mu _\sigma +3\lambda _\sigma +3\mu _\sigma )/3+N_\sigma ^2/34N_\sigma `$, respectively. These operators, as well as the h.o. $`\widehat{H}_0`$ and $`\widehat{L}^2`$ terms, are diagonal in the dynamical symmetry basis. Unlike the Elliott quadrupole-quadrupole interaction, $`Q_2^EQ_2^E`$ $`=6\widehat{C}_{SU3}3\widehat{L}^2`$, the $`Q_2Q_2`$ interaction of Eq. (2) breaks SU(3) symmetry within each h.o. shell since the term $`\widehat{A}_0\widehat{B}_0\widehat{A}_0^{(20)}\widehat{B}_0^{(02)}=(\{\widehat{A}\times \widehat{B}\}_0^{(00)}\sqrt{5}\{\widehat{A}\times \widehat{B}\}_0^{(22)})/\sqrt{6}`$ mixes different SU(3) irreps. In order to study the action of $`Q_2Q_2`$ within such a shell, we consider the following family of Hamiltonians:

$`H(\beta _0,\beta _2)=\beta _0\widehat{A}_0\widehat{B}_0+\beta _2\widehat{A}_2\widehat{B}_2`$ (4)
$`={\displaystyle \frac{\beta _2}{18}}(9\widehat{C}_{SU3}9\widehat{C}_{Sp6}+3\widehat{H}_0^236\widehat{H}_0)+(\beta _0\beta _2)\widehat{A}_0\widehat{B}_0.`$
For $`\beta _0=\beta _2`$, one recovers the dynamical symmetry, and with the special choice $`\beta _0=12`$, $`\beta _2=18`$, one obtains $`Q_2Q_2=H(\beta _0=12,\beta _2=18)+const(N)3\widehat{L}^2`$ \+ terms coupling different shells, where $`const(N)`$ is constant for a given h.o. $`N\mathrm{}\omega `$ excitation.

From Eq. (4) it follows that $`H(\beta _0,\beta _2)`$ is not SU(3) invariant. We will now show that $`H(\beta _0,\beta _2)`$ exhibits partial SU(3) symmetry. Specifically, we claim that among the eigenstates of $`H(\beta _0,\beta _2)`$, there exists a subset of solvable pure-SU(3) states, the SU(3)$``$SO(3) classification of which depends on both the Elliott labels $`(\lambda _\sigma ,\mu _\sigma )`$ of the starting state and the symplectic excitation $`N`$. In general, we find that all L-states in the starting configuration ($`N=0`$) are solvable with good SU(3) symmetry $`(\lambda _\sigma ,\mu _\sigma )`$. For excited configurations ($`N>0`$ and even) we distinguish between two possible cases:

* $`\lambda _\sigma >\mu _\sigma `$: the pure states belong to $`(\lambda ,\mu )=(\lambda _\sigma N,\mu _\sigma +N)`$ and have $`L=\mu _\sigma +N,\mu _\sigma +N+1,\mathrm{},\lambda _\sigma N+1`$ with $`N=2,4,\mathrm{}`$ subject to $`2N(\lambda _\sigma \mu _\sigma +1)`$.
* $`\lambda _\sigma \mu _\sigma `$: the special states belong to $`(\lambda ,\mu )=(\lambda _\sigma +N,\mu _\sigma )`$ and have $`L=\lambda _\sigma +N,\lambda _\sigma +N+1,\mathrm{},\lambda _\sigma +N+\mu _\sigma `$ with $`N=2,4,\mathrm{}`$.

To prove the claim, it suffices to show that $`\widehat{B}_0`$ annihilates the states in question. For $`N=0`$ this follows immediately from the fact that the $`0\mathrm{}\omega `$ starting configuration is a Sp(6,R) lowest weight which, by definition, is annihilated by the lowering operators of the Sp(6,R) algebra. The latter include the generators $`\widehat{B}_{lm}^{(02)}`$. For $`N>0`$, let $`\{\sigma _1,\sigma _2,\sigma _3\}`$ be the quanta distribution for a 0$`\mathrm{}\omega `$ state with $`\lambda _\sigma >\mu _\sigma `$. Adding $`N`$ quanta to the 2-direction yields a $`N\mathrm{}\omega `$ state with quanta distribution $`\{\sigma _1,\sigma _2+N,\sigma _3\}`$, that is $`(\lambda ,\mu )=(\lambda _\sigma N,\mu _\sigma +N)`$. Acting with the rotational invariant $`\widehat{B}_0`$ on such a state does not affect the angular momentum, but removes two quanta from the 2-direction, giving a $`(N2)\mathrm{}\omega `$ state with $`(\lambda ^{},\mu ^{})=(\lambda _\sigma N+2,\mu _\sigma +N2)`$. (The symplectic generator $`\widehat{B}_0`$ cannot remove quanta from the other two directions of this particular state, since this would yield a state belonging to a different symplectic irrep.) Comparing the number of $`L`$ occurrences in $`(\lambda ,\mu )`$ and $`(\lambda ^{},\mu ^{})`$, one finds that as long as $`\lambda _\sigma N+1\mu _\sigma +N`$, $`\mathrm{\Delta }_L(N)\kappa _L^{max}(\lambda ,\mu )\kappa _L^{max}(\lambda ^{},\mu ^{})=1`$ for $`L=\mu _\sigma +N,\mu _\sigma +N+1,\mathrm{},\lambda _\sigma N+1`$, and $`\mathrm{\Delta }_L(N)=0`$ otherwise. When $`\mathrm{\Delta }_L(N)`$=1, a linear combination $`|\varphi _L(N)=_\kappa c_\kappa |N\mathrm{}\omega (\lambda _\sigma N,\mu _\sigma +N)\kappa LM`$ exists such that $`\widehat{B}_0|\varphi _L(N)=0`$, and thus our claim for family (a) holds. The proof for family (b) can be carried out analogously if one considers adding $`N`$ quanta to the 1-direction of the starting irrep. In this case there is no restriction on N, hence family (b) is infinite.

The special states have well defined symmetry Sp(6,R) $``$ SU(3) $``$ SO(3) and are annihilated by $`\widehat{B}_0`$. This ensures that they are solvable eigenstates of $`H(\beta _0,\beta _2)`$ with eigenvalues $`E(N=0)=0`$, $`E(N)=\beta _2N(N_\sigma \lambda _\sigma +\mu _\sigma 6+3N/2)/3`$ for family (a), and $`E(N)=\beta _2N(N_\sigma +2\lambda _\sigma +\mu _\sigma 3+3N/2)/3`$ for family (b). All 0$`\mathrm{}\omega `$ states are unmixed and span the entire $`(\lambda _\sigma ,\mu _\sigma )`$ irrep. In contrast, for the excited levels ($`N>0`$), the pure states span only part of the corresponding SU(3) irreps. There are other states at each excited level which do not preserve the SU(3) symmetry and therefore con-

tain a mixture of SU(3) irreps. The partial SU(3) symmetry of $`H(\beta _0,\beta _2)`$ is converted into partial dynamical SU(3) symmetry by adding to it SO(3) rotation terms which lead to L(L+1)-type splitting but do not affect the wave functions. The solvable states then form rotational bands and since their wave functions are known, one can evaluate the E2 rates between them . It is of interest to note that both the fermion Hamiltonian presented here and the boson Hamiltonian of  exhibit partial SU(3) symmetry and involve a SU(3) tensor of the form $`[(2,0)\times (0,2)](2,2)L=0`$.

To illustrate that the PDS Hamiltonians of Eq. (4) are physically relevant, we compare the eigenstates of $`H_{PDS}=h(N)+\xi H(\beta _0=12,\beta _2=18)+\gamma _2\widehat{L}^2+\gamma _4\widehat{L}^4`$ to those of the symplectic Hamiltonian $`H_{Sp6}=\widehat{H}_0\chi Q_2Q_2+d_2\widehat{L}^2+d_4\widehat{L}^4`$. Here the function $`h(N)`$ is simply a constant for a given $`N\mathrm{}\omega `$ excitation and contains the h.o. term $`\widehat{H}_0`$. Least squares fits to measured energies and B(E2) values of the ground band of 20Ne were carried out for 2$`\mathrm{}\omega `$, 4$`\mathrm{}\omega `$, 6$`\mathrm{}\omega `$, and 8$`\mathrm{}\omega `$ symplectic model spaces.The resulting energies and transition rates converge to values which agree with the data, Fig. 2 and Table I. The parameters $`\gamma _2`$ and $`\gamma _4`$ in $`H_{PDS}`$ were determined by the energy splitting between states of the ground band, $`\xi `$ was adjusted to reproduce the relative

positions of the resonance bandheads and $`h(N)`$ was fixed by the energy difference $`[E(0_2^+)E(0_1^+)]`$. Fig. 2 and Table I demonstrate the level of agreement between the PDS and symplectic results.

An analysis of the structure of the ground and resonance bands reveals the amount of mixing in the 8$`\mathrm{}\omega `$ symplectic ($`Q_2Q_2`$) wave functions. Fig. 3 shows the decomposition for representative ($`2^+`$) states of the five lowest rotational bands. Ground band (K=$`0_1`$) states are found to have a strong $`0\mathrm{}\omega `$ component ($`64\%`$), and three of the four resonance bands are clearly dominated ($`60\%`$) by $`2\mathrm{}\omega `$ configurations. States of the first resonance band (K=$`0_2`$), however, contain significant contributions from all but the highest $`N\mathrm{}\omega `$ excitations. The relative strengths of the SU(3) irreps within the $`2\mathrm{}\omega `$ space are shown as well: states are found to be dominated by one representation \[(10,0) for the K=$`0_2`$ band, (8,1) for K=$`1_1`$, (6,2)$`\kappa =2`$ for K=$`2_1`$, and (6,2)$`\kappa =1`$ for K=$`0_3`$, where $`\kappa =1`$ and 2 correspond here to Vergados basis labels 0 and 2, respectively \], while the other irreps contribute only a few percent. Such trends are present also in the more realistic symplectic calculations of .

The PDS Hamiltonian $`H_{PDS}`$ acts only within one oscillator shell, hence its eigenfunctions do not contain admixtures from different $`N\mathrm{}\omega `$ configurations. As expected, $`H_{PDS}`$ has families of pure SU(3) eigenstates which can be organized into rotational bands. The ground band belongs entirely to $`N=0`$, $`(\lambda ,\mu )=(8,0)`$, and all states of the K=$`2_1`$ band have quantum labels $`N=2`$, $`(\lambda ,\mu )=(6,2)`$, $`\kappa =2`$. A comparison with the symplectic case shows that the $`N\mathrm{}\omega `$ level to which a particular PDS band belongs is also dominant in the corresponding symplectic band. In addition, within this dominant excitation, eigenstates of $`H_{PDS}`$ and $`H_{Sp6}`$ have similar SU(3) distributions; in particular, both Hamiltonians favor the same $`(\lambda ,\mu )\kappa `$ values. Significant differences in the structure of the wave functions appear, however, for the K=$`0_2`$ resonance band. In the $`8\mathrm{}\omega `$ symplectic calculation, this band contains almost equal contributions from the $`0\mathrm{}\omega `$, $`2\mathrm{}\omega `$, and $`4\mathrm{}\omega `$ levels, with additional admixtures of $`6\mathrm{}\omega `$ and $`8\mathrm{}\omega `$ configurations, while in the PDS calculation, it belongs entirely to the $`2\mathrm{}\omega `$ level. These structural differences are also evident in the interband transition rates, e.g. B(E2; K=$`0_1`$, L=$`2^+`$ $``$ K=$`0_2`$, L=$`0^+`$) = 2.93 (5.69) W.u. and B(E2; K=$`0_2`$, L=$`2^+`$ $``$ K=$`0_1`$, L=$`0^+`$) = 5.84 (12.6) W.u. in the $`8\mathrm{}\omega `$ (PDS) calculation, and reflect the action of the inter-shell coupling terms in Eq. (2). Increasing the strength $`\chi `$ of $`Q_2Q_2`$ in $`H_{Sp6}`$ will also spread the other resonance bands over many $`N\mathrm{}\omega `$ excitations. The K=$`2_1`$ band (which is pure in the PDS scheme) is found to resist this spreading more strongly than the other resonances. For physically relevant values of $`\chi `$, the low-lying bands have the structure shown in Fig. 3.

In summary, we have introduced a family of fermionic Hamiltonians with partial SU(3) symmetry. Using the framework of the symplectic shell model, we have proven

that these Hamiltonians possess both mixed-symmetry and solvable pure-SU(3) rotational bands. For the deformed light nucleus 20Ne, we have shown that various features of the quadrupole-quadrupole interaction can be reproduced with a particular parameterization of the PDS Hamiltonians. For both the ground and the resonance bands, PDS eigenstates were seen to approximately reproduce the structure of the exact $`Q_2Q_2`$ eigenstates within the $`0\mathrm{}\omega `$ and $`2\mathrm{}\omega `$ spaces, respectively. In particular, for each pure state of the PDS scheme we found a corresponding eigenstate of the quadrupole-quadrupole interaction, which was dominated by the same SU(3) irrep. Moreover, for reasonable interaction parameters, each rotational band was primarily located in one level of excitation, with the exception of the lowest K=$`0_2`$ resonance band, which was spread over many $`N\mathrm{}\omega `$ excitations. Implications of the structural differences between the various resonance bands for giant monopole and quadrupole transitions remain to be investigated. The occurrence of partial symmetries for fermions, as shown in this work, and for bosons, as presented in previous works , highlights their relevance to dynamical systems and motivates their further study.

The authors acknowledge valuable suggestions by D.J. Rowe and constructive comments by J.P. Elliott and G. Rosensteel. This work is supported by a grant from the Israel Science Foundation. We thank the Institute for Nuclear Theory at the University of Washington for its hospitality and the Department of Energy for partial support during the completion of this work.