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# Switching behavior of semiconducting carbon nanotubes under an external electric field

## Abstract

We investigate theoretically the switching characteristics of semiconducting carbon nanotubes connected to gold electrodes under an external (gate) electric field. We find that the external introduction of holes is necessary to account for the experimental observations. We identify metal-induced-gap states (MIGS) at the contacts and find that the MIGS of an undoped tube would not significantly affect the switching behavior, even for very short tube lengths. We also explore the miniaturization limits of nanotube transistors, and, on the basis of their switching ratio, we conclude that transistors with channels as short as 50 Å would have adequate switching characteristics.

One of the most important findings of carbon nanotubes (NTs) research is that the current in semiconducting tubes can be switched by an external electric field which allows semiconducting tubes to be used as the channel of field-effect transistors (FETs). Several groups have demonstrated such functional FETs.  The current through the NT has been found to be maximized at a negative gate bias, indicating that the NTs behave as p-type semiconductors, despite the fact that the tubes have not been intentionally doped. The detailed shape of the source-drain current vs. gate voltage curves varies somewhat from experiment to experiment, and switching occurs over a relatively broad voltage range due to complications arising from charged traps and “mobile charges” in the gate dielectric.  As for the origin of the p-type character, a number of interpretations have been proposed, including interaction with the metal electrodes,  impurities and defects introduced during synthesis or processing,  or interaction with atmospheric oxygen.

So far, the NT segments used in the FET experiments have been relatively long, in the order of several hundred nm to a micron. However, the process of device miniaturization aims primarily at reducing the channel length. The question then arises if short nanotube devices can preserve the operational characteristics of long devices.

Here we use Green’s function techniques to theoretically model nanotube FETs and address some of these issues. Specifically, we examine the switching characteristics of both intrinsic and p- and n-doped nanotubes of different lengths. The interaction of the nanotubes with the metal (gold) electrodes that generates metal-induced gap states (MIGS) is studied, along with the role of these states in the switching process, and the extent of the resulting “metallization” of the short tubes. Finally, the issue of how short NT FETs can be made is addressed.

Our calculations are performed on segments of semiconducting $`(10,0)`$ nanotubes. The tubes are bonded with their dangling bond bearing ends to two gold electrodes.  Each electrode is modeled by a layer of 22 gold atoms in a (111) crystalline arrangement. We also performed calculations with the tubes lying parallel to the gold electrodes. The main difference between devices with side-bonding from those with end-bonding is a higher contact resistance (several M$`\mathrm{\Omega }`$’s as compared to a few k$`\mathrm{\Omega }`$’s).  The electrical transport properties of the devices were calculated within the Landauer-Büttiker formalism using a Green’s function approach.  The Green’s function $`𝒢_{NT}`$ of the combined electrode-nanotube-electrode system is written in the form:

$$𝒢_{NT}=\left[E𝒮_{NT}_{NT}\mathrm{\Sigma }_1\mathrm{\Sigma }_2\right]^1$$
(1)
where $`𝒮_{NT}`$ and $`_{NT}`$ are the overlap and the Hamiltonian matrices, respectively, and $`\mathrm{\Sigma }_{1,2}`$ are self-energy terms that describe the effect of the electronic structure of the two leads. The Hamiltonian $`_{NT}`$ and overlap matrices are determined using the extended Hückel model with $`s,p_x,p_y,p_z`$ orbitals for each carbon atom and one $`s`$ orbital for each gold atom ($`s`$ orbitals dominate the DOS of gold near EF). The field of the gate is approximated as a capacitor field normal to the NT axis. In this case the Hamiltonian $`_{NT}`$ can be written as:

$$_{NT}=_{NT}^0+_{NT}^1$$
(2)
where $`_{NT}^0`$ is the Hamiltonian of the unperturbed NT and $`_{NT}^1=e\stackrel{}{R}\epsilon `$. Here $`e`$ is the electron charge, $`\stackrel{}{R}`$ is the position of the atoms and $`\epsilon (\stackrel{}{r})`$ is the external field.  Only diagonal elements of the Hamiltonian $`_{NT}^1`$ on the extended Hückel basis set are taken into account. This approximation assumes that all the charge of the carbon atoms is located at the center of the atoms.  This approximation has been proven to give quite accurate results for semiconductors,  and to reproduce the trends from first-principles transport calculations on molecular species.  Finally, the transmission function $`T(E)`$ is given by :

$$T(E)=T_{21}=\text{Tr}[\mathrm{\Gamma }_2𝒢_{NT}\mathrm{\Gamma }_1𝒢_{NT}^{}],$$
(3)
where $`\mathrm{\Gamma }_{1,2}=i(\mathrm{\Sigma }_{1,2}\mathrm{\Sigma }_{1,2}^{})`$.

Since in the experiments the potential difference between the source and drain electrodes is usually very small (typically less than 100 meV), we evaluate the conductance at the Fermi energy, $`G(E_F)=(2e^2T(E_F))/h`$.

The main panel in Figure 1 shows the variation of the conductance of a 100 Å long $`(10,0)`$ NT as a function of the applied gate field. Figure 2a and 2b show the corresponding total density of states (DOS) and the DOS projected on the $`p_x`$ and $`p_y`$ components, for positive and negative gate fields, respectively. The gap of the NT at zero gate field is about 0.8 eV as defined by the two peaks at about -0.4 eV (valence-band edge) and +0.4 eV (conduction-band edge). The n\- (p-) doping in Figure 1 corresponds to the conductance calculated with the Fermi level located few meV above (below) the conduction- (valence-)band edge. In the undoped case the Fermi level is placed in the middle of the gap. The ballistic limit for a semiconducting tube ($`T(E_F)=1`$) is also indicated by the horizontal dot line. By increasing the gate field in the mV/Å range, the C$`(p_x)`$ and C$`(p_y)`$ derived orbitals are shifted by the field to higher (lower) energy for negative (positive) fields (see Fig. 2). Therefore, the Fermi level crosses states with higher (lower) DOS for the n\- (p-)doped NT, with corresponding increase (decrease) in the conductance. The conductance saturates when it approaches the ballistic regime.  The modulation of the current (On/Off ratio) achieved with this NT is more than six orders of magnitude. Experimentally, FETs with side-bonding configurations have shown On/Off ratios of $`10^5`$ Recent experiments with end-bonded low contact resistance tubes have yielded a ratio of $`10^6`$

In undoped nanotubes, the DOS is quite symmetric around the Fermi level and this should lead to a symmetric conductance vs. gate field curve. However, figure 1 shows a small asymmetry for small fields. This asymmetry is due to the metal-induced gap states (MIGS) produced by the interaction of the tube with the metal electrodes. This interaction produces weak DOS features at about $`0.15`$ eV which extend up to about 8 Å away from the contacts. The computed MIGS features correlate very well with gap features observed in the scanning tunneling spectroscopy (STS) of semiconducting NTs on a gold substrate , whose origin was not previously clarified.

It is important to explore the possible role of the above gap states in the current modulation process. In an undoped NT, the Fermi level ($`E_F`$) will be pinned close to the energy position of these states. Furthermore, it has been shown experimentally  that the band-gap of semiconducting tubes does not change significantly down to at least 50 Å segments. Figure 3 shows the electronic DOS near $`E_F`$ of 30 Å, 50 Å and 100 Å long NTs connected to gold electrodes. Carbon atoms bonded to gold (C-Au)) and gold atoms (Au) provide the main contributions to the gap states. Assuming that small variations can occur in the filling of the MIGS, we have calculated the conductance by varying the Fermi level across the MIGS energy position. We found that neither the switching behavior of the NT, nor the conductance at zero gate field are strongly affected by the movement of $`E_F`$ (see inset of Fig. 3). However, a small asymmetry is induced in the switching curve where a negatively biased gate becomes less effective in switching. This is because, in this case, $`E_F`$ is scanned through the MIGS which are localized in the vicinity of the contacts, giving a lower transmission probability. The “metallization” of an NT segment decreases with its increasing length: the ratio of the DOS of MIGS to the DOS of the band-edges (van Hove singularities) of the tube is reduced by a factor of $`2/3`$ upon doubling the tube length (see Fig.3). This trend should be valid for other quantum wires, and is in agreement with recent first-principles calculations on Si nanowires.  We thus conclude that MIGS do not play a significant role in the operation of NT field-effect transistors.

Next we consider the miniaturization limit of nanotube FETs. Our calculations and STS measurements  indicate that there are no observable finite size (length) effects on the band-gap of semiconducting NTs down to at least 50 Å. Furthermore, the shift of the energy states of the NTs due to the gate field is independent of the length of the tube because the gate field is perpendicular to the NT axis. As a result, the conductance of the NTs at high gate fields should saturate at approximately the same value, irrespective of the tube’s length. Thus, the tube length dependence of the On/Off current ratio is determined by the Off current. Using this ratio as a measure of how well the FET functions, taking MIGS into account and assuming that a ratio of $`10^4`$ is the lowest acceptable for practical applications, then we can see from Fig. 1c that tubes as short as 50 Å can be used as channels of an FET. On this scale transport inside the tube is ballistic, there is no energy dissipation except at the contacts, and THz operation may be possible. These conclusions are not affected by temperature, since, for small source-drain voltages ($``$ 0.1V) the Off current is proportional to the conductance via a factor eV/4kT, which, at room temperature, is of order one.

In conclusion, we have calculated the switching behavior of intrinsic and n\- and p-doped semiconducting nanotubes. We have identified the metal-induced gap states and examined their role in the field-induced switching of the tubes. On the basis of the calculated current modulation, we conclude that NT segments as small as 50 Å can produce functional transistors.

Figure Captions

FIGURE 1. Variation of the transmission of a 100 Å (main panel) and a 50 Å (upper-left panel) long $`(10,0)`$ semiconducting nanotube (NT) as a function of the applied field. Squares: undoped NT, open circles: $`p`$-doped, closed-circles : $`n`$-doped NT. The On/Off switching ratio is plotted as a function of the NT length in the upper-right panel.

FIGURE 2. Effect of a) positive and b) negative gate fields on the position of the valence and conduction bands of a 100 Å (10,0) NT. The total DOS and projected $`p_x`$ and $`p_y`$ DOS are plotted as a function of the magnitude of the electric field.

FIGURE 3. Energy, composition, and relative intensity of the metal-induced gap states (MIGS) in the vicinity of Fermi energy for a 30 Å (lower panel), 50 Å (middle panel) and a 100 Å (upper panel) long (10,0) NT (the valence and conduction band edges are indicated by the down arrows). The inset shows the effect of displacing the Fermi level (full line) to the energy of the MIGS (dashed line) on the conductance of the 50 Å NT.


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# A third family of super dense stars in the presence of antikaon condensates

## I Introduction

There is a growing interest to understand whether a stable sequence of compact stars could exist in nature beyond a neutron star branch. ¿From observations, two families of compact stars - white dwarfs and neutron stars, are known to us. The physical reasons for stability in white dwarfs and neutron stars are different. In white dwarfs, it is the Fermi pressure of degenerate electrons that stabilizes the stars. After the white dwarf branch, there exists no stable star having central densities in the range $`10^910^{14}gm/cm^3`$ as is evident from the mass-radius relationship obtained by the Tolman-Oppenheimer-Volkoff (TOV) equations . The stability is regained in the neutron star branch. In this case, the Fermi pressure of degenerate and interacting baryons is responsible for the stability of neutron stars. The question is what is next to a neutron star branch - again an unstable region followed by a stable configurations of super dense stars! If this picture is true, what could be the mechanism behind the stability of a possible third family of compact stars? Gerlach  first pointed out that a third family of compact stars could be a possibility. He noted that a jump in the equation of state (EoS) or equivalently a large discontinuity in the speed of sound beyond the central density corresponding to the maximum neutron star mass might result in a stable family of super dense stars beyond the neutron star branch. However, Wheeler et al. showed that there was no stable compact stars beyond a neutron star branch for a smooth EoS .

Neutron stars are very useful laboratories to investigate the properties of dense matter . At the core of a neutron star, the matter density could exceed by a few times normal nuclear matter density. Various exotic forms of matter such as hyperonic matter, quark-hadron mixed phase and Bose-Einstein condensation of strange particles may appear there. Earlier it was found that there might be kinks in the EoS because of the appearance of an exotic form of matter in the high density regime. Consequently there is a discontinuity in the speed of sound. This motivated various groups to explore whether physical processes like a first order phase transition from hadronic matter to quark matter or hadronic matter to hyperonic matter could give rise to an EoS leading to a third family of compact stars . It was shown by various authors that a first order quark-hadron phase transition could produce an EoS such that the neutron star branch is terminated by the softening in the EoS due to the mixed phase and the third family of compact stars attained a pure quark phase in the core . Similarly, a first order phase transition from hadronic matter to hyperonic matter led to stable solutions beyond the neutron star branch for certain parameters sets of hyperon-hyperon interactions . It was demonstrated in those calculations that non-identical stars of same mass but distinctly different radii and compositions could exist because of partial overlapping mass regions of the neutron star branch and the third family branch. These pairs are known as ”neutron star twins” .

Besides quark-hadron phase transition and the formation of hyperonic matter, Bose-Einstein condensation of antikaons may occur in the $`\beta `$-stable and charge neutral dense matter. This antikaon condensation could be a first or second order phase transition . It was first demonstrated by Kaplan and Nelson  using a chiral $`SU(3)_L\times SU(3)_R`$ Lagrangian that $`K^{}`$meson may undergo Bose-Einstein condensation in dense hadronic matter formed in heavy ion collisions. The strongly attractive $`K^{}`$-nucleon interaction lowers the effective mass of $`K^{}`$ mesons in dense matter. Consequently, the in-medium energy of $`K^{}`$ mesons decreases and s-wave condensation sets in when the in-medium energy of $`K^{}`$ mesons equals to its chemical potential. Later, this chiral model was applied to the study of $`K^{}`$ condensation in the core of neutron stars . Also, the traditional meson exchange picture where baryons and (anti)kaons interact through meson exchange, was extensively exploited to investigate antikaon condensation in dense matter relevant to (proto)neutron stars . The onset of $`K^{}`$ condensation in neutron star matter depends on the nuclear equation of state and also on the depth of antikaon optical potential.

The threshold density of $`K^{}`$ condensation in nucleons-only star matter is 3-4 times normal nuclear matter density. The net effect of $`K^{}`$ mesons in the condensate in neutron star matter is to maintain charge neutrality replacing electrons and soften the EoS resulting in the reduction of maximum mass of the star . In the presence of hyperons, $`K^{}`$ condensation was delayed to higher density. Recently, we have investigated the formation of $`\overline{K}^0`$ condensation along with $`K^{}`$ condensation in dense nuclear and hyperonic matter relevant to (proto)neutron stars within Relativistic Mean Field (RMF) models . It was found that the onset of $`\overline{K}^0`$ condensation always occurred later than that of $`K^{}`$ condensation. With the onset of $`\overline{K}^0`$ condensation, abundances of neutrons and protons become equal in the high density matter . In the presence of hyperons, the thresholds of $`K^{}`$ and $`\overline{K}^0`$ condensation are shifted to higher densities. Along with $`K^{}`$ condensate, $`\overline{K}^0`$ condensate makes the EoS much softer resulting in smaller maximum mass star compared to the case without any condensate.

In this paper we investigate the effects of antikaon condensation on the equation of state within a RMF model where baryons and (anti)kaons are interacting via meson exchanges. Also, we study the properties of the third family of compact stars with this EoS. The paper is organised in the following way. In section 2, we describe the RMF model of strong interactions and different phases of dense matter. In section 3, the parameters of the model are discussed. Results of our calculation and their relations to the third family of compact stars are explained in section 4. Section 5 deals with summary and conclusions.

## II Formalism

In this calculation, we describe a first order phase transition from hadronic matter to the antikaon condensed phase in compact stars. We adopt a relativistic field theoretical model to describe the pure hadronic matter, pure antikaon condensed matter and the mixed phase. The constituents of matter - $`n,p,\mathrm{\Lambda },\mathrm{\Sigma }^+,\mathrm{\Sigma }^{},\mathrm{\Sigma }^0,\mathrm{\Xi }^{},\mathrm{\Xi }^0`$ of the baryon octet and electrons and muons, in the hadronic phase are to satisfy beta-equilibrium and local charge neutrality condition. The strong interaction between baryons is mediated by the exchange of scalar and vector mesons. The model is also extended to include hyperon- hyperon interaction through two additional hidden-strangeness mesons- scalar meson $`f_0`$(975) (denoted hereafter as $`\sigma ^{}`$) and the vector meson $`\varphi `$(1020) . Therefore the Lagrangian density for the pure hadronic phase is given by

$`_B`$ $`=`$ $`{\displaystyle \underset{B}{}}\overline{\psi }_B\left(i\gamma _\mu ^\mu m_B+g_{\sigma B}\sigma g_{\omega B}\gamma _\mu \omega ^\mu g_{\rho B}\gamma _\mu \text{t}_B𝝆^\mu \right)\psi _B`$ (3)
$`+{\displaystyle \frac{1}{2}}\left(_\mu \sigma ^\mu \sigma m_\sigma ^2\sigma ^2\right)U(\sigma )`$
$`{\displaystyle \frac{1}{4}}\omega _{\mu \nu }\omega ^{\mu \nu }+{\displaystyle \frac{1}{2}}m_\omega ^2\omega _\mu \omega ^\mu {\displaystyle \frac{1}{4}}𝝆_{\mu \nu }𝝆^{\mu \nu }+{\displaystyle \frac{1}{2}}m_\rho ^2𝝆_\mu 𝝆^\mu +_{YY}.`$
Here $`\psi _B`$ denotes the Dirac spinor for baryon B with vacuum mass $`m_B`$ and isospin operator $`\text{t}_B`$. The scalar self-interaction term  is

$$U(\sigma )=\frac{1}{3}g_2\sigma ^3+\frac{1}{4}g_3\sigma ^4.$$
(4)
The Lagrangian density ($`_{YY}`$) responsible for hyperon-hyperon interaction is given by,

$`_{YY}`$ $`=`$ $`{\displaystyle \underset{B}{}}\overline{\psi }_B\left(g_{\sigma ^{}B}\sigma ^{}g_{\varphi B}\gamma _\mu \varphi ^\mu \right)\psi _B`$ (6)
$`+{\displaystyle \frac{1}{2}}\left(_\mu \sigma ^{}^\mu \sigma ^{}m_\sigma ^{}^2\sigma ^2\right){\displaystyle \frac{1}{4}}\varphi _{\mu \nu }\varphi ^{\mu \nu }+{\displaystyle \frac{1}{2}}m_\varphi ^2\varphi _\mu \varphi ^\mu .`$
At the interior of compact stars, the generalised $`\beta `$-decay processes may be written in the form $`B_1B_2+l+\overline{\nu }_l`$ and $`B_2+lB_1+\nu _l`$ where $`B_1`$ and $`B_2`$ are baryons and l is a lepton. These weak processes conserve baryon number and electric charge and are in chemical equilibrium. Therefore the generic equation for chemical equilibrium condition is

$$\mu _i=b_i\mu _nq_i\mu _e,$$
(7)
where $`\mu _n`$, $`\mu _e`$ and $`\mu _i`$ are respectively the chemical potentials of neutrons, electrons and i-th baryon with $`\mu _i=(k_{F_i}^2+m_i^2)^{1/2}+g_{\omega i}\omega _0+g_{\varphi i}\varphi _0+I_{3i}g_{\rho i}\rho _{03}`$ and $`b_i`$ and $`q_i`$ are baryon and electric charge of ith baryon respectively. The above equation implies that there are two independent chemical potentials $`\mu _n`$ and $`\mu _e`$ corresponding to two conserved charges i.e. baryon number and electric charge. In neutron stars, electrons are converted to muons by $`e^{}\mu ^{}+\overline{\nu }_\mu +\nu _e`$ when the electron chemical potential becomes equal to the muon mass. Therefore, we have $`\mu _e=\mu _\mu `$ in a neutron star. In the pure hadronic phase, the total charge density is

$$Q^h=\underset{B}{}q_Bn_B^hn_en_\mu =0$$
(8)
where $`n_B^h`$ is the number density of baryon B in the pure hadronic phase and $`n_e`$ and $`n_\mu `$ are charge densities of electrons and muons respectively.

Solving the equations of motion in the mean field approximation  along with effective baryon masses ($`m_i^{}`$) and equilibrium conditions we immediately compute the equation of state in the pure hadronic phase. The energy density ($`\epsilon ^h`$) is related to the pressure ($`P^h`$) in this phase through the Gibbs-Duhem relation

$$P^h=\underset{i}{}\mu _in_i\epsilon ^h.$$
(9)
Here $`\mu _i`$ and $`n_i`$ are chemical potential and number density for i-th species.

The pure antikaon condensed phase is composed of baryons, leptons and antikaons. In this phase, the constituents of matter are in chemical equilibrium under weak interactions and maintain local charge neutrality. The baryon-baryon interaction in the pure condensed phase is described by the Lagrangian density as given by Eq. (1). Earlier it was shown that nucleons in the pure nuclear and antikaon condensed matter behaved differently because of their dynamical nature . It was attributed to different mean fields which nucleons experienced in the pure phases. We adopt a relativistic field theoretical approach for the description of (anti)kaon-baryon interaction . Here, baryon-baryon and (anti)kaon-baryon interactions are treated on the same footing. We also include $`\overline{K}^0`$ condensation in this calculation and it occurs as a second order phase transition in the pure $`K^{}`$ condensed phase. The Lagrangian density for (anti)kaons in the minimal coupling scheme is,

$$_K=D_\mu ^{}\overline{K}D^\mu Km_K^2\overline{K}K,$$
(10)
where the covariant derivative $`D_\mu =_\mu +ig_{\omega K}\omega _\mu +ig_{\varphi K}\varphi _\mu +ig_{\rho K}\text{t}_K𝝆_\mu `$. The isospin doublet for kaons is denoted by $`K(K^+,K^0)`$ and that for antikaons is $`\overline{K}(K^{},\overline{K}^0)`$. The effective mass of (anti)kaons in this minimal coupling scheme is given by

$$m_K^{}=m_Kg_{\sigma K}\sigma g_{\sigma ^{}K}\sigma ^{},$$
(11)
where $`m_K`$ is the bare kaon mass. In the mean field approximation  adopted here, the meson fields are replaced by their expectation values. The mean meson fields are denoted by $`\sigma `$, $`\sigma ^{}`$, $`\omega _0`$, $`\varphi _0`$ and $`\rho _{03}`$. The dispersion relation representing the in-medium energies of $`\overline{K}(K^{},\overline{K}^0)`$ for $`s`$-wave ($`𝐤=0`$) condensation is given by

$$\omega _{K^{},\overline{K}^0}=m_K^{}g_{\omega K}\omega _0g_{\varphi K}\varphi _0\frac{1}{2}g_{\rho K}\rho _{03},$$
(12)
where the isospin projection $`I_{3\overline{K}}=1/2`$ for the mesons $`K^{}`$ ($``$ sign) and $`\overline{K}^0`$ (+ sign) are explicitly written in the expression. Since the $`\sigma `$ and $`\omega `$ fields generally increase with density and both the terms containing $`\sigma `$ and $`\omega `$ fields in Eq.(9) are attractive for antikaons, the in-medium energies of $`\overline{K}`$ mesons decrease in nuclear medium. On the other hand, in nucleon-only matter $`\rho _{03}n_pn_n`$ ($`n_p`$ and $`n_n`$ are the proton and neutron densities) is negative; thus the $`\rho `$-meson field favors the formation of $`\overline{K}^0`$ condensation over that of $`K^{}`$ condensation. In hyperonic matter, the repulsive $`\varphi `$ meson term may delay the onsets of antikaon condensation . The in-medium energies of kaons $`K(K^+,K^0)`$ are given by,

$$\omega _{K^+,K^0}=m_K^{}+g_{\omega K}\omega _0+g_{\varphi K}\varphi _0\pm \frac{1}{2}g_{\rho K}\rho _{03}.$$
(13)
It is evident here that kaon condensation may be impossible in $`\beta `$-equilibrated matter because the $`\omega `$-meson term is repulsive for kaons and dominates over the attractive $`\sigma `$-meson term at higher densities. However, the attractive $`\varphi `$ meson term may decrease kaon energies in the presence of hyperons .

The meson field equations in the pure condensed phase are derived from Eqs. (1)-(3) and (7) as

$`m_\sigma ^2\sigma `$ $`=`$ $`{\displaystyle \frac{U}{\sigma }}+{\displaystyle \underset{B}{}}g_{\sigma B}n_B^{\overline{K},S}+g_{\sigma K}{\displaystyle \underset{\overline{K}}{}}n_{\overline{K}},`$ (14)
$`m_{\sigma }^{}{}_{}{}^{2}\sigma ^{}`$ $`=`$ $`{\displaystyle \underset{B}{}}g_{\sigma ^{}B}n_B^{\overline{K},S}+g_{\sigma ^{}K}{\displaystyle \underset{\overline{K}}{}}n_{\overline{K}},`$ (15)
$`m_\omega ^2\omega _0`$ $`=`$ $`{\displaystyle \underset{B}{}}g_{\omega B}n_B^{\overline{K}}g_{\omega K}{\displaystyle \underset{\overline{K}}{}}n_{\overline{K}},`$ (16)
$`m_\varphi ^2\varphi _0`$ $`=`$ $`{\displaystyle \underset{B}{}}g_{\varphi B}n_B^{\overline{K}}g_{\varphi K}{\displaystyle \underset{\overline{K}}{}}n_{\overline{K}},`$ (17)
$`m_\rho ^2\rho _{03}`$ $`=`$ $`{\displaystyle \underset{B}{}}g_{\rho B}I_{3B}n_B^{\overline{K}}+g_{\rho K}{\displaystyle \underset{\overline{K}}{}}I_{3\overline{K}}n_{\overline{K}}.`$ (18)
Here the scalar and number density of baryon $`B`$ in the antikaon condensed phase are respectively

$`n_B^{\overline{K},S}`$ $`=`$ $`{\displaystyle \frac{2J_B+1}{2\pi ^2}}{\displaystyle _0^{k_{F_B}}}{\displaystyle \frac{m_B^{}}{(k^2+m_B^2)^{1/2}}}k^2𝑑k,`$ (19)
$`n_B^{\overline{K}}`$ $`=`$ $`(2J_B+1){\displaystyle \frac{k_{F_B}^3}{6\pi ^2}},`$ (20)
with effective baryonic mass $`m_B^{}=m_Bg_{\sigma B}\sigma g_{\sigma ^{}B}\sigma ^{}`$, Fermi momentum $`k_{F_B}`$, spin $`J_B`$, and isospin projection $`I_{3B}`$. Note that for $`s`$-wave $`\overline{K}`$ condensation, the scalar and vector densities of antikaons are same and those are given by

$$n_{K^{},\overline{K}^0}=2\left(\omega _{K^{},\overline{K}^0}+g_{\omega K}\omega _0+g_{\varphi K}\varphi _0\pm \frac{1}{2}g_{\rho K}\rho _{03}\right)\overline{K}K=2m_K^{}\overline{K}K.$$
(21)
The total energy density in the antikaon condensed matter has contributions from baryons, leptons and antikaons and is given by,

$`\epsilon ^{\overline{K}}`$ $`=`$ $`{\displaystyle \frac{1}{2}}m_\sigma ^2\sigma ^2+{\displaystyle \frac{1}{3}}g_2\sigma ^3+{\displaystyle \frac{1}{4}}g_3\sigma ^4+{\displaystyle \frac{1}{2}}m_\sigma ^{}^2\sigma ^2+{\displaystyle \frac{1}{2}}m_\omega ^2\omega _0^2+{\displaystyle \frac{1}{2}}m_\varphi ^2\varphi _0^2+{\displaystyle \frac{1}{2}}m_\rho ^2\rho _{03}^2`$ (23)
$`+{\displaystyle \underset{B}{}}{\displaystyle \frac{2J_B+1}{2\pi ^2}}{\displaystyle _0^{k_{F_B}}}(k^2+m_B^2)^{1/2}k^2𝑑k+{\displaystyle \underset{l}{}}{\displaystyle \frac{1}{\pi ^2}}{\displaystyle _0^{K_{F_l}}}(k^2+m_l^2)^{1/2}k^2𝑑k+\epsilon _3,`$
where $`l`$ goes over electrons and muons and the energy density for antikaons is

$$\epsilon _3=m_K^{}\left(n_K^{}+n_{\overline{K}^0}\right).$$
(24)
Since antikaons form $`s`$-wave Bose condensates, they do not directly contribute to the pressure so that the pressure is due to baryons and leptons only

$`P^{\overline{K}}`$ $`=`$ $`{\displaystyle \frac{1}{2}}m_\sigma ^2\sigma ^2{\displaystyle \frac{1}{3}}g_2\sigma ^3{\displaystyle \frac{1}{4}}g_3\sigma ^4{\displaystyle \frac{1}{2}}m_\sigma ^{}^2\sigma ^2+{\displaystyle \frac{1}{2}}m_\omega ^2\omega _0^2+{\displaystyle \frac{1}{2}}m_\varphi ^2\varphi _0^2+{\displaystyle \frac{1}{2}}m_\rho ^2\rho _{03}^2`$ (26)
$`+{\displaystyle \frac{1}{3}}{\displaystyle \underset{B}{}}{\displaystyle \frac{2J_B+1}{2\pi ^2}}{\displaystyle _0^{k_{F_B}}}{\displaystyle \frac{k^4dk}{(k^2+m_B^2)^{1/2}}}+{\displaystyle \frac{1}{3}}{\displaystyle \underset{l}{}}{\displaystyle \frac{1}{\pi ^2}}{\displaystyle _0^{K_{F_l}}}{\displaystyle \frac{k^4dk}{(k^2+m_l^2)^{1/2}}}.`$
The effect of antikaons in the pressure term is through the meson fields, which change due to the presence of additional antikaon source terms in the equations of motions in Eqs. (11)-(15). In the absence of those source terms for antikaons, we retain the equations of motion for meson fields in the pure hadronic phase.

With the onset of $`\overline{K}`$ condensation, other strangeness changing processes may occur such as, $`NN+\overline{K}`$ and $`e^{}K^{}+\nu _e`$, where $`N(n,p)`$ and $`\overline{K}(K^{},\overline{K}^0)`$ denote the isospin doublets for nucleons and antikaons, respectively. The requirement of chemical equilibrium yields

$`\mu _n\mu _p`$ $`=`$ $`\mu _K^{}=\mu _e,`$ (27)
$`\mu _{\overline{K}^0}`$ $`=`$ $`0,`$ (28)
where $`\mu _K^{}`$ and $`\mu _{\overline{K}^0}`$ are respectively the chemical potentials of $`K^{}`$ and $`\overline{K}^0`$. The above conditions determine the onsets of antikaon condensations. When the effective energy of $`K^{}`$ meson ($`\omega _K^{}`$) equals to its chemical potential ($`\mu _K^{}`$) which, in turn, is equal to $`\mu _e`$, a $`K^{}`$ condensate is formed. Similarly, $`\overline{K}^0`$ condensation is formed when its in-medium energy satisfies the condition $`\omega _{\overline{K}^0}=\mu _{\overline{K}^0}=0`$.

The total charge density in the antikaon condensed phase is

$$Q^{\overline{K}}=\underset{B}{}q_Bn_B^{\overline{K}}n_K^{}n_en_\mu =0$$
(29)
Now we describe the mixed phase of hadronic matter and $`K^{}`$ condensed matter. In earlier works, the Maxwell construction was employed for a first order phase transition to antikaon condensation . It was argued that the Maxwell construction was adequate for a system with only one conserved charge . However, neutron star matter has more than one conserved charge. As evident from the generic equation of $`\beta `$-equilibrium (Eq. (4)) there are two independent chemical potentials namely $`\mu _n`$ and $`\mu _e`$ connected to the conservation of baryon number and electric charge, respectively. Therefore, a Maxwell construction in this case will result in a discontinuity in one of the chemical potentials . It was shown by Glendenning  that the Gibbs conditions for thermodynamic equilibrium along with global conservation laws would be required to describe the mixed phase. For compact star matter the Gibbs phase rules read,

$`P^h`$ $`=`$ $`P^{\overline{K}},`$ (30)
$`\mu _B^h`$ $`=`$ $`\mu _B^{\overline{K}}.`$ (31)
where $`\mu _B^h`$ and $`\mu _B^{\overline{K}}`$ are chemical potentials of baryon B in the pure hadronic and $`K^{}`$ condensed phase, respectively. The conditions of global charge neutrality and baryon number conservation are imposed through the relations

$$(1\chi )Q^h+\chi Q^{\overline{K}}=0,$$
(32)
$$n_B=(1\chi )n_B^h+\chi n_B^{\overline{K}},$$
(33)
where $`\chi `$ is the volume fraction of $`K^{}`$ condensed phase in the mixed phase. The total energy density in the mixed phase is

$$ϵ=(1\chi )ϵ^h+\chi ϵ^{\overline{K}}.$$
(34)
## III Parameters

In the effective field theoretic approach discussed here, knowledge of three distinct sets of coupling constants for nucleons, kaons and hyperons associated with the exchange of scalar $`\sigma `$, isoscalar-vector $`\omega `$, and vector-isovector $`\rho `$ mesons and two additional hidden-strangeness mesons, scalar meson ($`\sigma ^{}`$) and vector meson $`\varphi `$ are required. The nucleon-meson coupling constants generated by reproducing the nuclear matter saturation properties are taken from Glendenning and Moszkowski of Ref. . This set is referred to as GM1 and its parameters are also listed in Table I.

The vector coupling constants for hyperons are determined from SU(6) symmetry as,

$`{\displaystyle \frac{1}{2}}g_{\omega \mathrm{\Lambda }}={\displaystyle \frac{1}{2}}g_{\omega \mathrm{\Sigma }}=g_{\omega \mathrm{\Xi }}={\displaystyle \frac{1}{3}}g_{\omega N},`$ (35)
$`{\displaystyle \frac{1}{2}}g_{\rho \mathrm{\Sigma }}=g_{\rho \mathrm{\Xi }}=g_{\rho N};g_{\rho \mathrm{\Lambda }}=0,`$ (36)
$`2g_{\varphi \mathrm{\Lambda }}=2g_{\varphi \mathrm{\Sigma }}=g_{\varphi \mathrm{\Xi }}={\displaystyle \frac{2\sqrt{2}}{3}}g_{\omega N}.`$ (37)
The scalar meson ($`\sigma `$) coupling to hyperons is obtained from the potential depth of a hyperon (Y) in the saturated nuclear matter

$$U_Y^N(n_0)=g_{\sigma Y}\sigma +g_{\omega Y}\omega _0.$$
(38)
The analysis of energy levels in $`\mathrm{\Lambda }`$-hypernuclei suggests a well depth of $`\mathrm{\Lambda }`$ in symmetric nuclear matter $`U_\mathrm{\Lambda }^N(n_0)=30`$ MeV . On the other hand, recent analysis of a few $`\mathrm{\Xi }`$-hypernuclei events in emulsion experiments predicts a $`\mathrm{\Xi }`$ well depth of $`U_\mathrm{\Xi }^N(n_0)=18`$ MeV  in normal nuclear matter. However, the situation for the $`\mathrm{\Sigma }`$ potential depth in normal nuclear matter is very unclear. The only known bound $`\mathrm{\Sigma }`$-hypernucleus is $`{}_{\mathrm{\Sigma }}{}^{4}He`$ . The most updated analysis of $`\mathrm{\Sigma }^{}`$ atomic data indicates a strong isoscalar repulsion in $`\mathrm{\Sigma }`$-nuclear matter interaction . Therefore, we use a repulsive $`\mathrm{\Sigma }`$ well depth of $`U_\mathrm{\Sigma }^N(n_0)=30`$ MeV  in this calculation.

The $`\sigma ^{}`$-Y coupling constants are obtained by fitting them to a well depth, $`U_Y^{(Y^{^{}})}(n_0)`$, for a hyperon (Y) in a hyperon ($`Y^{^{}}`$) matter at nuclear saturation density . It is given as

$$U_\mathrm{\Xi }^{(\mathrm{\Xi })}(n_0)=U_\mathrm{\Lambda }^{(\mathrm{\Xi })}(n_0)=2U_\mathrm{\Xi }^{(\mathrm{\Lambda })}(n_0)=2U_\mathrm{\Lambda }^{(\mathrm{\Lambda })}(n_0)=40$$
(39)
Nucleons do not couple to the strange mesons i.e. $`g_{\sigma ^{}N}=g_{\varphi N}=0`$.

Now we determine kaon-meson coupling constants. According to the quark model and isospin counting rule, the vector coupling constants are given by

$$g_{\omega K}=\frac{1}{3}g_{\omega N}\mathrm{and}g_{\rho K}=g_{\rho N}.$$
(40)
The scalar coupling constant is obtained from the real part of $`K^{}`$ optical potential depth at normal nuclear matter density

$$U_{\overline{K}}\left(n_0\right)=g_{\sigma K}\sigma g_{\omega K}\omega _0.$$
(41)
The strange meson fields also couple with (anti)kaons. Following Ref.\[\], the $`\sigma ^{}`$-K coupling constant is determined from the decay of $`f_0`$(925) as $`g_{\sigma ^{}K}=2.65`$, whereas the vector $`\varphi `$ meson coupling with (anti)kaons is obtained from SU(3) relation as $`\sqrt{2}g_{\varphi K}=6.04`$.

It was observed in previous calculations that antikaons experienced an attractive potential and kaons had a repulsive interaction in nuclear matter . The analysis of $`K^{}`$ atomic data in the hybrid model  yielded the real part of the antikaon optical potential as large as $`U_{\overline{K}}=180\pm 20`$MeV at normal nuclear matter density but it was repulsive at low density in accordance with the low density theorem. Also, the antikaon potential depth in the coupled channel calculation  was found to be $`U_{\overline{K}}=100`$ MeV whereas the chirally motivated coupled channel approach  gave rise to a potential depth of $`U_{\overline{K}}=120`$ MeV. The different treatments of $`\mathrm{\Lambda }`$(1405) resonance which is considered to be an unstable $`\overline{K}N`$ bound state just below $`K^{}p`$ threshold, may be responsible for the wide range of antikaon optical potential depth values in various calculations. In Table II, we list kaon-$`\sigma `$ meson coupling constant $`g_{\sigma K}`$, for a set of antikaon optical potential depths starting from -100 MeV to -180 MeV.

## IV Results and Discussion

The conversion of nucleons to hyperons is energetically favorable in $`\beta `$\- equilibrated and charge neutral dense matter. Hyperons first appear in dense matter around (2-3)$`n_0`$. Negatively charged hyperons quench the growth of electron chemical potential. Also the equation of state is softened in the presence of hyperons. Therefore, it was shown in various calculations neglecting hyperon-hyperon interaction that the formation of $`\overline{K}`$ condensate was postponed to higher densities . As the matter is hyperon-rich in the high density regime, hyperon-hyperon interaction becomes important. This interaction may be accounted by including two additional mesons $`\sigma ^{}`$ and $`\varphi `$. These strange mesons also couple with (anti)kaons. It follows from strangeness numbers of hyperons and $`\overline{K}`$ mesons that the $`\varphi `$ field is repulsive for hyperons as well as for antikaons. The additional attraction due to $`\sigma ^{}`$ field makes the EoS softer. On the other hand, the repulsive contribution of $`\varphi `$ field becomes dominant at higher densities and a stiffer EoS is obtained. For calculations with GM1 set and various values of $`|U_{\overline{K}}(n_0)|<160`$ MeV, we find that the threshold of $`K^{}`$ condensation in $`\beta `$-equilibrated hyperonic matter is shifted to very high density (7.5$`n_0`$) where effective nucleon mass becomes small . This is attributed to the early appearance of $`\mathrm{\Xi }^{}`$ hyperons which diminish the electron chemical potential and the presence of repulsive $`\varphi `$ field in the expression of energy for $`K^{}`$ and $`\overline{K}^0`$ mesons (Eq.(9)).

Now we perform our calculation using GM1 set and antikaon optical potential depth of $`U_{\overline{K}}(n_0)=160`$ MeV. In Figure 1 we exhibit the particle fraction of $`\beta `$-equilibrated matter containing baryons, electrons, muons and $`K^{}`$ mesons. In the pure hadronic phase where local charge neutrality condition is imposed, abundances of nucleons, electrons and muons increase with density. Here, charge neutrality is maintained among protons, electrons and muons. With the onset of $`K^{}`$ condensation, the mixed phase begins at 2.23$`n_0`$. This mixed phase is determined by the Gibbs phase rules for pure hadronic and antikaon condensed phase in thermodynamic equilibrium and by global baryon number and electric charge conservation laws. We find that $`\mathrm{\Lambda }`$ hyperon is the first strange baryon to appear in the mixed phase at 2.51$`n_0`$. The total baryon density in the mixed phase is the sum of two contributions from the hadronic and antikaon condensed phase weighted with appropriate volume fractions. As soon as $`K^{}`$ condensate is formed, it rapidly grows with density and replaces electrons and muons. Being bosons, $`K^{}`$ mesons in the lowest energy state are energetically more favorable to maintain charge neutrality than any other negatively charged particles. Consequently, the proton density becomes equal to the density of $`K^{}`$ condensate. Also, the density of $`\mathrm{\Lambda }`$ hyperon increases with density in the mixed phase. On the other hand, the neutron density decreases in the mixed phase. The reason behind it may be the creation of more protons in the presence of $`K^{}`$ condensate and also the growth of $`\mathrm{\Lambda }`$ hyperons at the expense of neutrons. The mixed phase terminates at 4.0$`n_0`$. Heavier hyperons appear in the pure condensed phase. As $`\mathrm{\Xi }^{}`$ hyperons start populating this phase at 6.77$`n_0`$, the density of $`K^{}`$ condensate falls. However, the rising behavior of $`K^{}`$ condensate is regained with the onset of $`\mathrm{\Sigma }^+`$ hyperons at 7.86$`n_0`$. It is to be noted that $`\mathrm{\Sigma }^{}`$ hyperons do not appear in this case.

Besides $`K^{}`$ condensation, we now investigate the role of $`\overline{K}^0`$ condensation in $`\beta `$-equilibrated and charge neutral matter consisting of nucleons, hyperons, electrons and muons. The abundances of various species are shown in Figure 2. The composition of the pure hadronic and mixed phase in this case is similar to that of Fig. 1. Once the mixed phase is over, $`\overline{K}^0`$ condensation occurs at $``$4.1$`n_0`$. We consider $`\overline{K}^0`$ condensation as a second order phase transition. The antikaon condensed phase including $`\overline{K}^0`$ condensate along with $`K^{}`$ condensate is different from that of Fig. 1. With the appearance of $`\overline{K}^0`$ condensate, neutron and proton abundances become equal and a symmetric matter of nucleons is formed in this phase. The density of $`\overline{K}^0`$ condensate increases with baryon density uninterruptedly and even becomes larger than the density of $`K^{}`$ condensate. At higher densities, more hyperons start populating the system. As soon as negatively charged hyperons - $`\mathrm{\Xi }^{}`$ and $`\mathrm{\Sigma }^{}`$ appear, the density of $`K^{}`$ condensate is observed to fall drastically. This is quite expected because it is energetically favorable for particles carrying conserved baryon numbers to achieve charge neutrality in the system. Leptons or mesons are no longer required for this sole purpose. Moreover, lepton number or meson number is not conserved in the star. The system is dominated by $`\overline{K}^0`$ condensate in the high density regime.

One important aspect of this calculation is the dynamic behavior of baryons in pure hadronic and antikaon condensed phase. Earlier, this dynamical behavior of nucleons was noted by Glendenning and Schaffner . Besides nucleons, we find similar properties of $`\mathrm{\Lambda }`$ hyperons which appear in the mixed phase. It is evident from Eq. (11) and Eq. (12) that baryons have different effective masses in the hadronic and condensed phase due to different $`\sigma `$ and $`\sigma ^{}`$ fields. In the pure hadronic phase, the effective mass of a baryon decreases with density. With the onset of the mixed phase, a second solution for the effective baryon mass emerges. This is the effective baryon mass in the condensed phase. The value of the effective baryon mass in the pure hadronic phase is always higher than that of the antikaon condensed phase. In the condensed phase, the effective mass of a baryon also decreases with density.

Equation of state, pressure(P) versus energy density ($`\epsilon `$), for $`\beta `$-equilibrated and charge neutral matter with different compositions are displayed in Figure 3. Here the long-dashed curve stands for hyperonic matter without any antikaon condensate. The dotted curve represents hyperonic matter including $`K^{}`$ condensate whereas the solid curve corresponds to hyperonic matter with both $`K^{}`$ and $`\overline{K}^0`$ condensate. The EoS denoted by the dashed-dot curve is same as given by the solid except no $`\mathrm{\Xi }`$ hyperon is present in the system in this case. Two kinks in the solid curve marks the beginning and end of the mixed phase where pure hadronic and $`K^{}`$ condensed phase are in thermodynamic equilibrium as dictated by the Gibbs conditions and global conservation laws. Immediately after the termination of the mixed phase at 4.0$`n_0`$, $`\overline{K}^0`$ condensation sets in at $``$ 4.1$`n_0`$. We have treated here $`\overline{K}^0`$ condensation as a second order phase transition. Also we find that the pressure increases continuously with energy (solid curve) after the formation of $`\overline{K}^0`$ condensation. Earlier it was noted that the antikaon condensation could be a second order phase transition depending on the strength of antikaon optical potential depth and parameter sets of different models . Though the dotted curve has overlap with the solid curve up to the mixed phase, it becomes stiffer in the high density regime. On the other hand, the dashed-dot curve becomes stiffer compared to the solid curve because there is lesser number of degrees of freedom with the absence of $`\mathrm{\Xi }`$ hyperons in the former case. With the appearance of both $`K^{}`$ and $`\overline{K}^0`$ condensation in hyperonic matter, the overall EoS (solid curve) is softened due to the strong attraction imparted by antikaon condensation.

We have used the results of Baym, Pethick and Sutherland  to describe the crust of a compact star composed of leptons and nuclei for the low density ($`n_B<0.001fm^3`$) EoS. In the mid density regime ($`0.001n_B<0.08fm^3`$) the results of Negele and Vautherin  are taken into account. Above this density, an EoS calculated in the relativistic model has been adopted.

Now we present the results of static structures of spherically symmetric compact stars calculated using TOV equations. The static compact star sequences representing the stellar masses $`M/M_{}`$ and the corresponding central energy densities $`\epsilon _c`$ are shown in Figure 4. We denote the sequence of neutron stars with $`K^{}`$ condensation in hyperonic matter by the dotted curve. Here, the maximum neutron star mass is 1.649$`M_{}`$ occurring at central density 7.7$`n_0`$. The maximum neutron star mass consisting only of hyperons is 1.789$`M_{}`$ corresponding to the central density 5.16$`n_0`$ (not shown in the Figure). The solid curve represents compact stars with both $`K^{}`$ and $`\overline{K}^0`$ condensation in hyperonic matter. When $`\overline{K}^0`$ condensation along with $`K^{}`$ condensation is taken into account, the limiting mass of the neutron star branch is attained at much earlier central density 4.49$`n_0`$. In fact, the limiting mass star appears very close to the upper boundary of the mixed phase and has a smaller value 1.571$`M_{}`$ than the situation with only $`K^{}`$ condensation. This reduction in the maximum mass of the star may be attributed to the softening of the EoS in the presence of $`K^{}`$ and $`\overline{K}`$ condensate. After the stable neutron star branch, there is an unstable region followed by a sequence of compact stars in Fig. 4. This branch of super dense stars beyond the neutron star branch is called a third family of compact stars . There are two third family branches in Fig. 4. The lower curve depicts the third family of compact stars with both antikaon condensates in hyperonic matter (case I) whereas the upper curve represents the third family of compact stars including both condensates in hyperonic matter except $`\mathrm{\Xi }`$ hyperons (case II). The maximum masses of compact stars in the third family branches denoted by the lower curve and upper curve are 1.552$`M_{}`$ and 1.561$`M_{}`$ corresponding to the central densities 8.09$`n_0`$ and $`9.20n_0`$ respectively. It is the behavior of the EoS including both $`K^{}`$ and $`\overline{K}^0`$ condensate in the mid and high density regime that results in a third family of super dense star. The possibility of a third family of compact stars was already discussed in the context of quark-hadron phase transition  and hadronic matter to hyperonic matter phase transition .

We have found a new sequence of compact stars called the third family of compact stars beyond the neutron star branch as is evident in Fig. 4. So far, we have discussed the hydrostatic stability of the stellar sequence in the third family using TOV equations . In Fig. 4, we note that the neutron star branch or the third family branch has positive slope i.e. dM/d$`\epsilon _c>0`$. Though the positive slope of a steller sequence is a necessary condition for stability, dynamical stability requires the analysis of the fundamental mode of radial vibration . In the third family branches in Fig. 4, we find that each configuration is stable because the squared frequency of the fundamental mode associated with it is positive. Similar results were obtained in the study of compact stars beyond the neutron star branch using quark-hadron phase transition by various groups .

We exhibit the mass-radius relationship for different EoS in Figure 5. The maximum mass star composed of hyperons and no condensate (not shown here) has a radius of 12.8 Km whereas it is 10.9 Km for the maximum mass neutron star including hyperons and $`K^{}`$ condensate (dotted curve). Two cases where we obtain stable solutions beyond the neutron star branch are shown in the inset. The solid curve denotes the sequences of compact stars having hyperons and $`K^{}`$ and $`\overline{K}^0`$ condensate. In the neutron star branch, the maximum mass star has a radius of 12.8 Km. For the third family branches, the lower curve corresponds to case I and the upper curve denotes case II. The radius of the maximum mass super dense star on the lower curve is 10.7 Km whereas that of case II is 10.2 Km. In this calculation, we find that the existence of non-identical stars of same mass may be possible because of partial overlapping of the neutron star and the third family branch. These pairs are known as ”neutron star twins” . Also, we observe that the high density twin is a very compact object with a different composition and smaller radius than its low density counter part. It is to be noted that the radius of the maximum mass star with $`K^{}`$ condensate in hyperonic matter is comparable to that of the third family considered here. This implies that only one star with small radius cannot ensure the existence of a third family of compact stars. Schertler et al.  argued that two stars - one in the neutron star branch and the other in the third family branch with similar masses but with a radius difference of a few kilometer might reveal the existence of a third family of compact stars. In this case, the mass difference ($`\mathrm{\Delta }`$M) of two stars is to be much less than the radius difference ($`\mathrm{\Delta }`$R) i.e. $`\mathrm{\Delta }M<<\mathrm{\Delta }R`$. In our calculation, we note that $`\mathrm{\Delta }`$R is almost two orders of magnitude larger than $`\mathrm{\Delta }`$M.

We also investigate the high density behaviour of the equation of state in TM1 model . Besides scalar self interaction terms, TM1 model includes non-linear $`\omega `$ meson term . The parameters of TM1 model are listed in Table I and Table II. In this model, antikaon condensations are found to be second order phase transitions for all values of antikaon optical potential depth . The EoS behaves smoothly even in the high density regime. There is no existence of a third family of compact stars in TM1 model because of this smooth EoS.

## V Summary and conclusions

We have investigated $`K^{}`$ and $`\overline{K}^0`$-meson condensation in $`\beta `$-equilibrated hyperonic matter within a relativistic mean field model. In this model, baryon-baryon and (anti)kaon-baryon interactions are mediated by the exchange of $`\sigma `$, $`\omega `$ and $`\rho `$ meson. Also, hyperon-hyperon interaction is accounted by considering two additional strange mesons $`\sigma ^{}`$ and $`\varphi `$. In this calculation, we have adopted GM1 parameter set. The coupling constants of (anti)kaon-meson are determined from a quark model and empirically known values of antikaon optical potential depth at normal nuclear matter density. Similarly, the hyperon-meson coupling constants are obtained from hypernuclear data and SU(6) symmetry relations. However, the coupling constant of hyperons to $`\sigma ^{}`$ meson is obtained by reproducing the hyperon depth in a bath of the hyperons at normal nuclear matter density.

The condensation of $`K^{}`$ meson in hyperonic matter is described as a first order phase transition in this calculation. The $`\beta `$-equilibrated matter is composed of three phases - pure hadronic phase, pure $`K^{}`$ condensed phase and the mixed phase of two pure phases. Along with the Gibbs phase rules, global conservation laws are employed in the mixed phase.

The appearance of antikaon condensation is quite sensitive to the EoS and also depends on the value of antikaon optical potential depth. In the presence of hyperons, an EoS becomes softer thus delaying the onset of antikaon condensation. For antikaon optical potential depth $`|U_{\overline{K}}(n_0)|<160`$ MeV, the early appearance of negatively charged hyperons in particular $`\mathrm{\Xi }^{}`$ hyperons, reduces the electron chemical potential. And the antikaon condensation does not occur even at 7.5$`n_0`$. In our calculation with $`U_{\overline{K}}(n_0)=160`$ MeV, the first order phase transition to $`K^{}`$ condensation begins at 4.0$`n_0`$. The pure hadronic phase does not contain any hyperon whereas only $`\mathrm{\Lambda }`$ hyperons appear in the mixed phase. As soon as $`K^{}`$ condensation sets in, it is energetically favourable for $`K^{}`$ mesons in the zero momentum state to maintain charge neutrality in the system. Consequently, the formation of negatively charged hyperons are delayed to higher density. Immediately after the end of the mixed phase, $`\overline{K}^0`$ condensation occurs in the pure $`K^{}`$ condensed phase. Here, we have treated $`\overline{K}^0`$ condensation as a second order phase transition. With the formation of $`\overline{K}^0`$ condensation, abundances of neutron and protons become equal. Negatively charged hyperons - $`\mathrm{\Xi }^{}`$ and $`\mathrm{\Sigma }^{}`$ start populating the system around $`7n_0`$. And the density of $`K^{}`$ condensate dwindles because hyperons having conserved baryon number are energetically more favourable for charge neutrality. Consequently, $`\overline{K}^0`$ condensate dominates the high density regime.

The equation of state becomes softer in the presence of antikaon condensate compared with the situation without any condensate. Among all EoS considered here, the softest EoS is the one that includes both $`K^{}`$ and $`\overline{K}^0`$ condensate. This softening leads to the reduction in maximum masses of compact stars. The behaviour of the EoS with both antikaon condensates at very high density $`810n_0`$ and its connection to the possible existence of stable super dense stars beyond the neutron star branch have been investigated in this work. With the EoS corresponding to hyperonic matter with $`K^{}`$ and $`\overline{K}^0`$ condensate, we find, after the termination of the neutron star branch, an unstable region followed by a stable sequence of compact stars called the third family of compact stars. It is noted that neutron star twins could exist because of partially overlapping mass regions of the neutron star branch and the third family branch. The high density twin in the third family branch has a different composition and smaller radius than its low density counter part. The observation of two compact stars with almost similar masses but different radii may shed light on the existence of a third family of super dense stars.

FIG. 1. The proper number densities $`n_i`$ of various compositions in $`\beta `$-equilibrated hyperonic matter including $`K^{}`$ condensate for GM1 model and antikaon optical potential depth at normal nuclear matter density $`U_{\overline{K}}=160`$ MeV.

FIG. 2. The proper number densities $`n_i`$ of various compositions in $`\beta `$-equilibrated hyperonic matter including both $`K^{}`$ and $`\overline{K}^0`$ condensate for GM1 model and antikaon optical potential depth at normal nuclear matter density $`U_{\overline{K}}=160`$ MeV.

FIG. 3. The equation of state, pressure $`P`$ vs. energy density $`\epsilon `$ in GM1 model. The results are for hyperonic matter(dashed line), hyperonic matter including $`K^{}`$ condensate (dotted line) and $`K^{}`$ and $`\overline{K}^0`$ condensation in hyperonic matter (solid line) and in hyperonic matter excluding $`\mathrm{\Xi }`$ (dashed-dot line) calculated with the antikaon optical potential depth at normal nuclear matter density of $`U_{\overline{K}}=160`$ MeV.

FIG. 4. The compact star mass sequences are plotted with central energy density for GM1 model and the antikaon optical potential depth of $`U_{\overline{K}}=160`$ MeV. The star masses of hyperonic matter with $`K^{}`$ condensate and with further inclusion of $`\overline{K}^0`$ condensate are shown here. In the latter case, a second sequence of compact stars appears in the high energy density regime.

FIG. 5. The mass-radius relationship for compact star sequences for hyperonic matter with $`K^{}`$ condensate and with further inclusion of $`\overline{K}^0`$ condensate for GM1 model and antikaon optical potential depth of $`U_{\overline{K}}=160`$ MeV. The mass-radius relationship for the third family branch is shown in the inset.


text:
# New High Temperature Diboride Superconductors: AgB2 and AuB2

\[

## Abstract

Based on electronic structure calculations, we have found that noble metal diborides, AgB2 and AuB2, are potential candidates for conventional BCS-type high temperature superconductors. B $`2p`$ density of states dominates at the Fermi level in comparison with Ag $`4d`$ and Au $`5d`$ states. Furthermore, the electron-phonon coupling constant $`\lambda `$ is much larger in AgB2 and AuB2 than in MgB2. Estimated transition temperatures for AgB2 and AuB2 are $`T_\mathrm{c}^{\mathrm{cal}}=`$ 59 K and 72 K, respectively. These are about 2 $``$ 3 times higher than the estimated $`T_\mathrm{c}^{\mathrm{cal}}=`$ 27 K in MgB2 and almost comparable to those in cuprate superconductors.

\] Due to the highest transition temperature of $`T_\mathrm{c}`$ 39 K among nonoxide bulk metallic superconductors, MgB2 has renewed scope of the transition temperature in the conventional BCS superconductors. Photoemission spectroscopy, tunneling spectroscopy, isotope effect measurements, and inelastic neutron scattering measurements support that MgB2 belongs to the $`s`$-wave phonon-mediated BCS superconductor. Borons in MgB2 can generate high frequency in-plane phonon modes caused by their light atomic masses. These phonons are thought to be responsible for the observed unusual high $`T_\mathrm{c}`$. It is also found that electron doped Mg1-xAlxB2 loses superconductivity for $`x>`$ 0.1. In MgB2, the Fermi level ($`E_\mathrm{F}`$) is located at the shoulder of the density of states (DOS) curve in which B $`2p`$ states, believed to become superconducting carriers, are dominant. Thus, electron doping effect in Mg1-xAlxB2 would move $`E_\mathrm{F}`$ to the lower DOS side and destroy B $`2p`$ hole states and superconductivity by reducing the effective electron-phonon interaction strength .

MgB2 research society becomes rapidly growing and it is amazing that some significant progresses have already been made toward technological applications. However, it is open and natural to ask how many diborides can be categorized as superconductors with $`T_\mathrm{c}`$ as high as MgB2 and what is the upper limit of the transition temperature in these BCS superconductors.

In hexagonal AlB2-type structure, MgB2 is special with superconductivity itself even excluding high $`T_\mathrm{c}`$ 39 K. Other than MgB2, only a few diborides show superconductivity: Zr0.13Mo0.87B2, NbB2, and TaB2 with $`T_\mathrm{c}`$ 10 K. There are, however, still controversies for NbB2 and TaB2. Since the discovery of MgB2, there have been several theoretical studies to search for the potential high $`T_\mathrm{c}`$ binary and ternary borides in isoelectronic systems such as BeB2 and CaB2, transition metal (TM) diborides $`TM`$B2, and hole doped systems such as Mg$`{}_{1x}{}^{}M_{x}^{}`$B2 ($`M=`$ Li, Na, Cu, and Zn) . However, most of the recent experimental works for related binary and ternary borides fail to find another high temperature diboride superconductor (HTcBS). Nevertheless, in the present work, we try to give positive answers to the given questions. We suggest that noble metal diborides, AgB2 and AuB2 which correspond to effectively hole doped systems, are potential candidates for HTcBS. We have found that their transition temperatures are 2 $``$ 3 times higher than that in MgB2.

To verify its possibility, we have performed fully relativistic electronic structure calculations for AgB2 and AuB2 by using the linearized muffin-tin orbital (LMTO) band method. We have used lattice constants of $`a=`$ 2.98 Å and $`c=`$ 3.92 (4.05) Å for AgB2 (AuB2). Hence the B-B interlayer distances are much increased as compared to that in MgB2, while the B-B in-plane bond lengths are similar. The Coulomb exchange correlation potential is treated in the von Barth-Hedin form of the local spin-density approximation. For the self-consistent charge density integration, 280 $`k`$-points sampling is done in the irreducible wedge of the first Brillion zone (BZ). Basis functions are adopted up to $`l=`$ 3 for Ag and Au sites and $`l=`$ 2 for B.

In Fig. 1 and Fig. 2, we have shown band structures of AgB2 and AuB2, respectively, along high symmetry lines in the BZ. It is clear that B $`2p`$ states near $`E_\mathrm{F}`$, corresponding to the in-plane B-B $`p_{x,y}\sigma `$ bands, are almost dispersionless along $`\mathrm{\Gamma }`$A$``$L line and yield the hole Fermi surfaces. The effect of the spin-orbit interaction on these bands is minor: the splittings are barely seen in the case of AuB2. Previously, similar band feature producing the cylindrical hole Fermi surface along $`\mathrm{\Gamma }`$A is emphasized in MgB2, as is responsible for superconductivity. However, the B $`p\sigma `$ bands are flatter in AgB2 and AuB2 than in MgB2, yielding the higher DOS at $`E_\mathrm{F}`$ (Fig. 3). The bandwidths of B $`p\sigma `$ are less than $`5`$ eV in AgB2 and AuB2 due to band repulsion between Ag $`4d`$ (Au $`5d`$) and B $`2p`$ as is evident along A$``$L line. Whereas they are as much as $`9`$ eV in MgB2 (Fig. 4). The band repulsion drives the B $`2p\sigma `$ sates to pile up at $`E_\mathrm{F}`$.

The calculated DOS’s at $`E_\mathrm{F}`$, $`N(0)`$, in various systems are summarized in Table I. We have found that they are about 1.6 and 2.2 times larger in AgB2 and AuB2 with $`N(0)=`$ 0.557 and 0.768 states/(eV, spin) than $`N(0)=`$ 0.356 states/(eV, spin) in MgB2. In addition, the B $`2p`$ contributions to the total DOS at $`E_\mathrm{F}`$ are $`\stackrel{~}{N}_\mathrm{B}(0)`$ 0.6 in all cases. The total and atomic site projected DOS’s in Fig. 3 also reflects these features, in which B atoms dominantly contribute to the DOS at $`E_\mathrm{F}`$.

Employing the McMillan’s empirical formula for $`T_\mathrm{c}`$ ,

$`T_\mathrm{c}={\displaystyle \frac{\mathrm{\Theta }_D}{1.45}}\mathrm{exp}\left[{\displaystyle \frac{1.04(1+\lambda )}{\lambda (1+0.62\lambda )\mu ^{}}}\right],`$ (1)
we have estimated the transition temperatures with the Coulomb pseudopotential parameter of $`\mu ^{}=`$ 0.1 and the the experimental Debye temperature of $`\mathrm{\Theta }_D`$ 700 K . We consider the superconducting properties within the framework of the simple rigid-ion approximation. Calculation of $`\eta _\alpha =N(0)I_\alpha ^2`$, where $`I_\alpha ^2`$ is the average electron-ion interaction matrix element for the $`\alpha `$ atom in the unit cell, yields $`\eta _\alpha =`$ 0.03 and 1.87 eV/Å2 for $`\alpha =`$ Mg and B atoms, respectively. Note that the contribution from B atom is dominating. Then the electron-phonon coupling constant, $`\lambda =_\alpha \eta _\alpha /M_\alpha \omega ^2`$, is evaluated to be $`\lambda =`$ 0.79. Here $`M_\alpha `$ is an ionic mass and $`\omega ^2`$ is the average phonon frequency approximated by $`\omega ^2\mathrm{\Theta }_D^2/2`$.

First of all, we would like to point out that our estimated values of $`\lambda =`$ 0.79 and the corresponding $`T_\mathrm{c}^{\mathrm{cal}}=`$ 27 K for MgB2 are in good agreement with other theoretical and experimental values. In a similar way, we have also estimated superconducting properties of AgB2 and AuB2, assuming that the phonon frequencies are of the same order as that in MgB2. It is a plausible approximation because the ionic radii of Ag and Au are similar to that of Mg and the relevant phonon mode is the in-plane B bond stretching mode. Remarkably, as shown in Table I, we have obtained almost twice larger $`\eta _\mathrm{B}`$’s for AgB2 and AuB2 than that for MgB2, and so the electron-phonon coupling constant values are $`\lambda =`$ 1.35 and 1.65 for AgB2 and AuB2, respectively. With these values, we have estimated the transition temperatures of $`T_\mathrm{c}^{\mathrm{cal}}=`$ 59 K for AgB2 and 72 K for AuB2. They are 2 $``$ 3 times larger than that in MgB2, and even comparable to those in high temperature cuprate superconductors.

It may be difficult to find right condition of synthesizing stoichiometric AgB2 and AuB2 compounds. In such a case, first attempt would be to synthesize hole doped materials like Mg1-xAgxB2 and Mg1-xAuxB2 or to grow them in films. At least, hole doped samples could be obtained, considering that Mg1-xLixB2 has been already tested including $`x=1.0`$. On the other hand, it was reported that Cu substitution in MgB2 produces MgCu2 phase rather than CuB2 . This unfortunate occasion is likely to arise because the ionic radius difference between Cu and Mg is large, and hence Cu prefers to sit at the B site . On the other hand, Ag and Au share similar ionic radius with Mg, and so it is expected that these elements will be in better situation than the Li and Cu cases. In addition, one may use Mg1-xAgxB2 and Mg1-xAuxB2 to examine the existing theory which sets the upper limit of the transition temperature in the phonon-mediated BCS mechanism superconductor as $`T_\mathrm{c}`$ 40 K. If the proposed noble metal HTcBS’s are realized, it is expected that, besides high $`T_\mathrm{c}`$, they will also have the enhanced hole concentration of $`n_\mathrm{h}=`$ 0.120 and 0.128 holes/B in comparison with $`n_\mathrm{h}=`$ 0.06 holes/B in MgB2 (Table I and Fig. 4). These things will serve more favorably for technological applications.

In conclusion, we have performed band structure calculations for AgB2 and AuB2 to search for new HTcBS. These are predicted to be very promising materials to meet the purpose, and thus the material synthesis and experimental measurements are encouraged.

Acknowledgements$``$ This work was supported by KOSEF through eSSC at POSTECH and in part by the BK21 Project.


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# Heavy quark production in the semihard QCD approach at HERA and beyond

## Abstract

Processes of heavy quark production at HERA, TEVATRON and THERA energies are considered using the semihard ($`k_T`$ factorization) QCD approach with emphasis on the BFKL dynamics of gluon distributions.

The experimental results on $`b\overline{b}`$pair production cross sections obtained by the H1 and ZEUS Collaborations at HERA and D0 and CDF Collaborations at TEVATRON provide a strong impetus for further theoretical studies. Comparisons of these results with NLO pQCD calculations show that they underestimate the cross sections at HERA and TEVATRON energies. Therefore, it looks certainly reasonable to try a different approach.

In this work we focus on the description of $`b\overline{b}`$pair cross sections at HERA and TEVATRON in the so called semihard ($`k_T`$ factorization) QCD approach (SHA), which we have applied earlier to open charm and $`J/\mathrm{\Psi }`$ photoproduction at HERA (see in ref.). We also discuss the sensitivity of our theoretical results to the BFKL type dynamics which may be investigated in the photoproduction of $`D^{}`$ and $`J/\mathrm{\Psi }`$ mesons at THERA energies.

In SHA, the unintegrated gluon distribution $`\phi _G(x,k_T^2)`$ is connected with the conventional gluon density $`xG(x,Q^2)`$ by the following relation

$$xG(x,Q^2)=xG(x,Q_0^2)+_{Q_0^2}^{Q^2}𝑑k_T^2\phi _G(x,k_T^2),$$
(1)
where $`Q_0^2`$ is the collinear cutoff parameter.

We used the results of ref. for the off mass shell parton cross sections, and we used several different parameterizations for the unintegrated gluon distribution (see ref. for details), namely: the LRSS, RS and the so called BFKL  parameterizations. We used the following set of SHA parameters: $`Q_0^2=`$4, 2 and 1 GeV2 in (1) for the RS, LRSS and BFKL parameterizations; in the case of the BFKL parameterization the parameter $`\mathrm{\Delta }=0.35`$; everywhere the charm and beauty quark masses are $`m_c=`$1.5 GeV and $`m_b=`$4.75 GeV.

The results of our calculations for the total cross section of inelastic $`b\overline{b}`$ photoproduction at HERA as compared to H1 data are

published in the paper by Lipatov, Saleev, Zotov. We have shown there that the H1 data are well described by the LRSS parametrization and by the the BFKL parametrization but only with as small $`m_b`$ as $`m_b=`$4.25 GeV in the latter case. In Fig. 1a we show our results for the total cross section of inelastic $`b\overline{b}`$ photoproduction at HERA compared to ZEUS data. We see that only the LRSS parametrization describes the ZEUS data (at $`m_b=`$4.75 GeV). In contrast with this, the cross section for $`b\overline{b}`$ production at TEVATRON is described by the BFKL and RS parametrizations very well (Fig. 1b). The LRSS parametrization (at the same values of parameters and normalization) overshoots the D0 (and CDF) data.

In the ref. the calculations of the associated charm and dijet production cross section have been made within the SHA with BFKL and CCFM unintegrated gluon distributions at HERA energies. The attention was focused there on the variable $`x_\gamma `$, which is the fraction of the photon momentum contributed to a pair of jets with largest $`p_T`$. The results of the similar calculations made for THERA conditions are shown in Fig. 2 as a futher test of the underlying dynamics. The existence of the wide plateau at $`x_\gamma <0.9`$ seen in the fugure comes from the noncollinear gluon evolution, which generates gluons with non-negligeable transverse momentum. In a significant fraction of events the gluon emitted close to the quark box appears to be even harder than one or even both of the quarks produced in hard interaction.

The effects of initial gluon off-shellness may be, best of all, seen in the transverse momentum spectra of $`J/\mathrm{\Psi }`$ mesons. In contrast with the conventional (massless) parton model, the SHA shows that the fraction of $`J/\mathrm{\Psi }`$ mesons in the helicity zero state increases with their transverse momentum $`p_T`$. A deviation from the parton model behaviour becomes well pronounced already from $`p_T>3`$ GeV at HERA energies, and at $`p_T>6`$ GeV the helicity zero polarization tends to be dominant. The same effect is seen in Fig. 3, where we show the results of the calculations of the ratio $`\sigma _{h=0}/\sigma `$ for $`J/\mathrm{\Psi }`$ photoproduction at THERA conditions made with the BFKL unintegrated gluon distribution.

The examples considered in this paper demonstrate the effects of the BFKL gluon evolution on the important and experimentally measurable quantities, such as the event topology or vector meson spin alignement. At present, the theoretical predictions made for HERA and TEVATRON conditions have found their experimental confirmation. A further investigation of the relevant effects at THERA collider can put our understanding of the hadron structure on even more solid grounds.

One of us (N.Z.) is gratefull to Russian Academy of Science and the Organizing Committee of DIS2001 for financial support. This work has been supported by the Royal Swedish Academy of Sciences.


text:
# A new parametrization of the neutrino mixing matrix for neutrino oscillations

## Abstract

In this paper we study three active neutrino oscillations, favored by recent data from SuperK and SNO, using a new parametrization of the lepton mixing matrix $`V`$ constructed from a linear combination of the unit matrix $`I`$, and a hermitian unitary matrix $`U`$, that is, $`V=\mathrm{cos}\theta I+i\mathrm{sin}\theta U`$. There are only three real parameters in $`V`$ including the parameter $`\theta `$. It is interesting to find that experimental data on atmospheric neutrino dictates the angle $`\theta `$ to be $`\pi /4`$ such that the $`\nu _\mu `$ and $`\nu _\tau `$ mixing is maximal. The solar neutrino problem is solved via the MSW effect with a small mixing angle, with $`U`$ depending on one small parameter $`ϵ`$. The resulting mixing matrix with just two parameters ($`\theta `$ and $`ϵ`$) predicts that the oscillating probabilities for $`\nu _e\nu _\mu `$ and $`\nu _e\nu _\tau `$ to be equal and of the order $`2ϵ^2=(0.252.5)\times 10^3`$. The measurement of CP asymmetries at the proposed Neutrino Factories would also provide a test of our parametrization.

preprint:

Flavor mixing in both quark and lepton sectors is one of the mysteries of particle physics. There are abundant experimental data which show that different quark generations mix and so do lepton generations. However, theoretical understanding of the mixing is very poor. The minimal Standard Model (SM) can accommodate quark mixing through the Cabibbo-Kobayashi-Maskawa mixing matrix. For mixing in the lepton sector, one has to extend the minimal SM, either by introducing an new scalar particle to provide Majorana masses for neutrinos and therefore mixing or by introducing right-handed neutrinos to provide neutrinos with Dirac mass, or a combination of these two. The mixing phenomena in the lepton sector are most prominent in neutrino oscillations and can be described by the Maki-Makagawa-Sakata mixing matrix. These proposals can accommodate mixing phenomena and can be made consistent with experimental data, but there is no understanding why the matrix elements in relavent mixing matrix have the determined values.

In this paper assuming three generations of neutrinos, we consider another way of looking at the mixing matrix problem by dividing the mixing matrix into two pieces. One of them is proportional to the unit matrix $`I`$ which dose not cause any mixing, and the other is proportional to a hermitian unitary matrix $`U`$ which is responsible for flavor mixing. The mixing matrix $`V`$ is thus parametrized as $`V=\mathrm{cos}\theta I+i\mathrm{sin}\theta U`$. This way of looking at the problem has the advantage that the parameter $`\theta `$ determines the relative weight of the diagonal elements and off diagonal elements in a non-trivial manner. Mathematically, $`U`$ depends on four real parameters, but due to the rephasing invariance of $`V`$, there are actually just two real independent parameters in $`U`$. Similar proposal has been made for the quark mixing matrix which is compatible with experimental data within allowed errors. Here we will concentrate on the lepton sector to analyze mixing phenomena in neutrino oscillations. Neutrino oscillations can provide natural explanations to the atmospheric and solar neutrino data. Recent data from SuperK and SNO favor mixing of active neutrinos. We therefore assume three active neutrino mixing in our analysis. We note that the LSND data cannot be accommodated in this analysis. The required parameter space to exlain the atmospheric and solar neutrino data can provide stringent constraints on the parameters in the mixing matrix. Using atmospheric neutrino data, we find that the linear combination angle $`\theta `$ is determined to be $`\pi /4`$ indicating that the diagonal and off diagonal parts are equally important. The solar neutrino problem can be solved by the small mixing angle (SMA) solution with MSW effect. This ansatz also gives interesting predictions for long base line neutrino experiments and CP violation in neutrino oscillations.

We now provide a detailed analysis of the parametrization proposed here. Unitarity of $`V`$ requires

$`VV^{}=I=\mathrm{cos}^2\theta I+\mathrm{sin}^2\theta UU^{}+i\mathrm{sin}\theta \mathrm{cos}\theta (UU^{}),`$ (1)
$`V^{}V=I=\mathrm{cos}^2\theta I+\mathrm{sin}^2\theta U^{}U+i\mathrm{sin}\theta \mathrm{cos}\theta (UU^{}).`$ (2)
In general $`V`$ and $`U`$ are non-trivially related. However, if $`U`$ is independent of the linear combination angle $`\theta `$, then $`U`$ has to be unitary and hermitian. The $`V`$ so obtained is more restrictive than a general one.

The matrix $`U`$ can be parametrized as

$`U=\left(\begin{array}{ccc}1+2|c|^2& 2b^{}c& 2a^{}c^{}\\ 2bc^{}& 1+2|b|^2& 2ab^{}\\ 2ac& 2a^{}b& 1+2|a|^2\end{array}\right),`$ (6)
where the magnitudes and the phases of $`a`$, $`b`$ and $`c`$ satisfy the constraints $`|a|^2+|b|^2+|c|^2=1`$ and $`\varphi _a\varphi _b+\varphi _c=\pi /2`$, respectively. $`U`$ depends, in general, on two independent moduli and two independent phases at it stands. However the mixing matrix $`V`$ is rephasing invariant, so the two phases in $`U`$ can be absorbed into lepton phases. $`V`$ depends on only 3 real parameters, $`\theta `$ and the two moduli in $`U`$.

To determine the parameters in the mixing matrix $`V`$, we first consider data for atmospheric neutrino from SuperK experiment. To fit the data the muon neutrino $`\nu _\mu `$ has to oscillate into another type of neutrino $`\nu _x`$ with mixing angle $`\theta _{2x}`$ such that $`sin^22\theta _{2x}>0.88`$ which leads to $`\theta _{2x}\pi /4`$ and also the mass squared difference $`|\mathrm{\Delta }m_{2x}^2|=|m_2^2m_x^2|`$ in the range $`(1.55)\times 10^3`$ eV2. Here the numbers 1, 2 and 3 correspond to $`\nu _e`$, $`\nu _\mu `$ and $`\nu _\tau `$, respectively. For three generations of neutrinos, $`\nu _\mu `$ can only oscillate into a tauon neutrino $`\nu _\tau `$ to fit the data. Assuming that electron neutrino $`\nu _e`$ does not have significant mixing with muon and tauon neutrinos, then $`|V_{11}|`$ is fixed to be $`1`$, while $`|V_{22}|`$, $`|V_{23}|`$, $`|V_{32}|`$ and $`|V_{33}|`$ are fixed to be $`1/\sqrt{2}`$. This leads to the following unique solution for $`\theta `$ and $`U`$,

$`\theta ={\displaystyle \frac{\pi }{4}},a={\displaystyle \frac{1}{\sqrt{2}}},b={\displaystyle \frac{1}{\sqrt{2}}},c=0,`$ (7)
$`U=\left(\begin{array}{ccc}1\hfill & 0\hfill & 0\hfill \\ 0\hfill & 0\hfill & 1\hfill \\ 0\hfill & 1\hfill & 0\hfill \end{array}\right).`$ (11)
The mass squared difference $`|\mathrm{\Delta }m_{23}^2|`$ is constrained to be in the range $`(1.55)\times 10^3\text{eV}^2`$ at 90% C.L.. The mixing angle $`\theta =\pi /4`$ is a reflection of the fact that the mixing of the $`\nu _\mu `$ and $`\nu _\tau `$ is maximal. It is interesting that this value of $`\theta `$ also implies that the purely diagonal and the non-diagonal pieces have equal weight, that is, $`V=(I+iU)/\sqrt{2}`$.

The mixing matrix obtained above can not produce oscillations of electron neutrino into other neutrinos and therefore can not provide a solution to the solar neutrino problem. If the solar neutrino problem is due to neutrino oscillation like the solution to the atmospheric neutrino problem, then the electron neutrino has to mix with other neutrinos such that it can oscillate into them to cause the deficit seen in the measurements on earth. One has to modify the above mixing matrix such that solutions for the solar neutrino problem can be obtained.

To this end we make a small perturbation to the mixing matrix by introducing a non-zero but small value for $`c`$ such that $`V_{12,23}`$ become non-zero to allow $`\nu _e`$ to oscillates into $`\nu _\mu `$ and/or $`\nu _\tau `$. In fact, in our parametrization, a non-zero value for $`c`$ implies that both $`V_{12}`$ and $`V_{13}`$ are non-zero. Whether the solar neutrino problem is solved by oscillation of $`\nu _e`$ into $`\nu _\mu `$ or $`\nu _\tau `$ depends on the mass squared differences of the neutrino masses which will be discussed later. Denote the perturbations on $`a`$, $`b`$ and $`c`$ as $`a=(1+ϵ_a)/\sqrt{2}`$, $`b=(1+ϵ_b)/\sqrt{2}`$, and $`c=iϵ`$. If $`ϵ`$ is a real number, $`ϵ_{a,b}`$ are also required to be real from the constraint on the phases. A simple choice, satisfying all constraints, is to take $`c=iϵ`$ with $`a=\sqrt{12ϵ^2}/\sqrt{2}`$ and $`b=1\sqrt{2}`$. this gives

$`V={\displaystyle \frac{1}{\sqrt{2}}}\left(\begin{array}{ccc}1i(12ϵ^2)& \sqrt{2}ϵ& \sqrt{2}ϵ\sqrt{12ϵ^2}\\ \sqrt{2}ϵ& 1& i\sqrt{12ϵ^2}\\ \sqrt{2}ϵ\sqrt{12ϵ^2}& i\sqrt{12ϵ^2}& 1i2ϵ^2\end{array}\right).`$ (15)
There are other choices for $`ϵ_{a,b}`$ which can also satisfy $`|a|^2+|b|^2+|c|^2=1`$, such as the general case $`a=\sqrt{12(1+\alpha )ϵ^2}/\sqrt{2}`$ and $`b=\sqrt{1+2\alpha ϵ^2}/\sqrt{2}`$, with $`\alpha `$ a number of order one so that $`ϵ_{a,b}`$ are small. However, to the leading order in $`ϵ^2`$ the general case gives the same results for neutrino oscillations. Without loss of generality, we will carry out the rest of the analysis using $`V`$ given above.

There are four types of solution to the solar neutrino problem. Three of them are based on the MSW mechanism. They are the large mixing angle (LMA), the long wavelength (LOW) large mixing angle, and the small mixing angle (SMA) solutions. There is one solution which does not depend on the MSW effect, the “just so” vacuum (VAC) oscillation solution. Recent data from SuperK favors the LMA solution. However, at present it is premature to rule out the other three solutions. Among the four solutions, our parametrization can only accommodate the SMA solution. Fitting data we determine the parameter $`ϵ^2`$ and the mass squared difference of $`\nu _e`$ and the neutrino oscillated into $`\nu _x`$ to be

$`ϵ^2=(0.1251.25)\times 10^3,`$ (16)
$`|\mathrm{\Delta }m_{1x}^2|=(0.351)\times 10^5\text{eV}^2.`$ (17)
Because the mixing matrix elements $`V_{12}`$ and $`V_{13}`$ to the leading order in $`ϵ`$ are equal, present constraints on various neutrino oscillation data can allow the neutrino $`\nu _x`$ to be $`\nu _\tau `$ or $`\nu _\mu `$ depending on the pattern of the neutrino masses. There are two scenarios: a) if $`\nu _e`$ oscillates into $`\nu _\tau `$, the neutrino mass hierarchy will be $`m_{\nu _\mu }>m_{\nu _\tau }>m_{\nu _e}`$; and b) if $`\nu _e`$ oscillates into $`\nu _\mu `$, then $`m_{\nu _\tau }>m_{\nu _\mu }>m_{\nu _e}`$.

The mass hierarchy patterns for the cases a) and b) have different implications in general for long base line experiments. The probability for a $`l`$ type of neutrino to oscillate into a $`k`$ type of neutrino in vacuum is given by

$`P(lk)`$ $`=`$ $`\delta _{lk}4{\displaystyle \underset{i<j}{}}Re(V_{ki}^{}V_{li}V_{lj}^{}V_{kj})\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{ij}^2}{E}}L)`$ (18)
$``$ $`2{\displaystyle \underset{i<j}{}}Im(V_{ki}^{}V_{li}V_{lj}V_{kj}^{})\mathrm{sin}({\displaystyle \frac{2.54\mathrm{\Delta }m_{ij}^2}{E}}L),`$ (19)
where $`\mathrm{\Delta }m_{ij}^2`$ is in eV2, $`E`$ in GeV and $`L`$ in $`km`$. The first two terms are CP conserving and symmetric in $`l`$ and $`k`$ while the last term is CP violating and anti-symmetric in $`l`$ and $`k`$. For anti-neutrino oscillation the last term will change sign.

In our new parametrization, to order $`ϵ^2`$ we find the following oscillation probabilities

$`P(\nu _e\nu _e)=14ϵ^2[\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{12}^2}{E}}L)+\mathrm{sin}^2(1.27{\displaystyle \frac{\mathrm{\Delta }m_{13}^2}{E}}L)],`$ (20)
$`P(\nu _\mu \nu _\mu )=P(\nu _\tau \nu _\tau )`$ (21)
$`=12ϵ^2[\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{12}^2}{E}}L)+\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{13}^2}{E}}L)](12ϵ^2)\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{23}^2}{E}}L),`$ (22)
$`P(\nu _e\nu _\mu )=P(\nu _\tau \nu _e)=2ϵ^2[\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{12}^2}{E}}L)+\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{13}^2}{E}}L)]+P^{},`$ (23)
$`P(\nu _\mu \nu _\tau )=(12ϵ^2)\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m_{23}^2}{E}}L)+P^{},`$ (24)
$`P^{}=4ϵ^2\mathrm{sin}({\displaystyle \frac{1.27\mathrm{\Delta }m_{12}^2}{E}}L)\mathrm{sin}({\displaystyle \frac{1.27\mathrm{\Delta }m_{13}^2}{E}}L)\mathrm{sin}({\displaystyle \frac{1.27\mathrm{\Delta }m_{23}^2}{E}}L).`$ (25)
For the large $`\nu _\mu \nu _\tau `$ oscillation, further tests can be carried out to check the oscillation mechanism at the long base line neutrino experiments at K2K, Minos and Opera in a controlled fashion. In these experiments, it may also be possible to carry out some tests for the predictions of the ansatz proposed here. In both cases a) and b), it is feasible to have the right combination of $`L/E`$ such that $`1.27\mathrm{\Delta }m_{12}^2L/E`$ or $`1.27\mathrm{\Delta }m_{13}^2L/E`$ are of order unity so that oscillations between $`\nu _e`$ and $`\nu _\mu `$, and $`\nu _e`$ and $`\nu _\tau `$ can be observed. The long base line neutrino oscillation experiments K2K, Minos and Opera have $`L`$ around 250km 730km, and 730km with $`E`$ around $`1.4`$ GeV, $`3,\mathrm{\hspace{0.33em}7},\mathrm{\hspace{0.33em}15}`$ GeV, and $`17`$ GeV, respectively. It is possible using $`E_{\nu _\mu }=3`$ GeV from Minos to have $`1.27\mathrm{\Delta }m_{12}^2L/E`$ or $`1.27\mathrm{\Delta }m_{13}^2L/E`$ as large as $`\pi /2`$. The maximal probability at the far end of the long base line detector for the appearing of $`\nu _e`$ can be as large as $`2ϵ^2=(0.252.5)\times 10^3`$ from $`\nu _\mu \nu _e`$ oscillation. The appearing probability of $`\nu _\mu `$ can be in the range $`(0.252.5)\times 10^3`$ from $`\nu _e\nu _\mu `$ oscillation. Future experimental data will provide important information about the mixing matrix. Unfortunately, the cases a) and b), to the leading order, give identical predictions for the above mentioned experiments and can not be distinguished.

Another interesting prediction of the new mixing matrix parametrization is CP violation in neutrino oscillations. Tests of CP violation in neutrino oscillations may be feasible at Neutrino Factories. Proposed Neutrino Factories have a high intensity muon storage ring with long sections along which the muons decay, $`\mu ^{}\nu _\mu e^{}\overline{\nu }_e`$, to deliver high intensity $`\nu _\mu `$ and $`\overline{\nu }_e`$ neutrino beams. With these neutrino beams one can carry out disappearing and appearing neutrino experiments to test different neutrino mixing scenarios. Defining CP violating asymmetry,

$`A(\nu _l\nu _k)={\displaystyle \frac{P(\nu _l\nu _k)P(\overline{\nu }_l\overline{\nu }_k)}{P(\nu _l\nu _k)+P(\overline{\nu }_l\overline{\nu }_k)}},`$ (26)
we have

$`A(\nu _e\nu _\mu )=A(\nu _\tau \nu _e)=A(\nu _\mu \nu _e)=A(\nu _e\nu _\tau )`$ (27)
(28)
$`=2{\displaystyle \frac{\mathrm{sin}(\frac{1.27\mathrm{\Delta }m_{12}^2}{E}L)\mathrm{sin}(\frac{1.27\mathrm{\Delta }m_{13}^2}{E}L)\mathrm{sin}(\frac{1.27\mathrm{\Delta }m_{23}^2}{E}L)}{\mathrm{sin}^2(\frac{1.27\mathrm{\Delta }m_{12}^2}{E}L)+\mathrm{sin}^2(\frac{1.27\mathrm{\Delta }m_{13}^2}{E}L)}}.`$ (29)
In the above we have given the modes which may have large CP violation. In principle $`A(\nu _i\nu _i)`$, $`A(\nu _\mu \nu _\tau )`$ and $`A(\nu _\tau \nu _\mu )`$ can have non-zero values. However there is an additional suppression factor of order $`ϵ^2`$ for CP violation in these modes and they would be difficult to measure.

It is interesting to note that in the above expression the mixing parameter $`ϵ`$ has canceled out, and also that all the above modes have CP violation of the same magnitude. Therefore uncertainties associated with the mixing parameters do not enter and allow clear interpretations. These unique features can provide good tests for the new parametrization studied here.

Let us now study what value $`A(\nu _\mu \nu _e)`$ can have. One can tune $`L/E`$ to maximize the detection probability. Tuning $`1.27\mathrm{\Delta }m_{21}^2L/E=\pi /2`$ for case a) and substituting $`1.27\mathrm{\Delta }m_{31}^2L/E=(\mathrm{\Delta }m_{31}^2/\mathrm{\Delta }m_{21}^2)\pi /2`$, we have

$`A(\nu _e\nu _\mu )`$ $`=`$ $`2\mathrm{sin}({\displaystyle \frac{\mathrm{\Delta }m_{31}^2}{\mathrm{\Delta }m_{21}^2}}{\displaystyle \frac{\pi }{2}})2{\displaystyle \frac{\mathrm{\Delta }m_{31}^2}{\mathrm{\Delta }m_{21}^2}}{\displaystyle \frac{\pi }{2}}`$ (30)
$`=`$ $`(0.60.6)\times 10^2.`$ (31)
In case b), one would get the same magnitude, but opposite sign. This fact can be used to distinguish the cases a) and b). To have a $`3\sigma `$ detection of CP asymmetry, one would need $`(10^{10}10^8)`$ neutrino oscillation events.

When neutrino beams travel through the earth to reach the other side to be detected, due to the fact that the earth is composed of matter and not anti-matter, the MSW effect for the neutrino and anti-neutrino beams is different. This results in additional asymmetry. To have some idea about the additional asymmetry due to matter effects, we consider case b) using $`m_1=0`$, $`m_2=2.5\times 10^3`$ eV, $`m_3=6\times 10^2`$ eV and $`ϵ^2=5\times 10^4`$ as the input vacuum values for the neutrino masses and mixing for illustration. The matter effect is proportional to the electron density $`N_e`$ in the earth. The parameter that enters in the calculation is $`A=2\sqrt{2}G_FN_eE_\nu `$. For neutrino oscillation, $`A`$ takes the positive sign and for anti-neutrino oscillation it takes the minus sign. For the typical neutrino energy of the Neutrino Factories and the electron density in the earth, $`A`$ is in the range of $`10^710^2`$ eV2. We find that in vacuum for the above values of parameters, the CP asymmetry is predicted to be 0.0055. But with a non zero $`A`$, the result can be very different. For example for $`A=10^3`$ eV2, the asymmetry would be 0.035. One should note that the asymmetry caused by the matter effect does not imply CP violation in the mixing matrix. To pin down the effect due to CP violation, one needs to have a good understanding of the profile of the earth to eliminate the asymmetry due to the MSW effect on neutrino oscillations. This is very difficult. However, we would like to point out that $`A(\nu _l\nu _k)=[P(\nu _l\nu _k)P(\overline{\nu }_l\overline{\nu }_k)]/[P(\nu _l\nu _k)+P(\overline{\nu }_l\overline{\nu }_k)]`$ can still provide important information about the neutrino mass hierarchy. Because in case a) and case b) the signs for $`A(\nu _e\nu _\mu )`$ and $`A(\nu _e\nu _\tau )`$ are different, and matter effects do not change the signs of the asymmetries for $`A`$ in the range $`10^710^2`$ eV2.

We have considered a new parametrization for neutrino mixing matrix $`V`$ using the ansatz $`V=\mathrm{cos}\theta I+i\mathrm{sin}\theta U`$ with the value $`\theta =\pi /4`$ which gives equal weight to the diagonal ($`I`$) and non-diagonal ($`U`$) pieces in $`V`$. This value of $`\theta `$ is a natural consequence of the atmospheric neutrino data which requires maximal $`\nu _\mu \nu _\tau `$ oscillation. The matrix $`U`$ depends on only one small parameter $`ϵ10^2`$ which gives the SMA solution to the solar neutrino problem. It also predicts that $`P(\nu _e\nu _\mu )=P(\nu _\tau \nu _e)`$ to the leading order.

We find that to order $`ϵ^2`$, the CP asymmetry $`A(\nu _e\nu _l)`$ is independent of $`ϵ`$. Moreover, we find that the sign of $`A(\nu _e\nu _\mu )`$ and $`A(\nu _e\nu _\tau )`$ could be used to distinguish between the two possible mass hierarchies, $`m_{\nu _\mu }>m_{\nu _\tau }>m_{\nu _e}`$ and $`m_{\nu _\tau }>m_{\nu _\mu }>m_{\nu _e}`$ permitted by the SMA solution to the solar neutrino problem and other oscillation data, even though matter effects may affect the magnitude of the asymmetry significantly. These asymmetries could be detected at Neutrino Factories.

It is remarkable that our mixing matrix $`V`$ which contains only two parameters ($`\theta `$ and $`ϵ`$) can explain the atmospheric and solar neutrino data. CP asymmetry measurements in neutrino oscillations could provide future tests of our parametrization.

This was supported in part by National Science Council under grant NSC 89-2112-M-002-058 and in part by the Ministry of Education Academic Excellence Project 89-N-FA01-1-4-3. VG would like to thank the Department of Physics, National Taiwan University for hospitality while this work was completed.