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# Untitled Document

S.P.Novikov

Various Doublings of Hopf Algebras

Algebras of Operators on Quantum Groups and Complex Cobordisms

Let us consider the pair of the dual Hopf algebras $`X`$, $`X^{}`$ over the commutative associatiative ring $`k`$ with $`1k`$ (or field) with the diagonals (comultiplications) $`\mathrm{\Delta }`$, antipods $`s`$ and augmentation $`ϵ`$. Let the algebra $`M`$ be an $`X`$-module compatible with $`\mathrm{\Delta }`$:

$$x(uv)=x_i^1(u)x_i^{11}(v)$$

$$\mathrm{\Delta }(x)=x_i^1x_i^{11}$$

We call such module $`M`$ a Milnor module (who discovered from that the Hopf property of the Steenrod algebra about 1957 ). It was a starting point of the algebraic theory of the Hopf algebras. They were introduced by A.Borel in 1954 as a result of the algebraic analysis of the Hopf theorem on the cohomology rings of H-spaces, which he extended to the finite fields.

We introduce the operator algebras generated by the left multiplications $`u`$, right multiplications $`v`$ and by the action of $`X`$: $`A=(MM^1)X`$ (left modules), $`B=X(M^1M)`$ (right modules):

$$mux(m)v$$

with the commuting relations:

$$x(uv)=(x_q^1(u)x_q^{111}(v))x_q^{11}$$

(left modules)

$$(uv)x=x_q^{11}(x_q^1(u)x_q^{111}(v))$$

(right modules).

Here $`\mathrm{\Delta }^2=x_q^1x_q^{11}x_q^{111}`$, $`M^1`$ is the ”inverted algebra” with the multiplication $`uv=vu`$.

These algebras are associative if $`X`$, $`X^{}`$, $`M`$ are. We always suppose that. The subalgebras $`A_L=(M1)X`$, $`B_R=X(1M)`$ will be considered here. We call them the O-doubles.

Basic examples: let $`M=X^{}`$. We use the general notations for the right and left multiplication operators $`L_a(b)=R_b(a)=ab`$. Let $`L_x^{}`$, $`R_x^{}`$ be the adjoint operators of $`X`$ on the space $`X^{}`$.

Lemma 1. $`M=X^{}`$ is the left (corr. right) Milnor module for the representations $`R_{s^{2k}x}^{}`$, $`L_{s^{2k}x}^{}`$ of the Hopf algebra $`X`$; it is the left (corr. right) Milnor module of the Hopf algebra $`X^t`$ for the representations $`L_{s^{2k+1}x}^{}`$, $`R_{s^{2k+1}x}^{}`$. Here $`X^t`$ is the same algebra with the ”inverted diagonal” $`\mathrm{\Delta }^t=x_i^{11}x_i^1`$ (it might be only bialgebra if $`s^1`$ does not exist).

We have $`X^t=X^1`$. The representations $`L^{}`$ and $`R^{}`$ commutes with each other. Therefore the algebra $`X^{}=M`$ is the left Milnor module over the Hopf algebra $`XX^t`$.

In the full left operator algebra $`A_L=(X^{}1)(XX^t)`$ there is an important subalgebra $`C=(X1)\mathrm{\Delta }(X)`$ with the relations

$$xu=[\rho _{1x_q^1}\rho _{2x_q^{111}}(u)]x_q^{11}$$

Here $`\rho _1`$ and $`\rho _2`$ are the commuting representations of $`X,X^t`$. They determine the ”ad-modules” over the algebra $`X`$ on the diagonal $`\mathrm{\Delta }(X)XX^t`$:

$$\rho _x(u)=\rho _{1x_i^1}\rho _{2x_i^{11}}(u)$$

such that

$$\rho _x(uv)=[\rho _{1x_q^1}\rho _{2x_q^{111}}(u)]\rho _{x_q^{11}}(v)$$

For the cocommutative $`X`$ ad-modules are the Milnor modules; for $`M=X^{}`$, $`\rho _1=R_x^{}`$, $`\rho _2=L_{sx}^{}`$ the algebra $`C`$ above is exactly the Drinfelds Quantum Double , which is a Hopf algebra with the comultiplication $`\mathrm{\Delta }(ux)=\mathrm{\Delta }^t(u)\mathrm{\Delta }(x)`$.

O-Doubles appear as the Operator algebras (differential operators on the Lie groups and difference operators on the discreet groups).

An important example for the ring $`k=Z`$ gives an algebra $`A^U=\mathrm{\Lambda }X`$, of all ”cohomological” operations in the Complex Cobordism Theory. It was computed by the author in 1966 .

Here $`X`$ is the so-called ”Landweber-Novikov” algebra found in , $`\mathrm{\Lambda }`$ is the $`U`$\- cobordism ring ”for the point” found by Milnor and author about 1960.

The representation of the Hopf algebra $`X`$ on the ring $`\mathrm{\Lambda }`$ was found geometrically . In fact we have $`\mathrm{\Lambda }X^{}`$, $`\mathrm{\Lambda }Q=X^{}Q`$. The Hopf properties of the pair $`\mathrm{\Lambda }X`$ and the relation of the algebra $`A^U`$ to the differential operators on some infinite- dimensional Lie group were discovered in  by Bukhstaber and Shokurov.

Proposition: The ”geometric” representation of the algebra $`X`$ on $`\mathrm{\Lambda }`$ is exactly $`R_x^{}`$ for the algebra $`A^U`$.

The present author found this recently and proved as a consequence from  (it was not observed by the authors of  but may be easily deduced from this paper).

O-doubles are not the Hopf algebras, but they have some ”almost Hopf” properties for the representations $`\rho =L^{},R^{}`$. For $`A_L=X^{}X`$ the adjoint space is obviously $`A^{}=XX^{}`$. The multiplication $`\mathrm{\Psi }:A_LA_LA_L`$ generates the comultiplication $`\mathrm{\Psi }^{}:A^{}A^{}A^{}`$.

Lemma 2: For the representation $`\rho =R_x^{}`$ the following formula is valid:

$$\mathrm{\Psi }^{}(xu)=\mathrm{\Delta }(x)R\mathrm{\Delta }(u)$$

Here $`\mathrm{\Psi }^{}(1)=R=e^ie_i`$, $`(e^i,e_j)=\delta _j^i`$, $`(u,x)=ϵR_x^{}(u)`$\- the canonical scalar product, $`e_j`$ is the basis of $`X`$.

Lemma 3: For the representations $`\rho _1=R_{s^{2k}x}^{}`$ and $`\rho _2=L_{s^{2k}u}^{}`$ the corresponding O-doubles $`A_L=X^{}X=B_L`$ exactly coinside. The same for the representations $`\rho _1=L_{s^{2k+1}x}^{}`$ and $`\rho _2=R_{s2k+1u}^{}`$: $`A_L^1=X^1X^t=B_R^1`$.

Lemma 4: The following antihomomorphisms are well-defined

$$X^{}XX^{}X^tX^{}X$$

where $`uxs^{2m+1}(x)s^{2l+1}(u)`$, $`\rho _1=R_{s^{2k}x}^{}`$, $`\rho _2=L_{s^{2n+1}x}^{}`$, $`\rho _3=R_{s^{2k^1+1}x}^{}`$, $`m+l+2=kn`$ for the first arrow and $`k^1n=(l+m)`$ for the second arrow.

Theorem 1: Let the antipod $`s`$ is invertible.

1. The antiisomorphisms are well-defined:

a) Formally adjoint operators

$$A_L(=X^{}X)A_L^1(=X^1X^t)A_L$$

where $`\rho _1=\rho _2=\rho _3=R_x^{}`$, $`uxs^1(x)u`$ for the first arrow and $`s`$ should be replaced by $`s^1`$ for the second arrow.

b) Hermitian adjoint operators

$$A_L(=X^{}X)A_L^+(=X^{}X^t)A_L$$

where $`\rho _1=\rho _3=R_x^{}`$, $`\rho _2=L_{s^1x}^{}`$, $`uxs^1(x)s(u)`$ or $`uxs(x)s^1(u)`$ for the both arrows.

2. The algebras $`A_L^+=X^{}X^t`$, $`\rho =L_{s^1x}^{}`$ and $`A^{}=XX^{}`$, $`\rho =R_u^{}`$ are canonically isomorphic.

The proof uses the lemmas 3 and 4.

The lemma 3 shows also that the right analog of the $`p`$-representation is the action of the algebra $`X^{}X`$ on $`X^{}`$:

$`uL_u`$(left multiplication), $`xR_x^{}`$ (r-differentiation)

The right analog of the $`x`$-representation is the action of the same algebra on $`X`$:

$`xR_x`$ (right mul;tiplication) $`uL_u^{}`$ (l-differentiation). The multiplication and differentiation are Fourier-dual. The element $`R`$ from the lemma 2 is equal to $`exp[px]`$ for the commutative Hopf algebra with the single primitive generator $`x`$; $`p`$ is the dual primitive generator, $`sx=x,sp=p`$.

For the cocommutative Hopf algebras $`X`$ the most important problems involving the ”almost Hopf” properties of the O-doubles (for example, $`A^U`$ in the complex cobordism theory) were connected with the ”Lie-semigroup” containing the all multiplicative elements $`a(uv)=a(u)a(v)`$, where $`a`$ may belong to some formal complition of the O-double, defined in such a way that the action on the dual $`X^{}`$ is well-defined (the right $`U`$-analogs of the Adams operations, Chern character and Projectors $`a^2=a`$ -see ).

The analogous problems are very interesting also for the almost cocommutative or quasitriangular ”Hopf-Drinfeld” algebras (quantum groups with well-defined abstract $`R`$-matrix determining the commutation rules in the algebra $`X^{}`$).

References

1. Milnor J..Ann of Math, vol 90 (1958), pp 272-280

2. Drinfeld V.G.. Proc Int Cong Math (1986-Berkleley), vol 1 Amer Math Soc Publ (1987), pp 798-820

3. Drinfeld V.G. Algebra and Analysys vol 1 iss 2 (1989) pp 30-46 (in Russian)

4. Madjid Sh.. Int Journ of Modern Phys A vol 5 n 1 (1990) pp 1-91

5. Novikov S.P. Isv AN SSSR (ser math) vol 31 (1967) pp 855-951

6. Landweber P.. Trans Amer Math Soc vol 27 n 1 (1967) pp 94-110

7. Bukhstaber V., Shokurov S.. Funk Analysys Appl vol 12 iss 3 (1978) pp 1-14

8. Quillen D.. Bull of Amer Math Soc vol 75 n 6 (1969) pp 1293-1298

Remark: After the discussion with L.Faddeev I realized that some construction of the special O-double was found independently in the recent paper of Faddeev and Alexeev in the special important examples (of course they did not know the cobordism theory). Their paper does not use the the Hopf-algebraic terminology at all (the relations in that algebra were written by the complicated special formulas).

M.Semenov-Tyanshansky wrote now the paper more closed to our ideas but still he does not use some elementary algebraic definitions replacing them by the complicated formulas in the special examples (his paper will be published very soon in the Theor Math Phys, November 1992).

Yu. Manin wrote a parer ”Note on Quantum groups and Quantum De Rham complexes”, MPI fur mathematics, Bonn (1991), dedicated mainly to some analogs of differential forms. There is a discussion concerning the rings of differential operators and scew tensor products in his paper. Some of his ideas are parallel to ours, but the main direction is different.

Our paper already appeared in The Uspechi Math Nauk (1992) iss 5 (September-October) in Russian.


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# Lattice dynamical effects on the Peierls transition in one-dimensional metals and spin chains

## 0.1 Introduction

Low dimensional electronic materials are known to be very susceptible to structural distortions driven by the electron-phonon interaction. Probably the most famous one is the Peierls instability  of one-dimensional (1D) metals: as the temperature is lowered the system creates a periodic variation in charge density, called a “charge-density-wave” (CDW), by shifting the electrons and ions from their symmetric positions. For the half-filled band case the CDW is commensurate with the lattice and cannot slide as a whole. As a result the unit cell is doubled and the system has a broken-symmetry ground state. Since the dimerization of the lattice opens a gap at the Fermi surface the Peierls process transforms a metal into an insulator. Spontaneous dimerization transitions to a less symmetric but lower-energy configuration like those shown in Fig. 0.1 (left panel) have been found in many quasi-1D materials, such as the organic conjugated polymers \[e.g., (CH)x\] and charge transfer salts \[e.g., TTF(TCNQ)\] or the inorganic blue bronzes \[e.g., $`\mathrm{K}_{0.3}\mathrm{MoO}_3`$\] and MX-chains .

As a generic theoretical model for such systems the 1D Hubbard model is frequently considered,

$$_\mathrm{e}=\underset{i,\sigma }{}t_{ii}n_{i\sigma }\underset{i,\sigma }{}t_{ii+1}(c_{i\sigma }^{}c_{i+1\sigma }+\text{H.c.})+U\underset{i}{}n_in_i,$$
(0.1)
supplemented by a coupling to the phonon system

$$_\mathrm{p}=\underset{i}{}\frac{p_i^2}{2M}+\frac{K}{2}q_i^2$$
(0.2)
according to

$$\begin{array}{ccccc}\hfill \text{SSH-type }\text{[3]}\text{:}& t_{ii}=0& t_{ii+1}t(1+\lambda q_i)& q_i=u_iu_{i+1}& \\ \hfill \text{Holstein-type }\text{[4]}\text{:}& t_{ii}\lambda q_i& t_{ii+1}=t& q_i=u_i,& \end{array}$$
(0.3)
i.e., the lattice vibrations $`q_i`$ interact with the electrons by modifying the electron hopping matrix element $`t_{ij}`$ and on–site potential $`t_{ii}`$, respectively. In Eq. (0.1), $`c_{i\sigma }^{}`$ ($`c_{i\sigma }`$) creates (annihilates) a spin-$`\sigma `$ electron at Wannier site $`i`$, and $`n_{i\sigma }=c_{i\sigma }^{}c_{i\sigma }`$.

If there is one electron per site and the Coulomb repulsion is strong, $`Ut`$, we are in the limit of localized electrons interacting via an effective antiferromagnetic (AF) exchange interaction $`J`$ ($`t^2/U`$) and the system can be described by an Heisenberg Hamiltonian with magneto-elastic coupling

$$=J\underset{i}{}(1+\lambda q_i)\stackrel{}{S}_i\stackrel{}{S}_{i+1}+_\mathrm{p},$$
(0.4)
where $`\stackrel{}{S}_i=_{\sigma \sigma ^{}}\stackrel{~}{c}_{i\sigma }^{}\stackrel{}{\tau }_{\sigma \sigma ^{}}\stackrel{~}{c}_{i\sigma ^{}}`$ with $`\stackrel{~}{c}_{i\sigma }^{()}=c_{i\sigma }^{()}(1\stackrel{~}{n}_{i,\sigma })`$. In analogy to the Peierls instability in 1D metals, the dependence of $`J`$ on the distance between neighbouring spins again gives rise to an instability, where the energy of the spin chain is lowered by dimerizing into an alternating pattern of weak and strong bonds. This so-called “spin-Peierls” (SP) transition leads to the formation of a singlet (dimer) ground state and there is an energy gap to elementary (massive) spin triplet excitations being well-separated from the continuum \[see Fig. 0.1 (right panel)\]. Experimentally, the SP phenomenon was observed in a number of organic compounds, such as (TTF)(CuBDT) or MEM(TCNQ)2 .

Most theoretical treatments of the Peierls instability describe the lattice degrees of freedom classically. In a wide range quasi-1D metals, however, the lattice zero-point motion is comparable to the Peierls lattice distortion, which makes the rigid lattice approximation questionable . By any means lattice dynamical (quantum phonon) effects should be included in a theoretical analysis of the extraordinary transport and optical phenomena observed in Peierls-distorted systems . Likewise the interest in models of spins coupled dynamically to phonons has increased significantly since it was recognized that the first inorganic SP compound $`\mathrm{CuGeO}_3`$  shows no clear separation between the magnetic and phononic energy scales: the two (weakly dispersive optical) Peierls-active $`\mathrm{T}_2^+`$ phonon modes have frequencies $`\omega _{0,1}J`$ and $`\omega _{0,2}2J`$ . Moreover, in contrast to the organic SP materials, no phonon-softening is observed at the SP transition . The SP physics in $`\mathrm{CuGeO}_3`$ is therefore in the non-adiabatic regime.

Motivated by this situation, in this report, we study the perhaps minimal microscopic models capable of describing the Peierls and spin-Peierls transitions in 1D systems by the use of numerical techniques allowing an essentially exact treatment of both subsystems, electrons/spins and phonons, at a fully quantum-mechanically level. In the weak-coupling regime, the random-phase-approximation (RPA) approach is shown to be consistent not only with phonon softening but also with phonon hardening at the SP transition, as observed, e.g., in (TTF)(CuBDT) and $`\mathrm{CuGeO}_3`$, respectively.

## 0.2 Luttinger-liquid vs. charge-density-wave behaviour

First we consider the 1D Hubbard model, Eq. (0.1), at quarter filling and confine ourselves to the case of spinless fermions for simplicity. This model is of physical relevance in the strong interaction limit $`U\mathrm{}`$ and is particularly interesting because a quantum phase transition from a Luttinger liquid (LL) to a CDW phase occurs at a finite electron-phonon interaction, demonstrating that the quantum phonon fluctuations destroy the dimerized ground state for weak electron-phonon couplings .

Rescaling $`/t=\overline{}_\mathrm{e}+\overline{}_\mathrm{p}+\overline{}_{\mathrm{ep}}`$ and setting

$$\lambda =g\sqrt{2K\omega _0}\text{with}\omega _0^2=K/M$$
(0.5)
the Holstein Hamiltonian in a particle-hole symmetric notation is given by

$$\overline{}_\mathrm{e}=\underset{i}{}(c_i^{}c_{i+1}+c_{i+1}^{}c_i),\overline{}_\mathrm{p}=\omega _0\underset{i}{}(b_i^{}b_i+\frac{1}{2}),$$
(0.6)
and

$$\overline{}_{\mathrm{e}\mathrm{p}}=g\omega _0\underset{i}{}(b_i^{}+b_i)(n_i\frac{1}{2}).$$
(0.7)
In Eqs. (0.6) and (0.7), $`b_i^{()}`$ annihilates (creates) a dispersionsless Einstein phonon of frequency $`\omega _0`$ coupled to the local electron density $`n_i=c_i^{}c_i`$ ($`\mathrm{}=1`$, and all energies are measured in units of $`t`$). Note that for the Holstein model the dimensionless electron-phonon coupling constant $`g=\sqrt{\epsilon _p/\omega _0}`$ is directly related to the familiar polaron shift $`\epsilon _p`$ being a second natural measure of the strengths of the electron-phonon interaction. Both parameters are necessary in order to characterize the weak ($`\epsilon _p1`$) and strong coupling ($`\epsilon _p1`$ and $`g1`$) situations in the adiabatic ($`\omega _01`$) and anti-adiabatic regimes ($`\omega _01`$), respectively.

Previous results for the ground-state phase diagram of the Holstein model at half-filling obtained by WL QMC  and GF MC  simulations showed significant discrepancies in the region of small $`\omega _0`$ ($`0<\omega _0\genfrac{}{}{-1.0pt}{}{<}{}1`$). Only very recently Bursill et al.  provided more reliable information from level crossings in their DMRG data. Applying a new optimized phonon approach for the diagonalization of coupled electron/spin-phonon systems , we consider the Holstein model on chains of even length with up to 10 sites and periodic (antiperiodic) boundary conditions if there is an odd (even) number of fermions in the system. The resulting phase diagram is shown in Fig. 0.2 over a wide range of frequencies and coupling strengths. For small $`g`$ the system is a metal, more precisely a Luttinger liquid with parameters that vary with the coupling (see below). For large $`g`$ the system has an energy gap and develops true long-range CDW order in the thermodynamic limit. The phase boundary obtained with our optimized phonon diagonalization methods agrees with recent DMRG results . In the adiabatic limit $`\omega _0=0`$, the critical coupling converges to zero, as expected for the Holstein Hamiltonian, Eqs. (0.1)-(0.3), with $`M\mathrm{}`$. For $`0<\omega _0\genfrac{}{}{-1.0pt}{}{<}{}1`$ the accurate determination of $`g_c`$ is somewhat difficult. On the other hand, in the strong-coupling anti-adiabatic regime, the half-filled Holstein model can be transformed to the exactly soluble XXZ (small polaron) model

$$\overline{}^{\mathrm{XXZ}}=\frac{N}{4}(2\omega _0g^2\omega _0V_2)\text{e}^{g^2}\underset{i}{}\left[(S_i^+S_{i+1}^{}+S_i^{}S_{i+1}^+)V_2\text{e}^{g^2}S_i^zS_{i+1}^z\right]$$
(0.8)
using second order perturbation theory with respect to $`t`$. Here $`V_2(g^2,\omega _0)=2e^{2g^2}\omega _0^1_{s0}(2g^2)^s/(ss!)`$, and the (Kosterlitz-Thouless) phase transition line is given by the condition $`V_2(\alpha ,g^2)\text{e}^{g^2}/2=1`$ (long-dashed curve in Fig. 0.2).

Let us now characterize the LL and CDW phases in some more detail. According to Haldane’s Luttinger liquid conjecture , 1D gapless systems of interacting fermions should belong to the same universality class as the Tomonaga-Luttinger model. As stated above, the Holstein system is gapless for small enough coupling $`g`$. Thus it is obvious to prove, following the lines of approach to the problem by McKenzie et al. , whether our Lanczos data shows a finite-size scaling like a Luttinger liquid. For a LL of spinless fermions, the ground-state energy $`E_0(N)`$ of a finite system of $`N`$ sites scales to leading order as

$$\frac{E_0(N)}{N}=ϵ_{\mathrm{}}\frac{\pi u_\rho }{6N^2},$$
(0.9)
where $`ϵ_{\mathrm{}}`$ denotes the ground-state energy per site for the infinite system and $`u_\rho `$ is the velocity of the charge excitations. If $`E_{\pm 1}(N)`$ is the ground-state energy with $`\pm 1`$ fermions away from half filling, to leading order the scaling should be

$$E_{\pm 1}(N)E_0(N)=\frac{\pi u_\rho }{2K_\rho N}.$$
(0.10)
$`K_\rho `$ is the renormalized effective coupling (stiffness) constant. The left insets of Fig. 0.2 show the LL parameters as a function of $`g`$ in the region, where the scaling relations Eqs. (0.9) and (0.10) hold. A very interesting result is the changing character of the interaction below $`\omega _01`$. For small frequencies the effective fermion-fermion interaction is attractive, while it is repulsive for large frequencies, where the system forms a polaronic metal with strongly reduced kinetic energy . Self-evidently there is a transition line in between, where the model describes “free” particles in lowest order.

In the CDW state extremely valuable information about the low-energy excitations can be obtained from the behaviour of the optical conductivity. The real part of $`\sigma (\omega )`$ contains two contributions, the (coherent) Drude part at $`\omega =0`$ and a so-called “regular term”, $`\sigma ^{reg}(\omega )`$, due to finite-frequency dissipative optical transitions to excited quasiparticle states. In spectral representation ($`T=0`$), the regular part takes the form

$$\sigma ^{reg}(\omega )=\underset{m>0}{}\frac{|\mathrm{\Psi }_0|i_j(c_j^{}c_{j+1}c_{j+1}^{}c_j)|\mathrm{\Psi }_m|^2}{E_mE_0}\delta [\omega (E_mE_0)],$$
(0.11)
where $`\sigma ^{reg}(\omega )`$ is given in units of $`\pi e^2`$ and we have omitted an $`1/N`$ prefactor. The evaluation of dynamical correlation functions, such as Eq. (0.11), can be carried out by means of very efficient and numerically stable Chebyshev recursion and maximum entropy algorithms . Clearly the optical absorption spectrum in the strong EP coupling regime is quite different from that in the LL phase (cf. Ref. ). It can be interpreted in terms of strong electron-phonon correlations and corroborates the CDW picture. Since for $`g>g_c`$ the electronic band structure is gapped we expect that the low-energy gap feature survives in the thermodynamic limit. In the adiabatic region (upper right inset), the broad optical absorption band is produced by a single-particle excitation accompanied by multi-phonon absorptions and is basically related to the lowest unoccupied state of the upper band of the CDW insulator. The lineshape of $`\sigma ^{reg}(\omega )`$ reflects the phonon distribution in the ground state. The most striking feature is the large spectral weight contained in the incoherent part of optical conductivity. Moreover, employing the f-sum rule for the optical conductivity  and taking into account the behaviour of the kinetic energy $`(u_\rho )`$ as function of $`g`$, we found that in the metallic LL and insulating CDW phases nearly all the spectral weight is contained in the coherent (Drude) and incoherent (regular) part of $`\text{Re}\sigma (\omega )`$, respectively. As stated above, in the anti-adiabatic regime the LL phase is basically a polaronic metal, i.e., the electrons will be heavily dressed by phonons. Since the renormalized coherent bandwidth of the polaron band is extremely small, the finite-size gaps in the band structure are reduced as well. Therefore, the gap occurring in the CDW state ($`\mathrm{\Delta }_{CDW}\epsilon _p`$) may be identified with the optical absorption threshold (see lower right inset).

## 0.3 Non-adiabatic approach to the spin-Peierls transition

### 0.3.1 Exact diagonalization results for T=0

In spite of the experimental fact that a realistic modeling of the inorganic SP compound $`\mathrm{CuGeO}_3`$ should include the phonon dynamics, previous theoretical studies have commonly adopted an alternating and frustrated AF Heisenberg spin chain model

$$\overline{}^{\mathrm{static}}=\underset{i}{}\left[(1+\delta (1)^i)\stackrel{}{S}_i\stackrel{}{S}_{i+1}+\alpha \stackrel{}{S}_i\stackrel{}{S}_{i+2}\right]$$
(0.12)
with a static dimerization parameter $`\delta `$, thus representing the extreme adiabatic limit of a SP chain (in this section all energies are given in units of $`J`$). $`\alpha `$ determines the strength of the frustrating AF next-nearest-neighbour coupling. The spin model (0.12) contains two independent mechanisms for spin gap formation. At $`\delta =0`$ and for $`\alpha <\alpha _c`$ the ground state is a spin liquid and the elementary excitations are massless spinons . The critical value of frustration $`\alpha _c=0.241`$ was accurately determined by numerical studies . For $`\alpha >\alpha _c`$ the ground state is spontaneously dimerized, the spectrum acquires a gap, and the elementary excitations are massive spinons . On the other hand for any finite $`\delta `$, the singlet ground state of the model (0.12) is also dimerized, but the elementary excitation is a massive magnon . A comprehensive study of the spectral properties of the model (0.12) in terms of the spin dynamical structure factor has been carried out by Yokoyama and Saiga .

From the magnetic properties of the uniform phase $`J160`$ K and $`\alpha =0.36`$ have been estimated for $`\mathrm{CuGeO}_3`$ . However, if one attempts to reproduce the observed spin gap $`\mathrm{\Delta }^{\mathrm{ST}}2.1\mathrm{meV}`$ within the static model (0.12), a very small value of $`\delta 1.2\%`$ results. From the uniaxial pressure derivatives of the exchange coupling $`J`$  and the structural distortion in the dimerized phase  a minimum magnetic dimerization of about 4% is obtained, incompatible with an adiabatic approach to the SP transition.

The simplest model that maintains the full quantum dynamics of the lattice vibrations may be obtained from Eq. (0.12) by replacing $`(1)^i\delta g\omega _0(b_i^{}+b_i)`$:

$$\overline{}_\mathrm{s}=\underset{i}{}(\stackrel{}{S}_i\stackrel{}{S}_{i+1}+\alpha \stackrel{}{S}_i\stackrel{}{S}_{i+2}),\overline{}_\mathrm{p}=\omega _0\underset{i}{}b_i^{}b_i,$$
(0.13)
$$\overline{}_{\mathrm{sp}}^\mathrm{I}=g\omega _0\underset{i}{}(b_i^{}+b_i)\stackrel{}{S}_i\stackrel{}{S}_{i+1}.$$
(0.14)
Recently it was shown that such a dynamical spin-phonon model describes the general features of the magnetic excitation spectrum of $`\mathrm{CuGeO}_3`$ . Here we focus on the behaviour of the lattice dimerization which can be found from the displacement structure factor at wave number $`q=\pi `$

$$\delta ^2=\left(\frac{g\omega _0}{N}\right)^2\underset{i,j}{}C_{ij}^{uu}\text{e}^{\mathrm{i}\pi (R_iR_j)}\text{with}C_{ij}^{uu}=(b_i+b_i^{})(b_j+b_j^{}).$$
(0.15)
The alternating structure of the correlation function $`C_{1i}`$ as shown in the inset Fig. 0.3 (a) implies the Peierls formation of short and long bonds and thus alternating strong and weak AF exchange interactions, i.e., a dimerized ground state. The structure is enhanced (weakened) increasing the spin–phonon coupling (phonon frequency) . As in the ordinary Peierls phenomenon, a finite dimerization $`\delta >0`$ necessarily leads to a gap $`\mathrm{\Delta }^{\mathrm{ST}}`$ in the magnetic excitation spectrum. For evaluating the relation between the dimerization and the resulting magnitude of the spin triplet excitation gap, we keep the phonon frequency fixed, vary the coupling strength $`g`$ and calculate for each parameter set $`\mathrm{\Delta }^{\mathrm{ST}}=E_0^\mathrm{T}E_0^\mathrm{S}`$ and the dimerization $`\delta `$ from Eq. (0.15). ED results for $`\mathrm{\Delta }^{\mathrm{ST}}`$ obtained for the static spin-only model (0.13) and the quantum phonon model (0.14) are compared in the main part of Fig. 0.3 (a). For vanishing dimerization, i.e. in the absence of any spin–phonon coupling $`(g=0)`$ the results for the static and the dynamic model naturally agree (note that for $`\delta =0`$ there remains a spin excitation gap due to the frustration driven singlet dimer ordering). The dynamic model (0.14) partially resolves the $`\mathrm{\Delta }^{\mathrm{ST}}\delta `$ conflict we are faced within the static approach, because the dimerization $`\delta `$ grows with the phonon frequency at fixed $`\mathrm{\Delta }^{\mathrm{ST}}`$. Thus matching $`\mathrm{\Delta }^{\mathrm{ST}}`$ to the neutron scattering data, a larger $`\delta `$ 5% may result.

Figure 0.3 (b) shows the dimerization as a function of the spin-phonon interaction strength. As for the Holstein model the precise determination of the critical coupling $`g_c`$ is difficult for phonons in the adiabatic regime $`\omega _0<0.5`$. On the contrary, in the non-adiabatic regime the SP transition takes place at $`g_c1`$ nearly irrespective of $`\omega _0`$. Most remarkably, below (above) $`g_c`$ the dimerization decreases (increases) with increasing lattice size $`N`$ (see inset), indicating that the infinite system exhibits a true phase transition.

### 0.3.2 Anti-adiabatic limit: mapping to an effective magnetic problem

Figure 0.3 (b) implies that more insight into the dynamic spin-phonon model can be obtained by considering the limit of large phonon frequencies. One can then integrate out the lattice degrees of freedom in order to derive an effective spin Hamiltonian which cover the dynamical effect of phonons in a approximate way. Technically this can be achieved by a variety of methods, such as standard perturbation theory , continuous (flow-equation based)  or variational unitary transformations .

In what follows we consider besides the magneto-elastic interaction, Eq. (0.14), another type of spin-phonon coupling ,

$$\overline{}_{\mathrm{s}\mathrm{p}}^{\mathrm{II}}=g\omega _0\underset{i}{}(b_i^{}+b_i)(\stackrel{}{S}_i\stackrel{}{S}_{i+1}\stackrel{}{S}_i\stackrel{}{S}_{i1}),$$
(0.16)
where the AF exchange integral varies linearly with the difference between the phonon amplitudes on neighbouring sites, and perform a Schrieffer-Wolff transformation , $`\stackrel{~}{\overline{}}=\mathrm{exp}(𝒮)\overline{}\mathrm{exp}(𝒮)`$, with

$$𝒮^\mathrm{I}=g\underset{i}{}(b_i^{}b_i)\stackrel{}{S}_i\stackrel{}{S}_{i+1}\text{and}𝒮^{\mathrm{II}}=g\underset{i}{}(b_i^{}b_i)(\stackrel{}{S}_i\stackrel{}{S}_{i+1}\stackrel{}{S}_i\stackrel{}{S}_{i1}),$$
(0.17)
respectively. In contrast to electron-phonon systems with Holstein coupling, where the (Lang-Firsov) transformation similar to $`\mathrm{exp}(S)`$ completely removes the electron-phonon interaction term ($`\overline{}_{\mathrm{e}\mathrm{p}}`$), applying the unitary transformation $`\mathrm{exp}(S)`$ to $`\overline{}`$ with Eqs. (0.14) and (0.16), we obtain an infinite series of terms, which can not be summed up to a simple expression. To derive an effective spin model we now take the average over the (transformed) phonon vacuum. The resulting spin Hamiltonian $`\overline{}_{\mathrm{eff},\mathrm{s}}=\stackrel{~}{0}_\mathrm{p}|\stackrel{~}{\overline{}}|\stackrel{~}{0}_\mathrm{p}`$ contains longer than next-nearest-neighbour ranged Heisenberg interactions as well as numerous multi-spin couplings. To a good approximation we can neglect them and obtain (cf. )

$$\overline{}_{\mathrm{eff},\mathrm{s}}^{\mathrm{I}/\mathrm{II}}=\underset{i}{}(\stackrel{}{S}_i\stackrel{}{S}_{i+1}+\alpha _{\mathrm{eff}}^{\mathrm{I}/\mathrm{II}}\stackrel{}{S}_i\stackrel{}{S}_{i+2})$$
(0.18)
with

$$\alpha _{\mathrm{eff}}^\mathrm{I}=\frac{\alpha +g^2(12\alpha )/2+3g^4\omega _0/1637g^4(12\alpha )/96}{1+g^2\omega _0/2g^2(1\alpha )/23g^4\omega _0/8+g^4(2837\alpha )/96},$$
(0.19)
$$\alpha _{\mathrm{eff}}^{\mathrm{II}}=\frac{\alpha +g^2\omega _0/2+g^2(35\alpha )/2+3g^4\omega _0/48g^4(75124\alpha )/24}{1+g^2\omega _03g^2(1\alpha )/29g^4\omega _0/8+g^4(5975\alpha )/24}.$$
(0.20)
That is the integration over the phonon subsystem yields an additional frustrating next-nearest-neighbour exchange interaction. Therefore, without any explicit frustration $`\alpha `$, the effective frustration $`\alpha _{\mathrm{eff}}`$ due to the phonons can lead to a gap in the energy spectrum and to spontaneous dimerization. This effect is most important in the anti-adiabatic frequency range .

In order to determine the critical line in the the $`\alpha g`$ plane indicating the transition from the gapless to the gapped ground state, we use the level crossing criterion  for the lowest singlet and triplet excitations which become degenerate at $`\alpha _c(N)`$. At $`\alpha _c`$ the finite-size corrections $`\alpha _c(N)\alpha _c(\mathrm{})N^2`$ are small. The resulting phase diagrams are displayed in Fig. 0.4. We find that the phase boundary of the original quantum spin-phonon and effective spin models agree surprisingly well, where for the effective model (0.18) $`\alpha _c(g)`$ can be obtained with high accuracy on local workstations if $`N20`$. For spin-phonon coupling of type I the critical curve exhibits a remarkable upturn before crossing the abscissa; i.e., the frustration is suppressed for small spin-phonon coupling, but over-critical for strong coupling. It is this feature which makes it necessary to expand $`\stackrel{~}{\overline{}}`$ up to fourth order in $`g`$ to approximate $`\overline{}`$ in a correct way. A second order theory is not capable to describe the observed critical line. The upturn of $`\alpha _c(g)`$ at small $`g`$ was reproduced quite recently by linked series expansion techniques . By contrast $`\alpha _c(g)`$ is a monotonous decreasing function of $`g`$ for the coupling of type II. It appears that one would get the same shape also for a second order theory. However, to enlarge the application area of our approximation taking into account higher order contributions is still appropriate. For $`\alpha 0`$, differently from the coupling case I, $`g_c`$ tends to zero in the anti-adiabatic limit $`\omega _0\mathrm{}`$. While the $`q=0`$ and the $`q=\pi `$ phonon mode compete in the case of coupling I, allowing for a stable gapless phase up to a critical $`g`$, there is no interaction with the $`q=0`$ mode in $`H_{\mathrm{sp}}^{\mathrm{II}}`$. Therefore the $`q=\pi `$ mode induces long ranged exchange more efficiently, leading to a vanishing $`g_c`$ for $`\omega _0\mathrm{}`$.

### 0.3.3  RPA approach at $`𝐓\mathrm{𝟎}`$: Soft-mode vs. central-peak behaviour

The absence of a soft phonon mode at the displacive SP in $`\mathrm{CuGeO}_3`$ has been puzzling for a long time, since the behaviour was believed to be inconsistent with the standard Cross-Fisher RPA approach to SP transitions . Even worse, the relevant phonon modes harden by about 5% with decreasing temperature , pointing to a central peak scenario. A way to reconcile these results within the framework of the Cross-Fisher theory has been proposed by Gros and Werner , with the result that a complete phonon softening occurs only for bare phonon frequencies less than a critical value ($`\omega _0<\omega _{0,c}=2.2T_c`$, where $`T_c`$ is the SP transition temperature. For higher $`\omega _0`$ a central peak develops reaching $`T_c`$ from above. For the magnetostrictive Heisenberg spin chain model, however, it was not possible to analyze the complete pole structure of phonon spectral function.

To test this scenario we restrict ourselves to the simpler XY model

$$\overline{}_\mathrm{s}^{\mathrm{XY}}=\underset{i}{}(S_i^xS_{i+1}^x+S_i^yS_{i+1}^y),\overline{}_\mathrm{p}=\underset{i}{}\frac{p_i^2}{2M}+\frac{K}{2}(u_iu_{i+1})^2$$
(0.21)
with the spin-phonon coupling term

$$\overline{}_{\mathrm{s}\mathrm{p}}=\frac{\lambda }{2}\underset{i}{}(u_iu_{i+1})(S_i^+S_{i+1}^{}+S_i^{}S_{i+1}^+).$$
(0.22)
The above magnetostrictive XY model has been proposed as the minimal model to describe the SP transition . Performing a Jordan-Wigner transformation  it can be mapped onto a model of spinless fermions only interacting with the phonon system $`\overline{}_\mathrm{p}=_q\omega _qb_q^{}b_q`$:

$`\overline{}_\mathrm{s}^{\mathrm{XY}}`$ $``$ $`\overline{}_\mathrm{e}^{\mathrm{JW}}={\displaystyle \underset{k}{}}\mathrm{cos}(k)c_k^{}c_k,`$ (0.23)
$`\overline{}_{\mathrm{s}\mathrm{p}}`$ $``$ $`\overline{}_{\mathrm{e}\mathrm{p}}^{\mathrm{JW}}=g\omega _0{\displaystyle \underset{k,q}{}}\eta (k,q)(b_q+b_q^{})c_k^{}c_{kq},`$ (0.24)
where

$$\eta (k,q)=i\left(\frac{\omega _0}{N\omega _q}\right)^{\frac{1}{2}}\left[\mathrm{sin}(kq)\mathrm{sin}(k)\right].$$
(0.25)
with $`\omega _q=2\omega _0\mathrm{sin}(q/2)`$, i.e $`\omega _\pi =2\omega _0`$.

Determining the equation of motion for the Matsubara phonon Green’s function $`\overline{D}(q,i\omega _n)`$ within the scheme worked out by Bennett and Pytte for the magnetostrictive Heisenberg model , the main advantage is that the higher-order spin-spin correlation functions can be calculated without further approximations for the XY-case. The retarded Green’s function $`\overline{D}^{\mathrm{ret}}(q,\omega )`$ is obtained from $`\overline{D}(q,i\omega _n)`$ by analytical continuation $`i\omega _n\omega `$. In the uniform phase above $`T_c`$, the RPA propagator of the $`q=\pi `$-phonon, being responsible for the phase transition, then results as

$$\overline{D}^{\mathrm{ret}}(\pi ,\omega )=\frac{4\omega _0}{\omega ^24\omega _0^22\omega _0\overline{P}(\pi ,\omega )},$$
(0.26)
$$\overline{P}(\pi ,\omega )=(2g\omega _0)^2_0^\pi \frac{dk}{\pi }\frac{\mathrm{sin}^2(k)\mathrm{tanh}[\frac{\beta }{2}\mathrm{cos}(k)]}{\omega +2\mathrm{cos}(k)}.$$
(0.27)
A structural instability occurs if $`\overline{D}^{\mathrm{ret}}(q,\omega )`$ exhibits a pole at a certain $`q`$-value for $`\omega =0`$. In that case an excitation with arbitrary low energy is possible and the lattice becomes unstable with respect to a (static) deformation with wave number $`q`$. From this condition the equation for the inverse transition temperature $`\beta _c=1/T_c`$ easily follows as

$$1=\kappa _0^\pi 𝑑k\frac{\mathrm{sin}^2(k)\mathrm{tanh}[\frac{\beta _c}{2}\mathrm{cos}(k)]}{\mathrm{cos}(k)},$$
(0.28)
where $`\kappa =g^2\omega _0/\pi `$. A more detailed study of the complete pole structure of $`\overline{D}^{\mathrm{ret}}(q,\omega )`$ in both the undimerized and dimerized phases is presented in Ref. , where also the ultrasound properties of the system were discussed. Here we focus on the temperature dependence of the dynamical structure factor above $`T_c`$,

$$C(q,\omega )=\frac{1}{\pi }\underset{\delta 0}{lim}\frac{\mathrm{Im}\overline{D}^{ret}(q,\omega +i\delta )}{1e^{\beta \omega }},$$
(0.29)
which is displayed in Fig. 0.5 for two characteristic phonon frequencies $`\omega _0=0.25`$ and $`\omega _0=1.05`$, corresponding to the soft-mode (a) and central-peak (b) regimes, respectively. For small bare phonon frequencies the maximum in $`C(\pi ,\omega )`$ is located around $`\omega =\omega _\pi `$ at high temperatures and moves with decreasing temperatures to lower frequencies until a real divergence of $`C(\pi ,\omega )`$ appears for $`T=T_c`$ at $`\omega =0`$. For large bare phonon frequencies a completely different behaviour is found. Now the high-temperature phonon peak stays around $`\omega =\omega _\pi `$ and even hardens in some degree as $`TT_c`$. At the same time a peak structure evolves at $`q=0`$ which becomes divergent at $`T=T_c`$. This so-called central peak corresponds to a new collective magneto-elastic excitation of the coupled spin-phonon system, which occurs at the SP transition and moves to higher energies as the temperature is lowered further .

## 0.4 Conclusions

In this report the lattice dynamical effects on the Peierls transition in coupled electron/spin-phonon systems were discussed. Our approach was based on several generic model Hamiltonians obtained from the one-dimensional Holstein/SSH Hubbard model in important limiting cases. Applying both basically exact numerical and approximative analytical methods we are able to calculate both ground-state and spectral properties of these simplified models for the complete range of model parameters. The focus, however, was on non-adiabatic effects due to the phonon dynamics. The presented results confirm previous findings that quantum phonon fluctuations destroy the Peierls distorted state at sufficiently weak electron/spin-phonon interactions.

For the spinless fermion model this means that for weak electron-phonon couplings the system resides in a metallic (gapless) phase described by two non-universal Luttinger liquid parameters. The renormalized charge velocity and the correlation exponent are obtained from finite-size scaling relations, fulfilled with great accuracy. The Luttinger liquid phase splits in an attractive and repulsive regime at low and high phonon frequencies, respectively. Here the polaronic metal, realized for repulsive interactions, is characterized by a strongly reduced mobility of the charge carriers. Increasing the electron-phonon coupling, the crossover between Luttinger liquid and charge-density-wave behaviour is found in excellent agreement with very recent DMRG results. The transition to the CDW state is accompanied by significant changes in the optical response of the system. Most notably seems to be the substantial spectral weight transfer from the Drude to the regular (incoherent) part of the optical conductivity, indicating the increasing importance of inelastic scattering processes in the CDW (Peierls distorted) regime.

As a simple model for a spin-Peierls system we considered a (frustrated) Heisenberg spin chain model supplemented by a coupling to optical phonons with frequencies comparable to the magnetic exchange coupling, which is, e.g.. the relevant limit for the spin-Peierls compound $`\mathrm{CuGeO}_3`$. The magnetic excitations inherently include a local lattice distortion requiring a multi-phonon-mode treatment of the lattice degrees of freedom. When compared to the static model of an alternating, dimerized spin chain the magnetic properties are strongly renormalized due to the coupled spin and lattice dynamics. For the quantum spin-phonon model the dimerization dependence of the spin triplet excitation gap is found to be in qualitative agreement with experiment. In the anti-adiabatic phonon frequency range we used the concept of unitary transformations in order to integrate out phonon degrees of freedom, where the spin-phonon interaction results in an additional frustration in the effective spin-only model. For two types of spin-phonon couplings, the critical lines separating gapless from gapped ground states are found to agree for the original spin-phonon and effective spin models. Finally the reliability of the RPA approach to SP transitions was assessed in terms of an XY model with additional magneto-elastic interaction. With increasing phonon frequency the dynamical displacement structure factor shows a crossover from a soft-mode to central-peak behaviour, normally linked to displacive and order-disorder types of transition respectively. The central peak predicted to appear at $`T_c`$ for large bare phonon frequency corresponds not to a real phononic but rather to a new magneto-elastic excitation.

## Acknowledgements

The authors would like to thank B. Büchner, H. Büttner, R. J. Bursill, A. P. Kampf, A. W. Sandvik, J. Schliemann, G. S. Uhrig, G. Wellein and R. Werner for valuable discussions. The ED calculations were performed at the LRZ München, NIC Jülich, and HLR Stuttgart.


text:
# A NEW GLOBAL ANALYSIS OF DIS DATA AND THE STRANGE SEA DISTRIBUTION11footnote 1To be published in the Proceedings of the Workshop on Light-Cone QCD and Nonperturbative Hadron Physics (Adelaide, 1999), World Scientific.

## 1 Introduction

Neutrino DIS measurements play a relatively minor role in most of the present-day global fits. Since the determination of the strange sea density relies completely on charged-current DIS, $`s(x)`$ turns out to be quite poorly known. Recently we tried to improve the situation by performing a new analysis of DIS data with an enlarged neutrino and antineutrino data set . This enabled us to provide an accurate determination of $`s(x)`$ in the framework of a global fit. We also tested the hypothesis of the charge asymmetry of the strange sea. In the following we shall briefly outline the results of our analysis focusing in particular on the strange sector.

## 2 Neutrino measurements and global fits

To start with, let us see why so far only a small part of the information accumulated in $`\nu ,\overline{\nu }`$ DIS experiments has been exploited in global fits.

The old data (BEBC, CDHS, CDHSW) cannot be immediately used because the radiative corrections are either incomplete or not applied at all and/or the bin center corrections are not performed. On the other hand, more recent data (CCFR) are, so to speak, analyzed ‘too much’. The cross sections are not available and only structure functions are provided. The latter come from a preanalysis, which includes assumptions on $`R=\sigma _L/\sigma _T`$, nuclear effects, slow rescaling for charm etc. This can lead to problems of consistency with the QCD analysis eventually performed within the global fits.

The most sophisticated global parametrizations on the market (CTEQ , MRST ) use only the $`F_2^\nu `$ and $`xF_3^\nu `$ structure functions from CCFR. Two difficulties arise. First of all, the CCFR structure functions are not compatible at low $`x`$ with the charged-lepton structure functions. In particular, below $`x0.1`$, there is a clear discrepancy between the CCFR $`F_2^\nu `$ and the $`F_2^\mu `$ measured by NMC. This discrepancy might be due to a different nuclear shadowing in $`\nu `$DIS and $`\mu `$DIS and to a different longitudinal-to-transverse cross section ratio in charged-current and neutral-current DIS. The second problem arising from the use of CCFR structure functions (especially, of $`F_2^\nu `$) is that they tend to favor an unrealistically large value of $`\alpha _s`$. The MRST global fit clearly shows that the function $`\chi ^2(\alpha _s)`$ has no minimum below $`\alpha _s(M_Z^2)=0.123`$.

The difficulty of including neutrino data in global fits reflects itself in an uncertain knowledge of $`s(x)`$.

## 3 The determination of the strange sea density

There are two ways to extract the strange sea distribution from DIS data: i) by a direct determination; ii) by a global fit (like the other flavor densities).

Direct determination means that the strange-charm sector of charged-current DIS is selected either by looking at particolar signatures in the final state or by properly combining the inclusive structure functions.

The opposite-sign dimuon production in $`\nu ,\overline{\nu }`$ DIS probes the strangeness in the proton. In principle this is a very effective way to determine $`s(x)`$. However the analysis of this process is affected by many uncertainties (charm fragmentation, acceptance correction, etc.). The dimuon determination has been performed by CCFR . Their data sample consists of about 5,000 $`\nu `$ events and 1,000 $`\overline{\nu }`$ events. The strange-to-non-strange momentum ratio $`\kappa `$ found in the NLO CCFR analysis is $`\kappa =0.48`$ at $`Q^2=20`$ GeV2.

The determination of $`s(x)`$ within a global fit is made difficult by the lack of large and reliable neutrino and antineutrino data sets. Both MRST and CTEQ are unable to fit $`s(x)`$ independently of the non-strange sea. Thus they borrow the value $`\kappa 0.5`$ from the CCFR analysis and constrain $`s(x)`$ as $`s(x)+\overline{s}(x)=0.5[\overline{u}(x)+\overline{d}(x)]`$. The results of the fits for the strange distribution are clearly biased by this constraint and the $`s(x)`$ found by MRST and CTEQ depends ultimately on the CCFR dimuon measurement.

## 4 A new global analysis and the extraction of $`s(x)`$

We performed a new global analysis of DIS data at the NLO level in QCD. The main features of this analysis are (for details see Ref. 1):

* The analysis is based on a large $`\nu ,\overline{\nu }`$ data set, which includes all available $`\nu `$, $`\overline{\nu }`$ cross section data (BEBC, CDHS, CDHSW). We also fit charged-lepton data (BCDMS, NMC, H1) and Drell-Yan data (E605, NA51, E866). For the sake of consistency, the CCFR structure function data, coming from a preanalysis different from ours, are not included.
* The data have been properly reanalyzed. Bin center corrections, electroweak radiative corrections, corrections for nuclear and isoscalarity effects have been applied.
* Error correlations have been taken into account.
* A massive factorization scheme is used: we chose the Fixed Flavor Number Scheme, which is known to be more stable in the moderate $`Q^2`$ range of the data.
* The kinematic cuts imposed are: $`Q^23.5`$ GeV2, $`W^210`$ GeV2 (in this region higher-twist effects are negligible). As for the CDHSW data, we excluded the controversial region $`x<0.1`$.

Due to the abundance of neutrino data, we are able to fit the strange sea independently from the non-strange sea. Moreover, the good balance between $`\nu `$ and $`\overline{\nu }`$ measurements in the high-statistics CDHSW data allows us to test the charge asymmetry in the strange sea: $`s(x)\overline{s}(x)`$ (see next section).

In our main fit, called $`\mathrm{𝚏𝚒𝚝𝟷}`$, the parton densities are parametrized at the input scale $`Q_0^2=4`$ GeV2 imposing as usual $`s=\overline{s}`$, but without any strong constraint between $`s,\overline{s}`$ and $`\overline{u},\overline{d}`$. We will present the results for the strange sector, referring the reader to Ref. 1 for a full account of the fit.

In Fig. 1 we show the strange distribution at different $`Q^2`$ values. The results of the CCFR dimuon determination  is shown for comparison. The meaning of the error bands is explained in detail in Ref. 1. They correspond to an increase of the $`\chi ^2`$ by one unit and do not take into account the uncertainties related to the choice of the functional form of the distributions. Note that although the CCFR points seem to be in good agreement with our curves, the strange-to-non-strange ratio we find is quite different from CCFR’s: $`\kappa =0.67`$ at $`Q^2=20`$ GeV2, to be compared with the CCFR value 0.48 at the same scale. We also performed a modified fit, called fit1b, imposing, as it is done by CTEQ and MRST, the condition $`s+\overline{s}=0.5(\overline{u}+\overline{d})`$, motivated by the CCFR result on $`\kappa `$. It turns out that fit1b is definitely worse (see Tab. 1). We found that it is especially the $`\overline{\nu }`$ data which favor fit1 with respect to fit1b.

Incidentally, we notice that no discrepancy whatsoever emerges in our fit between neutrino and charged-lepton data. We checked that the fit worsens if the CCFR structure functions data are taken into account.

## 5 Test of the charge asymmetry in the strange sea

Is $`s(x)`$ different in shape from $`\overline{s}(x)`$? In order to answer this question by fitting neutrino and antineutrino data one needs a good balance between $`\nu `$ and $`\overline{\nu }`$ statistics. This is the case of our data set.

A charge asymmetry in the strange sea is not forbidden by first principles (clearly, as the nucleon has no net strangeness, one must have $`dx(s\overline{s})=1`$), and is actually expected in the framework of the intrinsic sea theory of Brodsky et al. . Intrinsic $`q\overline{q}`$ pairs have a relatively long lifetime and arrange themselves into higher Fock states of the proton $`|uudq\overline{q}\mathrm{}`$. By minimizing the kinetic energy on the light-cone one finds that the larger the mass of the intrinsic quark the higher its average momentum. Thus the intrinsic sea tends to occupy the large $`x`$ region. In the specific case of the strange sea, the $`s\overline{s}`$ pairs give rise to $`N\mathrm{\Lambda }K`$ fluctuations . In Ref. 7 it was shown, by simple chiral symmetry arguments, that one should expect $`x_s>x_{\overline{s}}`$.

In order to test the charge asymmetry of the strange sea, we released the constraint $`s=\overline{s}`$ and performed another fit, fit2, looking for a possible difference between $`s(x)`$ and $`\overline{s}(x)`$. In Fig. 2 we plot $`xs(x)x\overline{s}(x)`$ and $`s(x)/\overline{s}(x)`$ at $`Q^2=20`$ GeV2. The strange distribution turns out to be harder than the anti-strange one, in agreement with the expectation of the intrinsic sea theory. In Fig. 3 we show the difference $`\mathrm{\Delta }_\nu `$ between $`\nu `$ and $`\overline{\nu }`$ differential cross sections which is directly sensitive to $`s\overline{s}`$: fit2 is favored at large $`x`$ with respect to fit1. One can see in Table 1 that the minimum $`\chi ^2`$ of fit2 is 25 units smaller than the $`\chi ^2`$ of fit1, with an overall number of 2657 data points. It is clear that new high-statistics $`\nu `$ and $`\overline{\nu }`$ data would allow to increase the significance of the result and to draw a more definite conclusion.

## 6 Conclusion

We have shown how the full use of available $`\nu ,\overline{\nu }`$ cross sections provides important information on the flavor structure of the nucleon, in particular on the strange distribution. A proper analysis of the forthcoming neutrino data (CHORUS and NuTeV) will certainly improve our knowledge of $`s(x)`$ and allow a more conclusive test of the charge asymmetry of the strange sea.

Note added. After we submitted this paper to the LC99 Workshop, we became aware of the talk delivered by A. Bodek (on behalf of CCFR-NuTeV) at the Moriond meeting (March 2000). The CCFR–NuTeV Collaboration is carrying out the analysis of new $`\nu ,\overline{\nu }`$ DIS measurements at Fermilab. Their preliminary results show that:

* it is crucial not to introduce any theoretical bias in extracting neutrino structure functions from cross sections (as we stressed in Ref. 1 and in the present contribution);
* a NLO analysis based on a massive scheme is needed in order to get reliable results, especially in the charm-strange sector (as it was anticipated longtime ago), and therefore the slow rescaling procedure should be definitely discarded;
* a large discrepancy emerges between the newly determined $`F_2`$ and the old CCFR $`F_2`$: this is a further, a posteriori, justification for our choice of not using the old CCFR data on $`F_2`$ in our fits;
* the disagreement between $`\mu `$ and $`\nu `$ data is solved by a consistent treatment of the data (which confirms what we claimed in Ref. 1);
* measuring the difference $`xF_3^\nu xF_3^{\overline{\nu }}`$ is a viable method to extract the strange sea distribution (the advantages of this method were pointed out, from a theoretical viewpoint, in Ref. 11).

The hopefully imminent release of the CCFR-NuTeV cross section data will allow to push the program of Ref. 1 forward in the direction of a better understanding of the flavor structure of the proton.

## References


text:
# Studying the 𝜔 properties in pA collisions via the 𝜔→𝜋⁰𝛾 decaySupported by Forschungszentrum Jülich

## Abstract

Within transport calculations we study the production and decay of $`\omega `$-mesons in $`pA`$ reactions at COSY energies including elastic and inelastic $`\omega N`$ rescattering, the $`\omega \pi ^0\gamma `$ Dalitz decay as well as $`\pi ^0N`$ rescattering. The resulting invariant $`\pi ^0\gamma `$ mass distributions indicate that in-medium modifications of the $`\omega `$-meson may be observed experimentally.

The modification of the $`\omega `$-meson properties  in nuclear matter have become a challenging subject in dilepton physics from $`\pi ^{}A`$, $`pA`$ and $`AA`$ collisions. Here the dilepton ($`e^+e^{}`$) radiation from $`\omega `$’s propagating in finite density nuclear matter is directly proportional to the $`\omega `$ spectral function which becomes distorted in the medium due to the interactions with nucleons . Apart from the vacuum width (3 pion decay) these modifications are described by the real and imaginary part of the retarded $`\omega `$ self energy $`\mathrm{\Sigma }_\omega (P,X)`$, where the real part $`\mathrm{}\mathrm{\Sigma }_\omega `$ yields a shift of the $`\omega `$-meson mass pole and the additional imaginary part $`\mathrm{}\mathrm{\Sigma }_\omega `$ (half) the collisional broadening of the vector meson in the medium. We recall that the $`\omega `$-meson self energy in the $`t\rho `$ approximation is proportional to the complex forward $`\omega N`$ scattering amplitude $`f_\omega (P,0)`$ and the nuclear density $`\rho (X)`$, i.e. $`\mathrm{\Sigma }_\omega (P,X)=4\pi \rho (X)f_{\omega N}(P,0)`$. The scattering amplitude itself, furthermore, obeys dispersion relations between the real and imaginary parts  while the imaginary part can be determined from the total $`\omega N`$ cross section according to the optical theorem. Thus the $`\omega `$ meson spectral function

$`A_\omega (X,P)={\displaystyle \frac{\mathrm{\Gamma }_\omega (X,P)}{(P^2M_0^2\mathrm{}\mathrm{\Sigma }_\omega (X,P))^2+\mathrm{\Gamma }_\omega (X,P)^2/4}}`$
$`(1)`$
where $`\mathrm{\Gamma }(X,P)=2\mathrm{}\mathrm{\Sigma }_\omega (X,P)`$, can be constructed once the $`\omega N`$ elastic and inelastic cross sections are known. Note that in (Studying the $`\omega `$ properties in pA collisions via the $`\omega \pi ^0\gamma `$ decaythanks: Supported by Forschungszentrum Jülich) all quantities depend on space-time $`X`$ and four-momentum $`P`$.

As mentioned before, the in-medium $`\omega `$-spectral function can be measured directly by the leptonic decay $`\omega l^+l^{}`$ or the Dalitz decay $`\omega \pi ^0\gamma `$ experimentally. The advantage of the $`\omega \pi ^0\gamma `$ mode is due to an isolation of the $`\omega `$-signal, while the dileptonic mode always has to fight with a background from $`\rho ^0`$ decays that are as well produced in $`pA`$ collisions with compatible abundance.

The $`\omega `$-production in $`pA`$ collisions can be considered as a natural way  to study the $`\omega `$-properties at normal nuclear density under rather well controlled conditions. In Ref.  the $`\pi ^+\pi ^{}`$ decays of $`\rho ^0`$-mesons produced in $`pA`$ reactions has been investigated also with the aim of testing the in-medium $`\rho ^0`$-spectral function at normal nuclear matter density. However, as found in  the final state interactions of the two decay pions are too strong to allow for a decent reconstruction of the invariant mass of the parent $`\rho ^0`$-meson mass. This situation changes for the in-medium $`\omega `$-meson decay since here only a single pion might rescatter whereas the photon escapes practically without reinteraction. In this letter we thus investigate the possibility to measure the $`\omega `$-spectral function via the Dalitz decay of $`\omega `$-mesons produced in $`pA`$ collisions.

The calculations are performed within the transport model used before for $`\rho ^0`$ and $`K^\pm `$ studies  by taking into account both the direct $`pN\omega pN`$, $`pN\omega pN\pi `$ and secondary $`pN\pi NN`$, $`\pi N\omega N`$ production mechanisms employing the cross sections from Ref.  as well as $`\omega N`$ elastic and inelastic interactions in the target nucleus (with cross sections from Ref. ) and accounting for $`\pi ^0N`$ rescattering. Here the $`\omega `$ propagation is described by the Hamilton’s equation of motion and its Dalitz decay to $`\pi ^0\gamma `$ by Monte Carlo according to the survival probability $`P_\omega (tt_0)=\mathrm{exp}(\mathrm{\Gamma }_V(tt_0))`$ in the rest frame of the meson created at time $`t_0`$, while $`\mathrm{\Gamma }_V`$=8.4 MeV denotes the inverse $`\omega `$-life time in the vacuum.

Before presenting our results for the $`\pi ^0\gamma `$ invariant mass distributions we show in Fig. 1 the momentum differential $`\omega `$ cross section $`E/p^2d\sigma _\omega /dp`$ for $`p+C`$ and $`p+Pb`$ at 2.4 GeV laboratory energy, where $`p`$ denotes the $`\omega `$-momentum in the laboratory. The hatched histograms indicate the contribution from the two-step production mechanism $`\pi N\omega N`$, while the solid histograms show the total yield. As can be seen from Fig. 1 the one step mechanism $`pN\omega pN`$ dominates at large momenta for both systems, however, the two step mechanism takes over for low $`\omega `$-momenta especially in case of the heavy $`Pb`$ target. These different production mechanisms, that vary with bombarding energy and target mass, lead to a rather subtle mass dependence of the final $`\omega `$-yield when parameterizing the cross section in terms of the function $`\sigma _\omega A^\alpha `$. For a more detailed discussion we refer the reader to Ref. .

We now directly step towards the numerical results, first without employing any medium modifications for the $`\omega `$-meson. Fig. 2 shows the resulting $`\pi ^0\gamma `$ invariant mass spectrum for $`p+C`$ and $`p+Cu`$ collisions at a beam energy of 2.4 GeV. The solid histogram in Fig. 2 displays the spectral function of $`\omega `$’s, which decay outside the nucleus at densities $`\rho `$0.05 fm-3; the distribution from the $`\omega \pi ^0\gamma `$ decay for $`\rho >`$0.05 fm-3 for events without $`\pi ^0`$-rescattering is shown by the light hatched areas while events that involve $`\pi ^0N`$ elastic or inelastic scattering are displayed in terms of the dark areas. The solid lines show the Breit-Wigner distribution determined by the pole mass and width for the free $`\omega `$-meson. As can be seen from Fig. 2 most of the $`\omega `$-mesons from the $`C`$ target decay in the vacuum (92%) and consequently $`\omega `$ decays in the medium as well as $`\pi ^0`$ rescattering are rather scarce. The situation changes for a $`Cu`$ target where $`\pi ^0\gamma `$ coincidences from finite density are more frequent (19% $`\omega `$’s decay inside the target), however, also $`\pi ^0`$ rescattering gives a substantial background which in the invariant mass range of interest can approximately be described by an exponential tail in $`\sqrt{s}=M_\omega `$.

We note that experimentally the in-medium $`\omega `$ spectral function can be observed by the $`\pi ^0\gamma `$ invariant mass distribution from $`\omega `$-mesons decaying inside the nucleus without $`\pi ^0`$-rescattering. Our results in Fig. 2 indicate that light nuclei such as $`C`$ might (at first glance) not be well suited for this purpose, however, a $`Cu`$ target appears promising.

Now we examine the feasibility of a direct detection of an in-medium modification of the $`\omega `$-spectral function via the $`\pi ^0\gamma `$ invariant mass spectrum. The calculations are performed for $`p+Cu`$ collisions at 2.4 GeV by introducing a real and imaginary part of the $`\omega `$-potential

$$U_\omega =\frac{\mathrm{}\mathrm{\Sigma }_\omega }{2M_0}M_0\beta \frac{\rho }{\rho _0}$$
(1)
and width

$$\mathrm{\Gamma }^{}=\frac{\mathrm{}\mathrm{\Sigma }_\omega }{2M_0}\mathrm{\Gamma }_0+\mathrm{\Gamma }_{coll}\frac{\rho }{\rho _0}$$
(2)
in the $`t\rho `$-approximation. Here $`M_0`$ and $`\mathrm{\Gamma }_0`$ are the bare mass and width of the $`\omega `$-meson in vacuum while $`\rho `$ is the local baryon density and $`\rho _0`$=0.16 fm-3. The parameter $`\beta `$–0.16 was adopted from the models in Ref. . The predictions for the $`\omega `$-meson collisional width $`\mathrm{\Gamma }_{coll}`$ at density $`\rho _0`$ range from 20 to 50 MeV  – depending on the number of $`\omega N`$ final channels taken into account – and thus we examine both cases.

We point out that these estimates are based on the local density approximation and neglect a momentum dependence of the $`\omega `$-potential. Since the model uncertainties are quite substantial  this situation needs experimental clarification.

The solid histograms in Fig. 3 show the $`\pi ^0\gamma `$ invariant mass spectra from $`p+Cu`$ collisions at 2.4 GeV calculated with $`\mathrm{\Gamma }_{coll}`$=20 MeV (upper part) and $`\mathrm{\Gamma }_{coll}`$=50 MeV (lower part) while employing the potential (1). The results are shown for an ’experimental’ mass resolution of 10 MeV. The solid lines indicate the Breit-Wigner distribution given by the mass and width for the vacuum $`\omega `$-meson for comparison. Our results indicate a substantial enhancement of the low mass $`\pi ^0\gamma `$ spectra due to the contribution from $`\omega `$-mesons decaying inside the nucleus while feeling the attractive potential (1).

Furthermore, we do not observe a substantial difference between the $`\pi ^0\gamma `$ spectra calculated with $`\mathrm{\Gamma }_{coll}`$=20 and 50 MeV since the shape of the low invariant mass spectrum is dominated by the (density dependent) in-medium shift of the $`\omega `$-pole. Only above the vacuum $`\omega `$ pole mass one can see a slightly enhanced yield in case of the higher collisional broadening. Moreover, the contribution from ’distorted’ $`\omega `$-mesons (due to $`\pi ^0`$ rescattering), which is shown in Fig. 3 by the hatched histograms, is small and represents an approximately exponential background in the available $`\pi ^0\gamma `$ energy.

Now we examine the sensitivity of the predictions to the collisional broadening alone. The open histogram in Fig. 4 shows $`\pi ^0\gamma `$ spectrum from $`p+Cu`$ collisions at 2.4 GeV calculated with $`\mathrm{\Gamma }_{coll}`$=50 MeV when neglecting the mass shift of the $`\omega `$-meson (i.e. for $`\beta `$=0). The hatched histogram again shows the contribution from the ’distorted’ $`\omega `$’s. Apparently, our calculations do not indicate a strong enhancement in the low energy part of the $`\pi ^0\gamma `$ invariant mass spectrum, but show only the broadening of the distribution.

One might also explore further targets to optimize the signal to background ratio. In this respect Fig. 5 shows the $`\pi ^0\gamma `$ invariant mass spectra from $`p+C`$ and $`p+Pb`$ collisions at 2.4 GeV ($`\mathrm{\Gamma }_{coll}`$=50 MeV, $`\beta `$=–0.16). Again there are substantial deviations from the free $`\omega `$-spectral function shown by the solid lines. Obviously the contribution from the ’distorted’ $`\omega `$-mesons (hatched histograms) produced in $`p+C`$ collisions is almost negligible; thus light targets also might be unambiguously used for the observation of an $`\omega `$-meson mass shift in the low mass $`\pi ^0\gamma `$ spectrum.

In summary, we find a substantial enhancement in the low mass $`\pi ^0\gamma `$ invariant mass spectrum from $`\omega `$ decays produced in $`p+A`$ collisions at 2.4 GeV – relative to the $`\omega `$ vacuum decays – when employing the estimates from Refs.  for the $`\omega `$ in-medium potential and the cross sections from Ref.  for $`\omega N`$ rescattering. These experiments might be carried out at COSY with neutral particle detectors looking for the $`3\gamma `$ invariant mass distribution and gating on events where 2 $`\gamma `$’s yield the invariant mass of a $`\pi ^0`$. This program is complementary to dilepton studies in these reactions, that might be carried out with HADES detector at GSI Darmstadt . Note that in our analysis we did not consider the possible ’background’ from $`2\pi ^0`$, $`\eta \pi ^0`$ etc. final states due to a finite geometry of the detector when one of the four photons is out of acceptance.

The authors acknowledge valuable discussions with E.L. Bratkovskaya, Ye.S. Golubeva and L.A. Kondratyuk during this study.