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# Access time of an adaptive random walk on the world-wide Web

## Abstract

We introduce and simulate the random walk that adapts move strategies according to local node preferences on a directed graph. We consider graphs with double-hierarchical connectivity and variable wiring diagram in the universality class of the world-wide Web. The ensemble of walkers reveals the structure of local subgraphs with dominant promoters and attractors of links. The average access time decays with the distance in hierarchy $`\mathrm{\Delta }q`$ as a power $`<t_{aw}>(\mathrm{\Delta }q)^\theta `$. The access to highly connected nodes is orders of magnitude shorter compared to the standard random walk, suggesting the adaptive walk as an efficient message-passing algorithm on this class of graphs.

Networks pervade all science  making the problem of understanding the structure and dynamics of complex networks the greatest challenge today. Cellular and metabolic networks , chemical reactions , social collaboration  and science citation networks , and the world-wide Web  are examples of networks that can be characterized by random graphs with individual dynamics and coupling architecture. In his inspiring paper Strogatz  suggests that the inherent difficulty to understand networks lies in the intimate relationship between their structural complexity and evolution. To this end, the principle of universality that applies to systems with scale-free structures can play an important role in revealing those properties of the dynamics that are relevant for the universal behavior of a network. The world-wide Web belongs to the class of directed graphs with double-hierarchical organization of node ranks  in which the wiring diagram rapidly changes in time. By exploiting the universality, the recently proposed model  suggests minimum dynamic rules that are able to account for the complexity of the Web. So far other systems in this universality class are not known. It is tempting to believe that certain catalytic reactions in open environment  can be represented by dynamic processes on directed graphs with variable wiring diagram.

Study of the response and relaxation of the network is the best way to understand how the structure affects function. Various dynamic processes, e.g., percolation and fragmentation by diluting links (a), core percolation by stripping leaves (b), and spreading of epidemics  on networks of a given structure were examined.

In this work we study the random-walk dynamics on a directed graph. In particular, we consider a double-hierarchical directed graph in the universality class of the world-wide web , in which in- and out-links are governed by two distinct (and statistically dependent) power-law probability distributions. We introduce a random walker which copies its move strategies from the local node linking preferences. An ensemble of adaptive random walkers efficiently scans the connected subgraphs. The prominent feature of this class of hierarchically connected graphs is that the average access time to a node at distance $`\mathrm{\Delta }q`$ measured by in- or out-ranks decreases as a fractal power of the distance, indicating the presence of a peculiar structure with few dominant promoter and attractor nodes. The adaptive random walk suggests how an efficient message-passing algorithm can be constructed, that is driven by the properties inherent to this class of graphs. We demonstrate the advantages of the adaptive random walk by in parallel simulating the standard random walk on the same graph.

We consider a directed graph evolving from the dynamic rules which are recently suggested  to mimic growth of the world-wide Web (the Web graph). The basic properties of the model are : (i) Directed linking, suggesting that at a node out- and in-links are not symmetric; (j) Growth and rearrangements (updates of links) at a unique time scale; and (k) Bias update and bias attachment of links, with probabilities specified below. At each growth step a new node is added to the network and the number of links changes by amount $`M(t)`$. A fraction $`f_0(t)\alpha M(t)`$ of new links are outgoing links from the new added node $`i=t`$, whereas the remaining $`f_1(t)(1\alpha )M(t)`$ links are the updated links at other nodes in the network. Hence, the relevant parameter in the model is the ratio of updated and added links at each time step, i.e., $`\beta f_1(t)/f_0(t)=(1\alpha )/\alpha `$, which is independent of the actual increment $`M(t)`$. Furthermore, the variations in $`M(t)`$ are such that an average value $`M\overline{M(t)}`$ is finite, which can be considered as a constant in first approximation. In practice, the number of nodes and the number of links in the network increases with time, so that reasonable values for the average $`M`$ are positive. For consistency, we keep $`M=1`$ throughout this work (rendering reasonable computation time) .

Bias activity of agents who create or update outgoing links from the Web pages (nodes) and bias (preferential) attraction of links can be formulated via following rules: At the growth step $`i`$ an outgoing link is created from a node $`ni`$ with probability

$$p_1(n,i)=\frac{\alpha M+q_{out}(n,i)}{(1+\alpha )Mi}.$$
(1)
The link points towards the node $`k`$ with the probability

$$p_2(k,i)=\frac{\alpha M+q_{in}(k,i)}{(1+\alpha )Mi},$$
(2)
where $`q_{out}(n,i)`$ and $`q_{in}(k,i)`$ are current number of outgoing and incoming links at respective nodes at the growth step $`i`$. It is assumed that at the time of addition of a node $`i`$ to the network $`q_{out}(i,i)=q_{in}(i,i)=0`$. Therefore, the biasing in the dynamics is linked to the time fluctuations of the node ranks. The effects of the attachment rule in Eq. (2) to the distribution of in-degree was studied analytically in Ref. . For the values of the control parameter $`\beta `$ in the range $`0<\beta <\mathrm{}`$, corresponding to $`1>\alpha >0`$, the network has the capability to rearrange  its structure of links at the pace at which it grows. This property makes the Web substantially different from the networks that have static links. In our notation the networks with fixed links, e.g., science citation network , correspond to the limit $`\beta =0`$ (i.e., $`\alpha =1`$).

As discussed in detail in Ref.  the network that evolves according to the dynamic rules in Eqs. (1)-(2) shows a complex topology of links in which nodes are arranged hierarchically both according to ranks of outgoing and incoming links, in accordance with the data in the real Web . The cumulative probability distributions that describe node ranks are

$$P(q_{out})q_{out}^{(\tau _{out}1)};P(q_{in})q_{in}^{(\tau _{in}1)}.$$
(3)
The corresponding scaling exponent $`\tau _{in}`$ is given by the exact result  $`\tau _{in}=2+\alpha `$, whereas $`\tau _{out}2+3\alpha `$  is approximately linear for $`\alpha 0.66`$ and increases faster than linear for $`\alpha \alpha _c<1`$. For $`\alpha 1`$ the distribution of outgoing links loses the scaling behavior and approaches random distribution. By comparison with the measured distributions of outgoing and incoming links in the real world-wide Web  the parameter $`\alpha `$ is estimated as  $`\alpha =0.22\pm 0.1`$, leading to $`\beta `$ in the range 3–4.

The topology of links in Eq. (3) affects the character of the dynamic processes on the Web graph and its relaxation properties. Next we study two types of random walks on the Web graph—a naive random walk and a walk with adaptive rules defined below. We first grow a network of $`N`$ nodes using the evolution rules in Eqs. (1-2). The walk then starts at time $`t=0`$ from a randomly selected initial node, say node $`n`$. At this node we have $`q_{out}(n)q_{out}(n,N)`$ outgoing links. (It is assumed that the network does not grow during the walk, although this restriction is not essential for the results.) A naive random walker selects its next move along one of the outgoing links of the node $`n`$ with equal probability $`w_0(n)=1/q_{out}(n)`$, say the link pointing to the node $`k`$ and moves there. At the next step it makes a similar selection among $`q_{out}(k)`$ links, and so on. In contrast to this standard random walk rules, the adaptive random walker at each node selects the link with certain statistical weight. Here we assume that the weights are correlated with the linking preferences in Eq. (2) of the visited node. In particular, the walker investigates target nodes $`k_{\mathrm{}}`$ at the other end of each the outgoing link $`\mathrm{}`$, $`1\mathrm{}q_{out}(n)`$ of the visited node $`n`$ and assigns the weights $`w_{\mathrm{}}`$ to the corresponding links, where

$$w_{\mathrm{}}p_2(k_{\mathrm{}},N),\mathrm{\Sigma }_{\mathrm{}=1}^{q_{out}(n)}w_{\mathrm{}}=1,$$
(4)
and $`p_2(n,i=N)`$ is given in Eq. (2) with the normalization in Eq. (4). Thus, the adaptive walker uses the same principle of selection that applied earlier to linking from the visited node. It should be noted that the weights $`w_{\mathrm{}}`$ are not necessarily identical to linking probabilities, both because they are evaluated in fully grown network and normalized. It this way, the adaptive random walker (ARW) utilizes the full information about local architecture of in- and out-degree of the graph, whereas the naive random walker (NRW) is driven exclusively by the out-degree distribution, thus exploiting only a part of the available information. The walk continues as long as $`q_{out}(k)>0`$ at last visited node, and stops at a node with no out-links $`q_{out}(k)=0`$ (border of the graph ).

Both ARW and NRW on the graph traverse along a connected path of nodes, that, in principle, is a subset of the set of all connected nodes (so called connected component, which is usually searched by the Web crawls). Similarly, the length of the walk is not equal to the depth of the connected component, because the walk can move backwards making loops of any size. Hence the random-walk path represents a local structure on the graph, that we discuss below. In the metabolic and catalytic reaction networks the path of the walk represents a possible relaxation process between two states corresponding to the departing and final node of the walk, respectively. In this context a naive random walk can not be considered as a process of choice, given that the presence of enzymes or catalysts inevitably selects the preferred reaction, much similar to our adaptive random walk.

It is interesting to define the distance traversed by a walker on the network in terms of the difference in node ranks $`\mathrm{\Delta }q`$, in which the graph has a nontrivial topology. The distribution of such distances in principle depends on the time of the walk. In Fig. 1 we present the results of time-integrated distribution $`W(\mathrm{\Delta }q)`$ of distances $`\mathrm{\Delta }q`$ both for in- and out-links. Two bottom curves on the main figure represent the distribution for the adaptive random walk, whereas the curves above the dotted line are the corresponding distributions in the case of the naive random walk. As it is seen immediately from Fig. 1 the connected subgraphs visited by an ensemble of random walkers have topology that can be described by the power-law distributions

$$W(\mathrm{\Delta }q_{out})(\mathrm{\Delta }q_{out})^{\delta _{out}};W(\mathrm{\Delta }q_{in})(\mathrm{\Delta }q_{in})^{\delta _{in}},$$
(5)
with the distinct distribution of in- and out-degree, resembling the global structure of the graph in Eq. (3). For the adaptive random walk the exponents $`\delta _{in}`$ and $`\delta _{out}`$ are close to $`\tau _{in}`$ and $`\tau _{out}`$ in Eq. (3), respectively, of the underlying graph structure (see inset to Fig. 1). In fact, the scaling exponents do depend on the size of the ensemble $`N_a`$ relative to the size of the network $`N`$. In the inset to Fig. 1 we have shown the exponents $`\delta _{in}`$ and $`\delta _{out}`$ measured by the ARW ensemble of the same size ($`N_a=2\times 10^5`$) as the distributions in the main Fig. 1, but at larger network $`N=10^5`$. This measurements result in larger exponents compared to the slopes measured in smaller network $`N=10^4`$ (cf. main Fig. 1). The exponents decrease with increasing ratio $`N_a/N`$. When a large enough ensemble of the adaptive random walkers is used the structure of selected subgraphs approaches the underlying topology of the entire graph (see caption to Fig. 1). Therefore, an ensemble of the adaptive random walkers on the Web graph can be used as a search algorithm for the structure of connected subgraphs.

In the case of naive random walk the distributions are qualitatively different from the global graph structure (see two top curves in main Fig. 1). While the distributions of in- and out-degree still differ each from other, the corresponding scaling exponents are $`\delta _{in}<2`$ and $`\delta _{out}<2`$. (Some consequences of this property will be discussed later.) The distributions $`W(\mathrm{\Delta }q)`$ shown in Fig. 1 indicate that in the ensemble of naive random walkers several well connected nodes (i.e., for large $`\mathrm{\Delta }q`$) are visited more frequently than in the ensemble of the same size made of the adaptive random walkers (frequency can differ up to four orders of magnitude for the simulated conditions, see Fig. 1). This suggests that a naive random walker is wasting time by walking in closed loops, which often pass through several highly connected nodes on the graph.

Direct measurements of the access time support this conclusion. We measure the average access time for a given distance $`\mathrm{\Delta }q`$ in the ensemble of walkers corresponding to the distributions in Fig. 1. The results are shown in Fig. 2. The average access time for the naive random walker is generally higher than the one of the adaptive walker, the ratio reaching $`<t_r>/<t_w>0.5\times 10^2`$ for large distances. The most remarkable feature of this class of networks is that the average access time decreases as a fractional power of the distance in hierarchy, i.e.,

$$<t_w>(\mathrm{\Delta }q)^\theta \mathrm{\Phi }(t/\mathrm{\Delta }q),$$
(6)
for distances $`\mathrm{\Delta }q`$ below the cut-off. On the double-hierarchical graphs that we study here, the Eq. (6) applies both for the random and for the adaptive walk, with different exponents $`\theta _{arw}`$ and $`\theta _{nrw}`$ as shown in Fig. 2. This implies that decrease of the access time with the ranks differences is an essential feature of these graphs that can be understood in the following way. Consider a node of in-degree $`k`$. It can be directly linked to a node of degree $`k+Q`$. Majority of nodes have a link with rather large rank difference $`Q`$—linking to a dominant attractor in view of the rule (2). The ARW, which is designed to follow such links, reaches quickly a locally dominant attractor. According to the fast decaying distribution $`W(\mathrm{\Delta }q)`$ (we measured $`\theta _{arw}^{in}=1.97\pm 0.04`$) there is a small number of attractors in the area scanned by the ARW. Hence, the access to any other node, including a node with a large out-degree often goes via a dominant attractor. The nodes with a large out-degree have the capacity to disperse the links throughout the network, because the probability to link back to the attractor decreases with the number of out-links (cf. Eq. (4) ), i.e., they act as the promoters of the dynamics. In Fig. 2 the average time to access a dominant promoter is 2-20 steps for the ARW, compared with $``$ 200-600 steps for the NRW, suggesting that the naive random walker makes up to 300 cycles containing locally dominant attractor and promoter node. Evidences of such structure in the real Web were recently discussed in Ref. .

The probability $`P(t)`$ that a walk survives for $`t`$ steps on the Web graph is a quantitative measure of relaxation of the graph. The simulated survival probability $`P(t)`$ shown in the inset to Fig. 2 indicate once again that the adaptive and naive random walk represent two types of relaxation processes. Although the fitted expressions are not definitive and require further theoretical analysis, they suggest that a random walk on this class of graphs corresponds to a stretch exponential relaxation, similar to relaxation in complex disordered systems, whereas the adaptive random walk dies off nearly exponentially.

As potential applications of these results we can mention the processes of message-passing and infection-spreading on the Web graph. Assuming that an infection can be transmitted with the walker, we find that both the complex architecture of the graph and the walk strategies are relevant for the spreading. Due to a slow relaxation and heavy tail of the distribution $`W(\mathrm{\Delta }q)`$ of visited nodes ($`\delta _{in}<2`$) in the case of the naive random walkers the epidemics is likely to spread over the entire graph. With the adaptive random walkers, on the other hand, the affected area remains restricted, however, locally dominant nodes are quickly affected. The adaptive random walk also offers an efficient algorithm of message passing to a given destination on the Web graph .

To explore the complex structure of the Web graph we proposed an adaptive random walk that learns its move strategies from the time varying local dynamic rules of the graph itself. The walker has a short access time to dominant nodes on the graph and affects a restricted area—the properties that are relevant for the potential applications. The adaptive random walk is a good candidate for a message-passing algorithm on the Web graph (and catalytic reactions in the same universality class), which builds its efficiency on fully exploiting the local graph structure with double-hierarchical connectivity.

###### Acknowledgements.

This work was supported by the Ministry of Education, Science and Sports of the Republic of Slovenia. I thank to Vyatcheslav Priezzhev for correspondence.


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# One and Two-photon Physics with Relativistic Heavy Ions

## I Peripheral Collisions

In peripheral collisions of relativistic heavy ions (PCRHI)  the number of equivalent photons with energy $`\omega `$, $`n(\omega )`$, has been calculated classically , and quantum-mechanically . It has been shown  that for the electric dipole multipolarity, E1, the equivalent photon number, $`n_{E1}(\omega )`$, coincides with the one deduced classically  for very forward scattering. $`E2`$-photons are more abundant at low energies. But, in the extreme relativistic collisions the equivalent photon numbers for all multipolarities agree, i.e, $`n_{E1}(\omega )n_{E2}(\omega )n_{M1}(\omega )\mathrm{}`$. The cross sections for one- and two-photon processes depicted in figure 1 are given approximately by

$$\sigma _X=𝑑\omega \frac{n\left(\omega \right)}{\omega }\sigma _X^\gamma \left(\omega \right),\mathrm{and}\sigma _X=𝑑\omega _1𝑑\omega _2\frac{n\left(\omega _1\right)}{\omega _1}\frac{n\left(\omega _2\right)}{\omega _2}\sigma _X^{\gamma \gamma }(\omega _1,\omega _2),$$
(1)
where $`\sigma _X^\gamma \left(\omega \right)`$ is the photon-induced cross section for the energy $`\omega `$, and $`\sigma _X^{\gamma \gamma }(\omega _1,\omega _2)`$ is the two-photon cross section. For one-photon processes, e.g., Coulomb fragmentation, $`\sigma _X^\gamma \left(\omega \right)`$ is localized in a small energy interval and one gets a cross section in the form $`\sigma =A\mathrm{ln}\gamma _c+B`$, where $`A`$ and $`B`$ are coefficients depending on the system. The $`ln\gamma _c`$ factor is due to the equivalent photon number (EPA), $`n\left(\omega \right)`$, which is approximately independent of $`\omega `$ in the integral range of interest. As for the two-photon processes, besides the $`ln^2\gamma _c`$ from $`n_1`$ and $`n_2`$, a third $`ln\gamma _c`$ arises from the integral over $`\omega _1`$ ($`\omega _1`$ and $`\omega _2`$ are related by energy conservation). Note that here we used $`\gamma _c`$ of a HI-collider, so that $`\gamma =2\gamma _c^21`$, with $`\gamma _c`$ the collider Lorentz gamma factor ($`\gamma _c100`$ for RHIC/BNL).

## II Bremsstrahlung and Delbrück scattering

Bremsstrahlung (fig. 1c) is a minor effect in PCRHI . The cross section is proportional to the inverse of the square mass of the ions. Most photons have very low energies. For 10 MeV photons the central collisions (CCRHI) deliver 106 more photons than the PCRHI . For a collider the Bremsstrahlung differential cross section is given by $`d\sigma _\gamma /d\omega =16Z^6\alpha ^3\left(3\omega A^2m_N^2\right)^1\mathrm{ln}\left(\gamma /\omega R\right)`$, where $`m_N`$ is the nucleon mass, $`\gamma =2\gamma _c^21`$, where $`\gamma _c`$ is the collider Lorentz gamma factor ($`\gamma _c100`$ for RHIC/BNL), and $`R`$ is the nuclear dimension ($`R2.4\times A^{1/3}`$ fm) .

For very low energy photons ($`\omega 100`$ eV) the whole set of particles in a bunch act coherently and a great number of Bremsstrahlung photons are produced. This has been proposed as a tool for monitoring the bunch dimensions in colliders .

Delbruck scattering ($`\gamma ^{}+\gamma ^{}\gamma +\gamma `$) involves an additional $`\alpha ^2`$ as compared to pair production and has never been possible to study experimentally. The cross section is about 50 b for the LHC  and the process is dominated by high-energy photons, $`E_\gamma m_e`$. A study of this process in PCRHI is thus promising if the severe background problems arising from CCRHI can be eliminated. No experiments of Bremsstrahlung or Delbrück scattering in PCRHI have been performed so far. The total cross section for Delbrück scattering ($`\omega m_e`$) in colliders is given by $`\sigma =2.54Z^4\alpha ^4r_e^2\mathrm{ln}^3\left(\gamma /m_eR\right)`$, where $`r_e=e^2/m_e`$ is the classical electron radius .

## III Atomic ionization

The cross sections for atomic ionization are very large, of order of kilobarns, increasing slowly with the logarithm of the RHI energy. For a fixed target experiment using naked projectiles one gets : $`\sigma _I=Z_P^2r_e^2\left(Z_T\alpha \right)^2\left[1.8\pi +9.8\mathrm{ln}\left(2\gamma /Z_T\alpha \right)\right]`$, which decreases with the target charge $`Z_T`$. This is due to the increase of the binding energy of $`K`$-electrons with the atomic charge. The first term is due to close collisions assuming elastic scattering of the electron off the projectile, while the second part is for distant collisions, with impact parameter larger than the Bohr radius. Recently, Baltz  has shown that the numerical factors in the equation above should be replaced by $`1.81.741.83`$ and $`9.87.21`$, respectively, when one includes higher order terms in the perturbation series. The probability to eject a $`K`$-electron is much larger than for other atomic orbitals. Recent experiments have reported ionization cross sections for $`Pb^{81+}`$ (33 TeV) beams on several targets . In this case, the role of projectile and target are exchanged in the previous equation. In figure 2 we show the results of this equation (dashed line) compared to the experimental data. Since the targets are screened by their electrons, the discrepancy is expected. Even the most detailed calculations by Anholt and Becker  (solid line) or of Baltz  yield larger cross sections than the experimental data.

Non-perturbative calculations, solving the time dependent Dirac equation exactly, were first performed by Giessen and Oak Ridge groups . The main problem is to adequately treat the several channels competing with the ionization process, specially for atoms with more than one electron. Also, the effects of screening (static and dynamical) are hard to calculate. On the experimental side, there are little data available for a meaningful comparison with theory.

## IV Free and bound-free electron-positron pair production

It has been demonstrated long time ago  that to leading order in $`ln\gamma `$, the $`e^+e^{}`$-pair production in PCRHI is given by $`\sigma =(28/27\pi )Z_P^2Z_T^2r_e^2\mathrm{ln}^3\left(\gamma /4\right)`$. A renewed interest in this process appeared with the construction of relativistic heavy ion accelerators. For heavy ions with very large charge (e.g, lead, or uranium) the pair production probabilities and cross sections are very large. They cannot be treated to first order in perturbation theory , and are also difficult to calculate. This resulted in a great amount of theoretical studies .

Replacing the Lorentz compressed electromagnetic fields by delta functions, and working with light cone variables, one has developed more elaborate calculations , recently. The latest debate around the subject is the proper treatment of Coulomb distortion of the lepton wavefunctions, and of production of n-pairs .

An important phenomenon occurs when the electron is captured in an atomic orbit of the projectile, or of the target. In a collider this leads to beam losses each time a charge modified nucleus passes by a magnet downstream . A striking application of this process was the recent production of antihydrogen atoms using relativistic antiproton beams . Here the positron is produced and captured in an orbit of the antiproton. Early calculations for this process used perturbation theory . Some authors use non-perturbative approaches, e.g., coupled-channels calculations . Initially some discrepancy with perturbative calculations were found, but later it was shown that non-perturbative calculations agree with the perturbative ones at the 1% level (see, e.g., first reference of ).

The expression $`\sigma =3.3\pi Z^8\alpha ^6r_e^2\left[\mathrm{exp}\left(2\pi Z\alpha \right)1\right]^1\left[\mathrm{ln}\left(0.681\gamma /2\right)5/3\right]`$ for pair production with electron capture in PCRHI was obtained in ref. . The term $`\left[\mathrm{}\right]^1`$ is the main effect of the distortion of the positron wavefunction. It arises through the normalization of the continuum wavefunctions which accounts for the reduction of the magnitude of the positron wavefunction near the nucleus where the electron is localized (bound). Thus, the greater the $`Z`$, the less these wavefunctions overlap. The above equation predicts a dependence of the cross section in the form $`\sigma =A\mathrm{ln}\gamma +B`$, where $`A`$ and $`B`$ are coefficients depending on the system. This dependence was used in the analysis of the experiment in ref. . In recent calculations, attention was given to the correct treatment of the distortion effects in the positron wavefunction . In figure 3 we show the recent experimental data of ref.  compared to the above equation and recent calculations (second reference of ). These calculations also predict a $`\mathrm{ln}\gamma `$ dependence but give larger cross sections than in ref. . The comparison with the experimental data is not fair since atomic screening was not taken into account. When screening is present the cross sections will always be smaller up to a factor of 2 . The conclusion here is that pair production with electron capture is a process which is well treated in first order perturbation theory. Again, the main concern is the correct treatment of distortion effects (multiphoton scattering) .

The production of para-positronium in heavy ion colliders was calculated . The cross section at RHIC is about 18 mb. This process is of interest due to the unusual large transparency of the parapositronium in thin metal layers.

## V Relativistic Coulomb excitation and fragmentation

Relativistic Coulomb excitation is becoming a popular tool for the investigation of the intrinsic nuclear dynamics and structure of the colliding nuclei, specially important in reactions involving radioactive nuclear beams . Coulomb excitation and dissociation of such nuclei are common experiments in this field . The advantage is that the Coulomb interaction is very well known. The real situation is more complicated since the contribution of the nuclear-induced processes cannot be entirely separated in the experimental data. The treatment of the dissociation problem by nuclear forces is very model dependent, based on eikonal or multiple Glauber scattering approaches . Among the uncertainties are the in-medium nucleon-nucleon cross sections at high-energies, the truncation of the multiple scattering process and the separation of stripping from elastic dissociation of the nuclei . Nonetheless, specially for the very weakly-bound nuclei, relativistic Coulomb excitation has lead to very exciting new results .

In the Coulomb breakup of weakly-bound nuclei one speculates if the reaction proceeds via a single or multiple photon-exchange between the projectile and the target. In the first case, perturbation theory gives a direct relation between the data and the matrix element for electromagnetic dissociation. Such matrix elements are the clearest probes one can get about the nuclear structure of these nuclei. In the second case, often called by post-acceleration effects , one has to perform a non-perturbative treatment of the reaction what complicates the extraction of the electromagnetic (mainly E1) matrix elements. One expects to learn if the Coulomb-induced breakup proceeds via a resonance or by the direct dissociation into continuum states . There is a strong ongoing effort to use the relativistic Coulomb excitation technique also for studying the excitation of bound excited states in exotic nuclei, to obtain information on gamma-decay widths, angular momentum, parity, and other properties of hitherto unknown states .

Radiative capture reactions are known to play a major role in astrophysical sites, e.g., in a pre-supernova . Some of these reactions, like for example, $`{}_{}{}^{7}Be(p,\gamma )^8B`$, can be studied via the inverse photo-dissociation reaction $`{}_{}{}^{8}B(\gamma ,p)^7Be`$. One often uses the astrophysical S-factor, defined by $`S(E)=E\sigma \left(E\right)\mathrm{exp}\left[2\pi \eta \left(E\right)\right]`$, where $`\eta \left(E\right)=Z_1Z_2e^2/\mathrm{}\sqrt{2\mu _{12}E}`$, where $`E`$ is the relative kinetic energy of the two nuclei. The matrix elements involved in the dissociation processes are the same as those involved in the absorption by real photons . One of the experiments using this technique was performed at the GSI/Darmstadt . The S-factor obtained in this experiment is shown in figure 4 as solid circles.

A giant dipole resonance (GDR) occurs in nuclei at energies of 10-20 MeV. Assuming that these are harmonic vibrations of protons against neutrons, one expects that DGDRs (Double Giant Dipole Resonances), i.e., two giant dipole vibrations superimposed in one nucleus, will have exactly twice the energy of the GDR . A series of experiments at the GSI/Darmstadt has obtained energy spectra, cross sections, and angular distribution of fragments following the decay of the DGDR. It was shown that the experimental cross sections are about 30% bigger than the theoretical ones. This is shown in figure 5 where the cross sections for the excitation of 1-phonon (GDR), $`\sigma _12\pi S\mathrm{ln}\left[2\gamma A_T^{1/3}\left(A_P^{1/3}+A_T^{1/3}\right)^1\right]`$, while for the 2-phonon state it is $`\sigma S^2\left(A_P^{1/3}+A_T^{1/3}\right)^2`$, where $`S=5.45\times 10^4Z_P^2Z_TN_TA_T^{2/3}`$ mb. The dashed lines of figure 5 are the result of more elaborate calculations . The GSI experiments are very promising for the studies of the nuclear response in very collective states. One should notice that after many years of study of the GDRs and other collective modes, the width of these states are still poorly explained theoretically, even with the best microscopic approaches known sofar. The extension of these approaches to the study of the width of the DGDRs will be helpful to improve such models.

In colliders it was shown that the mutual Coulomb excitation of the ions (leading to their simultaneous fragmentation) is a powerful tool for beam monitoring . A recent measurement at RHIC by Sebastian White and collaborators , using the Zero Degree Calorimeter to measure the neutron decay of the reaction products, has proved the feasibility of the method. The theoretical prediction of about 3 b for this process, agrees quite well with the experimental results.

The DGDR contributes only to about 10% of the total fragmentation cross section induced by Coulomb excitation with relativistic heavy ions. The main contribution arises from the excitation of a single GDR, which decays mostly by neutron emission. This is also a potential source of beam loss in relativistic heavy ion colliders , and an important fragmentation mode of relativistic nuclei in cosmic rays.

## VI Meson and hadron production

The production of heavy lepton pairs ($`\mu ^+\mu ^{}`$, or $`\tau ^+\tau ^{}`$), or of meson pairs (e.g., $`\pi ^+\pi ^{}`$) can be calculated using the second of equation (1). One just needs the cross sections for $`\gamma \gamma `$ production of these pairs. Since they depend on the inverse of the square of the particle mass , the pair-production cross sections are much smaller in this case. The same applies to single meson production by $`\gamma \gamma `$ fusion. The $`\gamma \gamma `$ cross section is given by $`\sigma _{\gamma \gamma M}=8\pi ^2(2J+1)\mathrm{\Gamma }_{M\gamma \gamma }\delta (W^2M^2)/M`$, where $`J`$, $`M`$, and $`\mathrm{\Gamma }_{M\gamma \gamma }`$ are the spin, mass and two-photon decay width of the meson, $`W`$ is the c.m. energy of the colliding photons . In ref.  the following equation was obtained for the production of mesons with mass $`M`$ in HI colliders: $`\sigma =Z^4\alpha ^2(128\mathrm{\Gamma }_{\gamma \gamma }/3M^3)\mathrm{ln}^3\left(2\gamma \delta /MR\right)`$, where $`\delta =0.681\mathrm{}`$ Later  it is shown that a more detailed account of the space geometry of the two-photon collision is necessary, specially for the heavier mesons.

A careful study of the production of meson pairs and single mesons in PCRHI was performed recently in ref.  (see also, ). In table I we show the magnitude of the cross sections for single meson production at RHIC and at LHC . Also shown are the cross sections due to difractive processes (pomeron-pomeron exchange). We see that they are several orders of magnitude smaller than those from $`\gamma \gamma `$ fusion. The cross sections for the production of $`\eta _c`$, $`\eta _c^{}`$ and $`\eta _b`$ are very small due to their higher masses. Similar studies have been done for meson production in $`\gamma `$-nucleus interactions. Particles like $`\mathrm{\Delta }`$, $`\rho `$, $`\omega `$, $`\varphi `$, $`J/\mathrm{\Psi }`$, etc, can be produced in this way . However, the one-photon exchange processes are more effective in the production of mesons in PCRHI. One considers the interaction between the photon from one nucleus with a Pomeron from another. These photon-Pomeron interactions were calculated in ref.  and are shown in table II.

The possibility to produce a Higgs boson via $`\gamma \gamma `$ fusion was suggested in ref. . The cross sections for LHC are of order of 1 nanobarn, about the same as for gluon-gluon fusion. But, the two-photon processes can also produce $`b\overline{b}`$ pairs which create a large background for detecting the Higgs boson. A good review of these topics was presented in ref. .

The excitation of a hadron in the field of a nucleus is another useful tool to study the properties of hadrons. It has been used for example to obtain the lifetime of the $`\mathrm{\Sigma }_0`$ particle by measuring the (M1) excitation cross section for the process $`\gamma +\mathrm{\Lambda }\mathrm{\Sigma }_0`$ . The vertex $`\gamma 3\pi `$ has been investigated  in the reaction of pion pair production by pions in the nuclear Coulomb field: $`\pi ^{}+Z\pi ^{}+\pi ^0+Z`$. Also, the $`\pi ^{}`$ polarizability has been studied in the reaction $`\pi ^{}+Z\pi ^{}+\gamma +Z`$ . Other unexplored possibilities includes the excitation of a nucleon to a $`\mathrm{\Delta }`$-particle in the field of a heavy nucleus in order to disentangle the $`M1`$ and $`E2`$ parts of the excitation.

As for meson-production in PCRHI there are several planned experiments at RHIC (see the contribution of Spencer Klein to these proceedings), as well as for the future LHC . These machines were designed for study hadronic processes. But, as have shown in this brief review, they can also be used for studying very interesting phenomena induced in peripheral collisions.

## Acknowledgment(s)

The author is a fellow of the John Simon Guggenheim Memorial Foundation. This work has been authored under Contract N0. DE-AC02-98CH10886 with the DOE/USA and contract No. 41.96.0886.00 with the PRONEX/Brazil.


text:
# Noncommutative geometry of algebraic curves

## Introduction

There is an interest in the last decade in a dictionary between commutative geometry of the rings of polynomials in the complex projective plane and noncommutative geometry of the rings of operators on a Hilbert space. A special case of elliptic curves and noncommutative tori suggests that such a dictionary exists , , ,  et al. In the present note we construct a functor from the category of generic complex algebraic curves to a category of the operator algebras, known as the $`AF`$-algebras, which realizes such a dictionary. The functor maps isomorphic algebraic curves to the stably isomorphic (Morita equivalent) $`AF`$-algebras. This fact, interesting on its own, has applications, e.g. in the construction of a faithful representation of the mapping class group.

Let us outline our construction. Denote by $`T_S(g)`$ the Teichmüller space of genus $`g1`$ with a distinguished point $`S`$. Let $`qH^0(S,\mathrm{\Omega }^2)`$ be a holomorphic quadratic differential on the Riemann surface $`S`$, such that all zeroes of $`q`$ (if any) are simple. By $`\stackrel{~}{S}`$ we understand a double cover of $`S`$ ramified over the zeroes of $`q`$ and by $`H_1^{odd}(\stackrel{~}{S})`$ the odd part of the integral homology of $`\stackrel{~}{S}`$ relatively the zeroes. Note that $`H_1^{odd}(\stackrel{~}{S})Z^n`$, where $`n=6g6`$ if $`g2`$ and $`n=2`$ if $`g=1`$. The fundamental result of Hubbard and Masur  says that $`T_S(g)Hom(H_1^{odd}(\stackrel{~}{S});R)\{0\},`$ where $`0`$ is the zero homomorphism.

Finally, denote by $`\lambda =(\lambda _1,\mathrm{},\lambda _n)`$ the image of a basis of $`H_1^{odd}(\stackrel{~}{S})`$ in the real line $`R`$, such that $`\lambda _10`$. (Note that such an option always exists, since the zero homomorphism is excluded.) We let $`\theta =(\theta _1,\mathrm{},\theta _{n1})`$, where $`\theta _i=\lambda _{i1}/\lambda _1`$. Recall that, up to a scalar multiple, vector $`(1,\theta )R^n`$ is the limit of a generically convergent Jacobi-Perron continued fraction :

$$\left(\begin{array}{c}1\\ \theta \end{array}\right)=\underset{k\mathrm{}}{lim}\left(\begin{array}{cc}0& 1\\ I& b_1\end{array}\right)\mathrm{}\left(\begin{array}{cc}0& 1\\ I& b_k\end{array}\right)\left(\begin{array}{c}0\\ I\end{array}\right),$$
(1)
where $`b_i=(b_1^{(i)},\mathrm{},b_{n1}^{(i)})^T`$ is a vector of the non-negative integers, $`I`$ the unit matrix and $`I=(0,\mathrm{},0,1)^T`$. We introduce an $`AF`$-algebra , $`A_\theta `$, via the Bratteli diagram:

where numbers $`b_j^{(i)}`$ indicate the multiplicity of edges of the graph. Let us call $`A_\theta `$ a toric $`AF`$-algebra. Note that in the case $`g=1`$, the Jacobi-Perron fraction coincides with the regular continued fraction and $`A_\theta `$ becomes the Effros-Shen $`AF`$-algebra of a noncommutative torus . Roughly, the question addressed in this note can be formulated as follows.

Main problem. Suppose that $`C,C^{}T_S(g)`$ are isomoprhic complex algebraic curves of genus $`g1`$. Find an equivalence relation between the corresponding toric $`AF`$-algebras $`A_\theta ,A_\theta ^{}`$.

It is remarkable that the difficult question of an isomorphism between the two algebraic curves has an amazingly simple answer in terms of the operator algebras. Recall that the fundamental equivalence in noncommutative geometry is a stable isomorphism of the operator algebras rather than an isomorphism. The operator algebras $`A,A^{}`$ are stably isomorphic whenever $`A𝒦`$ is isomorphic to $`A^{}𝒦`$, where $`𝒦`$ is the $`C^{}`$-algebra of compact operators. A short answer to the main problem will be that $`A_\theta ,A_\theta ^{}`$ are stably isomorphic. Unfortunately, this beautiful fact holds only for the typical (generic) algebraic curves, which we will further specify. An obstacle in the remaining cases is a (non-generic) divergence of the Jacobi-Perron algorithm. One always has the convergence only in the case $`g=1`$, i.e. when $`A_\theta `$ is an Effros-Shen algebra.

Denote by $`V`$ the maximal subset of $`T_S(g)`$ such that for every complex curve $`CV`$, there exists a convergent Jacobi-Perron continued fraction. Let $`F`$ be the map which sends the complex algebraic curves into the toric $`AF`$-algebras according to the formula $`CA_\theta `$ described above. Finally, let $`W`$ be the image of $`V`$ under the mapping $`F`$. A summary of our results is contained in the following theorem.

###### Theorem 1

The set $`V`$ is a generic subset of $`T_S(g)`$ and the map $`F`$ has the following properties:

(i) $`VW\times (0,\mathrm{})`$ is a trivial fiber bundle, whose projection map $`p:VW`$ coincides with $`F`$;

(ii) $`F:VW`$ is a covariant functor, which maps isomorphic complex algebraic curves $`C,C^{}V`$ to the stably isomorphic toric $`AF`$-algebras $`A_\theta ,A_\theta ^{}W`$.

The note is organized as follows. In section 1 some useful definitions are introduced and theorem 1 is proved in section 2.

## 1 Preliminaries

This section is a brief review of the results necessary to prove our main theorem. For a systematic account, we refer the reader to ,  and .

### 1.1 Measured foliations and $`T(g)`$

A. A measured foliation, $``$, on a surface $`X`$ is a partition of $`X`$ into the singular points $`x_1,\mathrm{},x_n`$ of order $`k_1,\mathrm{},k_n`$ and regular leaves (1-dimensional submanifolds). On each open cover $`U_i`$ of $`X\{x_1,\mathrm{},x_n\}`$ there exists a non-vanishing real-valued closed 1-form $`\varphi _i`$ such that: (i) $`\varphi _i=\pm \varphi _j`$ on $`U_iU_j`$; (ii) at each $`x_i`$ there exists a local chart $`(u,v):VR^2`$ such that for $`z=u+iv`$, it holds $`\varphi _i=Im(z^{\frac{k_i}{2}}dz)`$ on $`VU_i`$ for some branch of $`z^{\frac{k_i}{2}}`$. The pair $`(U_i,\varphi _i)`$ is called an atlas for measured foliation $``$. Finally, a measure $`\mu `$ is assigned to each segment $`(t_0,t)U_i`$, which is transverse to the leaves of $``$, via the integral $`\mu (t_0,t)=_{t_0}^t\varphi _i`$. The measure is invariant along the leaves of $``$, hence the name.

B. Let $`S`$ be a Riemann surface, and $`qH^0(S,\mathrm{\Omega }^2)`$ a holomorphic quadratic differential on $`S`$. The lines $`Req=0`$ and $`Imq=0`$ define a pair of measured foliations on $`R`$, which are transversal to each other outside the set of singular points. The set of singular points is common to both foliations and coincides with the zeroes of $`q`$. The above measured foliations are said to represent the vertical and horizontal trajectory structure of $`q`$, respectively.

C. Let $`T(g)`$ be the Teichmüller space of the topological surface $`X`$ of genus $`g1`$, i.e. the space of the complex structures on $`X`$. Consider the vector bundle $`p:QT(g)`$ over $`T(g)`$ whose fiber above a point $`ST_g`$ is the vector space $`H^0(S,\mathrm{\Omega }^2)`$. Given non-zero $`qQ`$ above $`S`$, we can consider horizontal measured foliation $`_q\mathrm{\Phi }_X`$ of $`q`$, where $`\mathrm{\Phi }_X`$ denotes the space of equivalence classes of measured foliations on $`X`$. If $`\{0\}`$ is the zero section of $`Q`$, the above construction defines a map $`Q\{0\}\mathrm{\Phi }_X`$. For any $`\mathrm{\Phi }_X`$, let $`E_{}Q\{0\}`$ be the fiber above $``$. In other words, $`E_{}`$ is a subspace of the holomorphic quadratic forms whose horizontal trajectory structure coincides with the measured foliation $``$. Note that, if $``$ is a measured foliation with the simple zeroes (a generic case), then $`E_{}R^n0`$, while $`T(g)R^n`$, where $`n=6g6`$ if $`g2`$ and $`n=2`$ if $`g=1`$.

Theorem (Hubbard-Masur ) The restriction of $`p`$ to $`E_{}`$ defines a homeomorphism (an embedding) $`h_{}:E_{}T(g)`$.

D. The Hubbard-Masur result implies that the measured foliations parametrize the space $`T(g)\{pt\}`$, where $`pt=h_{}(0)`$. Indeed, denote by $`^{}`$ a vertical trajectory structure of $`q`$. Since $``$ and $`^{}`$ define $`q`$, and $`=Const`$ for all $`qE_{}`$, one gets a homeomorphism between $`T(g)\{pt\}`$ and $`\mathrm{\Phi }_X`$, where $`\mathrm{\Phi }_XR^n0`$ is the space of equivalence classes of the measured foliations $`^{}`$ on $`X`$. Note that the above parametrization depends on a foliation $``$. However, there exists a unique canonical homeomorphism $`h=h_{}`$ as follows. Let $`Sp(S)`$ be the length spectrum of the Riemann surface $`S`$ and $`Sp(^{})`$ be the set positive reals $`inf\mu (\gamma _i)`$, where $`\gamma _i`$ runs over all simple closed curves, which are transverse to the foliation $`^{}`$. A canonical homeomorphism $`h=h_{}:\mathrm{\Phi }_XT(g)\{pt\}`$ is defined by the formula $`Sp(^{})=Sp(h_{}(^{}))`$ for $`^{}\mathrm{\Phi }_X`$. Thus, the following corollary is true.

###### Corollary 1

There exists a unique homeomorphism $`h:\mathrm{\Phi }_XT(g)\{pt\}`$.

E. Recall that $`\mathrm{\Phi }_X`$ is the space of equivalence classes of measured foliations on the topological surface $`X`$. Following Douady and Hubbard , we consider a coordinate system on $`\mathrm{\Phi }_X`$, suitable for the proof of theorem 1. For clarity, let us make a generic assumption that $`qH^0(S,\mathrm{\Omega }^2)`$ is a non-trivial holomorphic quadratic differential with only simple zeroes. We wish to construct a Riemann surface of $`\sqrt{q}`$, which is a double cover of $`S`$ with ramification over the zeroes of $`q`$. Such a surface, denoted by $`\stackrel{~}{S}`$, is unique and has an advantage of carrying a holomorphic differential $`\omega `$, such that $`\omega ^2=q`$. We further denote by $`\pi :\stackrel{~}{S}S`$ the covering projection. The vector space $`H^0(\stackrel{~}{S},\mathrm{\Omega })`$ splits into the direct sum $`H_{even}^0(\stackrel{~}{S},\mathrm{\Omega })H_{odd}^0(\stackrel{~}{S},\mathrm{\Omega })`$ in view of the involution $`\pi ^1`$ of $`\stackrel{~}{S}`$, and the vector space $`H^0(S,\mathrm{\Omega }^2)H_{odd}^0(\stackrel{~}{S},\mathrm{\Omega })`$. Let $`H_1^{odd}(\stackrel{~}{S})`$ be the odd part of the homology of $`\stackrel{~}{S}`$ relatively the zeroes of $`q`$. Consider the pairing $`H_1^{odd}(\stackrel{~}{S})\times H^0(S,\mathrm{\Omega }^2)C`$, defined by the integration $`(\gamma ,q)_\gamma \omega `$. We shall take the associated map $`\psi _q:H^0(S,\mathrm{\Omega }^2)Hom(H_1^{odd}(\stackrel{~}{S});C)`$ and let $`h_q=Re\psi _q`$.

###### Lemma 1

(Douady-Hubbard ) The map $`h_q:H^0(S,\mathrm{\Omega }^2)Hom(H_1^{odd}(\stackrel{~}{S});R)`$ is an $`R`$-isomorphism.

Since each $`\mathrm{\Phi }_X`$ is the vertical foliation $`Req=0`$ for a $`qH^0(S,\mathrm{\Omega }^2)`$, the Douady-Hubbard lemma implies that $`\mathrm{\Phi }_XHom(H_1^{odd}(\stackrel{~}{S});R)`$. By formulas for the relative homology, one finds that $`H_1^{odd}(\stackrel{~}{S})Z^n`$, where $`n=6g6`$ if $`g2`$ and $`n=2`$ if $`g=1`$. Finally, each $`hHom(Z^n;R)`$ is given by the reals $`\lambda _1=h(e_1),\mathrm{},\lambda _n=h(e_n)`$, where $`(e_1,\mathrm{},e_n)`$ is a basis in $`Z^n`$. The numbers $`(\lambda _1,\mathrm{},\lambda _n)`$ are the coordinates in the space $`\mathrm{\Phi }_X`$ and, in view of the corollary 1, in the Teichmüller space $`T(g)`$.

### 1.2 The Jacobi-Perron continued fraction

A. Let $`a_1,a_2N`$ such that $`a_2a_1`$. Recall that the greatest common divisor of $`a_1,a_2`$, $`GCD(a_1,a_2)`$, can be determined from the Euclidean algorithm:

$$\{\begin{array}{cc}a_1& =a_2b_1+r_3\\ a_2& =r_3b_2+r_4\\ r_3& =r_4b_3+r_5\\ \mathrm{}& \\ r_{k3}& =r_{k2}b_{k1}+r_{k1}\\ r_{k2}& =r_{k1}b_k,\end{array}$$

where $`b_iN`$ and $`GCD(a_1,a_2)=r_{k1}`$. The Euclidean algorithm can be written as the regular continued fraction

$$\theta =\frac{a_1}{a_2}=b_1+\frac{1}{b_2+{\displaystyle \frac{1}{+\mathrm{}+{\displaystyle \frac{1}{b_k}}}}}=[b_1,\mathrm{}b_k].$$
(2)
If $`a_1,a_2`$ are non-commensurable, in the sense that $`\theta RQ`$, then the Euclidean algorithm never stops and $`\theta =[b_1,b_2,\mathrm{}]`$. Note that the regular continued fraction can be written in the matrix form:

$$\left(\begin{array}{c}1\\ \theta \end{array}\right)=\underset{k\mathrm{}}{lim}\left(\begin{array}{cc}0& 1\\ 1& b_1\end{array}\right)\mathrm{}\left(\begin{array}{cc}0& 1\\ 1& b_k\end{array}\right)\left(\begin{array}{c}0\\ 1\end{array}\right).$$
(3)
B. The Jacobi-Perron algorithm and connected (multidimensional) continued fraction generalizes the Euclidean algorithm to the case $`GCD(a_1,\mathrm{},a_n)`$ when $`n2`$. Namely, let $`\lambda =(\lambda _1,\mathrm{},\lambda _n)`$, $`\lambda _iRQ`$ and $`\theta _{i1}=\frac{\lambda _i}{\lambda _1}`$, where $`1in`$. The continued fraction

$$\left(\begin{array}{c}1\\ \theta _1\\ \mathrm{}\\ \theta _{n1}\end{array}\right)=\underset{k\mathrm{}}{lim}\left(\begin{array}{ccccc}0& 0& \mathrm{}& 0& 1\\ 1& 0& \mathrm{}& 0& b_1^{(1)}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ 0& 0& \mathrm{}& 1& b_{n1}^{(1)}\end{array}\right)\mathrm{}\left(\begin{array}{ccccc}0& 0& \mathrm{}& 0& 1\\ 1& 0& \mathrm{}& 0& b_1^{(k)}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ 0& 0& \mathrm{}& 1& b_{n1}^{(k)}\end{array}\right)\left(\begin{array}{c}0\\ 0\\ \mathrm{}\\ 1\end{array}\right),$$

where $`b_i^{(j)}N\{0\}`$, is called the Jacobi-Perron algorithm (JPA). Unlike the regular continued fraction algorithm, the JPA may diverge for certain vectors $`\lambda R^n`$. However, for points of a generic subset of $`R^n`$, the JPA converges. We characterize such a set in the next paragraph.

C. The convergence of the JPA algorithm can be characterized in terms of the measured foliations. Let $`\mathrm{\Phi }_X`$ be a measured foliation on the surface $`X`$ of genus $`g1`$. Recall that $``$ is called uniquely ergodic if every invariant measure of $``$ is a multiple of the Lebesgue measure. By the Masur-Veech theorem, there exists a generic subset $`V\mathrm{\Phi }_X`$ such that each $`V`$ is uniquely ergodic , . We let $`\lambda =(\lambda _1,\mathrm{},\lambda _n)`$ be the vector with coordinates $`\lambda _i=\mu (\gamma _i)`$, where $`\gamma _iH_1^{odd}(\stackrel{~}{S})`$, see §1.1.E. By an abuse of notation, we shall say that $`\lambda V`$. By a duality between the measured foliations and the interval exchange transformations , the following characterization of convergence of the JPA is true.

###### Lemma 2

(Bauer ) The JPA converges if and only if $`\lambda VR^n`$.

## 2 Proof of theorem 1

Let us outline the proof. We consider the following categories: (i) generic complex algebraic curves $`𝒱=VT(g)`$; (ii) pseudo-lattices $`𝒫`$; (iii) projective pseudo-lattices $`𝒫𝒫`$ and (iv) category $`𝒲`$ of the toric $`AF`$-algebras. First, we show that $`𝒱𝒫`$ are equivalent categories, such that isomorphic complex algebraic curves $`C,C^{}𝒱`$ map to isomorphic pseudo-lattices $`PL,PL^{}𝒫`$. Next, a non-injective functor $`F:𝒫𝒫𝒫`$ is constructed. The $`F`$ maps isomorphic pseudo-lattices to isomorphic projective pseudo-lattices and $`KerF(0,\mathrm{})`$. Finally, it is shown that a subcategory $`U𝒫𝒫`$ and $`𝒲`$ are the equivalent categories. In other words, we have the following diagram:

$$𝒱\stackrel{\alpha }{}𝒫\stackrel{\mathrm{F}}{}\mathrm{U}\stackrel{\beta }{}𝒲,$$
(4)
where $`\alpha `$ is an injective map, $`\beta `$ is a bijection and $`KerF(0,\mathrm{})`$.

Category $`𝒱`$. Let $`ModX`$ be the mapping class group of the surface $`X`$. A complex algebraic curve is a triple $`(X,C,j)`$, where $`X`$ is a topological surface of genus $`g1`$, $`j:XC`$ is a complex (conformal) parametrization of $`X`$ and $`C`$ is a Riemann surface. A morphism of complex algebraic curves $`(X,C,j)(X,C^{},j^{})`$ is the identity $`j\psi =\phi j^{}`$, where $`\phi ModX`$ is a diffeomorphism of $`X`$ and $`\psi `$ is an isomorphism of Riemann surfaces. A category of generic complex algebraic curves, $`𝒱`$, consists of $`Ob(𝒱)`$ which are complex algebraic curves $`CVT_S(g)`$ and morphisms $`H(C,C^{})`$ between $`C,C^{}Ob(𝒱)`$ which coincide with the morphisms specified above. For any $`C,C^{},C^{\prime \prime }Ob(𝒱)`$ and any morphisms $`\phi ^{}:CC^{}`$, $`\phi ^{\prime \prime }:C^{}C^{\prime \prime }`$ a morphism $`\varphi :CC^{\prime \prime }`$ is the composite of $`\phi ^{}`$ and $`\phi ^{\prime \prime }`$, which we write as $`\varphi =\phi ^{\prime \prime }\phi ^{}`$. The identity morphism, $`1_C`$, is a morphism $`H(C,C)`$.

Category $`𝒫`$. A pseudo-lattice 222See . (of rank $`n`$) is a triple $`(\mathrm{\Lambda },R,j)`$, where $`\mathrm{\Lambda }Z^n`$ and $`j:\mathrm{\Lambda }R`$ is a homomorphism. A morphism of pseudo-lattices $`(\mathrm{\Lambda },R,j)(\mathrm{\Lambda },R,j^{})`$ is the identity $`j\psi =\phi j^{}`$, where $`\phi `$ is a group homomorphism and $`\psi `$ is an inclusion map, i.e. $`j^{}(\mathrm{\Lambda }^{})j(\mathrm{\Lambda })`$. Any isomorphism class of a pseudo-lattice contains a representative given by $`j:Z^nR`$ such that $`j(1,0,\mathrm{},0)=\lambda _1,j(0,1,\mathrm{},0)=\lambda _2,\mathrm{},j(0,0,\mathrm{},1)=\lambda _n,`$ where $`\lambda _1,\lambda _2,\mathrm{},\lambda _n`$ are positive reals. The pseudo-lattices of rank $`n`$ make up a category, which we denote by $`𝒫_n`$.

###### Lemma 3

(basic lemma) Let $`g2`$ ($`g=1`$) and $`n=6g6`$ ($`n=2`$). There exists an injective covariant functor $`\alpha :𝒱𝒫_n`$, which maps isomorphic complex algebraic curves $`C,C^{}𝒱`$ to the isomorphic pseudo-lattices $`PL,PL^{}𝒫_n`$.

Proof. Let $`\alpha :T(g)\{pt\}Hom(H_1^{odd}(\stackrel{~}{S});R)\{0\}`$ be the map constructed in §1.1. By the corollary from the Hubbard-Masur theorem, $`\alpha `$ is a homeomorphism. In particular, $`\alpha `$ is an injective map.

Let us find the image $`\alpha (\phi )Mor(𝒫)`$ of $`\phi Mor(𝒱)`$. Let $`\phi ModX`$ be a diffeomorphism of $`X`$, and let $`\stackrel{~}{X}X`$ be the ramified double cover of $`X`$ as explained in §1.1.E. We denote by $`\stackrel{~}{\phi }`$ the induced mapping on $`\stackrel{~}{X}`$. Note that $`\stackrel{~}{\phi }`$ is a diffeomorphism of $`\stackrel{~}{X}`$ modulo the covering involution $`Z_2`$. Denote by $`\stackrel{~}{\phi }^{}`$ the action of $`\stackrel{~}{\phi }`$ on $`H_1^{odd}(\stackrel{~}{X})Z^n`$. Since $`\stackrel{~}{\phi }modZ_2`$ is a diffeomorphism of $`\stackrel{~}{X}`$, $`\stackrel{~}{\phi }^{}GL_n(Z)`$. Thus, $`\alpha (\phi )=\stackrel{~}{\phi }^{}Mor(𝒫)`$.

Let us show that $`\alpha `$ is a functor. Indeed, let $`C,C^{}𝒱`$ be the isomorphic complex algebraic curves, such that $`C^{}=\phi (C)`$ for a $`\phi ModX`$. Let $`a_{ij}`$ be the elements of matrix $`\stackrel{~}{\phi }^{}GL_n(Z)`$. Recall that $`\lambda _i=_{\gamma _i}\varphi `$ for a closed 1-form $`\varphi =Re\omega `$ and $`\gamma _iH_1^{odd}(\stackrel{~}{X})`$. Then $`\gamma _j=_{i=1}^na_{ij}\gamma _i,j=1,\mathrm{},n`$ are the elements of a new basis in $`H_1^{odd}(\stackrel{~}{X})`$. By the integration rules,

$$\lambda _j^{}=_{\gamma _j}\varphi =_{{\scriptscriptstyle a_{ij}\gamma _i}}\varphi =\underset{i=1}{\overset{n}{}}a_{ij}\lambda _i.$$
(5)
Finally, let $`j(\mathrm{\Lambda })=Z\lambda _1+\mathrm{}+Z\lambda _n`$ and $`j^{}(\mathrm{\Lambda })=Z\lambda _1^{}+\mathrm{}+Z\lambda _n^{}`$. Since $`\lambda _j^{}=_{i=1}^na_{ij}\lambda _i`$ and $`(a_{ij})GL_n(Z)`$, we conclude that $`j(\mathrm{\Lambda })=j^{}(\mathrm{\Lambda })R`$. In other words, the pseudo-lattices $`(\mathrm{\Lambda },R,j)`$ and $`(\mathrm{\Lambda },R,j^{})`$ are isomorphic. Hence, $`\alpha :𝒱𝒫`$ maps isomorphic complex algebraic curves to the isomorphic pseudo-lattices, i.e. $`\alpha `$ is a functor.

Finally, let us show that $`\alpha `$ is a covariant functor. Indeed, let $`\phi _1,\phi _2Mor(𝒱)`$. Then $`\alpha (\phi _1\phi _2)=(\stackrel{~}{\phi _1\phi _2})^{}=\stackrel{~}{\phi }_1^{}\stackrel{~}{\phi }_2^{}=\alpha (\phi _1)\alpha (\phi _2)`$. Lemma 3 follows. $`\mathrm{}`$

Category $`𝒫𝒫`$. A projective pseudo-lattice (of rank $`n`$) is a triple $`(\mathrm{\Lambda },R,j)`$, where $`\mathrm{\Lambda }Z^n`$ and $`j:\mathrm{\Lambda }R`$ is a homomorphism. A morphism of projective pseudo-lattices $`(\mathrm{\Lambda },C,j)(\mathrm{\Lambda },R,j^{})`$ is the identity $`j\psi =\phi j^{}`$, where $`\phi `$ is a group homomorphism and $`\psi `$ is an $`R`$-linear map. (Notice that unlike the case of pseudo-lattices, $`\psi `$ is a scaling map as opposite to an inclusion map. This allows to the two pseudo-lattices to be projectively equivalent, while being distinct in the category $`𝒫_n`$.) It is not hard to see that any isomorphism class of a projective pseudo-lattice contains a representative given by $`j:Z^nR`$ such that $`j(1,0,\mathrm{},0)=1,j(0,1,\mathrm{},0)=\theta _1,\mathrm{},j(0,0,\mathrm{},1)=\theta _{n1},`$ where $`\theta _i`$ are positive reals. The projective pseudo-lattices of rank $`n`$ make up a category, which we denote by $`𝒫𝒫_n`$.

Category $`W`$. Finally, the toric $`AF`$-algebras $`A_\theta `$, modulo the stable isomorphism between them, make up a category, which we shall denote by $`W_n`$.

###### Lemma 4

Let $`U_n𝒫𝒫_n`$ be a subcategory consisting of the projective pseudo-lattices $`PPL=PPL(1,\theta _1,\mathrm{},\theta _{n1})`$ for which the Jacobi-Perron fraction of the vector $`(1,\theta _1,\mathrm{},\theta _{n1})`$ converges to the vector. Define a map $`\beta :U_nW_n`$ by the formula $`PPL(1,\theta _1,\mathrm{},\theta _{n1})A_\theta ,`$ where $`\theta =(\theta _1,\mathrm{},\theta _{n1})`$. Then $`\beta `$ is a bijective functor, which maps isomorphic projective pseudo-lattices to the stably isomorphic toric $`AF`$-algebras.

Proof. It is evident that $`\beta `$ is injective and surjective. Let us show that $`\beta `$ is a functor. Indeed, according to , Corollary 4.7, every totally ordered abelian group of rank $`n`$ has form $`Z+\theta _1Z+\mathrm{}+Z\theta _{n1}`$. The latter is a projective pseudo-lattice $`PPL`$ from the category $`U_n`$. On the other hand, by the Elliott theorem , the $`PPL`$ defines a stable isomorphism class of the toric $`AF`$-algebra $`A_\theta W_n`$. Therefore, $`\beta `$ maps isomorphic projective pseudo-lattices (from the set $`U_n`$) to the stably isomorphic toric $`AF`$-algebras, and vice versa. Lemma 4 follows. $`\mathrm{}`$

Let $`PL(\lambda _1,\lambda _2,\mathrm{},\lambda _n)𝒫_n`$ and $`PPL(1,\theta _1,\mathrm{},\theta _{n1})𝒫𝒫_n`$. To finish the proof of theorem 1, it remains to prove the following lemma.

###### Lemma 5

Let $`F:𝒫_n𝒫𝒫_n`$ be a map given by formula $`PL(\lambda _1,\lambda _2,\mathrm{},\lambda _n)PPL(1,\frac{\lambda _2}{\lambda _1},\mathrm{},\frac{\lambda _n}{\lambda _1}).`$ Then $`KerF=(0,\mathrm{})`$ and $`F`$ is a functor which maps isomorphic pseudo-lattices to isomorphic projective pseudo-lattices.

Proof. Indeed, $`F`$ can be thought as a map from $`R^n`$ to $`RP^n`$. Hence $`KerF=\{\lambda _1:\lambda _1>0\}(0,\mathrm{})`$. The second part of lemma is evident. $`\mathrm{}`$

Setting $`n=6g6`$ ($`n=2`$) for $`g2`$ ($`g=1`$) in the lemmas 3-5, one gets the conclusion of theorem 1. $`\mathrm{}`$

Acknowledgments. I am grateful to Yu. I. Manin for some helpful advices.

The Fields Institute for Mathematical Sciences, Toronto, ON, Canada, E-mail: igor.v.nikolaev@gmail.com


text:
# Calibration of the CH and CN Variations Among Main Sequence Stars in M71 and in M13Based partially on observations obtained at the W.M. Keck Observatory, which is operated jointly by the California Institute of Technology and the University of California

## 1 INTRODUCTION

By virtue of their large populations of coeval stars, the Galactic globular clusters present us with a unique laboratory for the study of the evolution of low mass stars. The combination of their extreme ages, compositions and dynamics also allows us a glimpse at the early history of the Milky Way and the processes operating during its formation. These aspects become even more significant in the context of the star-to-star light element inhomogeneities found among red giants in every cluster studied to date. The large differences in the surface abundances of C, N, O, and often Na, Mg, and Al have defied a comprehensive explanation in the three decades since their discovery.

Proposed origins of the inhomogeneities typically break down into two scenarios: 1) As C, N, O, Na, Mg, and Al are related to proton capture processes at CN and CNO-burning temperatures, material cycled through a region above the H-burning shell in evolving cluster giants may be brought to the surface with accompanying changes in composition. While standard models of low mass stars do not predict this “deep mixing”, several theoretical mechanisms have been proposed (e.g., the meridional mixing of Sweigart & Mengel 1979, and turbulent diffusion, Charbonel 1994, 1995) with varying degrees of success. Moreover, there is ample observational evidence that deep mixing does take place during the red giant branch (RGB) ascent of metal-poor cluster stars (the works here are far too numerous to list - see the reviews of Kraft 1994 and Pinsonneault 1997 and references therein). 2) It has also become apparent that at least some component of these abundance variations must be in place before some cluster stars reach the giant branch. Spectroscopic observations of main sequence turn-off stars in 47 Tuc (Hesser 1978; Hesser & Bell 1980; Bell, Hesser, & Cannon 1983; Briley, Hesser, & Bell 1991; Briley et al.1994, 1996; Cannon et al. 1998) and NGC 6752 (Suntzeff & Smith 1991) have shown variations in CN and CH-band and Na line strengths consistent with patterns found among the evolved giants of these clusters. The assumption that these low mass cluster stars are incapable of both deep dredge-up and significant CNO nucleosynthesis while on the main sequence leads to the possibility that the early cluster material was at least partially inhomogeneous in these elements or that some form of modification of these elements has taken place within the cluster. Suggested culprits include mass-loss from intermediate mass asymptotic giant branch stars, novae, and supernovae ejecta (see Smith & Kraft 1996, and Cannon et al. 1998 for an excellent discussion of these possibilities).

Thus the observed light element inhomogeneities imply that there is some aspect of the structure of the evolving cluster giants which remains poorly understood (the deep mixing mechanism), that the early proto-clusters may have been far less homogeneous, that intermediate mass stars may have played a greater role in setting the composition of the present day low mass stars than previously thought, etc. Indeed, the evidence sited in the reviews above have lead many investigators to suggest that a combination of processes are responsible, i.e., many clusters contain star-to-star inhomogeneities established early in their histories which have been further altered by deep mixing during RGB ascent. This of course greatly exacerbates the problem as a knowledge of the composition of the more easily observed bright red giants will not tell the whole story of their chemical history - one must also understand the makeup of the main sequence stars.

Cohen (1999a,b) measured CH and CN indices for a large sample of main sequence stars in each of M71 and M13. In the case of M71, clear variations of both indices were seen at a fixed luminosity among the main sequence stars which are significantly larger than the observational uncertainties. Cohen found that these indices are each to first order bimodal and they are anti-correlated. There are approximately equal numbers of CN weak/CH strong and CN strong/CH weak main sequence stars in M71. At least qualitatively, these patterns are very similar to those observed among the bright M71 red giants. In the case of M13, which is metal poor compared to M71 by a factor of $`4`$, the observed indices are much weaker, and variability from star to star was not clearly detected in either the CH or the CN index.

The purpose of the present paper is to determine the range of C and N abundances which will reproduce the behavior observed in the M71 main sequence stars and to compare this with the range in abundances found on the giant branch of M71 by Briley, Smith & Claver (2001). For M13, we examine the detectability of star-to-star variations in the observed CH and CN indices for the sample of main sequence stars of Cohen if the behavior of C, N and O is similar to that found among its giants and attempt to constrain the allowed range of C, N, and O abundances.

The approach adopted here is to represent the sample of globular cluster main sequence stars by a series of model atmospheres taken from isochrones appropriate for M13 and for M71 across the relevant luminosity range. We demonstrate the validity of the models by comparing colors generated using them to the observed color magnitude diagrams (CMDs). These models are then used to generate synthetic spectra from which CH and CN indices are measured. The model C, N, and O abundances are then adjusted in an attempt to reproduce the behavior of the observed stars.

## 2 THE ADOPTED MODELS AND VERIFICATION OF THEIR VALIDITY

The first step in our analysis is to demonstrate that the adopted model points are a satisfactory match to the observed stars in the region of the main sequence turnoff for M13 and for M71. The isochrones used here are from the O-enhanced grid of Bergbusch & VandenBerg (1992).

Assuming a metallicity of $`[Fe/H]`$ = $``$0.80 for M71 (Sneden et al. 1994), seven $`T_{eff}`$/log g points were chosen from the 14 Gyr $`[Fe/H]`$ = $``$0.78 isochrone spanning a range in luminosity of $`4.7<M_V<3.0`$. Model atmospheres were calculated for each of these points using the MARCS program (Gustafsson et al. 1975) which were then fed into the synthetic spectrum generating program SSG (Bell & Gustafsson 1978; Gustafsson & Bell 1979; Bell & Gustafsson 1989; Bell, Paltoglou, & Tripicco 1994) using the linelist of Tripicco & Bell (1995). Each synthetic spectrum was initially computed from 3,000 to 12,000Å in 0.1Å intervals and convolved with $`V,R,I`$ filter curves as described in Gustafsson & Bell (1979) and Bell & Gustafsson (1989) to yield colors appropriate to each model. These colors are listed in Tables 1 and 2. Figure 1(a) compares the isochrone colors with the $`V`$, $`I`$ photometry (corrected for reddening) of Stetson (2000) of $``$ 4000 stars with $`V<20`$ in M71. A distance of 3.9 kpc and a reddening of E($`BV`$) = 0.25 mag was assumed from the on line compilation of Harris (1996).

A similar approach was followed in the case of M13 where a metallicity of $`[Fe/H]`$ = $``$1.51 (Kraft et al. 1992) was assumed. Model points were chosen from the 16 Gyr $`[Fe/H]`$ = $``$1.48 grid. The corresponding colors are given in Table 2 and plotted in Figure 1(b) with the $`V`$, $`I`$ photometry of Stetson (2000). For M13 a distance of 7.2 kpc and a reddening of E($`BV`$) = 0.02 was used (Harris 1996), however, an additional 0.11 magnitudes in $`(mM)_V`$ (i.e., a 5% increase in distance) was required for the best fit to the observed CMD.

Also plotted in both panels of Figure 1 are the locations of the Keck program stars in the cluster CMDs. The isochrones and models adopted for M71 and M13 are shown to be a good match, with the spread about the isochrone consistent with observational errors in the case of M13. For M71, the spread is broader, but still consistent with a combination of observational errors, reddening variations at a level of 10% of the total reddening (see Cohen & Sleeper 1995), and possibly a few non-members.

## 3 THE OBSERVED CN AND CH INDICES

The I(uvCN) index employed by Cohen (1999a,b) measured the flux removed by the 3883Å CN feature as a fraction relative to a nearby single-side continuum bandpass. Unfortunately, the observed spectra are not flux calibrated and therefore include the signature of the instrumental response. The affect of this is to cause offsets in one-sided indices such as I(uvCN) (although we note that for comparisons between stars of similar luminosities, this is not an issue as they all share similar offsets).

To facilitate removal of this signature and for comparisons with synthetic spectra, we have re-measured the uv CN feature using the S(3839) index (Norris et al. 1981). Because S(3839) is the logarithm of the ratio between a comparison bandpass and a CN “feature” bandpass, slopes induced by instrumental response result in constant zero-point shifts in the indices which can be quantified and removed. For the present observations, the shift in the index was measured using the continuum fitting routine of IRAF’s “splot” package. Each spectrum was fitted with a third order cubic spline and the S(3839) index computed from each fit. The resulting offset was 0.180$`\pm `$0.008 and 0.178$`\pm `$0.007 for the M71 and M13 spectra, respectively. For the double sided I(CH) (Cohen 1999a), a much smaller shift of $``$0.009$`\pm `$0.003 was found in the case of M71 and $``$0.004$`\pm `$0.006 in M13. As the fits also include the actual stellar continua, the same procedure was adopted for the synthetic spectra as well (we are essentially comparing indices of flattened spectra). One sigma errors in S(3839) were also calculated from Poisson statistics in the feature and continuum bandpasses.

## 4 THE COMPUTATION OF THE CN AND CH INDICES FROM SYNTHETIC SPECTRA

For each of the model $`T_{eff}`$/log g points taken from the isochrones, high resolution synthetic spectra were generated using the SSG code. Scaled solar abundances based on the metallicities above were adopted with differing C/N/O abundances (discussed below). These spectra were computed from 3,000 to 6,000Å at a wavelength step size of 0.02Å and a microturbulent velocity of 1.5 km/s. They were then convolved with a Gaussian of width 8Å to match the resolution of the observed spectra. S(3839) and I(CH) indices were measured from the smoothed spectra and are given in Tables 1 and 2. As with the observed spectra, the smoothed synthetic spectra were imported into IRAF and the continuum fitted with the splot routine. Indices measured from the resulting fits yielded a zero point shift of 0.025$`\pm `$0.001 in S(3839) for both M71 and M13 spectra.

The C/N/O abundances used in the calculation of synthetic spectra for M71 are based on abundances used by Briley et al. (2001) in a DDO photometric study of M71 bright giants. Using CN sensitive C(4142) and CH sensitive C(4245) colors it was found that the locus of CN-weak giants of M71 were best fit by $`[C/Fe]`$=0.0, $`[N/Fe]`$=+0.4, $`[O/Fe]`$=+0.4 and by $`[C/Fe]`$=$``$0.3, $`[N/Fe]`$=+1.4, $`[O/Fe]`$=+0.2 for the CN-strong stars. To aid in comparison with the present main-sequence stars, their results are shown in Figure 2.

For M13, Smith et al. (1996) performed an analysis of CN and CH band strengths in eleven of the cluster’s bright giants. Their resulting abundances centered roughly about $`[C/Fe]`$=$``$0.85, $`[N/Fe]`$=+0.7, $`[O/Fe]`$=+0.4 and $`[C/Fe]`$=$``$1.1, $`[N/Fe]`$=+1.2, $`[O/Fe]`$=$``$0.5 for the CN-weak and strong giants respectively and a set of models with these compositions have been calculated here. However, the low \[C/Fe\] abundances of the evolved giants also suggests a deep mixing process may have altered the initial C/N/O abundances of these stars. As a test of this possibility, we have also calculated a set of models assuming arbitrary “pre-mixing” abundances of $`[C/Fe]`$=0.0, $`[N/Fe]`$=+0.4, $`[O/Fe]`$=+0.4 and $`[C/Fe]`$=$``$0.3, $`[N/Fe]`$=+0.9, $`[O/Fe]`$=0.0 (with the requirement that the total number of C/N/O atoms remain constant).

## 5 DISCUSSION

### 5.1 M71

The observed CN and CH band strengths for 77 M71 main-sequence stars are plotted against their brightness in $`R`$ (see Cohen 1999b) in Figure 3. The stars have arbitrarily been divided into CN-weak and strong groups based on their S(3839) indices. As was pointed out by Cohen (1999b), the sample falls into a bimodal distribution with a pronounced CN/CH anticorrelation. This pattern is evident among the more luminous giants of the cluster as well (see Figure 2). Moreover, the relative numbers of CN-weak and strong stars are remarkably similar: for the bright giants, 48 are CN-weak and 30 are strong. Among the main-sequence stars, 44 are weak and 31 are strong. Three stars marked as diamonds in Figure 3 have anomalously large CN indicies. Based on radial velocities from higher dispersion spectra to be presented in a later paper, one of these three stars (star 1951333+184107) is not a member of M71 and star 1951311+183525 is probably not a member.

Also plotted in Figure 3 are the indices measured from the synthetic spectra described above using the same set of C/N/O abundances which fit the giants in Figure 2 (the zero point shifts in the indices have been applied). The agreement between the fits of the CN and CH sensitive indices in both the giants and main-sequence stars is remarkably good, suggesting similar C and N abundances in the two samples and little change in these abundances over the six magnitudes observed.

Similar results have also been found among the giants and main-sequence stars of 47 Tucanae, a nearby cluster of comparable metallicity to M71. The C/N/O abundances used here are very close to those used by Briley (2001) to fit the CN and CH band strengths of 283 giants, the only difference being an $`[O/Fe]`$ of +0.45 assumed for both CN-weak and CN-strong giants in 47 Tuc. Among the main-sequence stars, spectroscopic abundance studies have also yielded C and N abundances similar to those found among the 47 Tuc giants (see Briley et al. 1994 and Cannon et al. 1998).

Thus both M71 and 47 Tuc, two relatively metal-rich clusters, appear to show little evidence of change in C/N/O abundances from the upper main-sequence through the bright giants. This is in striking contrast to the significant (factor of ten) C depletions with luminosity seen among the more metal-poor clusters such as M92, M15, and NGC 6397 (see references in the reviews mentioned above). While at first appearing contradictory, the difference may well be the result of the higher H-burning shell temperatures and smaller mean molecular weight gradients found in more metal-poor stars (as discussed by Sweigart & Mengel 1979, Charbonnel 1995, Cavallo et al. 1996, 1998, and others) which should lead to increasingly significant C/N/O abundance changes due to dredge-up with decreasing metallicity. The present results then do not rule out the operation of deep dredge-up in evolving cluster giants, particularly in metal-poor stars.

However, it is clear the process responsible for the C and N inhomogeneities in M71 and 47 Tuc cannot be deep mixing during the ascent of the RGB: the bulk of the inhomogeneities are in place at the main sequence turn-off. Moreover, the shallow convective zones and low rates of CN-cycle processing in low mass cluster main sequence stars make mixing on the main sequence an unlikely scenario. One is then left with the possibilities of a primordial inhomogeneity or some pollution mechanism operating early in the cluster histories. In this regard, M71 provides an interesting data point as it is almost four magnitudes fainter in luminosity than 47 Tuc (Harris 1996) and would be required to be considerably more massive in the past (not an unlikely scenario given M71’s low galactic latitude) if the observed inhomogeneities are indeed due to retained gas from intermediate mass AGB stars.

### 5.2 M13

The situation in M13 is considerably different from M71. With its lower metallicity, both the hotter main-sequence turn-off and lower numbers of both C and N atoms conspire to greatly reduce CN formation. This can be seen in Figure 4 where the S(3839) indices of the program stars with V photometry of Stetson (2000) are plotted against the indices from the synthetic spectra. Despite significant differences in the C and N abundances used in the models, the 3883Å CN band is in all cases too weak to be detected and cannot be used to constrain N abundance variations among the M13 main-sequence stars. There does appear to be some CH formation, however the band is too weak to be useful at the signal level of our spectra at depletions of $`[C/Fe]0.3`$ or greater at the main sequence turn-off.

We do note the two more luminous M13 stars (at $`R`$ = 17.9) which do apparently exhibit a $``$ 0.3 dex difference in $`[C/Fe]`$. Their C abundances are also substantially greater than C abundances found among eleven bright M13 giants by Smith et al. (1996) which averaged near $`[C/Fe]=1.`$ This result, although only based on two stars, is consistent with an episode of deep mixing taking place on the M13 RGB as has also been suggested by the high resolution Na study of Pilachowski et al. (1996).

###### Acknowledgements.

We are very grateful to Peter Stetson for providing access to his photometric database. We also wish to express our thanks to Roger Bell whose SSG code was instrumental in this project. Partial support was provided by a Theodore Dunham, Jr. grant for Research in Astronomy and the National Science Foundation under grant AST-9624680 to MMB and grant AST-9819614 to JGC.

## 6 APPENDIX: COORDINATES FOR THE M13 AND M71 MAIN SEQUENCE STARS

During the course of this work, the coordinates published in Cohen (1999a,b) for the main sequence stars were checked against a set of coordinates tied to the USNO APM survey (Monet et al. 1999). For M71, the published coordinates are within 1.5 arcsec of the astrometric coordinates. For M13, the published coordinates for objects in Field 2 are of comparable accuracy. However, the coordinates published in Cohen (1999a) for main sequence stars in field 1 of M13 are 0.3 sec of time West and 7 arc sec South of the astrometric coordinates.


text:
# Two-waves approximation for reflected and transmitted energy in photonic crystals

## Abstract

We study electromagnetic waves scattering by a 2D photonic crystal made of a stack of diffraction gratings. In case where there are only two propagative modes in the crystal, we derive an explicit expression for the superior (resp. inferior) envelope of the reflected (resp. transmitted) energy.

Photonic crystals are periodically modulated devices having photonic band gaps . The theoretical study of these structures may be performed by use of Bloch waves theory, multi-scattering theory  or they can be modelled as stacks of gratings , which are the elementary layers of the device (cf. fig. 1). We use this last approach in this note.

Two situations can be roughly distinguished in the scattering behaviour of periodic structures: when the wavelength is of the same order of the period, the resonant domain, there are infinitely many evanescent modes and finitely many propagative modes in the structure (the number of which being given by Bloch waves theory). As the wavelength increases, the number of propagative modes diminishes and is finally reduced to $`2`$. In the very large wavelength regime, the structure behaves as if it were homogeneous. In case of stacks of gratings, that leads to replace one grating by a homogeneous slab (fig.1) with some effective permittivity depending on the polarization. However, there is an intermediate zone of wavelengths for which there are only two propagative modes inside the gratings, but the wavelength is not large enough to use a homogenization scheme (for instance $`\lambda `$ is only two or three times the period). This work deals with this last situation. The crystal is made as a stack of $`N`$ gratings (fig 1) with vacuum above and below.

We consider first an elementary layer. As there are only two propagative waves, there exists a $`2\times 2`$ matrix $`𝐓_{\lambda ,\theta }`$ such that $`𝐓\left(\begin{array}{c}A^+\\ A^{}\end{array}\right)=\left(\begin{array}{c}B^+\\ B^{}\end{array}\right)`$ (see fig. 2 for the notations), the elements of $`𝐓`$ are denoted $`\left(𝐭_{ij}\right)`$. This matrix can be computed rigorously from a standard theory of diffraction by gratings (for instance the Coupled Waves Method, see  for example). The main property of matrix $`𝐓`$ is that $`det\left(𝐓\right)=1`$  so that if $`\mu `$ is an eigenvalue then $`\mu ^1`$ is the other eigenvalue. We have shown in another article  that in a layer characterized by a $`2\times 2`$ transfer matrix, the reflected and transmitted coefficients for $`N`$ layers can be obtained in close form :

$$\begin{array}{c}r_N(\lambda ,\theta )=f\frac{\mu ^{2N}1}{\mu ^{2N}fg^1}\hfill \\ t_N(\lambda ,\theta )=\mu ^N\frac{\left(1fg^1\right)}{\mu ^{2N}fg^1}\hfill \end{array}$$
(1)
where $`\mu `$ is an eigenvalue of $`𝐓`$ associated with an eigenvector $`(u_1,u_2)`$, an eigenvector associated to $`\mu ^1`$ is denoted by $`(v_1,v_2)`$ and

$$\begin{array}{c}f(\lambda ,\theta )=\frac{i\beta _0v_1v_2}{i\beta _0v_1+v_2},\text{ }g(\lambda ,\theta )=\frac{i\beta _0u_1u_2}{i\beta _0u_1+u_2}\hfill \\ \text{and }\beta _0=\frac{2\pi }{\lambda }\mathrm{cos}(\theta )\hfill \end{array}$$
(2)
Remarks:

1) It is worth noticing that functions $`f`$ and $`g`$ do not depend on a particular choice of an eigenvector.

2) The expressions (1) are valid whatever the angle of incidence and polarization, it is only the particular expression of matrix $`𝐓`$ that changes.

The expressions given in (1) show that it suffices to compute the transfer matrix of one layer to compute the transmitted and reflected fields. However, the reflected and transmitted energies are highly oscillating functions which can be better represented by their envelope (superior and inferior limits when $`N`$ tends to infinity). We have shown in  that the superior envelope $`R_{\mathrm{}}`$ of the reflected energy, and conversely the inferior envelope of the transmitted energy $`T_{\mathrm{}}`$ are given by :

$$\begin{array}{c}T_{\mathrm{}}=\frac{4tr\left(𝐓\right)^2}{\left(𝐭_{12}\beta _0𝐭_{21}\beta _0^1\right)^2}\hfill \\ R_{\mathrm{}}=1T_{\mathrm{}}\hfill \end{array}$$
(3)
We now turn to some numerical examples. We use as an elementary layer a lamellar dielectric grating with an air layer below (see fig. 1). The parameters are the following: $`h/\lambda =1`$, $`\epsilon _a=4`$ and $`\epsilon _b=1`$ with a filling factor of $`1/2`$. It is illuminated by an s-polarized monochromatic plane wave under normal incidence. We have plotted in fig. 3 the reflected energy versus $`\lambda /d,`$ obtained for a stack of $`20`$ layers. We see that above $`\lambda _c/d=1.515`$ the true reflection ratio is well approximated by (1): this corresponds to the critical wavelength above which there are only two modes in the structure (cf. fig. 4 for the band structure). Above $`\lambda _c/d`$ we see an almost perfect agreement between the reflection computed from (1) and the reflection obtained from a rigorous code (fig. 3). Finally, we have plotted the envelope of the reflected energy obtained from (3), we see a perfect agreement above wavelength $`\lambda _c/d`$.

We have developed an approximate theory for the study of photonic band gap materials in case where there are two propagative modes in the structure in both $`s`$\- and $`p`$-polarization. This method allows explicit computations of the field once the $`2\times 2`$ transfer matrix of one layer is known. This last matrix can be obtained numerically, then equations (1) and (3) can be used to obtain close-form expressions of the diffracted field. This can be useful for studying the so-called ”ultra-refractive” effects.

Figure captions

Figure 1: Geometry of the photonic structure : the elementary cell is made of a grating, with period $`d`$ filled with materials whose relative permittivities are $`\epsilon _a`$ and $`\epsilon _b`$. There is a dielectric layer below.

Figure 2: Definition of the transfer matrix of a layer.

Figure 3: Reflection vs $`\lambda /d`$. Solid lines : reflection obtained from a rigorous theory. Dots : reflection obtained from formulas (1).

Figure 4: Band structure of the photonic device: when $`\lambda >\lambda _c`$ there are only two propagative waves in the crystal.

Figure 5: (a) Envelope of the reflected energy (bold line) obtained from (3) and reflected energy (solid line).

(b) Zoom of figure 5 (a) around the bifurcation value $`\lambda _c/d`$.