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# Localize energy in random media: A new phase state

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## Abstract

This Letter reports a new wave phenomenon. We show that wave energy can be stored in random media. Associated with such energy storage is a global collective behavior. The features depicted are so general that they may be observed in many random systems.

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A major task in physics research is to search for common principles behind various nature processes. A number of greatest advances in the last century include understanding of how the manifestation of many body interactions may lead to several important ubiquitous phenomena including superconductivity, quantum Hall effect, screening effect in plasma, and the Kondo effects. It becomes a daily experience that macroscopic objects arise from interaction between individuals of microscopic scale in a many body system.

In this Letter, we will show a new general wave phenomenon in certain many body systems. Namely, wave energy can be stored in a number of different disordered systems. When this occurs, a new phase state emerges.

Up to date, the fundamental equation describing an arbitrary many body system can be more or less written as

$$_i()\psi _i=F_i+\underset{j=1,ji}{\overset{N}{}}\widehat{T}_{ij}[\psi _j],$$
(1)
in which $``$ is called the divisor, $`F_i`$ denotes the external stimulation, $`\widehat{T}_{ij}`$ is an operator that can be of temporal, spatial or both nature, depicting the interaction between consisting bodies. In the linear approximation, the operator $`\widehat{T}`$ is represented by a wave propagator. For example, in the Yang-Feldman representation of field equations, $`\widehat{T}`$ is the usual ferminic or bosonic two-point Green’s function. In Eq. (1), $`i`$ is the index of the individuals in the system of total $`N`$ bodies.

So far, there are two known types of divisor. Type I divisor usually refers to fermionic systems and is written as

$$()=i\mathrm{}\frac{}{t}ϵ(),$$
(2)
Type II divisor refers to boson-like systems and is written as

$$()=\frac{1}{c^2}\frac{^2}{t^2}\omega ^2().$$
(3)
In these, $`ϵ()`$ and $`\omega ()`$ are the operators yielding the energy spectra.

Equation (1) accommodates a variety of problems of great interest. To name a few, this includes the vibration of the lattice formed by atoms, spin arrays, and electrons in lattices. Interested readers may refer to  for more examples. Eq. (1) can also describe multiple scattering of classical waves such as acoustic propagation in air-filled bubbles and cylinders and electromagnetic waves in electric dipolar systems. In these systems, the interaction between constituents is mediated by waves which themselves are described by Type II equations.

Here we show some new generic features with Type II systems. Consider wave propagation in a Type II system. The propagating wave, which can be either acoustic or electromangetic, will be interfered by scattered waves from each constituent being stimulated by the incident wave. The energy flow in the system is $`\stackrel{}{J}\text{Re}[\psi (i)\psi ]`$. Writing the field as $`\psi =|\psi |e^{i\theta }`$, the current becomes $`|\psi |^2\theta `$, a version of Meissner equation. It is clear that when $`\theta `$ is constant while $`|\psi |0`$, the flow stops and the energy must be localized in space, hinting at that a phase transition occurs and modes are condensed in the real space. This implies that energy can be stored in certain spatial domains. Clearly, the constant phase $`\theta `$ indicates the appearance of a long range ordering in the system. We note that in the superconductivity case, the uniform phase ($`\theta =0`$) and a finite super-current lead to an infinite density of carriers, indicating the condensation of electron pairs in the momentum space and resulting in the infinite conductivity.

The above simple argument naturally leads to the question of whether there are systems which can realize the above features. We found that these features can appear in a number of different systems. The previously considered acoustic propagation in bubbly water is one of such systems, as well as acoustic propagation in water with air-filled cylinders, and the electric diople system.

For all the systems mentioned, in the linear approximation the governing equation can be reduced to

$`{\displaystyle \frac{d^2}{dt^2}}\psi _i`$ $`+`$ $`\omega _0^2\psi _i+\gamma {\displaystyle \frac{d}{dt}}\psi _i=F_i`$ (4)
$`+`$ $`{\displaystyle \underset{j=1,ji}{\overset{N}{}}}C{\displaystyle \frac{\ddot{\psi _j}}{|\stackrel{}{r}_i\stackrel{}{r}_j|^{(d1)/2}}}|_{t|\stackrel{}{r}_i\stackrel{}{r}_j|/c},`$ (5)
where $`F_i`$ represents the external stimulation, $`C`$ is the coupling constant, $`d`$ denotes the dimension, and $`c`$ is the wave speed. Strictly, for the 2D ($`d=2`$) acoustic case, the propagator on the RHS would often be in a form of the zero-th order Hankel function of the first kind. The quantity $`\psi `$ refers to either the oscillation of the dipoles in electric systems and or to the vibration of the air-filled bodies in the acoustic situation, and $`\omega _0`$ refers to the corresponding natural frequency, and $`\gamma `$ the possible damping effects due to such as radiation. The parameters will depend on specific models considered. For acoustic scattering in bubbly water, for example, $`Ca`$, $`\gamma \omega _0`$, and $`\omega \frac{1}{a}\sqrt{p_0}`$. Here $`a`$ is the radius of air-bubbles and $`p_0`$ is the ambient pressure. In this case, $`\psi `$ refers to the radial pulsating of the bubbles. The parameters can be found in  and references therein. For the electric dipole systems, $`C=\frac{q^2\mu _0}{2\pi m}`$ with $`q`$ being the charge and $`m`$ the mass of the charge, and $`\psi `$ is the electric dipole.

Eq. (5) reveals that when it is excited by the incoming wave, either of electronmagnetic or of acoustic nature, the constituent will radiate or scatter waves. The radiated or scattered waves will be again re-radiated or scattered by other constituents, a process repeated to establish an infinite recursive pattern of multiple interactions. We note here that Eq. (5) can in fact also describe many other systems not being considered here.

To explore the general properties of the model in Eq. (5). We solve it numerically in the frequency domain. The generic set up is as follows. There are $`N`$ bodies randomly distributed in a system, and they are excited by a point source located roughly in the middle of these bodies. We further assume that all elements in the system are identical. We write $`\psi _i=A_ie^{i\theta _i}`$, where we dropped the time factor $`e^{i\omega t}`$.

For each phase $`\theta _i`$, by analogy with  we define a phase vector such that $`\stackrel{}{v}_i=\mathrm{cos}\theta _i\stackrel{}{e}_x+\mathrm{sin}\theta _i\stackrel{}{e}_y.`$ The phase vectors would indicate the degree the coherence of the vibration behavior. We have done a few general numerical calculations for Eq. (5). The significant discoveries we found can be summarized as follows. For two or three dimensions, the energy is localized near the source within a range of frequencies slightly above the natural frequency for sufficiently large coupling constants and number densities of the constituents. When the energy is localized in the system, all the constituents oscillates in phase, i. e. the phase $`\theta `$ becomes constant, revealing a long range ordering in the system.

Here we would like to show one example. Randomly put $`N`$ identical electric dipoles on the $`xy`$ plane, inside a box of side length $`L`$. All the dipoles points to the positive $`z`$-axis. Assume that the averaged distance between dipoles is $`d`$; thus the number density of the dipoles is $`n1/d^2`$. In the computation, the damping factor $`\gamma `$ can be adjusted to reflect various situations. A transmitting source is put at the center of the dipole cloud. As this is the first step in our research, we simplify further that all the dipoles can only oscillate along their axes. The dipoles will oscillate vertically in response to the source and as well as the radiated waves from other dipoles, i. e. all the dipoles are coupled via the radiated waves. In the computation, all frequencies are scaled by the natural frequency of the dipole. The coupling constant $`C`$ and damping $`\gamma `$ can be varied. We study the behavior of the aforementioned phase vectors and the energy distribution in the system; it is easy to see that the energy can be represented by the oscillation amplitude of the dipoles.

Fig. 1 illustrates our findings for one arbitrary random configuration. For low frequencies, e. g. at $`\omega /\omega _0=0.98`$, the phase vectors points randomly. The distribution of the energy spreads. When increasing the frequency to certain values slightly above the natural frequency, all phase vectors tend to point to a uniform direction, indicating a new phase state. Meanwhile the energy is centered at the site of the transmitting source. This is shown by the case at $`\omega /\omega _0=1.1`$. When the frequency is increased further, the phase ordering disappears, and the energy distribution becomes extended again, as shown by the case with $`\omega /\omega _0=10`$. These features are valid for a range of the coupling constant $`C`$ and the damping rate. The parameters used in the present specific example are: $`C=0.1`$, $`n=0.032`$, and $`\gamma =0.0001`$. We take $`N`$ as 900; in Fig. 1, however, only a fraction of the system is shown in order to expose the features in the most explicit way. The features tend to diminish as either the couple constant or the number density is reduced to a certain value. When the damping rate $`\gamma `$ is increased to a large value, the phase ordering will then be degraded. The phase ordering in the present system has a clear physical meaning. That is, it reflects that all elements in the many body system oscillate or vibrate coherently. We stress that for simplicity we have choosen the 2D arrangement of the dipoles in a 3D system. Strictly speaking, due to radiation into the third dimension, waves cannot be stored permanently in the medium. The energy will gradually escape. We have also performed calculation for a 3D random configuration of the dipoles. The similar results hold.

In summary, we have exhibited a new phase state possibly observable in a class of many body systems. It is shown that energy can be stored coherently in random media. The discovery reported here may provide insight to the long standing problem of the Anderson localization of waves in disordered media.

The work received support from National Science Council through the grants NSC-89-2112-M008-008 and NSC-89-2611-M008-002.

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# Phonon-assisted tunneling in the quantum regime of Mn12-ac

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## Abstract

Longitudinal or transverse magnetic fields applied on a crystal of Mn12-ac allows to observe independent tunnel transitions between m=-S+p and m=S-n-p (n=6-10, p=0-2 in longitudinal field and n=p=0 in transverse field). We observe a smooth transition (in longitudinal) from coherent ground-state to thermally activated tunneling. Furthermore two ground-state relaxation regimes showing a crossover between quantum spin relaxation far from equilibrium and near equilibrium, when the environment destroys multimolecule correlations. Finally, we stress that the complete Hamiltonian of Mn12 should contain odd spin operators of low order.

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The system Mn12-ac is constituted of magnetic molecules in each of which 12 Mn ions (8 spins-2 and 4 spins-3/2) are strongly coupled by super-exchange interactions . The resulting spin $`S=10`$, containing 103 atoms of different species (Mn, O, C, H) has volume $`1`$nm3. The Hilbert space dimension $`D_H`$ describing the entangled spin states of the molecule is huge: $`D_H=10^8`$. In the mesoscopic approach to Mn12-ac most observations can be explained with $`D_H=2S+1=21`$ (for a review, see ). The large energy barrier $`DS_z^2`$ gives extremely small ground-state splitting. The consequence is that quantum relaxation is slow and strongly influenced by fluctuations of the environment. Above 1.5 K a single crystal of Mn12-ac shows staircase-like hysteresis loops when the magnetic field is applied along the $`c`$easy axis of magnetization  (for powder experiments see ). Tunneling rates, deduced from relaxation and ac-susceptibility experiments give sharp maxima precisely at the fields where hysteresis loops are steep: $`B_n0.44n`$ (in Teslas), with $`n=0,1,2,\mathrm{}`$ All these results constituted the first evidence for thermally assisted tunneling in large spin molecules. Later we studied the effects of spin and phonon baths in this tunneling regime and the passage to the classically activated regime ( and  for a low spin molecule).

In this letter we give a similar study, but at lower temperatures. We determine the nature of the cross-over between thermally assisted and ground-state tunneling and show an interesting quantum behaviour of the molecule spin dynamics, related to spin-phonon transitions. Furtheremore, we suggest that odd spin operators , consistent with the tetragonal $`S_4`$ point symmetry of Mn12-ac  should be taken into account in the Hamiltonian of this system. The magnetization of a small single crystal of Mn12-ac in high fields and at sub-Kelvin temperatures was obtained from magnetic torque experiments, performed at the Grenoble High Magnetic Field Laboratory. The way to extract the longitudinal or transverse magnetization (parallel or perpendicular to the easy $`c`$axis) from the measured torque $`\mathrm{\Gamma }`$ is analytical and unambiguous. The applied magnetic field creates a torque, which at equilibrium, is compensated by a mechanical drawback one. In a longitudinal field the system of non-linear equations linearizes. To find a hysteresis loop we first perform a two-parameter linear fit ($`u`$ and $`v`$) of the saturation region with $`B_0/\mathrm{\Gamma }=u+vB_0`$ and then we calculate the normalized magnetic moment $`m=M_{}/M_S=u/(B_0/\mathrm{\Gamma }vB_0)`$. In the transverse case, $`M_{}`$ is, to a good enough approximation, given by $`M_{}=\mathrm{\Gamma }/B_0`$.

Fig. 1 shows several staircase-like hysteresis loops in a longitudinal field, below 1.3 K. The angle between the applied field and the easy axis, due to some inherent misalignment in the experimental set-up, was $`2.5^{}`$. The corresponding transverse field component, smaller than 0.2 T, is almost not affecting the transitions with $`2mn`$ a multiple of 4 ($`m`$ is the $`S_z`$ eigenvalue), because of the leading $`C`$ term in the transverse anisotropy (see the caption of Fig. 2b) or with $`n6`$. The observed $`B_n`$ are independent of temperature (Fig. 2), an effect which was also observed in  but below $`0.7`$ K only. This suggests that tunneling takes place from the metastable state $`m=10`$ to final states $`m=10n`$ ($`n=6`$ to 10). As shown in Fig. 1 inset for $`n=8`$, the $`B_n`$ are determined accurately enough to see that each resonance is constituted of several temperature-independent peaks (resonance groups). Their widths $`0.15`$ T are close to the one observed at high temperature and come from the distribution of dipolar fields . A comparison between the measured and calculated $`B_n`$ makes their interpretation obvious. The calculated $`B_n`$ are given by level crossings in Fig. 2b (the Hamiltonian, given in the caption of Fig. 2b, was found by EPR experiments ). Intercepts of the $`m=S=10`$ state with $`m=3`$, 2, 1 and 0, give the $`B_n`$ indicated by horizontal lines $`n`$-0 in Fig. 2a. Similar intercepts of the first excited level $`m=9`$ with $`m=2`$, 1, 0 and -1, are also given. This shows unambiguously that tunneling occurs, when increasing temperature, first from $`m=10`$, then from the first excited state $`m=9`$, then from $`m=8`$, $`\mathrm{}`$ Tunneling transitions with smaller $`m`$ are closer and closer and may appear to be temperature-dependent if the field resolution is not good enough. Regarding peak intensities, the area of deconvoluted Lorentzian peaks in each resonance group, characterized by the same index $`n`$, determines the fraction of tunneling events taking place from the ground-state (index $`p=0`$), from the first excited state ($`p=1`$), $`\mathrm{}`$ One can define an experimental cross-over temperature $`T_{c,n}`$ for which the two peaks ($`n`$-0 and $`n`$-1) have the same area; for example, for $`n=8`$ we found 0.95 K. Accounting for the proportionality of the tunneling rate with $`\mathrm{\Delta }^2`$, where $`\mathrm{\Delta }`$ is the tunnel splitting , this crossover can be written $`kT_{c,n}E_{0,1,n}/2\mathrm{ln}(\mathrm{\Delta }_{n1}/\mathrm{\Delta }_{n0})`$, where $`E_{0,1,n}`$ is the separation between the ground-state and the first excited state, near the $`n^{th}`$ crossing. For the resonances with $`n=8`$ and $`E_{0,1,8}7.3`$ K, calculated by exact diagonalization, we get $`\mathrm{ln}(\mathrm{\Delta }_{81}/\mathrm{\Delta }_{80})=3.88`$ corresponding to a transverse field of $`0.31`$ T (a misalignement of $`4.5^{}`$). Obviously, such a transverse field is larger than what is expected from our experimental set-up. Similar discrepencies are also observed with other resonances. The important effect of small transverse fields is not sufficient to give an overall agreement, in particular when $`2mn`$ is not a multiple of 4 and when $`n6`$. Finally, early observation of a crossover temperature of $`2`$ K in zero field  is now confirmed by the extrapolation of $`T_{c,n}`$ (Fig. 2a), giving $`T_{c,0}1.7`$ K (the same type of extrapolation shows that the continuous process of ground-state to activated tunneling up to the top of the barrier spreads between $`1.7`$ and $`2.4`$ K). However, this requires a ground-state splitting $`3\times 10^{10}`$ K instead of the $`10^{11}`$ K as calculated in . This zero-field crossover All that suggests a lack of knowledge of the transverse spin operator coefficients of the Hamiltonian used for Mn12-ac (Fig.2b). Besides the fact that all crystal field parameters of order larger than four are unknown, we must mention that all operators with odd order are missing. The $`S_4`$ point symmetry of Mn12-ac  leads to the following Hamiltonian : $`H=B_2^0O_2^0+B_3^2O_3^2+B_4^0O_4^0+B_4^4O_4^4+B_5^2O_5^2+B_6^0O_6^0+B_6^4O_6^4+\mathrm{}`$ where the $`O_l^m`$ are the Steven’s equivalent operators . The complete Hamiltonian should also contain magnetic field and the effect of Dzyaloshinsky-Moriya terms . Interestingly, the new odd terms have no diagonal contribution, which is consistent with the good agreement we obtain regarding the resonance positions. This also shows that diagonal terms of order $`6`$ are negligible.

Let us now consider the case when the field is applied perpendicularly to the easy axis. The symmetry of the double well is preserved allowing to observe tunneling between the ground-states $`|S,+S>`$ and $`|S,S>`$. The sample was first saturated along the $`c`$axis of the crystal. Then, the field was set to zero and the sample rotated to $`90^{}\pm 1^{}`$. During the experiments, the applied field $`B_0`$ was varied between 0 and 5 T with a transverse component $`B_T`$ nearly equal to $`B_0`$, and a longitudinal one $`B_L`$ varying between 0 and $`0.07`$ T. When $`B_L0.04`$ T $``$ the Lorentz internal field of Mn12-ac, the internal field is canceled. Nevertheless, level widths being $`0.15`$ T, the spin-up and spin-down density of states were in coincidence during the whole variation of the applied field. Hysteresis loops of the transverse magnetization are plotted Fig.3. They show only one jump and are nearly independent of temperature, indicating that spin reversals take place by single coherent ground-state tunneling events. This loop can be understood easily. In transverse fields smaller than $`4`$ T, tunneling rate $`\mathrm{\Gamma }_0`$ between symmetrical ground-states is too small and nothing happens. The tunneling gap increasing almost exponentially with $`B_T`$ , $`\mathrm{\Gamma }_0`$ becomes rapidly very large, and when $`B_T4.5`$ T the spins tunnel to the other well during the time of the experiment; due to a small misalignment from the ideal transverse geometry, as shown in Fig. 3 insert, after tunneling the molecules are kept within the final well (the sample is again saturated). The observation of tunneling requires $`\mathrm{\Gamma }_0^1`$ to fall in the experimental window $`110^3`$ s. Such values for the tunneling rate, which depends on the level splitting and the hyperfine field fluctuations , are realistic according to NMR results on Mn12  and for tunnel splittings calculated between 4 and 4.5 T.

Magnetic relaxation experiments give direct access to tunneling rates. An example is given Fig. 4, in longitudinal and transverse applied fields. In both cases and below 1.2 K, the relaxation is a square root of time at short times: $`M(0)M(t)=M_s\sqrt{\mathrm{\Gamma }_{sqrt}t}`$. This law, already observed in Fe8  or Mn12-ac above 1.5 K , was predicted by Prokof’ev and Stamp . It is characteristic of quantum tunneling in the presence of dipolar interactions and fast hyperfine fluctuations and ends for times $`\mathrm{\Gamma }_{sqrt}^1`$ due to the building of multimolecule spin correlations. At longer times more and more important correlations, should in principle lead to non-exponential relaxation (see Fig. 1 in ). However, this is not what we observe in Fig. 4, where the quantum relaxation regime, succeeding the square root one at long times, is exponential. We believe that this is because during the smooth transition between the square root and exponential regimes, couplings to the environment (spins, phonons$`\mathrm{}`$) have enough time to erase multimolecule spin correlations, an effect which could be called “environmental annealing”. The crossover time $`t_c`$ (when the dashed fit intercepts the dotted fit in Fig. 4), depends on many parameters and will be analysed in further studies. Regarding the first regime and for our present experimental conditions (sample in good contact with the cryostat), $`\mathrm{\Gamma }_{T,L}(T)^1`$ is always of the order of $`t_c`$, showing that fast recovery has the same origin as fast spin relaxation, i.e. not too small tunnel splittings and large hyperfine field fluctuations . As shown above spin-phonon transitions also contribute to $`\mathrm{\Gamma }_{T,L}`$ and thus to recovery near $`T_{c,n}`$ by adding new, thermally excitated channels, with larger tunnel splittings and faster relaxation rates.

In Fig. 4 inset are shown the square-root relaxation rates plotted *vs.* temperature, measured at the 8-0 resonance (Fig. 2) in longitudinal geometry (full circles-$`\mathrm{\Gamma }_L`$) and in transverse geometry for the 0-0 resonance (full squares-$`\mathrm{\Gamma }_T`$). As expected from the first part of this paper, $`\mathrm{\Gamma }_L`$ increases above $`0.6`$ K, then it goes through a maximum and then decreases. The increase of $`\mathrm{\Gamma }_L(T)`$ is due to the proximity of the resonance 8-1. The field separation between this resonance at 3.90 T and the resonance 8-0 at which $`\mathrm{\Gamma }_L(T)`$ is measured at 4.02 T, being of the order of level broadening by dipolar interactions, spin-phonon transitions between them are allowed. This is what we observe and constitutes a clear example of phonon-assisted tunneling in the quantum regime. Regarding peak intensities, near equilibrium the rate increases like $`\mathrm{\Gamma }_L(T)\mathrm{\Gamma }_{L,80}+\mathrm{\Gamma }_{L,81}\mathrm{exp}(E_{0,1,8}/kT)`$. As an example, for $`T=0.7`$ K and $`\mathrm{\Gamma }_{L,80}=\mathrm{\Gamma }_L(0.55)`$, we obtain $`\mathrm{ln}(\mathrm{\Delta }_{81}/\mathrm{\Delta }_{80})5.35`$ too large to be explained numerically. As we already mentioned, new terms in the spin Hamiltonian of Mn12 could lead to a better agreement. The decreasing part of $`\mathrm{\Gamma }_L(T)`$ simply comes from a decreasing of the number of states available for phonon-assisted tunneling, due to the magnetization decrease when the field sweeps across the 8-1 resonance. Like $`\mathrm{\Gamma }_L`$, the square-root relaxation rate $`\mathrm{\Gamma }_T`$, measured in transverse geometry, is independent of temperature at lowest temperatures, as expected for ground state tunneling. Above $`0.7`$ K the tunneling rate increases with temperature. However this is a very smooth effect which cannot be due to activated tunneling on levels $`m=9`$ and $`m=8`$. It is rather due to tunneling assisted by spin-phonon transitions between $`m\pm 10`$ states, split by dipolar fields (and integrated over the spin-up and spin-down distributions). This assumption is supported by the fact that the corresponding energy scale of $`0.5`$ K for increasing $`\mathrm{\Gamma }_T`$ is close to the dipolar energy ($`g\mu _BSB_{dipolar}0.5`$ K). This is another example of phonon-assisted tunneling in the quantum regime.

In conclusion, we have shown that in Mn12-ac with a longitudinal field ($`n0`$), the transition between coherent tunneling on the ground-state and on upper states (with thermal activation) takes place, level after level, when they come into coincidence in an applied sweeping field. This is an obvious consequence of the $`4^{th}`$ order anisotropy term $`BS_z^4`$, which prevents the spin-up and spin-down level schemes coinciding. In any case, the experiments show a continuous transition, even in a constant field, contrary to Ref. . More interestingly, phonon-assisted tunneling is evidenced between $`m=10`$ and $`m=10`$ splitted by dipolar fieds in the transverse case or between $`m=10`$ and $`m=1`$ in the longitudinal one. “Annealing” of multimolecule spin correlations in the quantum regime result from spin relaxation itself and from spin-phonon transitions near the crossover to excited states. Such an exponential phonon-mediated relaxation cross-over was predicted for a single-molecule relaxation , but no theoretical work exists which takes into account dipolar interactions. It would be of great interest to see a theoretical treatement of the long time quantum relaxation in the presence of phonons and dipolar interactions. Finally we suggest not to forget that spin operators with odd powers are allowed by the $`S_4`$ symmetry of the Mn12-ac molecule.

We thank I.Tupitsyn and S. Miyashita, S. Maegawa and T. Goto for discussions.


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# Star Formation-Regulated Growth of Black Holes in Protogalactic Spheroids

## 1 Introduction

The remarkable dependence of black hole mass on spheroid velocity dispersion, with low dispersion ($`<`$10%) about a mean power-law slope between 4 and 5 (Ferrarese & Merritt 2000, Merritt & Ferrarese 2000, Gebhardt et al. 2000a,b) merits serious attention by theorists. Several scenarios have recently been proposed to interpret this relation for either value of the slope, but none are entirely convincing (Silk & Rees 1998, Ostriker 2000, Kauffmann & Haehnelt 2000, Adams, Graf & Richstone 2000). Silk & Rees (1998) had predicted such a dependence in a model that appealed to feedback for quasar outflows on the protogalactic gas reservoir. They found the relation

$$M_{bh}=\sigma _{sph}^5f_{cold}\alpha ,$$
(1)
where $`f_{cold}`$ is the cold gas fraction and $`\alpha `$ depends weakly on the presence of an accretion disk (Haehnelt, Natarajan and Rees 1998) and inversely on the ratio of the kinetic outflow energy to Eddington luminosity. This study requires a very fast accretion phase to feed the central black hole. Recent results by Merrifield, Forbes & Terlevich (2000) provide evidence for a relationship between black hole mass and bulge age and indicate that the black hole formation timescale is longer, of order a Gyr.

A flatter relation was derived from cold dark matter-dominated cosmologies by Kauffmann & Haehnelt (2000). They assumed that a fixed fraction of the cold gas supply that forms spheroid stars in a merger will feed the central black hole and discussed the importance of feedback. Without feedback their derived scaling relation is $`M_{bh}\sigma _{sph}^2`$. However incorporating feedback leads to arbitrarily steeper slopes, depending on the choice of the free parameters, a situation which is not very satisfactory. A relatively flat slope was postulated by Ostriker (2000), for a model in which the central black hole formed from self-interacting dark matter, now largely discredited (Gnedin & Ostriker 2000; Yoshida et al. 2000). Adams, Graf & Richstone (2000) proposed a new scenario in which the central black hole grew during the protogalactic collapse phase by capturing stars on nearly radial orbits. Their model is however questionable for several reasons: Merrifield’s result requires black hole growth on a time-scale longer than that of protogalactic collapse, star formation is unlikely to have been highly efficient during this phase, and finally they adopt a characteristic velocity dispersion $`\sigma `$ to determine the specific angular momentum of the stars that neglects the fundamental plane relation between $`\sigma `$ and scale radius.

## 2 A Model of self-regulated black hole growth

We propose an alternative model for black hole growth in forming spheroids that is based on the commonly adopted merging scenario for the formation of spheroids. As first proposed by Toomre & Toomre (1972), spheroids, like ellipticals, formed via major mergers of gas-rich progenitors. These disk galaxies most likely had already formed central black holes in their bulges that satisfied the Magorrian relation (Magorrian et al. 1998). However the black hole that results from the coalescence of the progenitor black holes during a spiral-spiral merger would fall short of the Magorrian relation by a large factor. A large fraction of its mass must therefore have been accreted during or after the merger event, presumably as gas.

Major merger simulations (Mihos and Hernquist 1996) demonstrate that the gas rapidly settles, on a short dynamical time-scale, into a central, self-gravitating disk. By that time, the progenitor black holes will also have merged in the centre by dynamical friction (Burkert & Sunyaev 2000). The inner disk has Keplerian rotation as the gravitational potential is dominated by the mass of the black halo. This region looses angular momentum by viscous drag and the resulting gas inflow will feed the central black halo. At the same time, the outer self-gravitating disk part is gravitationally unstable to fragmentation and subsequent star formation.

Within the framework of our model, we can estimate the critical radius $`r_{cr}`$ that separates the two regions dominated by accretion and fragmentation and which is determined by the radius out to which the black hole dominates the gravitational potential,

$$r_{cr}=GM_{bh}/\sigma _{sph}^2.$$
(2)
Here $`\sigma _{sph}`$ is the characteristic velocity dispersion of the spheroid and $`M_{bh}`$ is the black hole mass. The accretion disk is Keplerian with size $`r_d`$ where it rotates at

$$v_{rot}^2=GM_{bh}r_d^1.$$
(3)
Typical time-scales for the gas in the whole inner disk to accrete onto the black hole are given by the viscous drag timescale $`t_{vis}=r_d^2/\nu .`$ For a viscosity prescription, we adopt the formulation: $`\nu =R_{cr}^1v_{rot}r_d,`$, where the critical Reynolds number for the onset of turbulence is $`R_{cr}1001000`$ (Duschl, Strittmatter and Biermann 2000). The viscous time can now be written as

$$t_{vis}=GM_{bh}R_{cr}\sigma _{sph}^3,$$
(4)
where we have set $`r_d=r_{cr}`$.

The black hole will grow as long as there is a gas supply for the inner disk. This gas reservoir is replenished by viscous inflow from the outer disk into the accretion region and augmented by the increase in the inner disk radius due to the growth in the black hole mass. In the absence of any limiting factor all the gas supply will eventually be accreted onto the black hole. In this case one would expect a large variance in the black hole mass with respect to the local velocity dispersion unless the initial gas fraction of the merger components was relatively fine-tuned. This seems unphysical on theoretical grounds, nor is any relation observed between gas fraction and velocity dispersion.

We propose that star formation in the outer disk provides the self-regulation that limits the mass of the central black hole. Black hole growth saturates due to the competition with star formation, which determines the gas fraction in the disk that is available for accretion. Let $`M_g`$ be the total gas mass available for accretion and $`M_{}`$ be the mass in stars within the corresponding radius. We can identify the gas fraction $`ϵ`$ as $`ϵ=\frac{M_g}{M_d},`$ where $`M_d=M_g+M_{}`$ is the disk mass at a given radius r, to explicitly demonstrate how black hole growth is limited by the gas supply. Black hole growth only occurs during the gas-rich phase of the protospheroid, that is on the characteristic star formation time-scale $`\tau _{sf}`$.

Whatever gas is in the inner disk within $`r_{cr}`$ will be accreted onto the black hole without significant star formation, since self-gravity is unimportant. The average growth rate of the black hole can then be estimated by

$$\dot{M}_{bh}=ϵM_dt_{vis}^1,$$
(5)
where $`M_d`$, $`ϵ`$ and $`t_{vis}`$ are defined at $`r_{cr}`$. The total gas fraction within $`r_{cr}`$ will contribute to the black hole mass. We therefore set $`M_g=ϵM_d`$ equal to the black hole mass $`M_{bh}`$. This assumes the initial black hole mass to be negligible with regard to the accreted mass. Viscosity (equation 4) then limits the black hole growth rate to

$$\dot{M}_{bh}=\sigma _{sph}^3R_{cr}^1G^1.$$
(6)
The growth continues until star formation exhausts the gas supply, on a time-scale $`t_{sf}`$, leading to a final black hole mass

$$M_{bh}=\sigma _{sph}^3R_{cr}^1G^1t_{sf}=1.9\times 10^8\left(\frac{\sigma _{sph}}{200\mathrm{km}\mathrm{s}^1}\right)^3\left(\frac{R_{cr}}{1000}\right)^1\left(\frac{t_{sf}}{10^8\mathrm{yr}}\right)\mathrm{M}_{}.$$
(7)
This fits the observed normalisation of the ($`M_{bh}`$, $`\sigma _{sph}`$) relation for reasonable values of the star formation time-scale and the critical Reynolds number for the onset of turbulence.

It is reasonable to assume that molecular clouds form and fragment into stars on a dynamical time-scale. We therefore write the star formation time-scale as $`t_{sf}=\eta t_{dyn}=\eta r_e\sigma _{sph}^1,`$ where $`\eta 1.`$ Hence

$$M_{bh}=\eta \sigma _{sph}^2R_{cr}^1G^1r_e=M_{sph}\eta R_{cr}^1.$$
(8)
This provides a natural explanation of the Magorrian relation. The ratio of black hole mass to spheroid stellar mass is given by a “universal” constant, $`R_{cr}^1,`$ which in principal should be derivable from fundamental theory and should be insensitive to galaxy parameters. It is remarkable that the ratio of two global masses depends basically on a parameter determined by the microphysics of viscous transport of angular momentum. The mass ratio could therefore provide a direct measure for the typical Reynolds number $`R_{cr}`$ in accretion disks around massive black holes.

The predicted dependence of $`M_{bh}`$ on $`\sigma _{sph}`$ and $`r_e`$ follows the virial theorem expectation $`M_{sph}=r_e\sigma _{sph}^2G^1`$ for the spheroid. This leads to a fundamental plane-like projection on spheroid parameters for the black hole mass, with a constant offset that is consistent with the Magorrian relation. Note that $`r_e`$ depends on $`\sigma _{sph}`$ and on surface brightness: $`r_e\sigma _{sph}^2.`$ This follows, for example by combining the Faber-Jackson relation, $`M_{sph}\sigma _{sph}^4`$ with the virial theorem. We infer that $`M_{bh}\sigma _{sph}^4`$, which is in the observed range.

The crucial issue, however, is that of the remarkable reduction in dispersion for the relation between $`M_{bh}`$ and $`\sigma _{sph}`$ relative to that of the spheroid luminosity $`L_{sph}`$ versus $`\sigma _{sph}`$. We note that up to half the scatter in this fundamental plane projection may be attributed to population age differences (Forbes, Ponman and Brown 1999) that affect primarily the mass-to-light ratios of spheroids. Another source of scatter that has also been discussed by Gebhardt et al. (2000a) is due to projection effects that lead to variations in the effective radius and velocity dispersion by a factor of order the typical ellipticity of the spheroid, up to a factor of 2 (Burkert and Naab 2000). The inferred intrinsic dispersion in the dependence of bulge mass, and also of black hole mass, on velocity dispersion must therefore have been quite small compared to the observed spread. Note that projection effects would result in scatter in the Magorrian relation as well as in scatter in the $`M_{bh}`$$`\sigma _{sph}`$ relationship.

The following effect is likely to play an additional important role. Minor mergers add stars but should have little effect on the central black hole mass. These mergers could occur after the initial protospheroid formation phase, which characterises the formation of a central disk and the accretion of gas onto the central black hole but before the gas in the outer regions of the spheroid was completely consumed. The mergers induce a change in the star formation rate that is disproportionately larger than would be inferred directly from the amount of stars and gas added. This is because the tidal shocks stimulate the larger pre-existing outer gas supply to form stars earlier at an accelerated pace. Indeed the NUV-optical color-magnitude relation for early-type cluster galaxies is incompatible with a monolithic scenario for star formation at high redshift (Ferreras and Silk 2000). An increased scatter is found in the color-magnitude relation at the faint end, resulting in a significant fraction of faint blue early-type systems, implying that less massive galaxies undergo more recent episodes of star formation. Such episodes will produce scatter in the fundamental plane by affecting the galaxy luminosities and outer radii, but will not add appreciably to the scatter in the ($`M_{bh}`$, $`\sigma _{sph}`$) correlation because the velocity dispersion in the inner regions is not changed.

There is a further effect to be explained, namely the correlations between fundamental plane residuals (Kormendy 2000), specifically an anticorrelation between $`\mathrm{\Delta }\sigma _{sph}`$ and $`\mathrm{\Delta }r_e.`$ We attribute this as being in part due to projection effects of non-axisymmetric spheroids. In addition late mass loss or mass infall may well occur. Substantial mass loss or infall would modify both the galaxy size and spheroid velocity dispersion. In the limit of an adiabatic response of the host galaxy, we predict that

$$\frac{\mathrm{\Delta }r}{r}=\frac{\mathrm{\Delta }\sigma }{\sigma }=0.4\mathrm{\Delta }M_b.$$
(9)
which is consistent with the observed anticorrelation beween $`\mathrm{\Delta }\sigma _{sph}`$ and $`\mathrm{\Delta }r_e.`$ The tightness of the ($`M_{bh}`$, $`\sigma _{sph}`$) correlation therefore means that late infall into or outflow from spheroids can be limited to about 10 percent of the current stellar mass. This complements a similar conclusion for disks, based on their observed thinness (Toth and Ostriker 1992).

Finally let us introduce cosmology via merger-induced feeding of the accretion disk. If the accretion disk lifetime exceeds the characteristic time between mergers, the gas inflow is disrupted. For example, a binary black hole merger would sweep out the local environment. The merger, by forming a transient bar, will subsequently resupply cold gas to the central object causing quasar activity. Whatever the details, it seems reasonable to equate the quasar lifetime $`t_q=\gamma t_{edd}`$ to the merger time-scale $`t_{merger}`$, thereby introducing a dependence on the cosmological model. Here $`\gamma `$ (expected to be of order 0.1) is the ratio of $`t_q`$ to the Eddington time-scale $`t_{edd}0.4\mathrm{Gyr}.`$ Let $`f_{cold}`$ be the cold gas fraction of the total baryon content in the merging galaxy. One can then write

$$t_qt_{merger}=\left(\frac{\overline{\sigma }_{sph}}{\sigma _0}\right)^{\frac{3(3+n)}{1n}}f_{cold}^{\frac{4}{1n}}t_0,$$
(10)
where the normalization assumes that systems with velocity dispersion $`\sigma _0=1000\alpha \mathrm{km}\mathrm{s}^1`$, with $`\alpha 1`$, are forming at the present epoch $`t_0`$. It follows that

$$M_{bh}=\frac{t_{sf}}{t_q}\left(\frac{\sigma _{sph}}{\sigma _0}\right)^{\frac{3(3+n)}{1n}}f_{cold}^{\frac{4}{1n}}t_0\frac{\sigma _{sph}^3}{GR_{cr}}.$$
(11)
The expected range for protogalaxies, $`1.5n2.5,`$ again yields the range of 4-5 for the slope of the the $`M_{bh}`$$`\sigma _{sph}`$ relation.

Note that the expected narrow dispersion in $`\sigma _{sph}`$ remains since most of the dependence on $`\sigma _{sph}`$ (the part that varies as $`\sigma _{sph}^3`$ ) is cosmology-independent. Note moreover, that there is no reliance on the uncertainties inherent in feedback, other than in the dependence on cold gas fraction, which may be adopted from the cold gas fraction for the observed damped Lyman alpha clouds. This varies approximately as $`(1+z)^{3/2}`$ for $`0<z<3`$. We finally infer an approximately linear dependence of $`M_{bh}`$ on age of the stellar population, presumed to have formed when the cold gas fraction was supplied by the last major merger in accordance with observations.

## 3 Discussion

A simple model of star formation-regulated black hole growth seems to explain the observed dependence of black hole on spheroid mass and spheroid velocity dispersion, and especially the observed dispersions. The proposed model leads to several predictions that might merit further investigation. We find that the Magorrian relation depends on two parameters, the critical viscous Reynolds number and the time-scale of star formation in units of the dynamical time-scale. As $`\eta `$ should be of order unity, we infer that black hole growth must be regulated by a turbulent accretion disk with a Reynolds number of a few hundred. In addition, the accretion and star formation time-scales are closely coupled, and in our interpretation are of order the quasar lifetime.

The scatter of the Magorrian relation directly reflects the scatter in the fundamental plane parameters $`r_e`$ and $`M_b`$, which we postulate to be enhanced by secular events after black hole and spheroid formation. Thus the original scatter in the fundamental plane should be as small as that observed in the black hole mass-spheroid velocity dispersion relationship. This provides a possible observable prediction for high redshift field galaxies, and also for clusters where most of the merging may have been suppressed.

We wish to thank UCSC, UC Berkeley, IAP, Chez Papa and Cafe Peret for hospitality and for providing a stimulating atmosphere,


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# BNL-HET-00/41 Non-perturbative renormalisation with domain wall fermions

## 1 Introduction

Domain wall fermions  are increasingly being used for many studies of physically interesting quantities. It is therefore important to have reliable values for the renormalisation coefficients of the operators needed in these calculations. Here we will discuss the application of the nonperturbative renormalisation technique of the Rome-Southampton group , the Regularisation Independant (RI) scheme, to quark bilinears and four-quark operators using the domain wall fermion action. Rather than concentrating on the numerical values for the renormalisation coefficients, the emphasis will be on highlighting tests of the chiral properties of domain wall fermions and on interesting aspects of the non-perturbative renormalisation technique.

All the results presented are from a study using a lattice with dimensions $`16^3\times 32`$, an extent in the fifth dimension of $`16`$ points, a domain wall height ($`M_5`$) of $`1.8`$ and a Wilson gauge action with $`\beta =6.0`$.

## 2 The RI scheme

A full description of the RI scheme may be found in , but the relevant details will be quickly summarised here.

The matrix element of the operator of interest, between external quark states, at high momenta, in a fixed gauge (in this case Landau gauge was used) is calculated. The external legs of this matrix element are then amputated. A renormalisation condition may be defined by requiring that, for the renormalised operator at given scale, a chosen spin and colour projection of this quantity is equal to its free case value.

## 3 Quark Bilinears

For the case of flavour non-singlet fermion bilinear operators, we write

$$\left[\overline{u}\mathrm{\Gamma }_id\right]_{\mathrm{ren}}=Z_\mathrm{\Gamma }\left[\overline{u}\mathrm{\Gamma }_id\right]$$
(1)
with $`\mathrm{\Gamma }_i=\{1,\gamma _\mu ,\gamma _5,\gamma _\mu \gamma _5,\sigma _{\mu \nu }\}`$, where $`i`$ represents whatever indices the gamma matrices have. Taking projections of the amputated matrix elements with the same gamma matrices as in the definition of the operator, normalised such that this trace is unity in the free theory, gives the renormalisation condition

$$1=\frac{Z_\mathrm{\Gamma }}{Z_q}\mathrm{\Lambda }_{\mathrm{\Gamma }_i}|_{m_{\mathrm{ren}}=0}$$
(2)
with

$$\mathrm{\Lambda }_\mathrm{\Gamma }=\frac{1}{\mathrm{Tr}\left[\mathrm{\Gamma }_i\mathrm{\Gamma }_i\right]}\mathrm{Tr}\left[\mathrm{\Gamma }_i\left[\overline{u}\mathrm{\Gamma }_id\right]u(p)\overline{d}(p)_{AMP}\right].$$
(3)
Invariance of the action under axial flavour transformations requires that $`Z_A=Z_V`$ and $`Z_S=Z_P`$. The extent to which these relations hold for domain wall fermions is therefore an excellent test of their chiral properties. Figure 1 shows data for $`\mathrm{\Lambda }_A\mathrm{\Lambda }_V`$ versus $`(ap)^2`$ for several values of the input mass, $`m_f`$. While there is a small difference between $`\mathrm{\Lambda }_A`$ and $`\mathrm{\Lambda }_V`$ at low momenta, this difference becomes smaller as either the momentum becomes larger or the mass becomes smaller, suggesting that the bulk of this difference is due to the effects of chiral symmetry being spontaneously broken by the vacuum and softly broken by the mass respectively. Within the statistics there is therefore no signal for a difference between $`Z_A`$ and $`Z_V`$.

Figure 2 shows $`\mathrm{\Lambda }_S`$, $`\mathrm{\Lambda }_P`$ and their ratio after the mass poles  have been subtracted by fitting the mass dependence. Again, within the accuracy of the method there is no signal for a splitting of $`Z_S`$ and $`Z_P`$.

## 4 Four Quark Operators

The renormalisation of four-quark operators is much more complicated than that of the quark bilinears considered above. Mixing both among the four-quark operators and between these operators and lower dimensional operators must be considered. However, these operators are of much interest phenomenologically, in particular because of their relevance for the calculation of $`B_K`$ and matrix elements of the $`\mathrm{\Delta }S=1`$ Hamiltonian .

### 4.1 $`\mathrm{\Delta }S=2`$ Hamiltonian

The $`\mathrm{\Delta }S=2`$ Hamiltonian, which is relevant for calculating $`B_K`$, is one of the simplest four-quark renormalisation problems, as mixing with lower dimensional operators is not possible. It consists of the operators $`O_{AB}=\overline{s}\mathrm{\Gamma }_Ad\overline{s}\mathrm{\Gamma }_Bd`$, where $`\mathrm{\Gamma }_A`$ and $`\mathrm{\Gamma }_B`$ are arbitrary gamma matrices except for the condition that there be no free indices.

As with the bilinears, renormalisation conditions may be placed on these operators by considering their amputated matrix elements between external quark states. As mixing between four-quark operators is possible, a single renormalisation condition no longer suffices; however, by varying the projectors used, all the renormalisation coefficients can be fixed .

To completely specify the renormalisation condition, the momentum configuration for the external quark states must also be chosen. For such calculations to be useful, however, we are required to use the same momenta configuration used in existing perturbative matching calculations, which take all the momenta to be equal.

The renormalisation structure of these operators is strongly constrained by chiral symmetry . Previously presented results  have confirmed that the parity conserving part of the operator $`\overline{s}\gamma _\mu \left(1\gamma _5\right)d\overline{s}\gamma _\mu \left(1\gamma _5\right)d`$ does not significantly mix with any of the four wrong chirality operators it could possibly mix with. Chiral symmetry also predicts that the renormalisation factor for the parity conserving and parity breaking components of the operator are equal. The ratio of these factors is shown in Figure 3, with no evidence for chiral symmetry breaking visible for moderately high momenta.

Another prediction of chiral symmetry is that the operators $`O^\pm =\overline{s}d\overline{s}d\pm \overline{s}\gamma _5d\overline{s}\gamma _5d`$ do not mix with one another. The element of the inverse mixing matrix resulting from a naive application of the RI scheme renormalisation conditions to this case is shown in Figure 4

and, as can be seen, this is significantly non-zero. The mass behaviour is also very distinctive, with the signal being further away from zero the smaller $`m_f`$ is. This is not, however, a signal for a large mixing between these two operators, but an interesting systematic effect in the matrix elements we are calculating.

A simple understanding of this effect can be gained by noting that while we are interested in the matrix elements of operators between quark states, we are still evaluating this matrix element in a theory with propagating pseudo-goldstone bosons. We may approximately represent the effects of the pseudo-goldstone bosons by an effective interaction of the form

$$C\left\{\overline{\pi }\overline{d}\gamma _5u+\overline{u}\gamma _5d\pi \right\},$$
(4)
with each such interaction between the quark states and the pseudo-goldstone bosons giving rise to a propagator of the form

$$\frac{1}{(pq)^2+M_\pi ^2},$$
(5)
where $`p`$ and $`q`$ are the momenta on the incoming and outgoing quarks.

In the case we are considering, the problem is that all the external quark states have equal momenta and any interaction between them through the vertex in Equation 4 will give a contribution to the matrix element $`1/M_\pi ^21/m_{\mathrm{quark}}`$.

Figure 5 shows the same quantity as Figure 4, for $`m_f=0.02`$, except that the momenta of the incoming external states, $`p`$, and outgoing states, $`q`$, can be different. The data on the graph is such that for each point $`p^2=q^2`$ with four distinct blocks of values of $`p^2`$ being shown, while $`(pq)^2`$ varies between the different points. For all of the points except the four that are distinctly lower, $`pq`$, while for those four points $`(pq)^2=0`$. The points for which $`(pq)^20`$ are clearly suppressed as is expected from Equation 5.

### 4.2 $`\mathrm{\Delta }S=1`$ Hamiltonian

The mixing problem for the $`\mathrm{\Delta }S=1`$ Hamiltonian is much more complicated that for the $`\mathrm{\Delta }S=2`$ Hamiltonian, both in the number of four-quark operators that may mix and because of the presence of mixing with lower dimensional operators. The latter must be subtracted before the standard RI scheme conditions are applied, and it is the feasibility of this subtraction for domain wall fermions that we will touch on here.

The fact that the RI conditions are applied in a fixed gauge and for off-shell quark states, makes the problem of mixing with lower dimensional operators very difficult , with many operators that must be subtracted. However, this number is greatly reduced if chiral symmetry is respected. Also, when calculating the renormalisation coefficients in the context of a practical study, perturbation theory must be relied upon for the running of the effective Hamiltonian and scheme matching. Operators that do not appear in these calculations (because they are higher order in perturbation theory) need not be considered unless they are power divergent in the lattice spacing.

As it is chiral symmetry that makes performing this subtraction feasible, here we will give one example of a subtraction coefficient and its chiral properties. The $`\mathrm{\Delta }S=1`$ operator $`O_6=(\overline{s}_\alpha d_\beta )_L_q(\overline{q}_\beta q_\alpha )_R`$ may mix with the lower dimensional operator $`\overline{s}d`$. If chiral symmetry is not respected, then the needed subtraction coefficient is cubically power divergent in the lattice spacing with only subleading mass dependence. Chiral symmetry, however, constrains the leading behaviour of this coefficient to be $`(1/a^2)(m_s+m_d)`$. Figure 6 shows the behaviour of this subtraction coefficient versus $`m_f`$, for a single momentum value. While this does not extrapolate exactly to zero at the same point as the renormalised mass ($`m=m_{\mathrm{res}}`$), using a linear extrapolation, the constant piece is small and is of the order of potential subleading effects.

## 5 Conclusions

In conclusion, for the lattice parameters used in this study, domain wall fermions have excellent chiral properties. Also, the non-perturbative renormalisation technique of the Rome-Southampton group seems to work well as long as one is careful when choosing the momentum configuration used.


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# References

IFT-UAM/CSIC-00-39

DTP-00-99

SU-GP-00/11-1

hep-th/0011242

October 2000

Dielectric branes and spontaneous symmetry breaking

César Gómeza,111E-mail address: cesar.gomez@uam.es Bert Janssena,b,222E-mail address: bert.janssen@durham.ac.uk  and Pedro J. Silvaa,c,333E-mail address: psilva@suhep.phy.syr.edu

a Instituto de Física Teórica, C-XVI

Universidad Autónoma de Madrid

E-28006 Madrid, Spain

b Department of Mathematical Sciences

South Road, Durham DH1 3LE

United Kingdom

c Physics Department, Syracuse University

Syracuse, New York, 13244, United States

ABSTRACT

A stable non-commutative solution with symmetry breaking is presented for a system of D$`p`$-branes in the presence of a RR $`(p+5)`$-form.

In Type IIA string theory, a system of $`N`$ coinciding D0-branes in the presence of an external RR three-form expands in the form of a non-commutative two-sphere  (see also ) . This is due to the coupling in the (non-commutative) Wess-Zumino term of the D0-brane system to RR forms of degree 3. This result can be easily generalised to systems of coinciding $`p`$-branes in the presence of RR $`(p+3)`$-form.444For instance, D($`1`$) instantons in the presence of RR 2-form expand in a $`S^2`$ manifold and the corresponding instanton effect can be interpreted as a world sheet instanton wrapping the non-commutative manifold.

One specially interesting case, connected with the gravitational description of $`N^{}=1`$ gauge theories, are D3-branes in Type IIB coupled to a seven-form field strength . Generalisations to other non-commutative manifolds, like $`S^2\times S^2`$ or $`CP^2`$, have been recently considered in .

Another interesting case to study is the system of $`p`$-branes in the presence of a RR $`(p+5)`$-form. As an example we can have in mind D($`1`$) instantons in the presence of RR four-form, a physical system that could be relevant in the study of instanton effects  in the $`AdS_5`$ description of $`N=4`$ supersymmetric Yang-Mills gauge theory . In this short note we consider this special case, namely D-instantons in presence of a RR five-form. The natural guess for a solution would be to look for some non-commutative generalisation of the four-sphere. However this solution can easily be shown to be unstable . Next we will present a very special matrix solution that is a local minimum. Geometrically it can be interpreted as a sort of ellipsoid.

The action for D($`1`$)-branes in presence of five-form field strength (four-form gauge field) is given by

$$V(X)=\tau \lambda ^2\text{Tr}\left\{\frac{1}{4}[X_\mu ,X_\nu ][X_\nu ,X_\mu ]\frac{1}{10}\lambda X^{\sigma \lambda \rho \nu \mu }F_{\mu \nu \rho \lambda \sigma }\right\},$$
(1)
where $`X^\mu `$ are $`N\times N`$ matrices that represent the (non-commutative) coordinates, $`\tau `$ the tension of the D-instantons and $`\lambda `$ the string coupling constant. The equation of motion of the above action is given by

$$[[X_\mu ,X_\nu ],X_\nu ]\frac{1}{2}\lambda X^{\sigma \lambda \rho \nu }F_{\mu \nu \rho \lambda \sigma }=0.$$
(2)
To solve this equation we use the Ansatz

$$X_a=\frac{1}{2}R(\sigma _a\mathrm{\Sigma }_3),X_i=i\alpha R(\begin{array}{c}l\\ 1\end{array}\mathrm{\Sigma }_i)$$
(3)
where $`a=1,2,3`$ y $`i=4,5`$ and $`\stackrel{}{\mathrm{\Sigma }}`$ and $`\stackrel{}{\sigma }`$ are generators of $`SU(2)`$. (We suppose that the matrices $`X^A`$, with $`A=6\mathrm{}10`$, commute with the above and amongst each other). These $`X^\mu `$ satisfy the following commutation relations:

$$\begin{array}{c}[X_a,X_b]=\frac{1}{2}iR^2ϵ_{abc}(\sigma _c\mathrm{\Sigma }_3^2),\hfill \\ \\ [X_a,X_i]=\alpha R^2ϵ_{ij}(\sigma _a\mathrm{\Sigma }_j),\hfill \\ \\ [X_i,X_j]=2i\alpha ^2R^2ϵ_{ij}(\begin{array}{c}l\\ 1\end{array}\mathrm{\Sigma }_3).\hfill \end{array}$$
(4)
Note that these $`X^\mu `$ do not form an algebra since the commutation relations (4) do not close. Therefore we will obtain a particular solution, rather than a family of solutions.

Filling in the Ansatz (3) in the equations of motion (2), we find for the $`a`$ and $`i`$-component respectively:

$$\begin{array}{c}R^3\left[14\alpha ^23\lambda f\alpha ^2R\right](\sigma _a\mathrm{\Sigma }_3)=0,\hfill \\ \\ i\alpha R^3\left[34\alpha ^2+\frac{3}{2}\lambda fR\right](\begin{array}{c}l\\ 1\end{array}\mathrm{\Sigma }_i)=0.\hfill \end{array}$$
(5)
Here we had to suppose that $`\mathrm{\Sigma }_i^2=\sigma _a^2=\begin{array}{c}l\\ 1\end{array}`$, which implies that $`\stackrel{}{\mathrm{\Sigma }}`$ and $`\stackrel{}{\sigma }`$ are either two-dimensional (irreducible) representations of $`SU(2)`$ or $`4n`$-dimensional reducible representations, where $`n=n_\sigma n_\mathrm{\Sigma }`$ and $`n_\sigma `$ ($`n_\mathrm{\Sigma }`$) is the number of irreps in the reducible representation of $`\stackrel{}{\sigma }`$ ($`\stackrel{}{\mathrm{\Sigma }}`$). Thus we can only describe systems with a number of D($`1`$)-branes which is a multiple of four.

Clearly, the equation of motion (5) are satisfied for a (trivial) commutative solution $`\alpha =R=0`$, but also a non-trivial non-commutative one given by

$$R=\frac{14\alpha ^2}{3\lambda f\alpha ^2}\text{and}R=\frac{8\alpha ^26}{3\lambda f},$$
(6)
which leads to two solutions

$`\alpha _+^2={\displaystyle \frac{1}{2}},R_+={\displaystyle \frac{2}{3\lambda f}};`$ (7)
$`\alpha _{}^2={\displaystyle \frac{1}{4}},R_{}={\displaystyle \frac{8}{3\lambda f}}.`$ (8)
Notice that due to the non-trivial value of $`\alpha `$, this solutions can be interpreted as a sort of ellipsoid.

To study the stability of these solutions we use the Ansatz (3) in the potential (1),

$$V(\alpha ,R)=\lambda ^2\tau R^4n\left[\frac{3}{2}12\alpha ^2+8\alpha ^46\lambda f\alpha ^2R\right],$$
(9)
which evaluated in the solutions (7)-(8) gives

$$\begin{array}{c}V_+=\frac{1}{4}\lambda ^2\tau R^4n,\hfill \\ \\ V_{}=\lambda ^2\tau R^4n.\hfill \end{array}$$
(10)
Thus we see that the solution $`(\alpha _+,R_+)`$ has lower energy than the commutative solution, while the solution $`(\alpha _{},R_{})`$ has higher energy. Calculating the second variation of the potential (9), it is easy to see that the solution $`(\alpha _+,R_+)`$ corresponds to a minimum, while $`(\alpha _{},R_{})`$ is a saddle point.

Therefore we can conclude that, in the presence of a five-form field strength, a set of $`4n`$ D-instantons will decay spontaneously into the stable solution $`(\alpha _+,R_+)`$.555In  is was observed that reducible $`N\times N`$ representations have higher (though still negative) energies than the irreducible $`N\times N`$ representations. However, as we noticed above, our solution for general $`N`$, only exists for reducible representations.

Notice that this solution breaks $`SO(5)`$ invariance of the potential (1). However we observe that the solution is degenerated with respect to permutations of the $`\mathrm{\Sigma }`$ matrices: any set of matrices of the form

$$X_a=\frac{1}{2}R(\sigma _a\mathrm{\Sigma }_{j_0}),X_i=i\alpha R(\begin{array}{c}l\\ 1\end{array}\mathrm{\Sigma }_i)$$
(11)
with $`i`$ different from $`j_0`$, is also a solution with identical behaviour as (7)-(8). Thus this solution could be interpreted as a sort of spontaneous symmetry breaking for the matrix action. The extension to any $`(p,p+6)`$ system is straight forward.

As a spinoff of our analysis we just mention that this solution can be naturally used to construct longitudinal five-brane solutions in M(atrix) theory (see for instance  and references therein).

Acknowledgements
We wish to thank Patrick Meessen and Enrique Álvarez for the useful discussions. The work of C.G. and B.J. has been supported by the TMR program FMRX-CT96-0012 on Integrability, non-perturbative effects, and symmetry in quantum field theory. The work of P.J.S. has been supported in part by NSF grant PHY97-22362 to Syracuse University and by funds from Syracuse University.


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# Jet Flavour Identification at the CLIC Multi-TeV 𝑒⁺𝑒⁻ Collider

## I Introduction

The physics programme of future high energy linear colliders (LC), designed to deliver $`e^+e^{}`$ collisions at centre-of mass energies $`\sqrt{s}`$ = 0.1-5 TeV with luminosities in excess to $`10^{34}`$cm-2s-1, largely relies on the ability to identify the flavour of final state fermions with high efficiency and purity. A first phase will be devoted to the accurate study of the Higgs profile, if a relatively light Higgs boson exists as suggested by theory, electro-weak data and the signals reported at LEP-2, to the precise determination of the top mass and to complement the LHC program in searching for signals of new physics at the TeV mass scale. In a second phase, a multi-TeV LC is expected to break new grounds by studying in detail the properties of new physics established by the LHC or the lower energy LC and by exploring the mass scale beyond 10 TeV for new phenomena. The CLIC concept aims for a linear collider providing collisions at centre-of-mass energies beyond the TeV frontier with a luminosity of $`10^{35}`$cm-2s-1 at $`\sqrt{s}`$ = 3 TeV, based on the two-beam acceleration scheme clic .

If a new resonance has been detected at the TeV scale, either at the LHC or at a lower energy $`e^+e^{}`$ collider, CLIC will be able to copiously produce it and provide with accurate determinations of its couplings to establish its nature. If no evidence for new particles has been obtained by the LHC and the LC, CLIC will probe the energy domain beyond 10 TeV by indirect searches, relying on accurate determinations of flavour-specific electro-weak data ($`\mathrm{\Gamma }_{f\overline{f}}`$, $`A_{FB}^{f\overline{f}}`$, $`A_{LR}`$) sensitive to virtual processes and vertex corrections from new particle contributions mb .

Tagging and anti-tagging of $`t`$, $`b`$ and $`\tau `$ final states will also be instrumental in refining the knowledge of the Higgs sector by isolating signals of heavy Higgs bosons, which occur in SM extensions such as Supersymmetry, and by testing the Higgs potential by measuring multiple Higgs production ($`ZHHH`$ and $`\nu _e\overline{\nu }_eHH(H)`$) cross sections and of Supersymmetry. These analyses may require the high energy and luminosity of CLIC in order to access pair produced heavy bosons and to collect enough statistics in the low cross-section processes testing the Higgs triple and quartic couplings. The signal final states are expected to be characterised by large $`b`$ jet multiplicity in processes such as $`e^+e^{}H^+H^{}t\overline{b}\overline{t}bW^+b\overline{b}W^{}\overline{b}b`$ and $`e^+e^{}\nu _e\overline{\nu }_eHH(H)\nu _e\overline{\nu }_eb\overline{b}b\overline{b}(b\overline{b})`$.

## II The Vertex Tracker at CLIC

Several solutions for the design and the silicon sensor technology have been proposed for the LC vertex tracker. These consist of either a multi-layered detector, based on CCD or CMOS sensor technology, with stand-alone tracking capabilities or a three-layered hybrid pixel detector. At CLIC, the anticipated background from $`e^+e^{}`$ pairs produced in the interaction of the colliding beams will limit the approach to the interaction region to about 3.0 cm compared to $``$ 1.5 cm foreseen for the lower energy projects backg . This is compensated by the increase of the short-lived hadron decay length due to the larger boost. At $`\sqrt{s}`$ = 3 TeV, the average decay distance of a $`B`$ hadron is 9.0 cm, in the two-jet process $`e^+e^{}b\overline{b}`$, and 2.5 cm in multi-parton $`e^+e^{}H^+H^{}t\overline{b}\overline{t}bW^+b\overline{b}W^{}\overline{b}b`$ decays. Due to the large boost and large hadronic multiplicity, the local detector occupancy in $`e^+e^{}b\overline{b}`$ events is expected to increase by almost a factor of ten, to $`>1`$ particle mm-1 from $`\sqrt{s}`$ = 0.5 TeV to $`\sqrt{s}`$ = 3.0 TeV. This indicates the need to design a large vertex tracker based on small area pixel sensors, able to accurately reconstruct the trajectories of secondary particles originating few tens of centimetres away from the beam interaction point and contained in highly collimated hadronic jets. There are other background issues relevant to the conceptual design of a vertex tracker for CLIC. These are the rate of $`\gamma \gamma \mathrm{hadrons}`$ events, estimated at 4.0 BX-1, and the neutron flux, possibly of the order of 1010 1 MeV-equivalent n cm-2 year-1. The need to reduce the number of $`\gamma \gamma `$ events overlapped to a $`e^+e^{}`$ interaction requires fast time stamping capabilities while the neutron induced bulk damage has to be considered in terms of sensor efficiency reduction.

A vertex tracker consisting of seven concentric Si layers located from 3.0 cm to 30 cm from the beam interaction point and based on hybrid pixel sensors, with 20 ns time stamping and radiation hardness capabilities, demonstrated for their LHC applications has been considered in this study. The layer spacing has been chosen to optimally sample the heavy hadron decay length, resulting in a closer spacing for the innermost layers (see Figure 1). A model of this tracker has been implemented in GEANT; $`e^+e^{}b\overline{b}`$ events and pair background have been passed through the GEANT simulation assuming a solenoidal field $`B`$ of 6 T.

## III $`b`$ Multiplicity Tag at CLIC

The kinematics in multi-TeV $`e^+e^{}`$ collisions, suggests that the extensions of the reconstruction and tagging algorithms, pioneered at LEP and SLC and further developed for application at a lower energy LC, may need to be reconsidered. The high jet collimation and large $`b`$ decay distance pose significant challenges to the track pattern recognition and reconstruction that may affect the accuracy of $`b`$ and $`c`$ identification by secondary vertex and impact parameter tagging. These are being addressed by studying tracking performances for different designs for the main tracker ariane . At the same time it is interesting to explore new quark tagging techniques, that profit from the kinematics of multi-TeV $`e^+e^{}`$ collisions. A $`b`$ tagging algorithm based on the tag of the steps in particle multiplicity originating from the heavy hadron decay along its flight path has been developed and tested here. The principle adopted stems from a technique developed for charm photo-production experiments framm . At a multi-TeV linear collider, such as CLIC, the signal of the production and decay of a $`b`$ or $`c`$ hadron can be obtained from an analysis of the number of hits recorded within a cone centred on the jet direction as a function of the radial position of the detector layer. In the present implementation of the algorithm, a cone of half-aperture angle $`\psi `$ = 40 mrad, optimised to maximise the sensitivity in presence of background and fragmentation particles, defines the area of interest (AoI) on each detector layer. The decay of a highly boosted short-lived hadron is characterised by a step in the number of hits recorded in each AoI, corresponding to the additional charged multiplicity generated by the decay products.

Since the average charged decay multiplicity of a beauty hadron is about 5.2 bmult  and that of a charm hadron 2.3, the $`B`$ decay signature can consists of either one or two steps, depending on whether the charm decay length exceeds the vertex tracker layer spacing. The number of background hits in the AoI is estimated to be 0.7, constant with the radius, the increase of the AoI surface being compensated by the background track density reduction due to the detector solenoidal field. This background density is measured, by sampling the region outside the AoI, and subtracted. The effect of significant fluctuations of the number of these background hits and of low momentum curling tracks in the innermost layers can be further removed by rejecting those jets where the hit multiplicity decreases with increasing radius or fluctuates by more than two units. The multiplicity pattern of a tagged $`B`$ decay is shown in Figure 1.

Jets fulfilling the above criteria and with at least an upward multiplicity step larger than 1 and a total multiplicity increase larger than 2 have been considered. According to simulation 69%, 29% and 3% of these jets are due to $`b`$, $`c`$ and light quarks respectively. The $`b`$ jets have been further discriminated using a $`b`$ likelihood based on the size, radial position and number of multiplicity steps, the fraction of the jet energy and the invariant mass of the tracks originating at the detected multiplicity steps. The resulting likelihood for $`b`$ and lighter jets and the $`b`$ efficiency and purity resulting from a cut on this discriminating variable are shown in Figure 2. By fitting that distribution for the $`b\overline{b}`$ content, $`\sigma (e^+e^{}b\overline{b})`$ at $`\sqrt{s}`$ = 3 TeV can be determined to $`\pm 0.01`$ (stat) relative accuracy with an integrated luminosity of 1000 fb-1, corresponding to one year of CLIC running at nominal luminosity.

I am grateful to A. De Roeck, A. Frey and R. Settles for their comments and suggestions.