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# Untitled Document

hep-th/0104010 SLAC-PUB-8808 SU-ITP-01/15

D(NA)-Branes

Simeon Hellerman1,2 and John M$`^{\underset{¯}{\mathrm{c}}}`$Greevy1

1Department of Physics, Stanford University, Stanford, CA 94305

2SLAC Theory Group, MS 81, PO Box 4349, Stanford, CA 94309

We engineer a configuration of branes in type IIB string theory whose mechanical structure is that of a DNA molecule. We obtain it by considering a T-dual description of the quantum Hall soliton. Using a probe analysis, we investigate the dynamics of the system and show that it is stable against radial perturbations. We exercise a certain amount of restraint in discussing applications to biophysics.

April 1, 2001

1. Introduction

String theory – at present the only known consistent theory of quantum gravity – has undergone several major changes during its lifetime in terms of the way in which physicists look at it, and what they expect from it. Originally it was viewed as a possible theory of strong interactions, although the ineluctable appearance of a massless spin-2 state in its spectrum dampened the enthusiasm for the idea. When this phenomenon was later reinterpreted as a feature rather than a bug, with the spin-2 state incarnate as a graviton rather than an anomalously light hadron, the theory garnered a reputation as the leading candidate for a theory incorporating the phenomenon of gravity into quantum mechanics. The discovery of supersymmetry, a cornucopia of compactifications to four dimensions, and quasi-realistic gauge groups and matter content in the string framework only served to solidify the hegemony of strings over the field of theoretical high-energy physics.

Much of the recent excitement in string theory has come from an (often nonperturbative) understanding of many different backgrounds of the theory and the relations between them. The protean character of quantum states under the duality group of string theory is a source of much of the continuing fascination with the theory, and of the general sense that it has many depths yet to be explored. Indeed it seems that just about any quantum theory imaginable can be obtained as a (low-energy or other) limit of the dynamics of the theory. Its shape-shifting capacity appears unlimited.

Most recently, the theory has been investigated because of the fact that one of its backgrounds seems to be able to reproduce the quantum Hall effect at low energies. In fact two logically separate dualities relating the Hall system to other theories of interest have emerged recently. The first \[1\] is a direct embedding of the system in string theory. The second \[2\] is an equivalence to a noncommutative gauge theory whose relation to string theory is less direct. This equivalence was recently sharpened in \[3,,4\].

In this paper we describe a closely related system, obtained by considering the T-dual of (a nonabelian version of) the system in \[1\]. We show that the T-dual is a double helix, with fundamental string rungs connecting the two helices.

The plan of the paper is as follows. In §2, we briefly review the construction of the quantum Hall soliton, and motivate an examination of the D(NA)-brane system by considering its T-dual. In §3 we use the Dirac-Born-Infeld/Wess-Zumino action on the lighter branes to find the equilibrium radius of the helix. In §4 we describe the low-energy dynamics of the system. In §5 we conclude by discussing the limitations of our calculation and ways in which it might be improved.

2. The quantum Hall soliton and its DNA dual

We briefly review the construction \[1\] of a quantum Hall-like system in type IIA string theory.

Begin with a set of $`k`$ sixbranes, spatially extended in the $`x^4,\mathrm{},x^9`$ directions, located at transverse position $`x_1=x_2=x_3=0`$. Surrounding these sixbranes we place a set of $`n`$ coincident twobranes – that is, twobranes whose location is defined by the sphere $`x_1^2+x_2^2+x_3^2=R_0^2`$, with $`R_0`$, the radius of the sphere, determined by the dynamics and specified later. When we say ’surrounding’ we mean that the twobranes literally cannot be moved off to infinity without intersecting the sixbranes.

It is known \[5\] that for such nontrivially ’linked’ configurations of D-branes in type II string theories there is an effect that causes fundamental strings to connect the two linked objects. Referred to as the ’Hanany-Witten’ effect after its discoverers, this feature of brane dynamics can be understood from many different points of view, c.f. e.g. .

In order to stabilize the configuration one can dissolve $`n`$ zerobranes in the set of twobranes. There is a repulsive force between zerobranes and sixbranes at long distances, and so the system seeks its equilibrium radius, calculated in \[1\] to be $`R_0=(\pi k^{}/n)^{2/3}l_s/2`$.

The authors of \[1\] argued that the dynamics of this system were closely related to those of the quantum Hall effect, in that the string endpoints appeared in the gauge theory dynamics as charges in the fundamental representation (in \[1\] only a single twobrane was considered, and so the string endpoints were simply electric charges) and the dissolved zerobranes were units of magnetic flux. For a single twobrane the ’filling fraction’ of the system was simply $`k/k^{}`$, the ratio of the density of electrons to the density of flux.

Fig. 1: The periodic array of quantum Hall solitons before the Gregory-Laflamme transition.

Now suppose one compactifies the system along the $`x_3`$ direction with radius $`R_c`$. For $`R_c>>R_0`$ we can think of the periodically identified configuration as an infinite array of twobrane spheres surrounding an array of sixbranes as in fig. 11 Strictly speaking as soon as one compactifies transverse to the sixbranes one runs into trouble because the fields generated by the branes grow logarithmically in the remaining transverse directions and there is a conical deficit at infinity. For now we assume we can regulate this problem, but we will discuss the point in more detail further on.. We expect, however, that as we reduce the compactification radius until $`R_cR_0`$, the system will develop an instability (closely related to the Gregory-Laflamme instability ) towards a merger of the twobranes into a cylinder, periodically identified in the compact direction.

Fig. 2: After the Gregory-Laflamme transition.

Now we perform $`T`$-duality along the $`x_3`$ direction. Under this duality:

$``$ The $`k^{}`$ zerobranes become $`D1`$-branes, extended in the $`x^3`$ direction.

$``$ The $`k`$ sixbranes become $`D7`$-branes, extended in the $`x_3,x_4,\mathrm{},x_9`$ directions.

$``$ The $`n`$ cylindrical twobranes become circular onebranes in the $`x_1,x_2`$ plane.

$``$ The $`nk`$ fundamental strings stay as they are; now they are stretched between the sevenbranes and the circular D-strings surrounding them.

Fig. 3: The unstable D-string configuration.

In fact this description is not very accurate; it is merely a cartoon which illustrates the way in which the charges transform under $`T`$-duality. The configuration shown in fig. 3 would more accurately describe the $`T`$-dual of the unstable system in which the zerobranes are present but not dissolved in the twobranes. The correct, (meta)stable configuration in the original picture is the one in which the zerobranes and twobranes form a bound state in which the zerobranes give up almost all their rest energy. The correct $`T`$-dual picture is one in which the circular onebranes ’bind’ to the straight onebranes by forming a coil – the preference of the system for the bound state is a consequence of the Pythagorean theorem.

Fig. 4: How Watson and Crick tamed the D1-D7 system.

Note that the picture above is most accurate if the ratio $`n/k^{}`$ is large, a limit opposite that of $`[1]`$, in which $`n=1`$. For $`n/k^{}>>1`$ (so that the number of coils is large) and $`R_c/\alpha ^{}<<1`$ (so that the T-dual radius is large) we really can consider an infinitely extended D(NA)-brane. Specifically, in order to keep fixed the number of coils per unit length of a bundle of $`k^{}`$ $`D1`$-branes, we need to take a large-$`n`$ limit of the nonabelian quantum Hall soliton:

$$\begin{array}{cc}\hfill n& \mathrm{}\hfill \\ \hfill R_c& 0\hfill \end{array}$$

holding fixed the natural quantities in the $`T`$dual picture:

$$\begin{array}{cc}\hfill k^{}=\text{number of onebranes in a bunch}\text{ }& (\mathrm{fixed})\hfill \\ \hfill \frac{nR_c}{k^{}\alpha ^{}}=\text{number of coils per unit length}\text{ }& (\mathrm{fixed})\hfill \\ \hfill k=\text{number of sevenbranes in a bunch}\text{ }& (\mathrm{fixed})\hfill \end{array}$$

We also keep fixed the coupling in the resulting T-dual theory (this means we have to scale the original coupling). Note that the number of fundamental strings per coil is

$$\frac{\text{number of F-strings per }R_c}{\text{number of coils per }R_c}=\frac{nk}{n/k^{}}=kk^{}.$$

Consider for a moment taking $`k^{}=0`$. In that case, the D-strings would not coil in the $`y`$-direction at all, and would close onto themselves. Recall that when a fundamental string ends on a D-string, the D-string carries away the F-string charge in one direction (as worldline flux).

Fig. 5: Checking consistency between sevenbrane monodromy and charge conservation.

In order to have charge conservation when the D-string closes, the monodromy action of the D7-branes on the $`(p,q)`$-string charges must cancel off this accumulated F-string charge. If we start off with a $`(p,q)`$ string, and go around the k D7 branes which emit $`nk`$ F-string spokes, we must have (in the notation of )

$$\left(\begin{array}{c}p\\ q\end{array}\right)=M_{[k,0]}\left(\begin{array}{c}pnk\\ q\end{array}\right)=\left(\begin{array}{cc}1& k\\ 0& 1\end{array}\right)\left(\begin{array}{c}pnk\\ q\end{array}\right)=\left(\begin{array}{c}pnk+kq\\ q\end{array}\right),$$

where $`M_{[p^{},q^{}]}=\left(\begin{array}{cc}1p^{}q^{}& p^2\\ q^2& 1+p^{}q^{}\end{array}\right)`$ is the monodromy experienced by the charge lattice of $`(p,q)`$ strings in traversing the branch cut of a $`(p^{},q^{})`$ 7-brane . Therefore we see that we must have $`q=n`$ units of D-string charge, and that the number $`p`$ of units of F-string charge is arbitrary. Once we take $`k^{}`$ nonzero, the string moves in the $`y`$ direction as it coils and this condition illuminates the Hanany-Witten effect from the F-theory point of view.

The Double Helix

Finally, consider what will happen if we compactify the six dimensions $`x_4,\mathrm{}x_9`$ on a $`T_6`$ of total volume $`V_6`$ (whose individual dimensions will not figure in the discussion), giving the wrapped sevenbranes a finite tension. This will cause them to coil up in response to the pull of the stretched fundamental strings, and the resulting object will be a double helix. The tension of the effective one-dimensional object in $`3+1`$ dimensions will be $`V_6/(\alpha ^3)`$ times that of a onebrane; we will let $`V_6`$ be large enough that we can treat the bundle of sevenbranes as a heavy, fixed background in which the onebranes move as probes.

Before analyzing the stability of the system, there is one final subtlety to be dodged. When one considers an infinitely extended one-dimensional object in three spatial dimensions, one must deal somehow with the fact that objects of spatial codimension two have rather dramatic behavior when they couple to massless fields, particularly to the metric. The sevenbranes and onebranes are sources for the $`RR`$ zero-form and two-form potentials, respectively, which grow logarithmically rather than falling off at large distance from the source. Also the coupling to the metric creates a conical deficit at infinity. Furthermore if one tries to add too many sevenbranes and onebranes, one will actually drive the deficit beyond $`360^\mathrm{o}`$. Finally both the onebranes and sevenbranes source the dilaton and other moduli, which grow logarithmically away from the branes, changing the way in which one defines the adjustable coupling for this background.

While there may be ways to regulate the long-distance fields of an infinite string consistently, we take a strictly pragmatic approach in this paper and instead of an infinite D(NA)-string, we consider an object with a different “tertiary structure”.

Wind the helix around in a large loop with a radius far larger than the string scale, the radius of the helix, or the scale on which the helix is coiled.

Fig. 6: Our regulator.

Obviously, if we make it big enough, the timescale for its collapse will be much longer than those relevant to the “secondary structure”. Among other simplifying features, this regulated configuration has unambiguous expectation values of the dilaton and other moduli at infinity, although the dynamics on the onebranes will decouple from the asymptotic dilaton.

3. Probe analysis and low-energy dynamics

The complexified dilaton is

$$\tau (z)=\chi +ie^\mathrm{\Phi }.$$

The Einstein-frame metric for sevenbranes with worldvolume along $`t,y,x_4,\mathrm{}x_9`$ is

$$ds_{\mathrm{ein}}^2=dt^2+dy^2+\underset{i=4}{\overset{9}{}}dx_i^2+\mathrm{\Omega }^2dzd\overline{z},$$

where $`\mathrm{\Omega }`$ is a function of $`z`$ defined below. The string-frame metric is $`ds^2=\frac{1}{\sqrt{\mathrm{Im}\tau }}ds_{\mathrm{ein}}^2`$. We work in units where $`\alpha ^{}=1`$. Let $`z=re^{i\theta }`$.

We take the near-brane solution for a stack of k D7-branes, for which the complexified dilaton takes the form

$$\tau (z)=j^1(bz^k)\frac{k}{2\pi i}\mathrm{ln}bz.$$

This approximation is valid at weak coupling, i.e. when $`\tau _2\mathrm{Im}\tau `$ is big. $`b`$ is a parameter of the solution which plays the role of a dilaton modulus. The metric function $`\mathrm{\Omega }`$ takes the form

$$\mathrm{\Omega }^2=\tau _2|\eta (\tau )^2\underset{i}{}(zz_i)^{\frac{1}{12}}|^2\tau _2|(bz)^{\frac{2k}{24}}z^{\frac{k}{12}}|^2\frac{k}{2\pi }b^{\frac{k}{6}}\mathrm{ln}(bR)\frac{k}{2\pi \gamma ^2}\mathrm{ln}(bR),$$

where $`\eta `$ is the Dedekind eta function.

Parametrize the worldvolume of the helix by a spatial coordinate $`\sigma `$ and choose the embedding

$$y=\alpha \sigma ,z=Re^{i\sigma },$$

so that $`\theta =\sigma \mathrm{mod}2\pi `$. $`\alpha `$ is the inverse number of coils per unit length as defined by the scaling limit (2.1).

Then, ignoring kinetic terms because at the moment we are just interested in finding the potential for $`R`$, the induced $`E=G+F`$ (using the string-frame metric) is

$$\begin{array}{cc}\hfill E=(G+F)_{\alpha \beta }d\sigma _\alpha d\sigma _\beta & =(G^{\mu \nu }_\alpha X_\mu _\beta X^\nu +F_{\alpha \beta })d\sigma ^\alpha d\sigma ^\beta \hfill \\ & =\left(\begin{array}{c}dt,d\sigma \end{array}\right)\left(\begin{array}{cc}\frac{1}{\sqrt{\tau _2}}& \xi \\ \xi & \frac{1}{\sqrt{\tau _2}}(R^2\mathrm{\Omega }^2+\alpha ^2)\end{array}\right)\left(\begin{array}{c}dt\\ d\sigma \end{array}\right),\hfill \end{array}$$

where $`\xi =F_{0\sigma }`$ is the electric field along the helix. So we have

$$\mathrm{det}E=e^\mathrm{\Phi }(\mathrm{\Omega }^2R^2+\alpha ^2)\xi ^2.$$

Let us discuss the form of $`\xi `$. The sources for the field strength $`\xi `$ are the endpoints of the fundamental strings on the D-string, and the background axion gradient:

$$_\xi \frac{1}{g_{YM}^2}\xi ^2A_0\left(\frac{1}{k^{}}\underset{i}{}\delta (\mathrm{string}\mathrm{end}_i)_1\chi \right),$$

where $`g_{YM}^2=e^\mathrm{\Phi }`$ and $`\xi d\sigma dt=dA`$. The factor of $`\frac{1}{k^{}}`$ multiplying the string source arises because a single string-end ending on a clump of D-strings sources the trace of $`\xi `$ with unit strength. We find that the solution should be

$$\begin{array}{cc}\hfill \xi & e^\mathrm{\Phi }\left(\frac{k\sigma }{2\pi }\frac{2\pi }{k^{}}\underset{i}{}\mathrm{\Theta }(\mathrm{string}\mathrm{end}_i)\right)\xi _0\hfill \\ & =\frac{2\pi }{\mathrm{ln}bR}\left(\sigma \frac{2\pi }{kk^{}}\underset{i}{}\mathrm{\Theta }(\mathrm{string}\mathrm{end}_i)\right)\xi _0.\hfill \end{array}$$

$`\xi _0`$ is a background electric field determined by the worldline theta-angle, which is in turn related to the bulk RR axion. As we will explain below, the worldline theta-angle becomes dynamical and chooses $`\xi _0`$ to make the average electric field vanish.

The electric field on the D-strings has the form of a sawtooth which reaches its maximum when it reaches a string end which then discharges it. However, in the following, we take a average field approximation, where we replace $`\xi `$ by its spatial average value. This approximation is justified by the fact that the deviation of $`\xi `$ from its average value is of order $`\frac{1}{kk^{}}`$ which we take to be small.

Plugging into the Dirac-Born-Infeld plus Wess-Zumino probe action,

$$S=𝑑t𝑑\sigma =k^{}𝑑t𝑑\sigma \left(e^\mathrm{\Phi }\sqrt{\mathrm{det}E}+e^{(F+B)}\underset{p}{}C^{(RR)}\right),$$

(the $`k^{}`$ is out front because there are $`k^{}`$ D-strings) we find

$$=k^{}\sqrt{\tau _2\left((\frac{R^2\tau _2}{\gamma ^2})+\alpha ^2\tau _2\xi ^2\right)}+\frac{kk^{}\sigma }{2\pi }\xi .$$

We must also include the force on the D-string from the tension of the attached fundamental strings. These contribute an energy proportional to their length in the string frame metric, which is in turn equal to their coordinate length, over $`\gamma `$. Averaging over $`\sigma `$, we find that they contribute a linear potential,

$$V_{\mathrm{strings}}=\frac{k^{}k}{2\pi \alpha ^{}\gamma }R.$$

In the average field approximation, a convenient way to write the potential for $`x=bR`$ is

$$V=\frac{kk^{}}{2\pi \gamma b}\left(x+\sqrt{x^2\mathrm{ln}^2xc\mathrm{ln}x}\right)$$

where $`c2\pi \alpha ^2b^2\gamma ^2/k`$, a dimensionless parameter. For small but nonzero $`c`$, this function has a minimum at $`x_E`$ defined by the transcendental equation

$$c=2x_E^2\left(\mathrm{ln}^2x_E+\sqrt{2}|\mathrm{ln}x_E|^{3/2}\right).$$

There is a critical value of $`c0.6689`$ above which there is no minimum, and the potential just slopes off toward infinity.

Issues raised by this calculation

1. Obviously we have only considered the dynamics of a single mode of the helix, albeit the most obvious candidate for an instability. In the next section, we consider some other modes.

2. The sevenbrane geometry which we are probing is singular if $`k24`$. Further, there is a range of $`r`$’s ($`r>1/b`$) for which our near-brane approximation breaks down and the dilaton, $`\mathrm{\Phi }`$, is apparently imaginary. However, the minimum we found above lies within the region where our approximation makes sense.

Fig. 7: The potential as a function of $`x`$ in units of $`\frac{kk^{}}{2\pi \gamma b}`$ for $`c=0.5`$. The gravity solution goes stupid around $`x1`$.

3. The DBI analysis is only valid if the brane worldvolume is weakly curved, and its field strengths are slowly varying; this is the case for our probe, except for the step-function discontinuities due to fundamental string sources.

4. The value of the dilaton at the D-strings,

$$e^{\mathrm{\Phi }(R_E)}=\frac{2\pi }{k|\mathrm{ln}x_E|}$$

can be made parametrically small by taking $`k`$ large and $`\alpha ^2`$ large fixing $`R_E,c,b`$.

5. If we take $`c`$ smoothly to zero, the minimum we found above moves closer to the sevenbranes. In this limit, the 1-7 strings become light, but the coupling to the 7-7 strings can be kept small by making $`V_6`$ large. Since $`c\alpha ^2`$, this is consistent with the T-dual fact that in the absence of zerobranes, the quantum Hall soliton collapses.

6. Observe in fig. 7 that our potential has a maximum, and slopes downward far from the sevenbranes. When $`c`$ is small, this maximum is inside the region of validity of our approximation. This signals that our equilibrium is perhaps only metastable, as is the quantum Hall soliton.

4. Low-energy theory on the strings

What can we say about the effective dynamics on the worldline of the helix? The low-energy effective excitations are as follows:

$``$ There are six compact scalars from the transverse $`T^6`$. The $`T^6`$ is large and the sevenbranes are distant, and we assume in what follows that these modes decouple. There is also a seventh Goldstone mode, corresponding to translation in the axial direction, which is likely to decouple as well.

$``$ We found that there is a (stable) equilibrium value for the radion field, $`R`$, that measures the coordinate distance between the onebranes and sevenbranes; the radion is massive.

$``$ There is a charge displacement wave mode, $`D`$, which is massive. In the presence of a neutralizing background charge (provided by the axion gradient), the charged string endpoints are bound to their equilibrium positions with a linear restoring force.

$``$ There is a mode that rotates the entire onebrane around the sevenbranes, leaving the $`F`$-strings at fixed axial position. This ’turnon’2 Since the word ’roton’ already has a standard usage in condensed matter physics, we were left with little choice in the matter. field $`T`$ is not an independent mode; it can be compensated by a combined charge displacement and axial shift. This corresponds with the fact that in the presence of a background axion that winds $`k`$ times around the sevenbranes, the turnon is in effect a dynamical theta angle in $`1+1`$ dimensions; giving $`T`$ a vev produces a vacuum energy proportional to $`T^2`$ which matches the energy from the corresponding charge displacement.

$``$ There are modes corresponding to fragmentation of the onebrane into constituent onebranes. There are also fragmentation modes along the $`T^6`$ directions. Understanding the fragmentation modes would require a more careful treatment of the nonabelian dynamics than we attempt here. In the probe analysis, then, we will set $`k^{}1`$. However abelian and nonabelian coulomb forces are quite similar in $`1+1`$ dimensions, and so we believe the qualitative picture may be similar when $`k^{}1`$.

$``$ There is no independent ’unwindon’ – that is, the mode which uncoils the D-strings is essentially a linearly rising mode of the turnon field.

4.1. The full potential

In this subsection, we perform a refinement of the calculation of §3, for the case $`k^{}=1`$.

Let us fix $`y\alpha \sigma ,X^0\tau `$ identically as a helical analog of static gauge for the reparametrization invariance of the DBI action. In order to find the roton and turnon potential, we write

$$zR(\sigma )\mathrm{exp}\{i(\sigma +T(\sigma ))\}$$

First we set the charge density to its equilibrium value, and find a potential for $`R`$ and $`T`$ alone. We apply the approximation in which the fundamental string endpoints are continuously and uniformly distributed so as to cancel the background charge density coming from the axion gradient. The electric field on the onebrane worldvolume is constant, and equal to $`\xi `$. The energy is at a minimum when $`\xi `$ vanishes. In this system the $`\theta `$ angle is dynamical, so the electric field can relax to zero by changing the value of the turnon.

Substituting this parametrization into the probe action we expand to zeroth order in derivatives, for the full Lagrangian:

$$(R,T)=e^{\mathrm{\Phi }(R)}\sqrt{\alpha ^2+R^2\mathrm{\Omega }^2(R)\xi ^2}+T\xi \frac{k}{2\pi \gamma }R.$$

Notice that the turnon field only appears in the WZ term, coupling as a Peccei-Quinn axion. The background electric field is determined by the effective theta angle:

$$\xi =\frac{\stackrel{~}{\tau }_1}{\sqrt{\stackrel{~}{\tau }_2}|\stackrel{~}{\tau }(R,T)|}\sqrt{\alpha ^2+R^2\mathrm{\Omega }^2(R)}$$

where $`\stackrel{~}{\tau }T+ie^{\mathrm{\Phi }(R)}`$ is the effective gauge coupling. Note that $`\xi `$ has an interpretation as a density of dissolved Wick-rotated D$`(1)`$-branes. Integrating out $`\xi `$ in the manner above is analogous to the “dilute instanton gas” approximation in four-dimensional axion physics.

Plugging this back into the Lagrangian we obtain

$$V=e^{\mathrm{\Phi }(R)/2}\sqrt{\alpha ^2+R^2\mathrm{\Omega }^2(R)}|\stackrel{~}{\tau }(R,T)|+\frac{k}{2\pi \gamma }R.$$

Having done this calculation, it is easy to take account of the motions of the charged string endpoints. A charge distribution couples to the gauge field as

$$LL+\rho (\sigma )A_0(\sigma ).$$

However for small motions of the charges from their equilibrium positions, the charge density is given by the inhomogeneity of the charge displacement field $`D(\sigma )`$; that is $`\rho (\sigma )=D^{}(\sigma )`$, so integrating by parts we find the interaction term

$$D(\sigma )\xi .$$

So $`T`$ and $`D`$ enter the action only through their difference. To find the full potential for all the fields, including the charge displacement, simply substitute $`TD`$ for $`T`$ in the expression (4.1). This expresses the fact that any uniform displacement of the charges from their equilibrium positions can be compensated by a rotation of the helix.

In the end we find a $`(1+1)`$-dimensional system of three coupled fields: the charge density of string-ends, the turnon field, and the radion. In the absence of a charge-clumping instability, we expect that the radion field decouples. The resulting system seems to form a Wigner crystal. It will be interesting to learn more about the D(NA)-brane system, particularly when $`k^{}1`$.

5. Conclusions

We have shown that the quantum Hall soliton has a certain limit in which it is naturally viewed via T-duality as a molecule of DNA. Though there is still much we do not understand about the D(NA)-brane system, the dynamics are those of point charges in a neutralizing background. In addition to the Goldstone modes, the theory on the strand contains a worldvolume axion, the turnon, and a charge displacement field, one combination of which is massless.

Our computation is incomplete in the following ways:

$``$ In our low-energy analysis, we have merely determined which modes have nonzero mass. In order to compute physical masses of fields, one would need to compute their kinetic terms.

$``$ Where uncertain, we have given the benefit of the doubt to approximations and assumptions which emphasize the possible similarity of our system to that of \[1\]. In particular, we have treated the string endpoints on the sevenbranes as if they could be effectively decoupled; we leave open the problem of treating them more realistically.

$``$ We have not attempted to understand the nonabelian worldvolume dynamics when $`k^{}>1`$, particularly whether or not there may be a “genes’ instability” to fragmentation of the clump.

$``$ A better analysis of the effective dynamics should take into account that the lowest modes of the stretched fundamental strings are fermionic .

$``$ It would be interesting to go beyond the average-field approximation for the charge distribution to see if an electric analog of the structure of  emerges.

It would be interesting to learn more about this system.

6. What we have to say about biophysics

Consider the case of two sevenbranes and two D-strings. Let the fundamental index of the D-string gauge group run over “purine” and “pyrimidine” $`\mathrm{}`$.

Acknowledgements

We thank Savas Dimopoulos, Clifford Johnson, Nemanja Kaloper, Sangmin Lee, Lenny Susskind, Scott Thomas and Nick Toumbas for discussions. It has been brought to our attention that the title of our paper was discovered independently .

References

relax A. Bernevig, J. Brodie, L. Susskind and N. Toumbas, “How Bob Laughlin Tamed the Giant Graviton from Taub-NUT Space,” hep-th/0010105. relax L. Susskind, ”The Quantum Hall Fluid and Non-Commutative Chern Simons Theory,” hep-th/0101029. relax A. Polychronakos, “Quantum Hall states as matrix Chern-Simons theory,” hep-th/0103013. relax S. Hellerman and M. van Raamsdonk, “Quantum Hall Physics = Noncommutative Field Theory,” hep-th/0103179. relax A. Hanany and E. Witten, “Type IIB superstrings, BPS monopoles and three-dimensional gauge dynamics,” hep-th/9611230. relax M. Gaberdiel and B. Zwiebach, “Exceptional groups from open strings,” hep-th/9709013. relax R. Gregory and R. Laflamme, “Black strings and p-branes are unstable,” hep-th/9301052. relax G. Gibbons, M. Green, M. Perry, “Instantons and seven-branes in Type IIB superstring theory,” hep-th/9511080. relax C. Johnson, unpublished.


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# Quantum Diffusion of H/Ni(111) through Monte Carlo Wave Function Formalism

## Abstract

We consider a quantum system coupled to a dissipative background with many degrees of freedom using the Monte Carlo Wave Function method. Instead of dealing with a density matrix which can be very high-dimensional, the method consists of integrating a stochastic Schrödinger equation with a non-hermitian damping term in the evolution operator, and with random quantum jumps. The method is applied to the diffusion of hydrogen on the Ni(111) surface below 100 K. We show that the recent experimental diffusion data for this system can be understood through an interband activation process, followed by quantum tunnelling.

The study of a quantum system coupled to a large background reservoir that leads to thermal fluctuations and dissipation in the dynamical evolution of the system, is of central importance in such fields as quantum optics , electronic conduction in nano-structures , and diffusion of light adatoms on surfaces . The standard formalism for this problem is through the master equation for the density matrix $`\rho _S(t)`$ of the system . However, this approach is not practical for condensed matter systems such as a hydrogen adatom moving on a metal surface. In this case, the density matrix would have dimension $`N^2`$, where $`N`$ is the product of the number of sites considered on the surface and the number of vibrational states included at each site. Typically, $`N`$ would be at least of the order of $`10^4`$ rendering a direct numerical solution of the master equation unfeasible.

Recently, an alternative approach known as the Monte Carlo Wave Function (MCWF)  has been developed and applied to solve these type of problems in the field of quantum optics. In the MCWF approach, the evolution of a quantum state $`|\mathrm{\Psi }(t)`$ is described by a stochastic wave equation, in which the original adiabatic Hamiltonian $`H_S`$ is only a part of the evolution operator:

$`|\mathrm{\Psi }(t+\delta t)`$ $`=`$ $`{\displaystyle \frac{f_0}{\sqrt{1\delta p}}}\mathrm{exp}({\displaystyle \frac{iH\delta t}{\mathrm{}}})|\mathrm{\Psi }(t)`$ (1)
$`+`$ $`{\displaystyle \underset{\mu }{}}{\displaystyle \frac{f_\mu }{\sqrt{\delta p_\mu /\delta t}}}C_\mu |\mathrm{\Psi }(t).`$ (2)
Here the effect of each operator $`C_\mu `$ acting on the quantum system represents a collision with the reservoir degrees of freedom that takes the system from one quantum state to another. The new Hamiltonian $`H`$ is non-Hermitian, built from $`H_S`$ with an imaginary part added to account for dissipation:

$$H=H_S\frac{i\mathrm{}}{2}\underset{\mu }{}C_\mu ^+C_\mu .$$
(3)
The stochastic nature of quantum evolution is described by the quantities $`f_0`$ and $`f_\mu `$. They are random numbers such that the mean value of $`f_\mu `$ is related to the scattering probabilities

$`\delta p_\mu =\delta t\mathrm{\Psi }(t)|C_\mu ^+C_\mu |\mathrm{\Psi }(t),`$ (4)
with $`f_\mu `$=$`\delta p_\mu `$, and $`f_0`$=$`1\delta p`$, where $`\delta p=p_\mu `$ gives the probability for coherent propagation under $`H`$. With this choice of dynamics, it can be shown  that the quantity $`\overline{\sigma }(t)`$ obtained by averaging $`\sigma (t)=|\mathrm{\Psi }(t)\mathrm{\Psi }(t)|`$ over all possible outcomes at time $`t`$ of the MCWF evolution equation, coincides with the density matrix $`\rho _S(t)`$ obtained from the solution of the so-called Lindblad form of the master equation :

$`\dot{\rho _S}`$ $`=`$ $`{\displaystyle \frac{i}{\mathrm{}}}[\rho _S,H_S]`$ (5)
$`{\displaystyle \underset{\mu }{}}`$ $`{\displaystyle \frac{1}{2}}(C_\mu ^+C_\mu \rho _S+\rho _SC_\mu ^+C_\mu 2C_\mu \rho _SC_\mu ^+)`$ (6)
The equality between $`\overline{\sigma }`$ and $`\rho _S`$ holds at all times $`t`$, provided that it holds at $`t=0`$. The particular form of the collision operators chosen in Eq. (1) is the most general one that preserves the normalization and positive definiteness of the corresponding $`\rho _S(t)`$.

It is the purpose of the present Letter to demonstrate how the MCWF method can be used to tackle important transport problems in condensed matter physics in cases where the number of degrees of freedom is large enough ($`N10^4`$) to make the density matrix approach unfeasible. We consider here the case of a light adatom moving on a metal surface under conditions where classical activated hopping rate between potential wells is negligible compared with the corresponding tunnelling rate. At present, there does not exist a clear consensus on the details of the crossover from the classical activated behavior to the quantum tunnelling regime. In the Field Emission Microscopy (FEM) study  for Ni and W substrates and in the latest STM study for H/Cu(001) , a sharp crossover from classical diffusion to very weak temperature dependence of diffusion was observed at a temperature in the range of $`60100`$ K. However, the Quasielastic Helium Atom Scattering study for H/Pt(111)  yields no crossover down to $`T100K`$. For the H/Ni(111) system, recent optical studies  showed a crossover behavior from the classical regime to a second activated regime with a lower activation energy below $`T100K`$. This is in contradiction with the FEM data on the same system, which showed a crossover to a temperature independent diffusion at low temperatures . Thus, while there is strong evidence that diffusion proceeds through quantum tunnelling at low temperatures, the detailed mechanisms for hydrogen diffusion on different substrates are not yet understood. Previous theoretical works do suggest that the details of the crossover is sensitive to the shape of the adsorption potential and not just determined by the barrier alone .

We will apply here the MCWF method to study the dynamics of H/Ni(111). The low temperature activated behavior with a barrier of about $`90`$ meV has been attributed to small polaron type activated tunnelling . In our view, this is a highly implausible explanation. First, the polaron activation energy for H/Cu(001)  was determined to be $`3`$meV, then the relaxation energy due to the adatom for H/Ni(001) has been calculated to be 2.72meV , and in our recent calculations for H/Pt(111)  we also find a relaxation energy of just a few meV; the polaron activation energy is a fraction of the relaxation energy . We will show instead that the data can be explained in terms of tunnelling from the first excited vibrational states of the H adatom.

We construct a semi-empirical potential $`U(𝐫)`$ based on available data as follows. The lowest energy adsorption sites are assumed to be the fcc sites forming a 2D triangular lattice $`\{𝐥\}`$  with a lattice constant $`a=2.581`$ Å (see Fig. 1). Also, the neighboring hcp sites at a distance of $`s=1.49`$ Å  are taken to be equal in energy  (this is also supported by a recent ab initio calculation ). Second, we fix the barrier between the fcc and hcp sites close to the value of 196 meV found in experiments . We use the vibrational excitation energy of $`94`$ meV known from ,. $`U(𝐫)`$ is constructed from localized Gaussians at both the fcc and hcp sites and adjust the Gaussian parameters, obtaining a fitting with a band gap between the centers of the $`A_0A_1`$ and the $`E_0E_1`$ bands of $`\mathrm{\Delta }=96`$ meV and a separation between the lowest band and the top of the barrier between fcc and hcp sites of $`207`$ meV.

The adiabatic Hamiltonian $`H_S`$ for our model is characterized by Bloch states $`\{|𝐤,m\}`$ with corresponding energy $`\{ϵ_{𝐤,m}\}`$. Here $`m`$ is the band index and $`𝐤`$ the 2D wave vector. The center positions and the bandwidths for the first few bands are listed in Table I. The first two branches form 1D representations ($`A_0`$ and $`A_1`$) of the symmetry group of the 2D triangular lattice, while the next four form 2D representations ($`E_0`$ and $`E_1`$).

We describe the H adatom as a linear superposition of energy eigenstates:

$$|\mathrm{\Psi }(t)=\underset{m,𝐤}{}b_{𝐤,m}(t)|𝐤,m,$$
(7)
with $`_{m,𝐤}|b_{𝐤,m}|^2=1`$. The frictional coupling to the substrate through electronic and phononic excitations is modelled by a general collision operator $`C_\mu `$ (1), through which we model both intraband and interband transitions. It is represented as

$$C_{m_1,m_2,𝐪}=\mathrm{\Gamma }_{m_1m_2,𝐪}^{1/2}\underset{𝐤}{}|𝐤+𝐪,m_1𝐤,m_2|,$$
(8)
where $`\mathrm{\Gamma }`$ is a (yet unspecified) transition rate, and $`\mu `$ in Eq. (1) now becomes a multiple index with two band indices, $`\mu `$=$`(m1,m2,𝐪)`$. Thus the probabilities for scattering $`\delta p_\mu `$ are given by

$$\delta p_\mu =\mathrm{\Psi }(t)|C_\mu ^+C_\mu |\mathrm{\Psi }(t)\delta t=\underset{𝐤}{}|b_{𝐤,m_2}|^2\mathrm{\Gamma }_\mu \delta t.$$
(9)
An important feature of the model is that for the low energy bands of interest, $`A_0A_1`$ and $`E_0E_1`$, the composite bandwidths are much smaller than the energy gap $`\mathrm{\Delta }`$ separating them (see Table I). This means that we need to consider only two kinds of transitions: interband transitions between the bands in the two groups, and intraband transitions within each group. Since we do not have microscopic expression for the scattering rates $`\mathrm{\Gamma }_{\mathrm{intra}}`$ and $`\mathrm{\Gamma }_{\mathrm{inter}}`$ we make one further simplification that is $`\mathrm{\Gamma }_{\mathrm{intra}}`$ = $`\mathrm{\Gamma }_{\mathrm{inter}}=\mathrm{\Gamma }`$. Below, we will show that the magnitude of $`D`$ is controlled by the parameter $`\gamma =\mathrm{}\mathrm{\Gamma }/\mathrm{\Delta }_E`$, where $`\mathrm{\Delta }_E`$ is the width of the upper composite band defined above.

In our numerical calculations, the substrate is represented by a 2D hexagonal box consisting of $`180\times 180`$ unit cells, with fully periodic boundary conditions. The size of the system is chosen such that the H adatom does not spread outside the boundary during the observation time $`t`$. To calculate the spatial $`\alpha \beta `$ elements of the tracer diffusion coefficient of H, we used the expression

$$D_{\alpha \beta }(t)=\underset{t\mathrm{}}{lim}\frac{1}{2t}(\widehat{x}_\alpha \widehat{x}_\alpha _0)(\widehat{x}_\beta \widehat{x}_\beta _0),$$
(10)
where $`\widehat{x}`$ is the position operator. The average $`\mathrm{}`$ in Eq. (10) represents both the quantum mechanical average in a given state as well as the ensemble average over different initial states. Statistical averages to compute $`D`$ were performed with $`15006000`$ initial states, for time intervals containing up to $`10^5`$ collisions. With a code parallelized on $`4`$ processors, one point on the Arrhenius plot takes $`24`$hrs, depending on the collision rates.

The symmetry of the lattice implies that the diffusion tensor $`D_{\alpha \beta }`$ is diagonal. Fig. 2 shows the temperature dependence of $`D`$ for $`\gamma =1,5,`$ and $`10`$ on an Arrhenius plot. There is clear activated behavior $`De^{E_a/k_BT}`$, with an activation energy $`E_a=98.1\pm 0.5`$ meV. This is in excellent agreement with the experimental data of Cao et al.  shown in Fig. 2 as well, in the temperature regime below 100 K where $`E_a105`$ meV. Obviously, with the inclusion of only the lowest bands in the present calculation, we cannot account for the classical high temperature region above 100 K where $`E_a196`$ meV . We can give a good qualitative description of the quantum regime, though, where the numerical results above indicate that the observed Arrhenius behavior for $`D`$ corresponds to activated quantum tunnelling.

The result for the temperature dependence can be understood from the values of the bandwidths listed in Table 1. The bandwidths of the $`\{E_0,E_1\}`$ states are more than one order of magnitude larger than for the lower bands (the delocalization was observed also in a recent experiment ). Thus, diffusion proceeds mainly via a collisions excitation to the upper band, followed by tunnelling to neighboring sites and de-excitation to the lower bands again. It is the Bose-Einstein factor $`n(\omega )`$ ($`\mathrm{}\omega =\mathrm{\Delta }`$), needed to ensure detailed balance in thermal equilibrium , that leads naturally to the activated Arrhenius behavior with an activation energy close to the energy gap $`\mathrm{\Delta }`$. Although the Arrhenius behavior of $`D`$ does not depend on the ratio $`\gamma `$, its absolute magnitude is best fit to the experimental data by choosing $`\gamma 10`$. This should be taken only as an effective ratio between tunnelling and scattering, because e.g. polaron effects  which lead to a broadening of the levels and a reduction in the tunnelling rate have been left out in the present calculation.

The MCWF methods gives insight into the quantum dynamics by allowing to follow the dynamics of wave packets in real space and time. In Fig. 1 we show two typical trajectories, tracing the evolution of $`\widehat{𝐫}`$ for a wave packet. The larger length scale for the trajectory at 110K reflects the larger value of the diffusion coefficient, which is due to a higher excitation rate into the upper bands. The trajectory at 70 K has points where the particle is in the ground state for a longer time and, by comparison to the trajectory at 110 K, it has less coherent propagation intervals in the upper band. The other point to note is that there are coherent propagation regions with tunnelling through several sites before a de-excitation. This can be quantified by studying the tunnelling length distribution $`P_{\mathrm{}}`$. We define the tunnelling length $`\mathrm{}`$ as the distance travelled by a wave packet in the upper band before it suffers a collision. It is found that asymptotically $`P_{\mathrm{}}`$ decreases exponentially with $`\mathrm{}`$, while it obeys a Poisson-like distribution at small values of $`\mathrm{}`$ ($`\mathrm{}s`$). This is similar to the jump distribution in the classical regime . Regarding the dependence of $`D`$ on $`\gamma `$, we have done simulations at $`T=70`$ K and $`T=110`$ K in the range $`0.1\gamma 10`$ and found that $`D\gamma ^1`$ in this range. This inverse power law dependence on $`\gamma `$ is similar to the dependence of $`D`$ on the microscopic friction $`\eta `$ in the classical regime . However, the influence of the geometrical factor on the dependence of the jump distribution on $`\gamma `$ seems rather different from the classical case. The crossover of the dependence on $`\gamma `$ or $`\eta `$ from the quantum to classical behavior is a subject worthy of further investigations.

To summarize, we have demonstrated through a model study of H diffusion on Ni(111) that the MCWF method is a powerful tool in the study of quantum transport problems with many degrees of freedom. In addition, the real space nature of the method allows one to extract interesting information about the dynamics of wave functions, not easily available in other means. As opposed to the small polaron mechanism suggested earlier , our results suggest that the low temperature diffusion behavior observed in the work of Cao et al. for H/Ni(111)  has its origin in the tunnelling of the hydrogen adatom from the first vibrational excited state. We plan to apply the same MCWF formalism to investigate other quantum diffusion systems, such as H/Pt(111)  and H/Cu(001) , which show qualitatively different behaviors from H/Ni(111) . The key is to start with a reliable adsorption potential through a combination of first-principle calculation and empirical inputs.

Acknowledgements: This work has been in part supported by the Academy of Finland through its Center of Excellence program. We wish to than K.-A. Suominen for introducing the MCWF method to us, and O. Trushin and P. Salo for useful discussions.


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# Effects of site dilution on the magnetic properties of geometrically frustrated antiferromagnets

## Abstract

The effect of site dilution by non magnetic impurities on the susceptibility of geometrically frustrated antiferromagnets (kagome and pyrochlore lattices) is discussed in the framework of the Generalized Constant Coupling model, for both classical and quantum Heisenberg spins. For the classical diluted pyrochlore lattice, excellent agreement is found when compared with Monte Carlo data. Results for the quantum case are also presented and discussed.

*Introduction.-* During recent years, geometrically frustrated antiferromagnets (GFAF) have emerged as a new class of materials that exhibit novel phases at low temperaturesGINGRAS2000 ; SCHIFFER1996b ; Ramirez1994 ; GARDNER1999 ; RAJU1999 ; MARTINHO2001 ; WILLS2000 ; Earle99 ; HAGEMANN2001 . The elementary unit in these systems is based on the triangle, which makes it impossible to satisfy all the antiferromagnetic interactions at the same time, leading to frustration. Examples of GFAF are the pyrochlore and kagome lattices. Experimentally, it is found that the susceptibility in materials belonging to this class exhibits a high temperature phase in which it follows the Curie–Weiss (CW) law. Below the Curie–Weiss temperature, geometrical frustration inhibits the formation of a long range ordered (LRO) state, and the system remains paramagnetic, even though there are strong correlations between units. This phase is universally present in these systems, and it is called the cooperative paramagnetic phase. Finally, at a certain temperature, $`T_f`$, which depends on the particular material and, usually, is well below the CW temperature, there appear non universal phases: some of the systems remain paramagnetic down to the lowest temperature reached experimentallyGARDNER1999 , some of them exhibit non collinear ordered statesRAJU1999 , or even some of them form a spin glass stateMARTINHO2001 ; WILLS2000 ; Earle99 , even though the amount of disorder in the structure is very small.

In the simplest theoretical description of GFAF, the spins on the lattice are regarded as Heisenberg spins with only nearest neighbor (NN) interactions. In this picture, it is predicted that the non trivial degeneracy of the ground state inhibits the formation of a LRO state, and the system remains paramagnetic down to zero temperatureReimers1991 . However, due to the presence of frustration, the NN exchange does not fix an energy scale on the problem, and any small perturbation can break the non trivial degeneracy of the ground state and lead to some kind of ordered state. Therefore, it is especially important to incorporate these possible perturbations in any model that tries to explain the low temperature phases of these systems. Examples of perturbations present in real systems are next nearest neighbor (NNN) interactions, small anisotropies, long range dipole–dipole interaction, or dilution by non magnetic impurities, to cite some.

Of course, before trying to understand the non universal behavior observed below $`T_f`$, it is very important to fully explore models that *quantitatively* describe the universal cooperative paramagnetic phase. In a series of recent papersGARCIA-ADEVA2000 ; GARCIA-ADEVA2000a ; GARCIA-ADEVA2000b , the present authors have shown how very simple models based on small clusters can provide a very accurate description of the universal cooperative paramagnetic regime in these systems, when compared with both Monte Carlo (MC) and experimental data. The purpose of the present work is to study what are the effects of site dilution by non magnetic impurities of the otherwise perfect pyrochlore and kagome lattices on the magnetic properties in this same regime. This problem is relevant for establishing comparisons with experimental data as, obviously, any real material contains a certain amount of dilution. On more phenomenological grounds, this problem was discussed in Refs. SCHIFFER1997,  and Moessner99, .

*The model.-* The central idea of the models in Refs. GARCIA-ADEVA2000, ; GARCIA-ADEVA2000a, ; GARCIA-ADEVA2000b,  is based on the experimental and numerical observation that the correlations in these systems are always short ranged. Therefore, we can start by studying the properties of a small cluster and, later, add the interactions with neighboring spins outside the cluster in an approximate way. In the simplest approach, these interactions can be modeled as a mean field. A more refined approximation consists on treating these interactions as created by an effective field which is fixed by a self consistency condition, the so called generalized constant coupling (GCC) approachGARCIA-ADEVA2000a ; GARCIA-ADEVA2000b . This self consistency condition is constructed in the following way: we consider the magnetization per spin of a unit with $`p`$ spins (a triangle for the kagome lattice or a tetrahedron for the pyrochlore lattice, for example), in the presence of the internal field created by the neighboring $`p1`$ spins outside the unit, and the magnetization of an isolated spin in the presence of the internal field created by the $`2(p1)`$ neighboring spins, and we equate both quantities, obtaining in this way an equation for the internal field

$$\begin{array}{c}m_p\left(\left[H_0+(p1)H^{}\right]/T\right)/p\hfill \\ \hfill =m^{CW}\left(\left[H_0+2(p1)H^{}\right]/T\right).\end{array}$$
(1)
In this expression, $`H_0`$ is the applied magnetic field and $`H^{}`$ is the internal field; $`m_p`$ represents the magnetization of a unit with $`p`$ spins and $`m^{CW}`$ the corresponding magnetization for a single spin in the presence of the internal field created by its $`2(p1)`$ NN. Expressions for these quantities can be found in references GARCIA-ADEVA2000a,  and GARCIA-ADEVA2000b,  for the classical and quantum cases, respectively. Of course, this equation can only be solved numerically in the general case but, in the paramagnetic limit, $`\left[H_0+2(p1)H^{}\right]/T1`$, we can expand it up to first order in the internal field in terms of the susceptibility of an isolated unit and obtain an analytical expression for the susceptibility per spin in the presence of the internal field

$$\chi _p^{gcc}(\stackrel{~}{T})=\frac{1}{3J\stackrel{~}{T}}\frac{1+\epsilon _p(\stackrel{~}{T})}{1\epsilon _p(\stackrel{~}{T})},$$
(2)
where

$$\epsilon _p(\stackrel{~}{T})=\frac{2\stackrel{~}{T}^2}{p}\frac{}{\stackrel{~}{T}}\mathrm{ln}Z_p(\stackrel{~}{T})1,$$
(3)
with $`\stackrel{~}{T}`$ a dimensionless temperature defined by $`T/\stackrel{~}{J}`$, where $`\stackrel{~}{J}=Js_0^2`$ in the classical limit ($`J`$ is the positive antiferromagnetic exchange coupling and $`s_0`$ the length of the spin) and $`\stackrel{~}{J}=Js_0(s_0+1)`$ in the quantum case. $`Z_p`$ is the partition function of an isolated unit with $`p`$ spins. Expressions for this quantity in the classical limit can be found in Ref. Moessner99, . In the quantum limit, this quantity is given byGARCIA-ADEVA2000b

$$Z_p(\stackrel{~}{T})=\underset{S}{}g(S)(2S+1)e^{\frac{S(S+1)}{2s_0(s_0+1)\stackrel{~}{T}}},$$
(4)
where $`S`$ represents the total spin of the unit and $`g(S)`$ the corresponding degeneracy.

Let us now consider the effect of substituting some of the magnetic ions in the lattice by non-magnetic ions. We will assume that the distribution of non-magnetic impurities is completely random, so the number of units with $`q=1,2,\mathrm{}`$ magnetic ions for a lattice formed by units with $`p`$ ions, for a concentration of non-magnetic impurities $`x`$, is given byMoessner99

$$𝒫_q^p(x)=\left(\genfrac{}{}{0pt}{}{p}{q}\right)(1x)^qx^{pq}.$$
(5)
The self-consistency condition that determines the internal field $`H^{}`$ is given, in this case, in terms of the averaged magnetization for different types of units

$$\begin{array}{c}(1x)m^{CW}\left(\left[H+2(p1)(1x)H^{}\right]/T\right)=\hfill \\ \hfill \frac{1}{p}\underset{q=1}{\overset{p}{}}𝒫_q^p(x)m_q\left(\left[H+(p1)(1x)H^{}\right]/T\right),\end{array}$$
(6)
where the $`(1x)`$ factor in front of the CW magnetization takes into account the reduction of the total number of magnetic ions upon dilution from $`N`$ to $`N(1x)`$, whereas the prefactor in the argument of both magnetizations stands for the reduction in the number of NN.

Equation (6) can be solved for $`H^{}`$, in the paramagnetic region, along the same lines mentioned above, by introducing the function

$$\overline{\epsilon }_p(\stackrel{~}{T},x)=\frac{2\stackrel{~}{T}^2}{(1x)p}\frac{}{\stackrel{~}{T}}\mathrm{ln}\overline{Z}_p(\stackrel{~}{T},x)1,$$
(7)
which reduces to (3) for $`x=0`$, where $`\overline{Z}_p(\stackrel{~}{T},x)`$ is an averaged partition function defined by

$$\overline{Z}_p(\stackrel{~}{T},x)=\underset{q=1}{\overset{p}{}}Z_q(\stackrel{~}{T})^{𝒫_q^p(x)}.$$
(8)
With these definitions, eq. (6) can be solved in the paramagnetic regime to obtain the averaged susceptibility

$$\overline{\chi }_p(\stackrel{~}{T},x)=\frac{1x}{3J\stackrel{~}{T}}\frac{1+\overline{\epsilon }_p(\stackrel{~}{T})}{1\overline{\epsilon }_p(\stackrel{~}{T})}.$$
(9)
The corresponding internal energy per spin is given by

$$\overline{u}_p(\stackrel{~}{T},x)=\stackrel{~}{J}\overline{\epsilon }_p(\stackrel{~}{T},x),$$
(10)
and the specific heat

$$\overline{c}_p(\stackrel{~}{T},x)=\frac{}{\stackrel{~}{T}}\overline{\epsilon }_p(\stackrel{~}{T},x).$$
(11)
*Discussion.-* The pyrochlore and kagome lattices have been extensively studied by numerical methods in the classical limitMoessner99 ; Reimers1993b ; Reimers1992c ; Chalker92a . Therefore, there is a wealth of available data obtained from MC simulations that allow us to estimate the accuracy of our model in the classical limit. Actually, this comparison was recently carried out by the present authors for the non diluted lattices considered in this work, and it was found that both the susceptibility and specific heat are essentially exact for the pyrochlore lattice down to 0 K. In the case of the kagome lattice, however, the susceptibility was found to be again essentially exact, but the MC specific heat deviates slightly as we go to 0 K, due to the order by disorder effect which, obviously, is not included in our model. We will not repeat such a comparison here, as it can be found in Ref. GARCIA-ADEVA2000a, .

There are also some results from MC calculations for the case with site dilution but, unfortunately, only for the pyrochlore latticeMoessner99 . They have been compared with the predictions of our model in the classical limit in Fig. 1. As can be seen, the susceptibility predicted by our model is essentially exact down to 0 K. It is important to notice that the curves in that figure do not include any adjustable parameter or global scale factor. Of course, it would be extremely interesting to test the predictions of the model for the kagome case too.

In Figs. 2 and 3 we have plotted the classical and quantum susceptibilities predicted by our model for different concentrations of non magnetic impurities. The quantum susceptibilities depicted there are for the kagome spin 5/2 and spin 1, and pyrochlore spin 3/2. The first one would correspond to the iron jarosites compounds and the last one to ZnCr2O4. The second one would correspond to Mo4+ ions on a kagome lattice, and has been included to stress the differences between integer and half integer values of $`s_0`$ in our model. In these figures, we have rescaled the temperature by the CW temperatureSPALEK1986  $`\mathrm{\Theta }_{CW}(x)=\frac{2(p1)\stackrel{~}{J}}{3}(1x)`$, and the susceptibility by the CW constant $`C_{CW}(x)=\frac{\stackrel{~}{J}(1x)}{3J}`$. The advantage of this rescaling is that all the curves for different concentrations fall on the same curve at high temperatures, which makes it easier to identify the nontrivial effects of dilution at low temperatures (that is, those which do not come from a reduction of $`(1x)`$ factor in both the CW temperature and CW constant).

From those figures, we can see that the main effect of dilution in the quantum kagome and pyrochlore systems, and also in the classical kagome lattice is that the intensity of the maximum in the susceptibility decreases as the concentration of impurities increases and, eventually, this maximum disappears for a certain amount of non magnetic impurities. In the classical pyrochlore lattice, there is no maximum in the susceptibility, but only a shoulder, due to the formation of short range correlations in the tetrahedral unit. Again, this shoulder disappears for a certain amount of non magnetic impurities. Another effect of dilution is related to the upturn of the susceptibility at low temperatures. Both the classical non diluted kagome and pyrochlore lattices susceptibilities go to a finite value at 0 K. In the quantum case, the pyrochlore susceptibility in the pure system falls to zero at 0 K. The kagome susceptibility falls to zero for integer values of the individual spins or diverges for half integer values of $`s_0`$, even in the absence of dilution. This divergence is related to considering a cluster with an odd number of half integer spins, which has a ground state with a $`\frac{1}{2}`$ total spin momentum. This problem of the model and its implications has been discussed in Ref. GARCIA-ADEVA2000b, . When we add a certain amount of dilution, there is a divergence of the susceptibility as we approach $`T=0`$ for all the cases considered in this work. This upturn in both the classical kagome and pyrochlore lattices, and also in the quantum pyrochlore and quantum kagome lattices with integer values of $`s_0`$, is due to the appearance of loose spins in the system. However, in the quantum kagome with half integer values of $`s_0`$, this upturn is present even in the pure system, as commented above. In the quantum pyrochlore lattice with half integer $`s_0`$, both the loose spins and triangular units contribute to this upturn of the susceptibility.

Even though we will not present a detailed comparison with experimental measurements here, it is interesting to note that some of the features exhibited by the calculated quantum susceptibilities are qualitatively similar to those experimentally found in pyrochlore systemsMARTINHO2001 ; RAJU1999 ; GARDNER1999 , iron jarositesWILLS2000 ; Earle99  and also in SrCr9pGa12-9pO19MENDELS00  (where these last two systems are considered as experimental realizations of the kagome lattice), namely, a maximum in the susceptibility for both the pyrochlore and kagome lattices. The disappearance of this maximum with increasing dilution and the upturn of the susceptibility below the maximum for pure samples has been also observed in the iron jarosites compounds. However, a lot of caution has to be exercised when comparing the present model with experimental data for two main reasons: first, the region where the maximum of the susceptibility is observed, it is precisely the region where spin freezing starts to take place and, obviously, this effect is not accounted for in our model. Second, it is not obvious that the distribution of non magnetic impurities in real systems is purely random and this fact could lead to important quantitative differences when trying to use this model to interpret experimental data.

In any case, we think that the present model could provide further insight in the properties of the geometrically frustrated antiferromagnets in the cooperative paramagnetic region.

###### Acknowledgements.

A.J.G.-A. wishes to acknowledge financial support from the Spanish MEC under the Subprograma General de F.P.I. en el Extranjero.


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# Aspherical Supernova Explosions: Hydrodynamics, Radiation Transport & Observational Consequences

## I Observational Evidence for Asymmetry

In recent years, there has been a mounting evidence that the explosions of massive stars (core collapse supernovae) are highly aspherical. (1) The spectra of core-collapse supernovae (e.g., SN87A, SN1993J, SN1994I, SN1999em) are significantly polarized indicating asymmetric envelopes by factors up to 2 (Méndez et al. 1988; Höflich 1991; Jeffrey 1991; Wang et al. 1996; Wang et al. 2001). The degree of polarization tends to vary inversely with the mass of the hydrogen envelope, being maximum for Type Ib/c events with no hydrogen (Wang et al. 2000). For SN1999em (Fig. 1), Leonard et al. (2000) showed that the polarization and, thus, the asphericity increases with time. Both trends suggest a connection of the asymmetries with the central engine. For supernovae with a good time and wavelength coverage, the orientation of the polarization vector tends to stay constant both in time and in the wavelength. This implies that there is a global symmetry axis in the ejecta (Leonard et al. 2001, Wang et al. 2001). (2) Observations of SN 1987A showed that radioactive material was brought to the hydrogen rich layers of the ejecta very quickly during the explosion (Lucy 1988; Tueller et al. 1991). (3) The remnant of the Cas A supernova shows rapidly moving oxygen-rich matter outside the nominal boundary of the remnant and evidence for two oppositely directed jets of high-velocity material (Fesen & Gunderson 1997). (4). Recent X-ray observations with the CHANDRA satellite have shown an unusual distribution of iron and silicon group elements with large scale asymmetries in Cas A (Huges et al. 2000). (5) After the explosion, neutron stars are observed with high velocities, up to 1000 km/s (Strom et al. 1995). (6) Direct HST-images from June 11,2000, are able to resolve the inner debris of SN1987A showing its prolate geometry with an axis ratio of $`2`$ (Fig. 1). Both the ejecta and the inner ring around SN1987A show a common axis of symmetry. By combining the HST-images with spectral and early-time polarization data, Lifan Wang worked out the details of the chemical and density structure. By connecting the HST-images with the polarization data from earlier times, he demonstrated that the overall geometry of the entire envelope of SN1987A was elongated all along the symmetry axis (including the H-rich envelope), and that the distribution of the products of stellar burning products (O, Ca, etc.) are concentrated in the equatorial plane (Wang et al. 2001).

## II Models for Collapse Supernova

There is a general agreement that the explosion of a massive star is caused by the collapse of its central parts into a neutron star or, for massive progenitors, into a black hole. The mechanism of the energy deposition into the envelope is still debated. The process likely involves the bounce and the formation of the prompt shock (e.g. Van Riper 1978, Hillebrandt 1982), radiation of the energy in the form of neutrinos (e.g. Bowers & Wilson 1982), and the interaction of the neutrino with the material of the envelope and various types of convective motions ( e.g. Herant et al. 1994, Burrows et al. 1995, Müller & Janka 1997, Janka & Müller 1996), rotation (e.g. LeBlanc & Wilson 1970, Saenz & Shapiro S.L. 1981, Mönchmeyer et al. 1991, Zwerger & Müller 1997) and magnetic fields (e.g. LeBlanc & Wilson 1970, Bisnovati-Kogan 1971).

Currently, the most favored mechanism invokes the neutrino deposition. The results depend critically on the progenitor structure, equation of state, neutrino physics, and implementation of the neutrino transport. Recent results indicate that spherical models fail to produce successful explosions even when using sophisticated, relativistic Boltzmann solvers for the neutrino transport and taking different flavors and neutrinos into account (Yamada et al. 1999, Ramp & Janka 2000, Mezzacappa et al. 2001). Multi-dimensional effects such as convection during the core collapse itself must be included but, still, it is an open question whether convection combined with the neutrino transport provides the solution to the supernova problem (Ramp et al. 1998 and references therein). In the current calculations, the size and scale of the convective motions seem to be too small to explain the observed asymmetries in the envelope. The angular variability of the neutrino flux caused by the convection has been invoked to explain the neutron star kicks (Burrows et al. 1995, Janka & Müller 1994). Calculations give kick velocity up to $`100`$ km/s whereas NS with velocities of several $`100`$ km/s are common. For a more detailed discussion of the current status and problems to explain the observed asymmetries, see Khokhlov & Höflich (2001).

It has long been suggested that the magnetic field can play an important role in the explosion (LeBlanc & Wilson 1970; Ostriker & Gunn 1971, Bisnovati-Kogan 1971, Symbalisty 1984). LeBlanc and Wilson simulations showed the amplification of the magnetic field due to rotation and the formation of two oppositely directed, high-density, supersonic jets of material emanating from the collapsed core. Their simulations assumed a rather high initial magnetic field $`10^{11}`$ Gauss and produced a very strong final fields of the order of $`10^{15}`$ Gauss which seemed to be unreasonable at the time. The recent discovery of pulsars with very high magnetic fields (Kouveliotou et al. 1998, Duncan & Thomson 1992) revives the interest in the role of rotating magnetized neutron stars in the explosion mechanism. It is not clear whether a high initial magnetic field required for the LeBlanc & Wilson mechanism is realistic. On the other hand it may not be needed.

The current picture of the core collapse process is unsettled. A quantitative model of the core collapse must eventually include all the elements mentioned above.

Due to the difficulty of modeling core collapse from first principles, a very different line of attack on the explosion problem has been used extensively and proved to be successful in understanding of the supernova problem, SN1987A in particular (Arnett et al. 1990, Hillebrand & Höflich 1991). The difference of characteristic time scales of the core (a second or less) and the envelope (hours to days) allows one to divide the explosion problem into two largely independent parts - the core collapse and the ejection of the envelope. By assuming the characteristics of the energy deposition into the envelope during the core collapse, the response of the envelope can be calculated. Thus, one can study the observational consequences of the explosion and deduce characteristics of the core collapse and the progenitor structure. This approach has been extensively applied in the framework of the 1D spherically symmetric formulation. The major factors influencing the outcome have been found to be the explosion energy and the progenitor structure. The same approach can be applied in multi-dimensions to investigate the effects of asymmetric explosions. In this paper we study the effects and observational consequences of an asymmetric, jet-like deposition of energy inside the envelope of SN.

## III Results for Jet-Induced Supernovae

### III.1 Numerical Methods

3-D Hydrodynamics: The explosion and jet propagation are calculated by a full 3-D code within a cubic domain. The stellar material is described by the time-dependent, compressible, Euler equations for inviscid flow with an ideal gas equation with $`\gamma =5/3`$ plus a component due to radiation pressure with $`\gamma =4/3`$. The Euler equations are integrated using an explicit, second-order accurate, Godunov type, adaptive-mesh-refinement, massively parallel, Fully-Threaded Tree (FTT) program, ALLA (Khokhlov 1998).

1-D Radiation-Hydrodynamics: About 1000 seconds after the core collapse and in case of the explosion of red supergiants, the propagation of the shock front becomes almost spherical (see below). To be able to follow the development up to the phase of homologous expansion ($`35`$ days), the 3-D structure is remapped on a 1-D grid, and the further evolution is calculated using a one-dimensional radiation-hydro code that solves the hydrodynamical equations explicitly in the comoving frame by the piecewise parabolic method (Colella and Woodward 1984). The radiation transport part is solved implicitly using the method of variable Eddington factors. Expansion opacities and LTE-equations of state are used (Höflich et al. 1998 and references therein).

3-D Radiation Transport for Ionization Structures and Light Curves: For given, arbitrary 3-D density, velocity and chemical distributions, we calculated the detailed 3-D ionization structure and LCs using the same assumptions as for our 1-D hydro code. The $`\gamma `$-ray transport is computed in 3-D using a Monte Carlo method (Höflich et al. 1992, 1993) which includes relativistic effects and a consistent treatment of both the continua and line opacities. Subsequently, for low energy photons, we solve the three-dimensional radiation transport using a hybrid scheme of Monte-Carlo and non-equilibrium diffusion methods. As a first step, we solve the time-dependent radiation transport equation in non-equilibrium, diffusion approximation for 3-D geometry including the scattering and thermalization terms for the source functions, and include the frequency derivatives into the formulation for the opacities and emissivities. We solve the same set of momentum equations as Höflich et al. (1993) but for 3-D geometry and an Eddington factor of 1/3. At large optical depths, this provides the solution for the full radiation transport problem. In a second step, to obtain the correction solution for the radiation transport equation at small optical depths, the difference between the solution of the diffusion and full radiation transport equation is calculated in a Monte Carlo scheme. We calculate the difference between the solutions for computational accuracy and efficiency. Consistency between the solution at the outer and inner region is obtained iteratively. The same Monte Carlo solver is used which has been applied to compute $`\gamma `$-ray and polarization spectra. For simplification, the relation between energy density and temperature is taken from the 1-D radiation hydrodynamics at the corresponding time (see below).

3-D Radiation for Spectra and Polarization: For several moments of time, detailed polarization and flux spectra for asymmetric explosions are calculated using our MC-code including detailed equations of state, and detailed atomic models for some of the ions. For details, see Höflich (1995), Höflich et al. (1995) and Wang et al. (1998).

### III.2  Jet propagation:

The Setup: The computational domain is a cube of size $`L`$ with a spherical star of radius $`R_{\mathrm{star}}`$ and mass $`M_{\mathrm{star}}`$ placed in the center. The innermost part with mass $`M_{\mathrm{core}}1.6M_{}`$ and radius $`R_{\mathrm{core}}=4.5\times 10^8`$ cm, consisting of Fe and Si, is assumed to have collapsed on a timescale much faster than the outer, lower-density material. It is removed and replaced by a point gravitational source with mass $`M_{\mathrm{core}}`$ representing the newly formed neutron star. The remaining mass of the envelope $`M_{env}`$ is mapped onto the computational domain. At two polar locations where the jets are initiated at $`R_{core}`$, we impose an inflow with velocity $`v_j`$ $`\rho _j`$. At $`R_{\mathrm{core}}`$, the jet density and pressure are the same as those of the background material. For the first 0.5 s, the jet velocity at $`R_{\mathrm{core}}`$ is kept constant at $`v_j`$. After 0.5 s, the velocity of the jets at $`R_{\mathrm{core}}`$ was gradually decreased to zero at approximately 2 s. The total energy of the jets is $`E_j`$. These parameters are consistent within, but somewhat less than, those of the LeBlanc-Wilson model.

The reference model: As a baseline case, we consider a jet-induced explosion in a helium star. Jet propagation inside the star is shown in Fig. 2. As the jets move outwards, they remain collimated and do not develop much internal structure. A bow shock forms at the head of the jet and spreads in all directions, roughly cylindrically around each jet. The jet-engine has been switched off after about 2.5 seconds the material of the bow shock continues to propagate through the star. The stellar material is shocked by the bow shock. Mach shocks travels two wards the equator resulting in a redistribution of the energy. The opening angle of the jet depends on the ratio between the velocity of the bow shock to the speed of sound. For a given star, this angle determines the efficiency of the deposition of the jet energy into the stellar envelope. Here, the efficiency of the energy deposition is about 40 %, and the final asymmetry of the envelope is about two.

Influence of the jet properties: Fig. 3 shows two examples of an explosion with with a low and a very high jet velocity compared to the baseline case (Fig. 2). Fig. 3 demonstrates the influence of the jet velocity on the opening angle of the jet and, consequently, on the efficiency of the energy deposition. For the low velocity jet, the jet engine is switched off long before the jet penetrates the stellar envelope. Almost all of the energy of the jet goes into the stellar explosion. On a contrary, the fast jet (61,000 km/sec) triggers only a weak explosion of 0.9 foe although its total energy was $`10foe`$.

Influence of the progenitor: For a very extended star, as in case of ’normal’ Type II Supernovae, the bow shock of a low velocity jet stalls within the envelope, and the entire jet energy is used to trigger the ejection of the stellar envelope. In our example (Fig. 5), the jet material penetrates the helium core at about 100 seconds. After about 250 seconds the material of the jet stalls within the hydrogen rich envelope and after passing about 5 solar masses in the radial mass scale of the spherical progenitor. At this time, the isobars are almost spherical, and an almost spherical shock front travels outwards. Consequently, Strong asphericities are limited to the inner regions. After about 385 seconds, we stopped the 3-D run and remaped the outer layers into 1-D structure, and followed the further evolution in 1-D. After about 1.8E4 seconds, the shock front reaches the surface. After about 3 days, the envelope expands homologously. The region where the jet material stalled, expands at velocities of about 4500 km/sec.

Fallback: Jet-induced supernovae have very different characteristics with respect to fallback of material and the innermost structure. In 1-D calculations and for stars with Main Sequence Masses of less than 20 $`M_{}`$ and explosion energies in excess of 1 foe, the fallback of material remains less than 1.E-2 to 1.E-3 $`M_{}`$ and an inner, low density cavity is formed with an outer edge of $`{}_{}{}^{56}Ni`$. For explosion energies between 1 and 2 foe, the outer edge of the cavity expands typically with velocities of about 700 to 1500 km/sec (e.g. Woosley 1997, Höflich et al. 2000). In contrast, we find strong, continuous fallback of $`0.2M_{}`$ in the the 3-D hydro models, and no lower limit for the velocity of the expanding material (Fig. 4 of Khokhlov & Höflich 2001). This significant amount of fallback must have important consequences for the secondary formation of a black hole. The exact amount and time scales for the final accretion on the neutron star will depend sensitively on the rotation and momentum transport.

Chemical Structure: The final chemical profiles of elements formed during the stellar evolution such as He, C, O and Si are ’butterfly- shaped’ whereas the jet material fills an inner, conic structure (Fig. 5, upper, middle panel).

The composition of the jets must reflect the composition of the innermost parts of the star, and should contain heavy and intermediate-mass elements, freshly synthesized material such as $`{}_{}{}^{56}Ni`$ and, maybe, r-process elements because, in our examples, the entropy at the bow shock region of the jet was as high as a few hundred. In any case, during the explosion, the jets bring heavy and intermediate mass elements into the outer H-rich layers.

### III.3 Radiation Transport Effects

For the compact progenitors of SNe Ib/c, the final departures of the iso-density contours from sphericity are typical a factor of two. This will produce a linear polarization of about 2 to 3 % (Fig. 4) consistent with the values observed for Type Ib/c supernovae. In case of a red supergiant, i.e. SNe II, the asphericity is restricted to the inner layers of the H-rich envelope. There the iso-densities show an axis ratios of up to $``$ 1.3.

The intermediate and outer H-rich layers remain spherical. This has strong consequences for the observations, in particular, for polarization measurements. In general, the polarization should be larger in SNe Ib/c compared to classical SNe II which is consistent with the observations by Wang et al. (2000). Early on, we expect no or little polarization in supernovae with a massive, hydrogen rich envelope which will increase with time to about 1% (Höflich 1991), depending on the inclination the SN is observed. This is also consistent both with the long-term time evolution of SN1987A (Jefferies 1991).

Recently, the plateau supernova 1999em has been observed with VLT and Keck providing the best time coverage up to know of any supernovae (Wang et al. 2000; Leonard et al. 2001). The basic trend has been confirmed which we expected from the hydro. Indeed, $`P`$ is very low early on, and it rises when more central parts are seen. However, there are profound differences which point towards an additional mechanism to produce aspherical photospheres.

SN1999em is an extreme plateau supernovae with a plateau lasting for more than 100 days (IAUC 7294 to 7355). However, no detailed light curves have been published. Therefore, in Fig. 5, we show a theoretical LC which resembles SN 1999em with respect to the duration of the plateau and its brightness, and the typical expansion velocities. The light curves of SNe IIp show three distinct phases (Fig. 5). 1) Most of the envelope is ionized. This phase depends sensitively on the explosion energy, mixing of radioactive Ni, and the mass of the progenitor, e.g. either strong mixing or $`E_{kin}1foe`$ will cause a steep and steady increase in the luminosity (and in B and V); 2) The emitted energy is determined by the receding (in mass) of the H recombination front which is responsible for both the release of stored, thermal and the recombination energy. At the recombination front, the opacity drops by about 3 orders of magnitude when it changes from electron scattering dominated to bound-free/ free-free. This provides a self regulating mechanism for the energy release. If too little energy is released, the opacity drops fast causing an increase in the speed at which the the photosphere is receding. In term, this causes a larger energy release and vs. . Hydrogen recombines at a specific temperature at or just below the photosphere. Due to the flat density profiles of the expanding envelopes in the RSG case, the photospheric radius and, thus, the luminosity L stays almost constant. After the recombination front has passed through the H-rich envelope, the brightness drops fast. During phase 3), L is given by the instant energy release by radioactive decay of $`{}_{}{}^{56}Co`$. Obviously, the steep rise in $`P`$ of SN1999em coincide with the transition from phase 1 to 2, pointing towards un-isotropic excitation as a new mechanism for producing aspherical photospheres and, consequently, polarization. To quantify the effect, we have calculated the temperature and ionization structure of a SN IIp (Fig. 5). Starting from a spherical model, the initial chemical distribution has been taken from our 3-D jet simulation. As mentioned above, the chemical profile is frozen out after about 250 sec, and the expansion becomes spherical. The further evolution can be followed with our 1-D radiation code. For several moments of time, we have calculated the ionization structure and continuum polarization based of the 3-D chemical structure and the spherical density distribution under the assumption that the distribution of the radioactive Ni coincides with the jet-material. Note that the $`{}_{}{}^{56}Ni`$ layers extend throughout the He-core ($`5M_{}`$) in polar directions but they are confined to the very center along the equatorial plane (Fig. 5, upper, middle panel) leading to an increased transport of energy and, consequently, heating toward polar directions. Before the recombination phase, the opacity is dominated by Thomson scattering which does not depend on the temperature, and the shape of the photosphere remains almost spherical. However, during the recombination phase, the location of the photosphere depends sensitively on the heating, and the photosphere becomes prolate (Fig. 5, lower, right panel). There is a gradual increase in P and no jump $`P`$ because of the optically thick H-rich layers below the photosphere redistribute the photons. The increase of P depends on the geometrical expansion and speed (in mass) of the receding recombination front.

## IV Conclusions

We have numerically studied the explosion of Core Collapse supernovae caused by supersonic jets generated in the center of the supernova as a result of the core collapse into a neutron star. We simulated the process of the jet propagation through the star, the redistribution of elements, and radiation transport effects. A strong explosion and a high efficiency for the conversion of the jet energy requires low jet velocities or a low, initial collimation of the jet. With increasing extension of the envelope, the conversion factor increases. Typically, we would expect higher kinetic energies in SNe II compared to SNe Ib/c if a significant amount of explosion energy is carried away by jets. Within the framework of jet-induced SN, the lack of this evidence suggests that the jets have low velocities.

The He, C, O and Si rich layers of the progenitor show characteristic, butterfly-shape structures. This overall morphology and pattern should be observable in supernovae remnants, e.g. with the Chandra observatory despite some modifications and instabilities when the expanding medium interacts with the interstellar material.

During the explosion, the jets bring heavy and intermediate mass elements into the outer layers including $`{}_{}{}^{56}Ni`$. Due to the high entropies of the jet material close to the center, this may be a possible site for r-process elements. Spatial distribution of the jet material will influence the properties of a supernova. In our model for a SN II, the jet material stalled within the expanding envelope corresponding to a velocity of $`4500km/sec`$ during the phase of homologous expansion. In SN1987A, a bump in spectral lines of various elements has been interpreted by material excited by a clump of radioactive $`{}_{}{}^{56}Ni`$ (Lucy 1988). Within our framework, this bump may be a measure of region where the jet stalled. This could also explain the early appearance of X-rays in SN1987A which requires strong mixing of radioactive material into the hydrogen-rich layers (see above), and the overall distribution of elements and distribution of elements in the resolved HST-images of the inner debris of SN 1987A. We note that, if this interpretation is correct, the ’mystery spot’ (Nisenson et al. 1988) would be unrelated. In contrast to 1-D simulations, we find in our models strong, continuous fallback over an extended period of time, and a lack of an inner, almost empty cavity. This significant amount of fallback and the consequences for the secondary formation of a black hole shall be noted. Moreover, fallback and the low velocity material may alter the escape probability for $`\gamma `$-rays produced by radioactive decay of $`{}_{}{}^{56}Ni`$. In general, the lower escape probability is unimportant for the determination of the total $`{}_{}{}^{56}Ni`$ production by the late LCs because full thermalization can be assumed in core collapse SN during the first few years. However, in extreme cases such as SN98BW (e.g. Schaefer et al. 2000), only a small fraction of gamma’s are trapped. Effects of multi-dimensionality will strongly alter the energy input by radioactive material and disallow a reliable estimate for the total $`{}_{}{}^{56}Ni`$ mass.

Qualitatively, the jet-induced picture allows to reproduce the polarization observed in core collapse supernovae. Both asymmetric ionization and density/chemical distributions have been identified as crucial. Even within the picture of jet-induced explosion, the latter effect alone cannot (!) account for the high polarization produced in the intermediate H-rich layers of core-collapse SN with a massive envelope such as SN 1999em. The former effect operates only during a recombination phase, and can be expected to dominate the polarization in core-collapse supernovae with massive H-rich envelope during the first 1 to 2 months. Complete time series of polarization measurements are needed to test this suggestion.

Finally, we want to emphasize the limits of this study and some of the open questions which will be addressed in future. We have assumed that jets are formed in the course of the formation of a neutron star, and have addressed observational consequences and constrains. However, we have not calculated the jet formation, we do not know if they really form, and, if they form, whether they form in all core-collapse supernovae. Qualitatively, the observational properties of core collapse supernovae are consistent with jet-induced supernovae and support strongly that the explosion mechanism is highly aspherical but more detailed comparisons with an individual objects must be performed as soon as the data become available. We cannot claim that the jets are the only mechanism that can explain asphericity in supernovae but any competing mechanism must involve some sort of axial symmetry on large scales with a profound impact on the explosion such as rapid rotation. It remains to be seen whether asymmetry and axial symmetry are the ’smoking gun’ for our understanding of the SN-mechanism. mm

Acknowledgments: We want to thank our colleagues for helpful discussions, in particular, D. Baade, E.S. Oran, J.C. Wheeler, Inzu Yi A., C. Mayers, J.C. Wilson, A. Chieffi, M. Limongi, and O. Straniero. This work is supported in part by NASA Grant LSTA-98-022.