text:
# The Optical Extragalactic Background Light from Resolved Galaxies

## 1. Introduction

The extragalactic background light (EBL) is an indicator of the total luminosity of cosmic structures, as the cumulative emission from pregalactic, protogalactic, and evolving galactic systems, together with active galactic nuclei (AGNs), is expected to be recorded in this background. The recent progress in our understanding of faint galaxy data, made possible by the combination of Hubble Space Telescope (HST) deep imaging and ground-based spectroscopy, and of the evolution of the stellar birthrate in optically-selected galaxies from the present-epoch up to $`z4`$ (Steidel et al. 1999; Madau, Pozzetti, & Dickinson 1998), has been complemented by measurements of the far-IR/sub-mm background by the COBE satellite (Hauser et al. 1998; Fixsen et al. 1998; Puget et al. 1996), showing that a significant fraction of the energy released by stellar nucleosynthesis is re-emitted as thermal radiation by dust (Dwek et al. 1998).

In this talk I will focus on the galaxy number-apparent magnitude relation and its first moment, the galaxy contribution to the EBL. The logarithmic slope of the differential galaxy counts ($`d\mathrm{log}N/dm_{\mathrm{AB}}\gamma `$) is a remarkably simple cosmological probe of the history of the stellar birthrate, as it must drop below 0.4 to yield a finite value for the EBL. The radiation emitted from unresolved sources that could be lost due to uncertainties in the faintest galaxy data and surface brightness selection effects will be discussed, together with the contribution to the EBL from high-$`z`$ populations such as the Lyman-break galaxies and extremely red objects.

## 2. Galaxy counts

Figure 1 shows the northern and southern Hubble Deep Fields (HDFn and HDFs) galaxy counts as a function of AB isophotal magnitudes in the $`UBVIJHK`$ bandpasses. Details of the data reduction, source detection algorithm, and photometry can be found on http://www.stsci.edu/ftp/science/hdfsouth/catalogs.html. No correction for detection completeness have been made; in the HDFn the optical counts are likely to be more than $`80\%`$ complete down to the limits plotted in $`U,B,V,I`$ (Williams et al. 1996). A compilation of existing HST and ground-based data is also shown (see Madau & Pozzetti 2000 for references). All magnitudes have been corrected to the AB system, while the second order colour corrections for the differences in the filter effective wavelengths have not been applied to the ground-based data.

Due to local homogeneity, the differential counts at bright magnitude follows an euclidean slope ($`\gamma 0.6`$) in all seven band up to $`m_{\mathrm{AB}}<22÷19`$ from $`U`$ to $`K`$. Because of the curvature of the universe as well as the evolution of galaxies at intermediate magnitudes, galaxy counts depart from euclidean expectation and follow a slope $`\gamma 0.45÷0.3`$ up to $`m_{\mathrm{AB}}<26÷22`$ from $`U`$ to $`K`$. At even fainter magnitudes the counts show a clear flattening to a slope $`\gamma <0.4`$ for $`m_{\mathrm{AB}}>26÷22`$ from $`U`$ to $`K`$: in particular $`\gamma <0.2`$ in the optical bandpasses $`U,B,V,I`$, and $`\gamma 0.3`$ in the $`J,H`$ and $`K`$ NIR bands.

A fluctuation analysis by Pozzetti et al. (1998) has shown that the turnover observed in the $`U`$ band in the HDFn is likely due to the ‘reddening’ of high redshift galaxies caused by neutral hydrogen along the line of sight. Recently, a re-analysis of the HDFs by Volonteri et al. (2000) shows, however, a steeper slope in the faintest $`U`$ magnitude bin. In the B-band the flattening at faint apparent magnitudes cannot be due to IGM absorption, since the fraction of Lyman-break galaxies at $`B25`$ is small (Steidel et al. 1996; Pozzetti et al. 1998). Moreover, an absorption-induced loss of sources cannot explain the similar change of slope of the galaxy counts observed in the $`V,I,J,H,`$ and $`K`$ bands.

## 3. The resolved EBL

The contribution of known galaxies to the optical EBL can be calculated directly by integrating the emitted flux times the differential number counts down to the detection threshold.

### 3.1. Differential contribution from known galaxies

The leveling off of the counts is clearly seen in Figure 2, where the function $`i_\nu =10^{0.4(m_{\mathrm{AB}}+48.6)}N(m)`$ is plotted against apparent magnitude in all bands. The differential EBL peaks at $`(U,B)_{\mathrm{AB}}24÷25`$, $`(V,R,I)_{\mathrm{AB}}21÷22`$ and $`(J,H,K)_{\mathrm{AB}}19÷21`$. While counts having a logarithmic slope $`d\mathrm{log}N/dm_{\mathrm{AB}}=\alpha 0.40`$ continue to add to the EBL at the faintest magnitudes, it appears that the HDF survey has achieved the sensitivity to capture the bulk of the near-ultraviolet, optical, and near-IR extragalactic light from discrete sources. The effect of counts flattening is depicted in Figure 3, where it is shown that relatively bright galaxies contribute the most to the resolved EBL: fitting the observed counts we found that 50% of it is produced at $`(U,B,V,I,J,H,K)_{\mathrm{AB}}`$ $`<`$ (23, 22.5, 21, 20.5, 20, 20, 18), and 90% at $`(U,B,V,I,J,H,K)_{\mathrm{AB}}<`$ (26, 26, 25.5, 25, 24, 24, 21.5).

### 3.2. Spectrum of resolved EBL

The EBL from detected galaxies in all seven bands has been derived by integrating the galaxy counts down to the faintest detection threshold. The results for $`0.36<\lambda <2.2\mu `$m are listed in Table 1, along with the magnitude range of integration and the estimated 1$`\sigma `$ error bars, which arise mostly from field-to-field variations in the numbers of relatively bright galaxies. An extrapolation of the observed $`N(m)`$ to brighter and fainter fluxes would typically increases the integrated light by less than 20%. The integrated galaxy light is $`\nu I_\nu =2.9÷9.7\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$, increases $`\lambda `$ from $`U`$ to $`I`$, and peaks around $`\lambda 1.1\mu `$m.

In Figure 4 we show the spectrum of the integrated galaxy light including a UV point at 2000 Å from Armand, Milliard, & Deharveng (1994) and the results of HST/STIS integrated counts at 1600 and 2300 Å from Gardner, Brown & Ferguson (2000). Also plotted are the $`90\%`$ all-sky-photometry upper limits from Bowyer (1991), Toller (1983), Dube et al. (1979), Wright (2000), and Hauser et al. (1998). These are from 3 to 5 times higher than the contribution from known galaxies.

## 4. The unresolved EBL

Diffuse, unresolved light may contribute substantially to the optical EBL. Indeed, different algorithms used for ‘growing’ the photometry beyond the outer isophotes of galaxies may significantly change the magnitude of faint galaxies. According to Bernstein (1999) and Bernstein et al. (2000), roughly 50% of the flux from resolved galaxies with $`V>23`$ mag lie outside the standard-sized apertures used by photometric packages. An extragalactic sky pedestal created by the overlapping wings of resolved galaxies also contributes significantly to the sky level, and is undetectable except by absolute surface photometry (Bernstein et al. 2000). Also, at faint magnitude levels, distant objects which are brighter than the nominal depth of the catalog may be missed due to the $`(1+z)^4`$ dimming factor. All these systematic errors are inherent in faint-galaxy photometry; as a result, our estimates of the integrated fluxes from resolved galaxies will typically be too low, and must be strictly considered as lower limits.

### 4.1. Uncertainties in faint galaxy counts

An issue in galaxy counts is the uncertain faint slope, particularly in the $`U`$ band (cf. Volonteri et al. 2000). We have estimated the undetected EBL in the case the number counts have an intrinsic faint slope of $`\gamma =0.3`$, finding an EBL higher by 15$`÷`$30% down to zero fluxes. The integrated galaxy contribution could increase by 100% only if the counts continue to grow with a slope $`\gamma =0.4`$ up $`m_{\mathrm{AB}}<35÷40`$, or with $`\gamma 0.5÷0.8`$ up to $`m_{\mathrm{AB}}<29`$, depending on the band.

### 4.2. Surface brightness selection effects

At faint magnitudes distant objects and low surface brightness (LSB) galaxies may be missed due to the (1+z)4 dimming factor. According to Yoshii (1993) 40% of galaxies are undetected at $`B>27`$ if $`\mu _{lim}(B)=29`$ mag/arcsec2; however, since most of the light comes from relatively bright objects, the resolved EBL increases only by $`20\%`$ up to AB$``$30.

The correction for such effects is however model dependent. We have estimated it for different scenarios: from the PLE models of Totani & Yoshii (2000), which include surface brightness selection effects, we found an integrated galaxy light which is about 10% higher in the $`B`$ band up to $`B_{\mathrm{AB}}<30`$, due to high-$`z`$ objects; in a dwarf dominated model (Ferguson & Babul 1998) the faint slope of “total” $`I`$ counts is $`\gamma 0.32`$ at $`I_{\mathrm{AB}}>25.0`$; the background from galaxies increases then by $`15`$% due to LSBs and high-$`z`$ objects. Vaisanen & Tollestrup (1999) estimate that the maximum LSB contribution to the EBL could be similar to that from known objects. Vogeley (1997) shows that there is a uniform unresolved optical background in the HDFn, which would add a fraction from few tens to 50% to the surface brightness from detected galaxies.

Bernstein (1999) has presented the first tentative detection of the optical EBL at $`3000,5500`$ and $`8000`$ Å, derived from coordinated data sets from HST and Las Campanas Observatory, and shown that the optical EBL is a factor 2$`÷`$4 higher than the integrated contribution of known galaxies. The EBL in the near-IR has been recently estimated from DIRBE data by Gorjian, Wright & Chary (2000) and by Wright (2000), and shows a similar excess compared to the integrated galaxy light. From the above discussion it is difficult, however, to completely explain this descrepancy by surface brightness selection effect and flux lost by standard photometry (Angeretti, Pozzetti, & Zamorani 2001). A high optical/near-IR EBL implies that a high fraction of baryonic mass has been processed by stars throughout cosmic history; these stellar baryons must be accounted for in the local universe (Fukugita et al. 1998; see also contribution by Madau et al. , this volume).

## 5. Optical and FIR EBL

The spectrum of the optical EBL is shown in Figure 5, together with the recent results from COBE. The values derived by integrating the galaxy counts down to very faint magnitude levels imply a lower limit to the EBL intensity in the 0.3–2.2 $`\mu `$m interval of $`I_{\mathrm{opt}}15\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. Including the tentative detection at 3.5 $`\mu `$m by Dwek & Arendt (1998) would boost $`I_{\mathrm{opt}}`$ to $`19\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. The COBE/FIRAS (Fixsen et al. 1998) measurements, in the 125–2000 $`\mu `$m range, when combined with the DIRBE (Hauser et al. 1998) points at 140 and 240 $`\mu `$m, yield a far-IR background intensity of $`I_{\mathrm{FIR}}(1402000\mu \mathrm{m})20\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. The tentative direct measurements in the optical by Bernstein et al. (2000) and in the near-IR by Gorjian et al. (2000), lie between a factor of 2 to 4 higher than the integrated light from galaxy counts, with an uncertainty that is largely due to systematic rather than statistical error. Applying this correction factor to the range 0.3–3.5 $`\mu `$m gives a total optical$`+`$NIR EBL intensity of $`45\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. Including the recent FUV results from Gardner et al. (2000), we derive a ‘best-guess’ estimate of the optical/near-IR EBL intensity observed today of

$$I_{\mathrm{EBL}}(0.16<\lambda <3.5\mu m)=20÷50\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1.$$
(1)
Gispert et al. (2000) derive a similar value in the FIR, $`I_{\mathrm{EBL}}(>6\mu m)=40÷52\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. The FIR/optical EBL ratio ranges between $`0.8`$ and $`2.5`$, significanly higher than the local value of $`0.3`$ (Soifer & Neugeubauer 1991).

## 6. Contribution to the resolved EBL at different redshift

Since the optical galaxy light peaks around $`\lambda 1.1\mu `$m and the differential resolved EBL shows a maximum at relatively bright magnitudes, most of the background light should come from relatively low redshift ($`z<1`$). In the following we will estimate the contribution to the optical EBL from two populations of high redshift sources, the Lyman-break galaxies (LBGs) and the extremely red objects (EROs), and the predictions of different star formation histories.

### 6.1. Lyman-break galaxies

Using color selection techniques which take into account the opacity at high redshift of intergalactic matter, faint ground-based and HST observations have made possible the detection of star forming galaxies at $`z>2`$ (Steidel et al. 1996, 1999; Madau et al. 1996). From a statistical analysis of the HDFn Pozzetti et al. (1998) found that the differential fraction of $`z>2`$ galaxies ($`U`$ and $`B`$ -dropouts) increases from $`5`$ to $`40\%`$ in the range $`23.5<V_{\mathrm{AB}}<27.5`$. The fraction of U-dropouts to $`V_{\mathrm{AB}}<27.5`$ is $`28\pm 2\%`$, and of B-dropouts to $`V_{\mathrm{AB}}<28`$ is $`2.5\pm 0.6\%`$, Integrating the LBG counts and extending them to bright magnitudes using ground based observation (Steidel et al. 1999) we estimate a sky brightness $`I_{z>2}`$(V) $``$0.4$``$1.1 $`\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$, which constitutes only a fraction from 5 to 12% of the resolved EBL in the visible band. Near-IR observations have pointed out that LBGs are dusty and therefore must contribute to the FIR and sub-mm background: assuming the spectral energy distribution of a star-forming object and an amount of dust with E(B-V)$``$0.1, we estimate $`I_{\mathrm{FIR}}5\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. Adelberger & Steidel (2000) have argues that LBGs may produce the entire 850$`\mu `$m background.

### 6.2. Extremely red objects

The extremely red galaxies (EROs) discovered in deep near-infrared (IR) and optical surveys (Hu & Ridgway 1994) are defined in terms of their very red optical/near-IR colours ($`RK>5`$ or $`IK>4`$). While very rare at bright K magnitudes, their sky density approaches 0.5 $`\pm `$ 0.1 arcmin-2 at K=20 (McCracken et al. 2000). Such very red colours can be explained by three different scenarios: EROs may be 1) starburst galaxies hidden by large amounts of dust, or 2) high redshift ($`z>1`$) old ellipticals with intrinsically red spectral energy distributions (SEDs) and large positive k-corrections, or 3) obscured AGNs. In the last year increasing evidence has been found – from HST profiles and morphologies (Moriondo et al. 2000; Pozzetti et al. 2001), VLT/ISAAC spectra (Cimatti et al. 1999), and clustering properties (Daddi et al. 2000) – that most (up to 70%) of the EROs could be high-$`z`$ ellipticals. Some EROs have been detected also in the X-ray by ROSAT and XMM (Hasinger 2000). Since the space density of EROs is relatively low up to faint magnitudes (Daddi et al. 2000), their integrated contribution to the EBL in the $`K`$ band is almost negligible. At K$`<`$19.2, Daddi et al. found $`(13,2)\%`$ of objects with $`RK>(5,6)`$ respectively and therefore $`I_{RK>5}(K)0.14\mathrm{nW}\mathrm{m}^2\mathrm{sr}^12\%I(K)`$ (extrapolating to brighter and fainters fluxes the light from EROs converges to 0.3 $`\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$, which constitutes only about 4% of the observed EBL in the $`K`$-band). If, however, EROs are mainly dusty starburst at high-$`z`$, they can contribute to the FIR background: assuming a star-forming stellar spectrum and a reddening $`E(BV)0.5÷0.8`$, we estimate a contribution to the FIR background of $`3÷4\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$. If EROs are mainly obscured AGNs they may contribute to the hard X-ray background.

### 6.3. Cosmic star formation history

An interesting question arises as to whether a simple stellar evolution model, defined by a time-dependent SFR per unit volume and a constant IMF, may reproduce the global UV, optical, and near-IR photometric properties of the universe as recorded in the comoving luminosity density as a function of redshift and in the global EBL. We assume a universal IMF and fit a smooth function to the UV-continuum emissivity at various redshifts (Lilly et al. 1996; Connolly et al. 1997; Madau et al. 1998; Ellis et al. 1996; Gardner et al. 1997). We then use Bruzual-Charlot’s synthesis code to predict the cosmic emission history at long wavelengths together with the optical EBL.

Following Madau, Pozzetti & Dickinson (1998), we have constructed two simple models: model (A), with a star formation history which peaks at $`z1.5`$ and decreases at higher redshift, as expected in a “hierarchical” scenario of galaxy formation (Somerville et al. 1999) where about 65% of the present-day stars formed at $`z>1`$ and only 20% at $`z>2`$; model (B), with increasing star formation at early times, as expected in a “monolithic” scenario where 50% of the present-day stars formed at $`z>2.5`$ and were shrouded by dust. A Salpeter IMF between 0.1 and 120 M has been assumed in both models (cf. Madau & Pozzetti 2000).

Figure 6 shows the model predictions for the evolution of the luminosity density $`\rho _\nu `$ at rest-frame ultraviolet to near-infrared frequencies; the instantaneous star formation rate is shown in the inset on the upper-right corner of the figure. The shape of the predicted and observed $`\rho _\nu (z)`$ relations agrees better, within the uncertainties, in model (A) if some amount of dust extinction, $`E(BV)=0.1`$, is included. In this case the observed UV luminosities must be corrected upwards by a factor of 1.4 at 2800 Å and 2.1 at 1500 Å. In model (B) consistency with the HDF data has been obtained assuming a dust extinction which increases rapidly with redshift, $`E(BV)=0.011(1+z)^{2.2}`$. This results in a correction to the rate of star formation of a factor $`5`$ at $`z=3`$ and $`15`$ at $`z=4`$. Overall, the fit to the data is still acceptable, showing how the blue and near-IR light at $`z<1`$ are relatively poor indicators of the star formation history at early epochs. We have also checked that a larger amount of hidden star formation at early epochs, as advocated by Meurer et al. (1997), would generate too much $`B`$, 1 $`\mu `$m and 2.2 $`\mu `$m light to be still consistent with the observations. An IMF which is less rich in massive stars would only exacerbate the discrepancy.

The amount of optical starlight produced by the two models at different wavelengths and redshifts is shown in Figure 7. While in both scenarios most of the optical light comes from $`z<1`$ galaxies at all wavelengths, model (A) recovers the resolved EBL at all frequencies except the UV. In model (B) $`z>1`$ galaxies produce additional UV and IR light, but there is still a deficit compared with the Gardner et al. (2000) resolved UV light and Gorjian et al. (2000) near-IR EBL measurements. The total amount of starlight radiated at optical wavelengths is 16.5 and 28.6 nW m-2 sr-1 for model (A) and (B), respectively. By comparison, the amount of light absorbed by dust and reprocessed in the infrared is equal to 9.9 nW m-2 sr-1 in model (A), about 38% of the total radiated flux, while the monolithic collapse scenario (model B) generates 11.0 nW m-2 sr-1 ($`28\%`$ of the total flux). While both models appear then to be consistent with the data (given the large uncertainties associated with the removal of foreground emission and with the observed and predicted spectral shape of the CIB), it is clear that much more infrared light would be generated by scenarios that have significantly larger amount of hidden star formation at early and late epochs.

Finally we have used the “last” version of star formation history corrected by dust extintion estimated from SCUBA observations (Hughes et al. 1998) and near-IR measurements of Balmer lines (Tresse & Maddox 1998). Figure 8 depicts the version of the star formation history with an extintion correction of $`A_{1500}=1.2`$ mag (Madau 1999), hereafter model (C), and an approximately flat star formation at high-$`z`$. In this case the total amount of optical light produced is 23 $`\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1`$, while $`14\mathrm{nW}\mathrm{m}^2\mathrm{sr}^1(38\%)`$ will be re-radiated in the far-IR. Also in this case the model reproduces well, within the uncertainties, the EBL recorded in the galaxy counts (Figure 9), while it is still lower than the detections of Bernstein (1999) and Gorjian et al. (2000). Half of the resolved EBL in the $`(U,B,V,I,J,H,K)`$ bandpasses is radiated at $`z<(0.8,0.7,0.4,0.4,0.4,0.5,0.5)`$, respectively (Figure 9).

As a test we have compared the EBL predicted by the three models without dust extintion. The results are shown in Figure (10): only in these unrealistic cases we are able to approximately reproduce the EBL detected by Bernstein (1999) and Gorjian et al. (2000); in particular in model (B) and (C) high-$`z`$ galaxies produce the light undetected in the galaxy counts at optical and near-IR wavelengths. In model (B) a non-negligible amount of optical light is radiated at $`z>2`$. To account for the far-IR background a higher mean star formation rate must assumed, but in this case a larger fraction of baryons must be processed by stars throughout cosmic history, perhaps in conflict (for the assumed IMF) with the local stellar census.

## References

Adelberger, K.L., & Steidel C.C. 2000, ApJ, in press

Armand, C., Milliard, B., & Deharveng, J.-M. 1994, A&A, 284, 12

Bernstein, R. A., 1999, in the Low Surface Brightness Universe, ASP Conference Series 170, ed. J. I. Davies, C. Impey, and S. Phillipps, 341

Bernstein, R. A., Freedman, W. L., & Madore, B. F. 2000, submitted

Bowyer, S., 1991, ARA&A, 29, 59

Bruzual, A. C., & Charlot, S. 1993, ApJ, 405, 538

Cimatti, A., et al. 1999, A&A, 352, L45

Connolly, A.J., Szalay, A.S., Dickinson, M., SubbaRao, M.U., Brunner, R.J., 1997, ApJ, 486, L11

Daddi, E., Cimatti, A., Pozzetti, L., et al. 2000, A&A 361, 535

Dube, R.R., Wickes, W.W., Wilkinson, D.T., 1979, ApJ, 232, 333

Dwek, E., & Arendt, R. G. 1998, ApJ, 508, L9

Dwek, E., et al. 1998, ApJ, 508, 106

Elbaz, D., et al. 1999, A&A, 351, L37

Ellis, R. S., Colless, M., Broadhurst, T., Heyl, J., & Glazebrook, K. 1996, MNRAS, 280, 235

Ferguson, H.C., & Babul A. 1998, MNRAS, 296, 585

Finkbeiner, D. P., Davis, M., Schlegel, D. 2000, this volume

Fixsen, D. J., et al. 1998, ApJ, 508, 123

Fukugita, M., Hogan, C. J., & Peebles, P. J. E. 1998, ApJ, 503, 518

Gallego, J., Zamorano, J., Aragon-Salamanca, A., Rego, M. 1995, ApJ, 455, L1

Gardner, J.P., Brown, T.M., & Ferguson, H.C. 2000, ApJ, 542, L19

Gardner, J.P., Sharples, R.M., Frenk, C.S., Carrasco, B.E. 1997, ApJ, 480, L99

Gispert, R., Lagache, G., Puget, J.L. 2000, A&A 361, 1

Glazebrook K., Blake, C., Economou, F., Lilly, S., Colless, M. 1999, MNRAS, 308, 459

Gorjian, V., Wright, E.L., Chary, R.R. 2000, ApJ, 536, 500

Hasinger, G. 2000, in the ESO Deep Fields Workshop, Munich 2000

Hauser, M. G., et al. 1998, ApJ, 508, 25

Hu, E.M., & Ridgway S. E., 1994, AJ 107, 1303

Hughes, D., et al. 1998 Nature, 398, 241

Lagache, G., Abergel, A., Boulanger, F., Desert, F. X., & Puget, J.-L. 1999, A&A, 344, 322

Lagache, G.G., Haffner, L.M., Reynolds, R.J., Tufte, S.L. 2000, A&A 354, 247

Lilly, S.J., Le Fevre, O., Hammer, F., Crampton, D. 1996, ApJ, 460, L1

Madau, P., Ferguson, H.C., Dickinson, M.E., Giavalisco, M., Steidel, C.C., Fruchter, A. 1996, MNRAS, 283, 1388

Madau, P. 1999, in After the Dark Ages: When Galaxies were Young (the Universe at 2$`<`$z$`<`$5), eds. S. Holt and E. Smith (AIP Press), 299

Madau, P., Pozzetti, L., & Dickinson, M. 1998, ApJ, 498, 106

Madau, P., & Pozzetti, L., 2000, MNRAS, 312, L9

McCracken, H.J., Metcalfe, N., Shanks, T., Campos, A., Gardner, J.P., 2000, MNRAS, 311, 707

Moriondo, G., Cimatti, A., Daddi E. 2000, A&A, in press

Pozzetti, L., Madau, P., Zamorani, G., Ferguson, H. C., & Bruzual, A. G. 1998, MNRAS, 298, 1133

Puget, J.-L., Abergel, A., Bernard, J.-P., Boulanger, F., Burton, W. B., Desert, F.-X., & Hartmann, D. 1996, A&A, 308, L5

Soifer, B.T., & Neugebauer, G. 1991, ApJ, 101, 354

Somerville, R. S., Primack, J. R., 1999, MNRAS, in press (astro-ph/9802268)

Steidel, C.C., Adelberger, K.L., Giavalisco, M., Dickinson, M., Pettini, M. 1999, ApJ, 519, 1

Steidel, C.C., Giavalisco, M., Pettini, M., Dickinson, M.E., & Adelberger, K. 1996, ApJ, 462, L17

Toller G.N., 1983, ApJ, 266, L79

Totani, T., Yoshii, Y. 2000, ApJ, 540, 81

Tresse, L., & Maddox, S. J. 1998, ApJ, 495, 691

Treyer, M.A., et al. 1998, MNRAS, 300, 303

Vaisanen, P., & Tollestrup, E.V. 1999, in the Low Surface Brightness Universe, ASP Conference Series 170, eds. J.I. Davies, C. Impey, and S. Phillipps, 365

Volonteri, M., Saracco, P., Chincarini G., Bolozonella M. 2000, A&A, in press (astro-ph/0007283)

Vogeley, M. S. 1997, AAS, 191, 304

Williams, R. E., et al. 1996, AJ, 112, 1335

Wright, E.L. 2000, in press (astro-ph/0004192)

Yoshii, Y. 1993, ApJ, 403, 552


format: text

text:
# Test particle acceleration by rotating jet magnetospheres

## Introduction

Rotating magnetospheres are widely believed to be responsible for the relativistic jet phenomenon in active galactic nuclei (AGN) blandford82 ; begelman94 . Here we adress the question whether centrifugal acceleration of charged test particles at the base of such a jet magnetosphere may possibly produce a seed population of relativistic electrons which is required for efficient particle acceleration. For, in order to explain the origin of the nonthermal emission extending up to TeV energies in some blazars, several acceleration processes have been proposed among which Fermi-type particle acceleration mechanisms (i.e. diffusive shock acceleration drury83 ) are quite promising. However such kind of mechanisms require a pre-accelerated seed population of electrons with Lorentz factors of the order of $`100`$ melrose94 ; lesch97 . It seems therefore quite interesting whether in the case of AGN centrifugal acceleration by rotating jet magnetosphere may potentially fill this gap by providing pre-accelerated seed particles. For an analytical treatment, we consider the following simplified model: motivated by MHD-scenarios for the origin of jets via rotating jet magnetospheres blandford82 ; camenzind96 ; fendt97  (see Fig. 1) a projected two-dimensional model topology is applied where the magnetic field is supposed to rotate rigidly with a fraction of the rotational velocity of the black hole fendt97 . Test particles with rest mass $`m_e`$ and charge $`e`$ are assumed to be injected at time $`t_0`$ and position $`r_0`$ with velocity $`v_0`$ parallel to the rotating field line.

## Modelling

Consider the forces acting on a particle in a rotating frame of reference ganga96 ; ganga97 : Particles, which are injected at ($`t_0`$,$`r_0`$) with velocity $`v_0`$ along the magnetic field line $`B_r(t_0)`$ experience a centrifugal force in the radial direction given by

$$\stackrel{}{F}_{\mathrm{cf}}=m_e\gamma (\stackrel{}{\mathrm{\Omega }}\times \stackrel{}{r})\times \stackrel{}{\mathrm{\Omega }},$$
(1)
where $`\gamma `$ denotes the Lorentz factor and $`\stackrel{}{\mathrm{\Omega }}=\mathrm{\Omega }\stackrel{}{e}_z`$ the angular velocity of the field. Additionally, there is also a relativistic Coriolis term in the noninertial frame governed by the equation

$$\stackrel{}{F}_{\mathrm{cor}}=m_e\left(2\gamma \frac{\text{d}r}{\text{d}t}+r\frac{\text{d}\gamma }{\text{d}t}\right)(\stackrel{}{e}_r\times \stackrel{}{\mathrm{\Omega }}),$$
(2)
which acts as a deviation-force in the azimuthal direction. In the inertial rest frame the particle sees the field line bending off from its initial injection position, therefore it experiences a Lorentz force ($`c=1`$)

$$\stackrel{}{F}_\mathrm{L}=e(\stackrel{}{v}_{\mathrm{rel}}\times \stackrel{}{B}),$$
(3)
where $`v_{\mathrm{rel}}`$ is the relative velocity between the particle and the magnetic field line. Due to the Lorentz force a particle tries to gyrate around the field line. Initially, the direction of the Lorentz force is perpendicular to the direction of the Coriolis force, but as a particle gyrates, it changes the direction and eventually becomes antiparallel to the Coriolis force. Hence, the bead-on-the-wire approximation is valid if the Lorentz force is not balanced by the Coriolis force ganga97 ; rieger00 . In this case, the accelerated motion of the particle’s guiding center due to the centrifugal force may be written as

$$\gamma \frac{\text{d}^2r}{\text{d}t^2}+\frac{\text{d}r}{\text{d}t}\frac{\text{d}\gamma }{\text{d}t}=\gamma \mathrm{\Omega }^2r,$$
(4)
where $`\gamma =(1\mathrm{\Omega }^2r^2\dot{r}^2)^{0.5}`$. The constrained motion is then given by the azimuthal components of forces

$$\frac{\text{d}\gamma }{\text{d}t}\frac{1}{r}\left(\frac{Bev_{\mathrm{rel}}}{m_e\mathrm{\Omega }}2\gamma \frac{\text{d}r}{\text{d}t}\right).$$
(5)
Generally, the bead-on-the-wire approximation is supposed to break down if $`F_{\mathrm{cor}}`$ exceeds $`F_\mathrm{L}`$ (i.e. when $``$ in Eq. 5 becomes $`>`$).

## Results

Using the argument that the Hamiltonian for a bead on a relativistically moving wire $`H=\gamma m_e(1\mathrm{\Omega }^2r^2)`$ is a constant of motion, the equation for the radial accelerated motion could be reduced to a simple form which has been solved analytically yielding machabeli94 ; rieger00

$$r(t)=\frac{1}{\mathrm{\Omega }}\mathrm{cn}(\lambda _0\mathrm{\Omega }\mathrm{t}),$$
(6)
where $`\mathrm{cn}`$, (sn) is the Jacobian elliptic cosine (sine, respectively), and $`\lambda _0`$ is an elliptic integral of the first kind, i.e.

$$\lambda _0=_0^{\varphi _0}\frac{\text{d}\theta }{(1\stackrel{~}{m}\mathrm{sin}^2\theta )^{1/2}}.$$
(7)
with $`\stackrel{~}{m}=(1\mathrm{\Omega }^2r_0^2v_0^2)/(1\mathrm{\Omega }^2r_0^2)^2`$. The Lorentz factor may then be written as

$$\gamma (t)=\frac{1}{\sqrt{\stackrel{~}{m}}[\text{sn}(\lambda _0\mathrm{\Omega }t)]^2},$$
(8)
or, if expressed as a function of the radial co-ordinate, as

$$\gamma (r(t))=\frac{1}{\sqrt{\stackrel{~}{m}}(1\mathrm{\Omega }^2r(t)^2)}.$$
(9)
Apart from radiation losses (e.g. inverse-Compton losses in the radiation field of the accretion disk, see rieger00 ), the maximum attainable Lorentz factor $`\gamma _{\mathrm{max}}`$ is in particular limited by the breakdown of the bead-on-the-wire approximation (i.e. when the particle leaves the field line and thus, acceleration becomes ineffective) in the vicinity of the light cylinder $`r_\mathrm{L}`$. Using the definition of the Hamiltonian $`H`$ and Eq. 9 and setting $`v_{\mathrm{rel}}=c`$, one may derive an upper limit for the maximum Lorentz factor $`\gamma _{\mathrm{max}}`$ from Eq. 5

$$\gamma _{\mathrm{max}}\frac{1}{\stackrel{~}{m}^{1/6}}\left(\frac{B(r_\mathrm{L})e}{2m_ec^2}r_\mathrm{L}\right)^{2/3},$$
(10)
where $`B(r_\mathrm{L})`$ denotes the magnetic field strength at the light cylinder and where for clarification $`c`$ has now been inserted. For typical BL Lac conditions, i.e. a light cylinder radius $`r_\mathrm{L}10^{13}`$ m, and a field strength $`B(r_\mathrm{L})(30100)\times 10^4`$ T, Eq. 10 results in an upper limit on the maximum Lorentz factor $`\gamma _{\mathrm{max}}(12.5)\times 10^3`$.

## Conclusions

The results derived in the simple toy-model presented here support flares on accretion disks as providing a seed population of relativistic electrons with Lorentz factors up to $`10^3`$ in BL Lac type objects. Such pre-accelerated particles are required for models involving diffusive shock acceleration of $`e^+/e^{}`$ in relativistic jets, cf. melrose94 , lesch97 . Particle acceleration by rotating jet magnetospheres may thus possibly represent an interesting explanation for the required pre-acceleration.

Acknowledgement: K.M. acknowledges financial support from a Heisenberg-Fellowship and F.M.R. from DFG Ma 1545/2-2.


text:
# 1 Introduction

## 1 Introduction

It is becoming more and more clear that results from relativistic heavy ion collisions at many different energies show striking common traits. Statistical-thermal models are able to reproduce particle multiplicities in a satisfactory manner by using a very small number of parameters: temperature, volume, baryon chemical potential and a possible strange-quark suppression parameter, $`\gamma _\mathrm{s}`$. We report here the results of an analysis of data from collisions at several different energies, with emphasis on the similarity of the colliding system. We have focussed our attention on central Au–Au collisions at beam momenta of 1.7$`A`$ GeV (SIS) , 11.6$`A`$ GeV (AGS)  and on central Pb–Pb collisions at 158$`A`$ GeV (SPS) beam momentum . As far as the choice of data (and, consequently, colliding system) is concerned, our leading rule is the availability of full phase space integrated multiplicity measurements because a pure statistical-thermal model analysis of particle yields, without any consideration of dynamical effects, may apply only in this case . Such data, however, exist only in a few cases and whenever legitimate we have extrapolated spectra measured in a limited rapidity window to full phase space. The use of extrapolations is more correct than using data over limited intervals of rapidity, especially in the framework of a purely statistical-thermal analysis without a dynamical model. Moreover, the usually employed requirement of zero strangeness ($`S=0`$) demands fully integrated multiplicities because strangeness does not need to vanish in a limited region of phase space.

In order to assess the consistency of the results obtained, we have performed the statistical-thermal model analysis by using two completely independent numerical algorithms whose outcomes turned out to be in close agreement throughout. Similar analyses have been recently made by other authors (see e.g. ); however, both the model and the used data set differ in several important details, such as the assumption of full or partial equilibrium for some quark flavours, the number of included resonances, the treatment of resonance widths, inclusion or not of excluded volume corrections, treatment of flow, corrections due to limited rapidity windows etc. Because of these differences it is difficult to trace the origin of discrepancies between different results. We hope that the present analysis, covering a wide range of beam energies using a consistent treatment, will make it easier to appreciate the energy dependence of the various parameters such as temperature and chemical potential.

## 2 Data set and model description

As emphasized in the introduction, in the present analysis we use the most recent available data, concentrating on fully integrated particle yields and discarding data that have been obtained in limited kinematic windows. We have derived integrated multiplicities of $`\pi ^+`$, $`\mathrm{\Lambda }`$ and proton in Au–Au collisions at AGS by extrapolating published rapidity distributions  with constrained mid-rapidity value ($`y_{\mathrm{NN}}`$=1.6). For proton and $`\mathrm{\Lambda }`$ we have fitted the data to Gaussian distributions, whilst for $`\pi ^+`$ we have used a symmetric flat distribution at midrapidity with Gaussian-shaped wings on either side; the point at which the Gaussian wing and the plateau connect is a free parameter of the fit. The fits yielded very good $`\chi ^2`$’s/dof: 0.27, 1.24 and 1.00 for $`\pi ^+`$, proton and $`\mathrm{\Lambda }`$ respectively. The integrated multiplicities have been taken as the area under the fitted distribution between the minimal $`y_{\mathrm{min}}`$ and maximal $`y_{\mathrm{max}}`$ values of rapidities for the reactions $`\mathrm{NN}\pi \mathrm{NN}`$, $`\mathrm{NN}\mathrm{\Lambda }\mathrm{K}`$ for pions and $`\mathrm{\Lambda }`$’s respectively; the difference between these areas and the total area has been taken as an additional systematic error. The area between $`y_{\mathrm{min}}`$ and $`y_{\mathrm{max}}`$ amounts to practically 100% of the total area for pions and about 95% for $`\mathrm{\Lambda }`$’s.

We have not included data on deuteron production because of the possible inclusion of fragments in the measured yields. This is particularly dangerous at low (SIS) energies where inclusion or not of deuterons modifies thermodynamic quantities like $`ϵ/n`$ .
The data analysis has been performed within an ideal hadron gas grand-canonical framework supplemented with strange quark fugacity $`\gamma _\mathrm{s}`$. In this approach, the overall average multiplicities of hadrons and hadronic resonances are determined by an integral over a statistical distribution:

$$n_i=(2J_i+1)\frac{V}{(2\pi )^3}\mathrm{d}^3p\frac{1}{\gamma _\mathrm{s}^{s_i}\mathrm{exp}[(E_i𝝁\text{ }𝐪_i)/T]\pm 1}$$
(1)
where $`𝐪_i`$ is a three-dimensional vector with electric charge, baryon number and strangeness of hadron $`i`$ as components; $`𝝁`$  the vector of relevant chemical potentials; $`J_i`$ the spin of hadron $`i`$ and $`s_i`$ the number of valence strange quarks in it; the $`+`$ sign in the denominator is relevant for fermions, the $``$ for bosons. This formula holds in case of many different statistical-thermal systems (i.e. clusters or fireballs) having common temperature and $`\gamma _\mathrm{s}`$but different arbitrary momenta, provided that the probability of realizing a given distribution of quantum numbers among them follows a statistical rule . In this case $`V`$ must be understood as the sum of all cluster volumes measured in their own rest frame. Furthermore, since both volume and participant nucleons may fluctuate on an event by event basis, $`V`$ and $`𝝁`$  (and maybe $`T`$) in Eq. (1) should be considered as average quantities .
The overall abundance of a hadron of type $`i`$ to be compared with experimental data is determined by the sum of Eq. (1) and the contribution from decays of heavier hadrons and resonances:

$$n_i=n_i^{\mathrm{primary}}+\underset{j}{}\mathrm{Br}(ji)n_j$$
(2)
where the branching ratios Br$`(ji)`$ have been taken from the 1998 issue of the Particle Data Table .
It must be stressed that the unstable hadrons contributing to the sum in Eq. (2) may differ according to the particular experimental definition. This is a major point in the analysis procedure because quoted experimental multiplicities may or may not include contributions from weak decays of hyperons and K$`{}_{S}{}^{}{}_{}{}^{0}`$. We have included all weak decay products in our computed multiplicities except in Pb–Pb collisions on the basis of relevant statements in ref.  and about antiproton production in refs. . It must be noted that switching this assumption in Au–Au at SIS and AGS does not affect significantly the resulting fit parameters.
The overall multiplicities of hadrons depend on several unknown parameters (see Eq. (1)) which are determined by a fit to the data. The free parameters in the fit are $`T`$, $`V`$, $`\gamma _\mathrm{s}`$and $`\mu _B`$ (the baryon chemical potential) whereas $`\mu _S`$ and $`\mu _Q`$, i.e. the strangeness and electric chemical potentials, are determined by using the constraint of overall vanishing strangeness and forcing the ratio between net electric charge and net baryon number $`Q/B`$ to be equal to the ratio between participant protons and nucleons. The latter is assumed to be $`Z/A`$ of the colliding nucleus in Au–Au and Pb–Pb.
For SIS Au-Au data we have required the exact conservation of strangeness instead of using a strangeness chemical potential. This gives rise to slightly more complex calculations which are necessary owing to the very small strange particle production (Au–Au). The difference between these strangeness-canonical and pure grand-canonical calculations of multiplicities of K and $`\mathrm{\Lambda }`$ for the final set of thermal parameters (see Table 1) turns out to be as large as a factor 15 in Au–Au at 1.7$`A`$ GeV.
Owing to few available data points in SIS Au–Au collisions, we have not fitted the volume $`V`$ nor the $`\gamma _\mathrm{s}`$therein. The volume has been assumed to be $`4\pi r^3/3`$ where $`r=7`$ fm (approximately the radius of a Au nucleus) while $`\gamma _\mathrm{s}`$has been set to 1, the expected value for a completely equilibrated hadron gas. Since we have performed a strangeness-canonical calculation here, the yield ratios involving strange particle are not independent of the chosen volume value as in the grand-canonical framework. Thus, in this particular case, $`V`$ is meant to be the volume within which strangeness is conserved (i.e. vanishing) and not the global volume defining overall particle multiplicities as in Eq. (1). Also, in order to test the dependence of this assumption on our results, we have repeated the fit by varying $`V`$ by a factor 2 and 0.5 in turn.
A major problem in Eq. (2) is where to stop the summation over hadronic states. Indeed, as mass increases, our knowledge of the hadronic spectrum becomes less accurate; starting from $`1.7`$ GeV many states are possibly missing, masses and widths are not well determined and so are the branching ratios. For this reason, it is unavoidable that a cut-off on hadronic states be introduced in Eq. (2). If the calculations are sensitive to the value of this cut-off, then the reliability of results is questionable. We have performed all our calculations with two cut-offs, one at around 1.8 GeV (in the analysis algorithm A) and the other one at 2.4 GeV (in the analysis algorithm B). The contribution of missing heavy resonances is expected to be very important for temperatures $`200`$ MeV making thermal models inherently unreliable above this temperature.

## 3 Results

As mentioned in the introduction, we have performed two analyses (A and B) by using completely independent algorithms.
In the analysis A all light-flavoured resonances up to 1.8 GeV have been included. The production of neutral hadrons with a fraction $`f`$ of $`\mathrm{s}\overline{\mathrm{s}}`$content has been suppressed by a factor $`(1f)+f\gamma _s^2`$. In the analysis B the mass cut-off has been pushed to 2.4 GeV and neutral hadrons with a fraction $`f`$ of $`\mathrm{s}\overline{\mathrm{s}}`$content have been suppressed by a factor $`\gamma _s^{2f}`$. Both algorithms use masses, widths and branching ratios of hadrons taken from the 1998 issue of Particle Data Table . However, it must be noted that differences between the two analyses exist in dealing with poorly known heavy resonance parameters, such as assumed central values of mass and width, where the Particle Data Table itself gives only a rough estimate. Moreover, the two analyses differ by the treatment of mass windows within which the relativistic Breit-Wigner distribution is integrated.
A summary of the final results is shown in Fig. 1. For each analysis an estimate of systematic errors on fit parameters have been obtained by repeating the fit

* assuming vanishing widths for all resonances
* varying the mass cut-off to 1.7 in analysis A and to 1.8 in analysis B
* for Au–Au at 1.7$`A`$ GeV, the volume $`V`$ has been varied to $`V/2`$ and to $`2V`$ (see discussion in Sect. 2)

The differences between new fitted parameters and main parameters have been conservatively taken as uncorrelated systematic errors to be added in quadrature for each variation (see Table 1). The effect of errors on masses, widths and branching ratios of inserted hadrons has been studied in analysis A according to the procedure described in ref.  and found to be negligible.
Finally, the results of the two analyses have been averaged according to a method suggested in ref. , well suited for strongly correlated measurements.

## 4 Discussion and conclusions

From the results obtained, an indication emerges that a statistical-thermal description of multiplicities in a wide range of heavy ion collisions is indeed possible to a satisfactory degree of accuracy, for beam momenta ranging from 1.7$`A`$ GeV to 158$`A`$ GeV per nucleon. Furthermore, the fitted parameters show a remarkably smooth and consistent dependence as a function of centre-of-mass energy.

The temperature varies considerably between the lowest and the highest beam energy, namely, between 50 MeV at SIS and 160 MeV at SPS. Similarly, the baryon chemical potential changes appreciably, decreasing from about 820 MeV at SIS to about 240 MeV at SPS. However, since the changes in temperature and chemical potential are opposite, the resulting energy per particle shows little variation and remains practically constant at about 1 GeV per particle; this is shown in Fig. 2.
The supplementary $`\gamma _\mathrm{s}`$factor, measuring the deviation from a completely equilibrated hadron gas, is around 0.7 – 0.8 at all energies where it has been considered a free fit parameter. At the presently found level of accuracy, a fully equilibrated hadron gas (i.e. $`\gamma _\mathrm{s}`$=1) cannot be ruled out in all examined collisions except in Pb–Pb, where $`\gamma _\mathrm{s}`$deviates from 1 by more than $`4\sigma `$. This result does not agree with a recent similar analysis of Pb–Pb data  imposing a full strangeness equilibrium. The main reason of this discrepancy is to be found in the different data set used; whilst in ref.  measurements in different limited rapidity intervals have been collected, we have used only particle yields extrapolated to full phase space. The temperature values that we have found essentially agree with previous analyses in Au–Au collisions  and estimates 11.7 $`A`$ GeV .
The $`T`$ value in Pb–Pb is strongly affected by high mass particle measurements, such as $`\varphi `$ and $`\mathrm{\Xi }`$. A recent significant lowering of the $`\mathrm{\Xi }`$ yield measured by NA49  with respect to a previous measurement  results in a decrease of estimated temperature value from about 180 MeV to the actual 160 MeV.

Forthcoming lower energy Pb–Pb and high energy Au–Au data at RHIC should allow to clarify the behaviour of strangeness production in heavy ion collision.

## Acknowledgements

We are very grateful to N. Carrer, U. Heinz, M. Morando, C. Ogilvie for useful suggestions and discussions about the data. We especially thank H. Oeschler for his help with the GSI SIS data and R. Stock for his help with NA49 data.


text:
# Cosmological Constraints on Bulk Neutrinos

(May 1, 2002)

## Abstract

Recent models invoking extra spacelike dimensions inhabited by (bulk) neutrinos are shown to have significant cosmological effects if the size of the largest extra dimension is $`R1\mathrm{fm}`$. We consider effects on cosmic microwave background anisotropies, big bang nucleosynthesis, deuterium and 6Li photoproduction, diffuse photon backgrounds, and structure formation. The resulting constraints can be stronger than either bulk graviton overproduction constraints or laboratory constraints.

In this Letter we describe several cosmological constraints on models for neutrino mass which rely on bulk fermions propagating in compact extra spacelike dimensions. Extra spacetime dimensions, long provided under the ægis of Kaluza-Klein (KK) and superstring theories, have played an essential role in recent attempts to solve fundamental problems in particle physics fundamentalphysics ; arkani . In particular, in some theories invoking $`n`$ compact extra spacelike dimensions, all Standard Model (SM) fields are localized on a three-dimensional surface (3-brane), but gravity experiences the full spacetime (bulk) arkani . This yields the relation $`M_{\mathrm{Pl}}^2=M_F^{n+2}V_n`$ between the new fundamental $`(4+n)`$-dimensional reduced Planck scale $`M_F`$ and the four-dimensional reduced Planck scale $`M_{\mathrm{Pl}}=(4\pi G_N)^{1/2}`$, where $`V_n`$ is the volume of the additional dimensions. If the volume of the internal space is sufficiently large, $`M_F`$ can be much smaller than $`M_{\mathrm{Pl}}`$, giving rise to a low-scale theory of quantum gravity (e.g., $`V_25\times 10^5\mathrm{mm}^2`$ gives $`M_F10\mathrm{TeV}`$ for $`n=2`$).

In this framework, if $`M_F`$ is sufficiently small, there is no longer a heavy mass scale available in the theory to suppress neutrino masses relative to other fermion masses via a seesaw or similar mechanism seesaw . Several higher-dimensional mechanisms have been developed dienesarkani , however, which can give neutrino masses and mixings consistent models ; barbieri ; ramond  with the solar, atmospheric, and accelerator neutrino experiments nuexpts . One widely used scheme posits the existence of SM-singlet fermions (neutrinos) which propagate in the bulk but couple via Yukawa interactions with the SM-doublet (active) neutrinos on our brane. This setup gives up to three light Dirac neutrino masses $`\mu _i`$ associated with the active neutrino flavors $`\nu _e`$, $`\nu _\mu `$, and/or $`\nu _\tau `$. In addition, each bulk neutrino appears on our brane as a tower of massive KK modes (i.e., sterile neutrinos), and the vacuum mixing angle between an active neutrino and a mode with mass $`m_{\mathrm{mode}}\mu _i`$ is $`\theta _{\mathrm{mode}}\sqrt{2}\mu _i/m_{\mathrm{mode}}`$. The mass distribution of the modes depends on the geometry of the internal space. The simplest and most widely adopted geometry of the internal dimensions is that of an $`n`$-dimensional torus with radii $`R_j`$ ($`1jn`$), for which the mode masses are $`m_𝐤^2=k_1^2/R_1^2+\mathrm{}+k_n^2/R_n^2`$, where, in bulk neutrino models, $`𝐤=(k_1,\mathrm{},k_n)`$ is an $`n`$-tuple of whole numbers, and where we assume that the bare masses of the bulk fermions are negligible. Several authors have found non-standard solutions to the neutrino anomalies in this framework models ; barbieri ; ramond . These solutions require $`R_1^11\mathrm{eV}`$ ($`R_10.1\mu \mathrm{m}`$) for the largest dimension $`R_1`$, for otherwise they reduce to those for a standard Dirac neutrino mass nuexpts ; solar . We show how these and non-toroidally compactified models with densely distributed KK modes affect standard cosmology through their production in the early universe and subsequent decay.

The incoherent production of sterile-KK neutrinos of mass $`m_k`$ in the early universe is a nonthermal process governed by a Boltzmann equation dw ; afp2

$$\frac{d}{dt}f_k=\mathrm{\Gamma }_{\alpha k}f_\alpha \frac{m_k}{E}\frac{1}{\tau _k}f_k+\underset{l>k}{}\mathrm{C}_{k,l}[f_l],$$
(1)
where $`f_i=f_i(p,t)`$ are momentum- and time-dependent distribution functions, and where $`\alpha `$ is an active neutrino label and $`k,l`$ are mode labels of a specific KK tower. We discuss the case in which $`R=R_1`$ is the radius of the largest extra dimension and all other dimensions are small enough to have no effect on low energy neutrino physics. We have ignored the flavor coupling of multiple towers. The first term in Eq. (1) is the conversion rate from active to sterile species and the second results from the decay of a mode with lifetime $`\tau _k`$. The latter arises because singlet neutrinos which mix with active neutrinos can decay either to SM or bulk states. On the brane, the partial decay width of the process $`\nu _k3\nu `$ is $`\mathrm{sin}^2\theta _kG_F^2m_k^5/192\pi ^3=G_F^2m_k^3\mu _i^2/96\pi ^3`$ and that of the radiative decay $`\nu _k\nu \gamma `$ is smaller by a factor $`27\alpha /8\pi `$ barger . We have also included in our calculations the contributions to $`\tau _k`$ from visible and hadronic decays estimated from the partial decay widths of the $`Z^0`$ boson pdg . In the bulk, the $`k^{}`$-summed width of the decay $`\nu _k\nu _k^{}h_{kk^{}}`$ is $`m_k^4R/12\pi M_{\mathrm{Pl}}^2`$, where $`h_{kk^{}}`$ is a KK graviton mode mohapatrainflation . The last term in Eq. (1) represents the decay contribution of all higher modes $`l>k`$ into mode $`k`$, and $`\mathrm{C}_{k,l}`$ is the appropriate collision operator.

The conversion rate $`\mathrm{\Gamma }_{\alpha k}=\mathrm{\Gamma }_{\alpha k}(p,t)=(\mathrm{\Gamma }/2)P_{\alpha k}`$ to KK modes is the product of half the interaction rate $`\mathrm{\Gamma }`$ of the neutrinos with the plasma and the average probability $`P_{\alpha k}`$ that an active neutrino $`\nu _\alpha `$ scatters into $`\nu _k`$. The probability depends on the matter mixing angle and the damping rate $`D=\mathrm{\Gamma }/2`$ stod :

$$P_{\alpha k}\frac{1}{2}\frac{\mathrm{\Delta }_k^2\mathrm{sin}^22\theta _k}{\mathrm{\Delta }_k^2\mathrm{sin}^22\theta _k+D^2+(\mathrm{\Delta }_k\mathrm{cos}2\theta _kV)^2}.$$
(2)
Here, $`\mathrm{\Delta }_km_k^2/2p`$, and $`V=V^L+V^T`$ is the full weak potential including lepton and thermal contributions. We assume a small lepton number of order the baryon number (so $`V^LV^T`$), since a larger lepton number serves only to enhance sterile neutrino or anti-neutrino production. Eq. (2) incorporates the standard physically well-motivated two-neutrino active-sterile matter mixing angle and the effects of quantum damping stod . Our constraints depend on the deleterious effects of the relatively high modes, in which regime this formalism is identical to that derived from direct diagonalization of the tower mass matrix barbieri . The finite temperature potentials $`V^T`$ from the neutrino and charged lepton backgrounds of the same flavor are $`(8\sqrt{2}G_FE_\nu /3m_\mathrm{Z}^2)(\rho _\nu +\rho _{\overline{\nu }})`$ and $`(8\sqrt{2}G_FE_\nu /3m_\mathrm{W}^2)(\rho _l+\rho _{\overline{l}})`$, respectively nr .

Another important effect is the dilution of modes populated at temperatures $`T100\mathrm{MeV}`$. Disappearance of relativistic degrees of freedom manifests as heating of the plasma relative to the KK modes. We include this effect by following separately the complete time-temperature relations for the photons and modes.

We explore the cosmological ramifications of two representative classes of bulk neutrino models: Class I where $`M_{}250\mathrm{TeV}`$; and Class II wherein $`M_{}110\mathrm{TeV}`$. Here, $`M_{}^{n+2}(2\pi )^nM_F^{n+2}`$. In either Class the active neutrinos may be coupled with one, two, or three bulk neutrinos. The cosmological overproduction of bulk graviton modes limits temperatures in this scenario to be less than $`T_{}^g10^{(6n15)/(n+2)}\mathrm{MeV}(M_{}/\mathrm{TeV})`$ which is an upper limit on the “normalcy” temperature $`T_{}`$ at which the universe must be free of bulk modes arkphenom . Models falling into Class I correspond to large $`T_{}^g`$ ($`T_{\mathrm{electroweak}}100\mathrm{GeV}`$), while those in Class II have very low $`T_{}^g`$ ($`\mathrm{GeV}`$). In many Class II models effectively only the lightest active neutrino couples to one KK tower. In either Class if the heaviest active neutrino couples to a tower then $`\mu _3>\sqrt{\delta m_{\mathrm{SK}}^2}0.057\mathrm{eV}`$ superk . We calculate here the constraints that arise in cosmologies that satisfy normalcy temperature requirements of their respective class. However, if the radiation dominated era was never significantly above the decoupling temperature $`T_{\nu \mathrm{dec}}1\mathrm{MeV}`$ of the active neutrinos in a very low reheating scenario for inflation, then early universe constraints cannot be placed on either bulk graviton or bulk neutrino production.

For each of these classes we have solved numerically Eq. (1) with $`\mathrm{C}_{k,l}=0`$ for the population of the $`N`$ lowest modes, with fully self-consistent temperature evolution of all relevant species. We have performed this calculation for a single KK tower; additional towers can serve only to enhance cosmological limits. The height $`N`$ of the tower is the highest mode populated at the appropriate $`T_{}^g`$. Since our calculations begin at the highest temperature $`T_{}^g`$ permitted by graviton overproduction limits, any adverse cosmological effects we find will imply that the normalcy temperature $`T_{}`$ must be significantly lower in bulk neutrino models than implied from graviton production alone. We have conservatively incorporated the effects of decays in the bulk by assuming the decay products’ mass-energy negligibly affects the dynamics of the universe. For a given momentum the number of modes produced per active neutrino per log-interval of temperature $`\mathrm{\Gamma }_{\alpha k}/H`$ depends implicitly on the mode mass $`m_k`$ via Eq. (2), where $`H`$ is the instantaneous Hubble expansion rate dw . However, as shown analytically in Ref. dw , for a mode non-relativistic at the decoupling temperature $`T_{\nu \mathrm{dec}}`$ of the active neutrinos, the energy density (given by $`m_k\mathrm{\Gamma }_{\alpha k}/H`$ integrated over $`\mathrm{ln}T`$ and the active neutrino distribution) is independent of the mode number, despite the dependence of the mixing angle on the mode mass.

This result assumes dilution is negligible and depends on the modes not having decayed appreciably dw ; afp2 . Under the latter assumption, and with some simplifications, we can extend Eq. (9) in Ref. dw  to obtain an analytic estimate $`N_{\nu _k}(\mathrm{BBN})10^3(\mu _i/1\mathrm{eV})^2(g_{}^\mathrm{f}/g_k^\mathrm{p})`$ for the energy density at $`T_{\nu \mathrm{dec}}`$ in a single mode $`k`$ relative to that in an active neutrino species. The ratio $`(g_{}^\mathrm{f}/g_k^\mathrm{p})`$ approximates dilution effects. The statistical weight in relativistic particles in the plasma at $`T_{\nu \mathrm{dec}}`$ is $`g_{}^\mathrm{f}`$, and is $`g_k^\mathrm{p}`$ at the epoch of maximal production of mode $`k`$. (Roughly, this maximal production epoch is related to mode mass as $`T_{\mathrm{max}}133\mathrm{MeV}(m_k/1\mathrm{keV})^{1/3}`$ dw .) Our numerical calculations follow in detail the simultaneous production, dilution, and decay of all relevant modes of various energies, giving a $`N_{\nu _k}(\mathrm{BBN})`$ dependence on $`k`$ which is flat modulo the effects of dilution and decay.

Population of KK modes in the early universe leads to a number of unacceptable effects that provide for compelling constraints. Our calculated cosmological constraints differ from those in Ref. barbieri , but they complement the supernova limits of Refs. barbieri ; ramond , and the laboratory constraints of Ref. Davoudiasl:2002fq .

Class I model constraints are given in Fig. 1. The total effective number $`N_\nu (\mathrm{BBN})`$ of neutrino flavors at the BBN epoch must be less than that of 4 active neutrino species, since otherwise the predicted and observed abundances of the light elements are discordant bbn . We require the KK tower contribution $`N_{\nu _k}(\mathrm{BBN})`$ to be less than that of a single active neutrino flavor.

Photoproduction of deuterium (D) and 6Li due to decay of modes after big bang nucleosynthesis (BBN) photoprod  gives another constraint. Energetic cascades dissociate 4He into excessive amounts of D burtyt . The increase in energy density in relativistic particles due to mode decay prior to cosmic microwave background (CMB) decoupling can lead to suppression of the second CMB acoustic peak. The current limit is that the effective number of neutrino flavors at decoupling is $`N_\nu (\mathrm{CMB})<13`$ at 95% certainty hannestad . Measurements to higher multipole moments by the Microwave Anisotropy Probe (MAP) (reaching $`N_\nu (\mathrm{CMB})3.9`$) and Planck (reaching $`N_\nu (\mathrm{CMB})3.05`$) surveys will be able to further limit the relativistic energy present at decoupling lopezcmb , or perhaps flag the fossil relativistic energy of bulk modes at $`R0.1\mathrm{fm}`$. The increase in energy density due to mode decays was found by summing the energy injected between the neutrino and photon decoupling epochs. Another significant constraint comes from the current limits on diffuse extra-galactic background radiation (DEBRA) due to radiative decays of sterile neutrinos occurring between CMB decoupling and today. The photon background so produced must have a total flux per unit solid angle $`d/d\mathrm{\Omega }(1\mathrm{MeV}/E)\mathrm{cm}^2\mathrm{sr}^1\mathrm{s}^1`$ dicuskolbteplitz ; ressellturner ; kolbturner . The expansion age of the universe, $`t_U>9\times 10^9\mathrm{yr}`$, also provides a constraint on the energy density in KK modes. We have found that the constraints from distortion of the CMB spectrum and the signals in the solar neutrino experiments from mode decays are weaker than the constraints above dicuskolbteplitz ; kolbturner ; solar . Note that the arguments above do not depend on the detailed mode structure but rather on the existence of a high density of modes.

Class II model effects are shown in Fig. 2. Though high-lying modes in these models are absent owing to low $`T_{}^g`$, there may remain enough energy density in low mass modes to comprise an appreciable hot dark matter component. Structure formation considerations hdm  suggest that a hot component cannot contribute $`\mathrm{\Omega }^{\mathrm{HDM}}>0.1`$. Contours of $`\mathrm{\Omega }_{\nu _s}^{\mathrm{HDM}}=0.1`$ are shown in Fig. 2 for these models with $`n=6,5,4`$ extra dimensions. Note that some recent models for solar neutrino oscillations fall in a parameter range which could give an appreciable $`\mathrm{\Omega }_{\nu _s}^{\mathrm{HDM}}`$. Whether this can constitute a true constraint depends on the precise relation between $`T_{}^g`$ and $`M_{}`$ in these models hallsmithfairbairn . At present all Class I and II models models ; barbieri ; ramond  can escape elimination by invoking a sufficiently low ($`20\mathrm{MeV}`$) re-heating temperature $`T_r`$ for inflation.

The spectrum of low-lying modes in Class II models could give a viable dark matter candidate if $`T_r`$ is low. Low $`T_r`$ results in suppressed production of high-mass modes that provide the closure, BBN, and decay constraints. For low enough $`\mu _i`$, all modes produced below $`T_r`$ survive until today and escape decay constraints. The possibility of a realistic dark matter component from the KK modes is finely tuned. For instance, for $`R^1=4\times 10^8\mathrm{MeV}`$, and $`\mu _i=10^5\mathrm{eV}`$, $`\mathrm{\Omega }_{\nu _s}0.1`$ for $`T_r1\mathrm{GeV}`$, but $`\mathrm{\Omega }_{\nu _s}0.2`$ for $`T_r1.3\mathrm{GeV}`$. Albeit finely tuned, the latter case, for which $`\mathrm{\Omega }_{\nu _s}^{\mathrm{HDM}}<0.1`$, is an interesting dark matter candidate, comprising a mixture of hot, warm ($`\mathrm{keV}`$), and cold ($`\mathrm{MeV}`$) components.

Modifications to Class I and II models may allow circumvention of our constraints. A stronger dependence of the mixing angle on $`\mu _i/m_{\mathrm{mode}}`$ would ensure that the population of the modes would fall with increasing mass. An alternate dependence of mode lifetime on $`m_{\mathrm{mode}}`$ and $`\mu _i`$ could eliminate some or all of the constraints. There could exist multiple additional (possibly fat) branes in the bulk, devoid of energy density and parallel to our own, onto which modes decay preferentially arkphenom . If the re-heating temperature $`T_r`$ of inflation is near $`T_{\nu \mathrm{dec}}`$, no KK modes will be populated in the radiation dominated era, and therefore the constraints presented here do not apply. Some population of KK modes can occur during reheating, or through resonant production if there is a large lepton number, but we do not explore these possibilities here. Also, the internal dimensions need not be toroidally compactified chm . A space which has a KK mode decomposition with a sufficiently low mode density (or a gap) could evade cosmological constraints. Bad effects of higher $`\mu _i`$ can be removed by restricting the KK towers to those built on low $`\mu _i`$ ($`10^4\mathrm{eV}`$) active neutrinos — this is what is (or should be) done in Class II models to avoid constraint. However, models which make use of all three towers are in some sense the most “natural,” albeit the most severely constrained.

Ultimately, our cosmological considerations may help to narrow the otherwise prodigious range of parameters discussed by modelers to date.

We acknowledge fruitful discussions with D.O. Caldwell, E. Gawiser, K. Intriligator, and especially R.N. Mohapatra, and we thank the Institute for Nuclear Theory, University of Washington, for hospitality. This research was supported in part by NSF Grant PHY00-99499 at UCSD, the DOE and NASA grant NAG 5-10842 at Fermilab, and NASA GSRPs for KA and MP.


text:
# Doping induced inhomogeneity in high-𝑇_𝑐 superconductors

## 1 Introduction

Ground state of all cuprate superconductors is a Mott insulator at half filling. To render this state a superconductor one has to dope it with carriers (holes for p-type superconductors such as LSCO and Bi2212, and electrons for n-type, e.g NdSCO). Below we will focus on hole doped superconductors, although discussion about intrinsic disorder is relevant for electron doped materials as well. In the low doping limit, dopants, such as Sr in LSCO and oxygen in Bi2212 are certainly randomly distributed across the sample without forming any regular array. The central point we argue for in this paper is that effect of carriers and intrinsic disorder produced by the very same doping are inseparable in underdoped and possibly overdoped cuprates.

The microscopic inhomogeneity of the superconducting state state has important consequences for the average properties obtained in the bulk measurements. Immediate conclusion we draw is that even with the perfectly grown crystals doping will produce artificial impurities that disorder the system. The affected properties include the average tunneling spectra, as the ones obtained by ARPES and measured specific heat. Another implication is that since the state is inhomogeneous, there should be no well defined superconducting transition temperature, much like in the conventional granular superconductors . This “granularity” should also clearly enhance the electric and the thermal transport above $`T_c`$.

## 2 Density of States and gap distribution in the presence of doping induced disorder

To analyze the effects of doping-induced disorder, we use a minimal model of randomly distributed dopants in the reservoir layer. The superconducting order parameter can only change on the length scale of the superconducting coherence length, $`\xi `$. Hence we can coarse-grain the Cu-O plane into patches of the size $`\xi `$ and on these patches define the effective dopant concentration as

$$n_\xi (𝐫)=\frac{N_\xi (𝐫)}{\xi ^2},$$
(1)
where $`N_\xi (𝐫)`$ is the number of dopants in the adjacent reservoir plane which happen to be within a circle of radius $`\xi `$ around the point $`𝐫`$ (Figure 1).

Assuming that the positions of the dopants are uncorrelated, which is expected to hold particularly at low doping levels, the numbers $`N_\xi `$ obey the Poisson distribution, with a probability density,

$$P(N)=\frac{(\overline{n}\xi ^2)^N}{N!}\mathrm{exp}(\overline{n}\xi ^2).$$
(2)
Here, the average dopant density, $`\overline{n}`$, is a function of the nominal doping fraction, $`\overline{x}=ab\overline{n}`$, with $`a`$ and $`b`$ the in-plane lattice constant. An example of Poisson distribution is shown in Figure 2.

The main characteristic of the Poisson distribution is that its dispersion is equal to its average value. In the limit of large average, $`\overline{N}=\overline{n}\xi ^21`$, the Poisson distribution reduces to a Gaussian. In this limit, the probability distribution of the effective local doping fractions becomes

$$P(x)=\frac{\xi }{\sqrt{2\pi \overline{x}ab}}\mathrm{exp}\left[\frac{(x\overline{x})^2}{2\overline{x}}\frac{\xi ^2}{ab}\right].$$
(3)
The distribution of the local doping should lead to a corresponding distribution of the gap values over the regions of size $`\xi `$. Assuming that the distributions of doping is sufficiently narrow, the value of the local gap as a function of the local doping can be linearized as

$$\mathrm{\Delta }(x)=\mathrm{\Delta }_0\mathrm{\Delta }_1x.$$
(4)
To the first order approximation, the parameters $`\mathrm{\Delta }_0`$ and $`\mathrm{\Delta }_1`$ can be extracted, e.g. from the ARPES data which determines the average gap values as a function of the average doping. Then, from Equations (3) and (4), the probability distribution for the local superconducting gaps follows:

$$P(\mathrm{\Delta })=\frac{\xi }{\mathrm{\Delta }_1\sqrt{2\pi \overline{x}ab}}\mathrm{exp}\left[\frac{(\mathrm{\Delta }\overline{\mathrm{\Delta }})^2}{2\overline{x}\mathrm{\Delta }_1^2}\frac{\xi ^2}{ab}\right].$$
(5)
The probability distribution of the local values of the gap $`\mathrm{\Delta }(x)`$ is completely specified up to the unknown parameter $`\xi `$. Hence, one of the applications of the local gap statistic, and in particular the distribution width is the determination of the doping-dependent correlation length, $`\xi `$.

To illustrate the smoothing effect of the gap fluctuations on the bulk properties we compute the average density of states (DOS), as measured by photoemission. In a conventional $`d`$-wave BCS superconductor with the amplitude of the superconducting gap $`\mathrm{\Delta }`$, the density of state is given by

$$N_\mathrm{\Delta }(\omega )=\{\begin{array}{cc}N_0(\omega /\mathrm{\Delta })K(\omega /\mathrm{\Delta }),\hfill & \mathrm{if}\omega <\mathrm{\Delta }\hfill \\ N_0K(\mathrm{\Delta }/\omega ),\hfill & \mathrm{if}\omega >\mathrm{\Delta }\hfill \end{array}$$
(6)
Here, $`N_0`$ is the electronic DOS at the Fermi level in the normal state and $`K(x)`$ is the complete elliptic integral of the first kind.

To determine the average DOS is the presence of the gap amplitude fluctuations, we compute the integral

$$\overline{N}(\omega )=P(\mathrm{\Delta })N_\mathrm{\Delta }(\omega )𝑑\mathrm{\Delta }.$$
(7)
The average DOS, $`\overline{N}(\omega )`$, clearly preserves the some rule $`𝑑\omega \overline{N}(\omega )=1`$ due to normalization of $`P(\mathrm{\Delta })`$.

In Figure 3 we show the DOS curves for various widths of the gap distribution. In the “clean” case one indeed observes a divergence in DOS at the energy equal to the amplitude of the gap. For a finite-width gap distributions, the divergence is replaced by a hump near the average gap value. For wide gap distributions, such that the distribution width is comparable to the magnitude of the gap itself (case $`\sigma =1`$ in Fig. 3), normal regions can be expected to appear in the sample. Such regions give a finite contribution to the DOS at the Fermi level. This contribution is similar in spirit to the well-known effect of non-magnetic impurities on the DOS in superconductors .

For the optimally-doped Bi2212, the observed width of the gap distribution is about 10% of the average. As is clear from the Figure 3, such width corresponds to a rather smooth peak, much like the one observed in ARPES .

## 3 Acknowledgments

We would like to thank J.C. Davis and S.H. Pan for useful discussions. This work was supported by the U.S. DOE.


text:
# Failure regimes in (1+) dimensions in fibrous materials

## I Introduction

The fracture of a material under different loading conditions is a complicated phenomenon that continues to attract the attention of several physicists and engineers. The fracture follows a sequential process of nucleation, growth, and coalescence of numerous cracks. These cracks tend to create a rough profile which often can be described by self-affine scaling . In the last decade, great theoretical and experimental efforts have been done trying to understand the process of formation and propagation of cracks in materials. A great number of studies have been devoted to this process from the point of view of statistical mechanics, that utilize concepts such as percolation, fractals, scaling law, etc. . A variety of computational models for material fracture have been developed in recent years and provided interesting results . However, the high degree of correlations between the constituents leads to a high computational cost. An alternative is to employ fiber bundle models introduced more than forty years ago , in which bundles of unidirectional fibers form a system with low degree of correlations allowing the fracture process to be simulated in a large scale.

The fracture of the material can occur through a big crack which percolates the sample. In this case we say that the fracture is catastrophic. When the fusion of small cracks cause the fracture of the material, it is called shredding . In the catastrophic regime the fracture profile is reasonably smooth, while in the shredding regime it is very rough. A parameter of easy physical interpretation used to characterize fracture surfaces is the roughness. It is defined as the variance around of the mean height of the fracture profile, and measures the complexity of the crack path. Thus, the rougher is the fracture profile the harder is the crack path. The roughness has a direct relation to the fractal dimension, which characterizes the fractal character of the surface fracture. Therefore, a high fractal dimension indicates a very rough fracture profile .

Another important parameter in the study of fracture, is the fracture toughness. This quantity measures the amount of energy that a material can absorb before it fractures. The fracture toughness is intimately related to the amount of cracks that appear in the material . Therefore, the larger the number of cracks in the sample more energy will be absorbed before catastrophic fracture occurs. There are several works in the literature which investigate the relationship between the fracture roughness and the fracture toughness .

In the present Rapid Communication, we simulated a model for fracture in fibrous materials which allows us to obtain the fracture profile of samples in contrast with previous models . We calculate the profile roughness and used the obtained values to define the transition between two fracture regimes: catastrophic and shredding. We also investigate the relationship between the fracture roughness and toughness for fibrous materials.

## II Model

Our model consists of a (1+1)d bundle of $`N_0`$ parallel fibers all with the same elastic constant $`k`$. In order to simulate the height of the sample, the fibers are divided in $`\eta `$ segments with the same length. The fiber bundle is fixed at both ends to two parallel plates. One plate is fixed, and in the other, a constant force $`F`$ is applied, for example, by hanging a weight on it. This force is shared in the same amount, $`\sigma `$, on each fiber of the bundle, which undergo the same linear deformation $`z=F/Nk`$, where $`N`$ is the number of unbroken fibers. When the deformation $`z`$ reaches a critical value $`z_c`$, the failure probability of an isolated fiber is equal to 1. The failure probability of a fiber i is given by

$$P_i(\delta ,t)=\frac{\delta }{(n_i+1)}\mathrm{exp}\left[\frac{(\delta ^21)}{t}\right],$$
(1)
where $`n_i`$ is the number of unbroken neighboring fibers, $`\delta =z/z_c=F/Nkz_c`$ is the strain of the material, $`t=K_BT/E_c`$ is the normalized temperature, $`K_B`$ is the Boltzmann constant, $`T`$ is the absolute temperature, and $`E_c`$ is the critical elastic energy. In this model, besides finding the failure probability of a fiber, we have to indicate in which segment it breaks. This segment is randomly selected and the probability of the fiber to break in it is given by

$$\varphi _j(m_j)=\frac{(m_j+1)}{\zeta },$$
(2)
where $`m_j`$ is a vector which indicates how many times a segment $`j`$ broke and $`\zeta =_j(m_j+1)`$. The form of the Eq. (2) simulates a concentration of tension near to the region where the fiber bundle is more weak.

At the beginning of the simulation, the bundle is submitted to a initial strain given by

$$\delta _0=\frac{z_o}{z_c}=\frac{F}{N_0kz_c}.$$
(3)
At each time step of the simulation we randomly choose a fiber of a set of $`N_q=qN_o`$ unbroken fibers. The number $`q`$ represents a percentage of fibers and allows us to work with any system size. Then, using Eq. (1) we evaluate the fiber failure probability $`P_i`$ and compare it with a random number $`r`$ in the interval \[0,1). If $`r<P_i`$ the fiber breaks. We then choose a segment $`j`$ in the fiber and evaluate its probability $`\varphi `$ to break, using Eq. (2). If the probability $`\varphi `$ is higher than the random number $`\rho `$ the fiber breaks in the chosen segment. If not, we analyze the neighboring segments $`(j+1)`$ and $`(j1)`$ and again, evaluate the probability $`\varphi `$. If the condition $`\rho <\varphi `$ does not hold to neither of the neighboring segments, we return to the initial segment and test the condition $`\rho <\varphi `$ for a new value of $`\rho `$. This process continues until the condition $`\rho <\varphi `$ is true. Once defined the segment where the fiber breaks, we begin to test all neighboring unbroken fibers. The first segment tested in the neighboring unbroken fibers is the segment where the previous fiber broke. The failure probability $`P_i`$ of these neighboring fibers increases due to the decreasing of $`n_i`$ and a cascade of breaking fibers may begin. This procedure describes the propagation of a crack through the fiber bundle, which occurs in the perpendicular direction to the applied force. The process of propagation stops when the test of the probability does not allow rupture of any other fiber on the border of the crack or when the crack meets another already formed crack. The same cascade propagation is attempted by choosing another fiber of the set $`N_q`$. After all the $`N_q`$ fibers have been tested, the strain $`\delta `$ is increased if some fibers have been broken. Since the force is fixed, the greater the number of broken fibers, the larger is the strain on the intact fibers and the higher is their failure probability. Then, another set of $`N_q`$ unbroken fibers is chosen and the entire rupture process is restarted. The simulation terminates when all the fibers of the bundle are broken, i.e., when the bundle breaks apart. At this stage we consider the profile of the fracture and analyze its statistical properties.

## III Results

Using the model described in the preceding section we simulated the fracture of a fibrous materials under a static force $`F`$. In these simulations we considered the elastic constant $`k=1`$, the critical deformation $`z_c=1`$, the number of segments $`\eta =100`$ and the normalized temperature $`t=0.5`$.

Figure 1 shows the fracture profile for a set of $`N_0=600`$ fibers and three different forces. Notice that, the lower the applied force the larger is the roughness of the fracture profile, i.e., more irregular is the crack path. For $`F=4000`$ only one crack propagates in the material and for $`F=2800`$ and $`F=2000`$ more than one crack crosses the material. It can be seen in Fig. 1, that the rupture of the sample begins in different segments. This occurs because we did not consider a deterministic starting notch in our simulations.

Figure 2(a) shows the results obtained for the roughness $`W`$ as a function of the applied force $`F`$ for different values of $`N_0`$. To measure the roughness of the fracture profile we used the method of the best linear least-square fitting described in Ref. . In this plot we can observe that the roughness $`W`$ decreases as the force $`F`$ increases, and after a critical force $`F_c`$ it stays constant. For each system size we have a characteristic value for $`F_c`$, which increases with the increase of the number of fibers $`N_0`$. This indicates that the greater the number of fibers in the bundle, the tougher is the sample. For $`F>F_c`$ the fracture is catastrophic, i.e., the breakage of a fiber induces the rupture of the whole bundle. In this case the bundle breaks with only one crack. In this region the crack propagates in the material with high speed, leading to a quite rapid rupture process. For $`F<F_c`$ the rupture of the bundle occurs due to the formation of small cracks, which weaken the bundle. Here, the crack speed tends to zero and a slow process of successive ruptures appears in the material.

In Fig. 2(b), the x axis was converted to the initial strain $`\delta _0=F/N_0`$. The data are now found to collapse all on the same roughness-strain curve. From this curve we can find the critical initial strain $`\delta _{0c}`$, which does not depend on the system size. Our results indicate $`\delta _{0c}=1.134`$. We may assume that, for an initial strain greater than $`\delta _{0c}`$ just one crack provokes the rupture of the material and that, for a initial strain below $`\delta _{0c}`$ the rupture occurs through the fusion of small cracks.

The critical value $`\delta _{0c}`$ can be obtained analytically. The failure probability, Eq. (1), can be written as

$$P_i(\delta ,t)=\frac{\mathrm{\Gamma }(t,\delta )}{(n_i+1)},$$
(4)
where $`\mathrm{\Gamma }(t,\delta )`$ is defined as

$$\mathrm{\Gamma }(t,\delta )=\delta exp\left[\frac{\delta ^21}{t}\right].$$
(5)
Using Eq. (4) we may observe that for $`\mathrm{\Gamma }(t,\delta )=2.0`$ the breakage of any fiber induces the rupture of the bundle with just one crack. Then, we can assume that there is a critical value for $`\mathrm{\Gamma }(t,\delta )=2.0`$ that defines the transition between two regimes. In the first regime, a catastrophic fracture occurs in the first attempt to break the bundle, while in the second one the rupture of the bundle occurs due to the formation of small cracks, which weaken the bundle. From Eq. (5) we can show that the normalized temperature can be given by

$$t=\frac{\delta _{0c}^21}{ln(\mathrm{\Gamma }_c)ln(\delta _{0c})}.$$
(6)
So, for $`t=0.5`$ and $`\mathrm{\Gamma }_c(t,\delta )=2.0`$, Eq. (5) will be valid only if $`\delta _{0c}1.134.`$

Now we proceed to the evaluation of the fracture toughness $`k_c`$. It can be defined by the work done to break the fiber bundle and is given by

$$K_c=\underset{i}{}\tau _i,$$
(7)
where $`\tau _i`$ is the work done to break each fiber of the bundle. The work $`\tau _i`$ is obtained by the following expression

$$\tau _i=\frac{1}{2}kz_i^2,$$
(8)
where $`z_i`$ is the deformation of the fiber i.

Figure 3 shows the log-log plot of the fracture toughness $`K_c`$ versus the force $`F`$ for different system sizes. This figure shows how the fracture toughness $`k_c`$ decreases with the increase of the force $`F`$, until it reaches a minimum value. This value is attained when a critical force $`F_c`$ is applied to the system. Above of $`F_c`$ the fiber bundle breaks catastrophically. It is known experimentally that a catastrophic break consumes little energy. As the force $`F`$ decreases below $`F_c`$, the material can absorb more energy before it fractures and the number of cracks in the material increases. Also, notice that the fracture toughness increases with the system size. Thus, the higher the number of fibers the more energy will be absorbed by fracture.

Some works in the literature conjecture that there is a relationship between the fractal dimension and the fracture toughness , while others conjecture that such relationship does not exist . In this paper we investigated the connection between the roughness $`W`$, directly related to the fractal dimension, and the toughness fracture $`K_c`$.

Figure 4 shows how the roughness $`W`$ changes with the toughness $`K_c`$ for several number of fibers $`N_0`$. In this figure we can see that the roughness $`W`$ increases with the increase of the fracture toughness $`K_c`$, until it reaches a stationary state. We can interpret this figure in the following manner: with the increase of $`K_c`$, small cracks appear at all parts of the sample, making the fracture profile rougher. In the saturation region, we have a larger number of small cracks and they are totally uncorrelated. The phenomenon of saturation constitutes a finite size effect and is related to the number of segments in which the fibers are divided.

## IV Conclusion

In conclusion, we studied a model for fracture in fibrous materials in (1+1)dimensions which take into account the rupture height of the fibers, in contrast with previous models. We obtained the fracture profile and evaluate its roughness and toughness. In this work we show that in the catastrophic regime the roughness of the fracture profile is reasonably smooth. In the shredding regime, in which slow cracks are formed in the material, the fracture profile is very rough. In this regime the energy necessary to break the material is higher than in the catastrophic regime. Our results indicate that the roughness $`W`$ is related to the fracture toughness. We believe that the search for possible relationships between the roughness and the fracture toughness could stimulate the further studies in order to check whether these relations are valid or not.

Acknowledgments

We thank Marcelo Lobato Martins and Marcos da Silva Couto for helpful criticism of the manuscript. I.L.M. and A.T.B. acknowledge the kind hospitality of the Departamento de Física, UFMG. We also acknowledge the FAPEMIG (Brazilian agencies) for financial support.